4F.4 Tools and guidance notes

4F. Tool 1 – Land access and displacement strategy

The land access and displacement strategy is compiled per site. It is developed by the operations team with Group/BU support and assistance from consultants if required, and it identifies the resettlement project(s) that may be required for the site. No consultation with external stakeholders should be undertaken during its development.

Table 4F. 4 Template for the land access and displacement strategy

Chapters	Headings	Guideline
Preamble	Cover page List of authors and reviewers Abbreviations and acronyms Glossary Table of contents, list of figures, tables and appendices	Abbreviations and acronyms: should provide a table listing all abbreviations and acronyms used throughout the Plan, these should be consistent with internationally accepted definitions and conventions Glossary: should provide a definition of terms and key concepts used throughout the Plan. It is advisable that definitions are as far as practically possible based on definitions proposed by The Social Way and good practice guidance such as IFC PS 5.
Introduction	Strategic purpose and scope Objectives and guiding principles Structure and content of Strategy	Detail the purpose of the strategy, and its temporal and spatial scope (e.g. project phases/components and timeframe). Description of land access and displacement management objectives and principles (e.g. type of land access required, preference for avoiding and/or minimising displacement, integration of land access planning into project planning, project or government-led process, applicable standards and legal framework)
Context and resettlement triggers	Land access and displacement context, schedule and phases Land use and socio-economic context	Present and discuss the land access schedule in relation to the schedule of other key processes (e.g. mine planning, LoAP, RDP, legal land access negotiation process) Provide summary of land use and socio-economic context to inform identification of potential risks and impacts associated with unencumbered land access. Summary should detail prevailing land tenure and administration, land-based livelihoods, settlement patterns and other socio-economic activities that might be impacted. Identify preferred project land use for major component, as well as potential land use restrictions, direct and indirect displacement triggers and impacts associated with all land to be acquired/accessed, disaggregated in terms of project components or land parcels as appropriate.
Land requirements and access	Identify and map land requirements Description of envisaged land inventory	Detail all land requirements (temporary and permanent), including exploration and expansion areas, and likely buffer zones required for mitigating potential CHS impacts. Operation teams should confirm land requirements with design or engineering teams and other relevant project teams. Include table summary (including supporting maps) listing the following for each affected land parcel: (i) preferred land rights, land access mechanism and the associated land transaction requirements, process and timeframe, (ii) cadastral information (ownership, size, extent, third party interests), (iii) prevailing land use and available land user information, and (iv) land encumbrances which can complicate access, including any land claims and/or legal disputes; existing servitudes, rights of way or wayleaves; and potential land use planning conflicts. The data should be generated from a comprehensive GIS database.
Displacement impacts	Impact identification Scoping of displacement management measures	Identify potential displacement impacts based on envisaged land access and existing and anticipated land activities. Map and describe cases of displacement in terms of the land parcels comprising the applicable land area, nature of displacement, estimated magnitude of displacement impact per delineated area, and design alternatives considered as part of LoAP to avoid displacement or minimise its magnitude.
Displacement risks	Risk assessment Mitigation measures	Identify potential displacement risk based on envisaged land access and existing and anticipated land activities. Identify suitable measures for avoiding and/or mitigating identified risks.
Resettlement projects	Phasing of requisite land access Modifications of project footprint Definition of resettlement projects	Outline estimated schedule indicating when land access would be required for various parts of the project footprint. Motivate if the footprint of land to be acquired at a given time should be modified to avoid or minimise fragmentation of communities or other impacts. Based on the above, define a set of resettlement projects for the site, indicating the geographical area of land to be covered by each resettlement project and when that resettlement project will need to commence to achieve timely land access or avoidance of impacts on communities.

4F. Tool 2 – Displacement framework

Like the land access and displacement strategy, the displacement framework is compiled per site by the operations team with Group/BU support and assistance from consultants if required. This ensures that each individual resettlement project at the site is conducted according to a consistent set of principles and procedures. Its development is an internal exercise and does not involve engagement with external stakeholders.

Table 4F. 5 Scope and contents of a displacement framework and corresponding guidance notes

Chapters	Headings	Guideline
Preamble	Cover page List of authors and reviewers Abbreviations and acronyms Glossary Table of contents, list of figures, tables and appendices	Abbreviations and acronyms: should provide a table listing all abbreviations and acronyms used throughout the Plan, these should be consistent with internationally accepted definitions and conventions Glossary: should provide a definition of terms and key concepts used throughout the Plan. It is advisable that definitions are as far as practically possible based on definitions proposed by The Social Way and good practice guidance such as IFC PS 5.
Introduction	Site land access needs Purpose, scope and objectives Process for preparing/approving Planning documentation Framework status and structure	Refer to the site’s land access and displacement strategy (Task 1) in which the resettlement project(s) for the site are defined and motivated. Outline the purpose, scope and content (structure) of the displacement framework.
Site description and displacement impacts	Site context Requisite land access and displacement Strategies to minimise and/or avoid displacement	Describe the site in terms of its administrative and regional setting, indicative land access schedule, required land rights and expected duration of land access (as set out in the site’s land access and displacement strategy). Document existing or planned measures to avoid and/or minimise displacement. Where appropriate this section should include any pre-feasibility, screening/scoping or impact assessment studies that resulted in revision of the footprint and reduction in likely displacement. Any project alternatives that will be considered to minimise displacement should also be noted.
Policy and Legal framework	Description of national legislation Traditional land administration and customary tenure systems Overview of applicable international standards Overview of The Social Way Gap analysis and corrective actions (preferably presented in the format of a table).	All Anglo American projects have to comply with host country legislation and meet international requirements for land acquisition and displacement, in particular IFC PS 5. The purpose of the legislative review is to identify differences between these two sets of requirements and describe how such differences will be addressed – typically by adopting the stricter requirement. The chapter should summarise applicable national legislation, regulations and policies related to land acquisition, safety protection zones/buffer zones, expropriation, resettlement and livelihood restoration. A good point of departure is to refer to legal reviews contained in planning documentation disclosed by international institutions. Traditional land administration and customary tenure systems should be described where these are not formalised in legislation. International standards addressed in the document should include IFC PS 1, 5, 7 and 8; and human rights policies. It is advisable that the gap analysis should not focus only on land-related legislation, but should also include other applicable legislation (e.g. on social housing, employment, social welfare, gender and human rights, health, etc.) as these sometimes contain stricter provisions than those in land-related legislation, and can assist in narrowing the gap between national and international requirements.
Principles, objectives and processes	Resettlement principles and objectives Description of envisaged resettlement planning and implementation process Roles and responsibilities throughout planning and implementation	Outline the company’s commitments in respect of the approach to land acquisition (e.g. achieving negotiated settlements where possible), avoidance and/or minimisation of displacement impacts, consultation, participation and grievance management, compensation, livelihood restoration/improvement, vulnerability and gender, integration of resettlement into overall project planning, eligibility and entitlements, management of speculation and encroachment, etc. Describe the LADAR process(es) to be followed at the site, distinguishing between the various resettlement projects as defined in the land access and displacement strategy, types of plans required (RAPs, LRPs, LAPs or corrective plans), as well as between planning and implementation phases for each project. Specify the functions for which authorities, the resettlement project team and consultants will be responsible during the planning and implementation steps.
Land use and socio-economic context	Socio-economic profile of communities Land tenure regime Land use, livelihoods and fixed assets Vulnerability groups and criteria Identified legacy issues related to previous resettlement	Using data from available sources (including the land access and displacement strategy, existing baseline profiles and previous impact assessment studies), describe land use and socio-economic conditions in the site’s Area of Influence. This description should be sufficiently detailed to enable: (a) accurate identification of expected displacement impacts and how these impacts might affect households/communities (which are documented in chapter 6 of the displacement framework) and (b) identification (in chapter 7) of suitable measures to compensate for losses and mitigate displacement-related impacts so as to comply with the resettlement principles and objectives cited in chapter 4, and identify who should be eligible to receive compensation and/or benefit from mitigation measures.
Displacement impacts	Displacement Impacts Impacts on local authorities and host communities Potential differential impacts on vulnerable persons/groups	Provide a high-level estimate of potential displacement impacts on affected persons, including displaced households, local authorities, host communities and vulnerable persons/groups. Impact categories may include permanent or temporary loss of land, loss of fixed assets (e.g. residential, business or community structures, etc.), loss of crops or economic trees, displacement of graves or cultural heritage resources, loss of natural resources, and loss of access to any of the above.
Entitlement matrix and compensation strategy	Eligibility Valuation approach Compensation options and packages Entitlement framework	Eligibility: Define the process through which eligibility will be determined and specify the mechanism/process through which a legitimate cut-off date will be instated. Also define the categories of persons who will be considered eligible for compensation. Valuation: Define the valuation methods that will be used to quantify the loss of assets and/or livelihoods as a result of displacement. The chapter should specify how selected valuation methods and associated compensation rates will ensure full replacement costs. Compensation options and packages: May include monetary compensation, in-kind compensation of a combination of these, as well as allowances to be offered to displaced persons. Entitlement framework: Sets out compensation, and livelihood restoration and/or support measures to be provided for each category of eligible person. This framework will guide the formulation of a detailed entitlement matrix during development of the project-specific DMPs (Task 7).
Stakeholder engagement, participation and disclosure	Stakeholder engagement objectives and principles Identification of stakeholders and engagement requirements Stakeholder engagement framework	Describe the stakeholder engagement requirements during the various activities of resettlement planning and implementation. Also establish the general stakeholder engagement principles adopted for the site and summarise any engagement undertaken previously. Describe the consultation and engagement structures to be established during detailed resettlement planning. This chapter will form the basis for the development of a RSEP for each resettlement project at the site (Task 6).
Reporting, monitoring and evaluation	Monitoring and evaluation objectives Framework and indicators Reporting requirements	Define M&E objectives and strategy, and present a conceptual M&E framework describing internal and external M&E arrangements, and identify potential indicators to measure inputs, outputs and outcomes for resettlement/livelihood restoration activities.
Implementation responsibilities, schedule and financing	Organisational roles and responsibilities for planning and implementation Resources, individual roles and responsibilities within Anglo American Indicative Schedule and Estimated budget	Identify all role players that will be involved in the planning and implementation process, including affected people, company representatives or committees, regulatory authorities, service providers and other agencies/institutions (e.g. civil society). Describe the interrelation between these parties as well as their likely involvement during various stages of the planning and implementation process. Provide an indicative schedule for preparation of DMPs, indicating underlying assumptions and key dependencies. Links to other processes (e.g. construction/development schedules, grave relocation, environmental authorisations, etc.) should also be indicated. For each resettlement project covered by the displacement framework, provide an initial, high-level estimate of the required budget. This should be based on available information regarding the types and magnitude of displacement, as well as indicative costs and compensation rates. This should be followed by a description of the procedures to be applied during the detailed displacement management planning to finalise budget estimates for key components (e.g. how costs for land, structural assets, economic losses, livelihood restoration, implementation teams, etc., will be calculated).

4F. Tool 3 – RAP/LRP

Table 4F. 6 Scope and contents of a DMP (RAP/LRP) and corresponding guidance notes

Chapters	Headings	Guideline
Preamble	Cover page List of authors and reviewers Executive/non-technical summary Abbreviations and acronyms Glossary Table of contents List of figures, tables and appendices	The executive summary should: (a) present a non-technical overview that can be disclosed to all interested parties (b) highlight key points, such as the need for displacement, planning process and requirements, socio-economic profile, engagement process, entitlements, financial provision, and arrangements for implementation and M&E and (c) be consistent with the main body of the document. Abbreviations and acronyms used throughout the Plan should be consistent with internationally accepted definitions and conventions. The Glossary should provide a definition of terms and key concepts used throughout the plan. Definitions should be aligned with The Social Way and applicable good practice standards.
Introduction	Overview of project and displacement Scope of the plan Plan status and structure	Document (a) the scope of and rationale for the resettlement project; (b) the purpose, scope and content (structure) of the RAP or LRP (including the number of households displaced), (c) the team responsible for compiling the document and (d) approval and disclosure status (if the document is not yet finalised it should summarise the steps required for approval).
Project description and predicted impacts	Project context Requisite land access and displacement Minimisation and/or avoidance of displacement	Describe the site in terms of its administrative and regional setting, indicative land access schedule, required land rights and expected duration of land access (as set out in the site’s land access and displacement strategy and displacement framework). Describe the resettlement project and (if applicable) its relationship to other (previous and planned) resettlement projects at the site. Document existing or planned measures to avoid and/or minimise displacement. The results of avoidance/minimisation efforts should be documented and illustrated. Where avoidance and/or minimisation are not possible, sufficient motivation/justification should be provided.
Policy and legal framework	Description of national legislation Traditional land administration and customary tenure systems Overview of applicable international standards Overview of The Social Way policy requirements Gap analysis and corrective actions (presented in a table format).	This chapter will be largely based on the corresponding chapter in the site’s displacement framework. However, authors should be cognisant of any changes in policies or legislation that may have occurred since the displacement framework was developed. Also, project-specific considerations not adequately addressed in the displacement framework should be highlighted.
Principles, objectives and process	Resettlement principles and objectives Description of resettlement planning and implementation process Roles and responsibilities for planning and implementation	Resettlement principles and objectives should be consistent with those outlined in chapter 4 of the site’s displacement framework. The description of the resettlement planning process should outline activities undertaken during development of the RAP/LRP, including instatement of the cut-off date, surveys, stakeholder engagement, etc. This should be followed by a detailed description of activities to be undertaken during implementation of the plan (Task 9), such as signing of resettlement agreements with affected people, compensation payments, preparation of replacement land, construction of replacement houses, physical relocation, livelihood restoration assistance, etc. Roles and responsibilities (including those of authorities, Anglo American and consultants) should be defined for the various steps of the implementation process.
Baseline	Census results Socio-economic baseline survey results Land and asset survey results Affected land (size and location, disaggregated by land use, tenure regime and whether the land is partially or whole affected) Affected structures (number and location, disaggregated by type of structure and type of ownership) Affected businesses (location, number and type) Affected communal assets such as common resources (woodlands), public structures (schools, clinics, water points), infrastructure (roads, bridges, etc.) and cultural heritage resources (graves, sites of cultural/spiritual significance); Household preferences in terms of resettlement site and livelihood restoration strategy	The purpose of the baseline chapter is to provide (a) sufficient context to accurately quantify displacement impacts (which is the focus of chapter 6); (b) information on vulnerability that may cause some households, persons or groups to be disproportionately affected by displacement (chapter 7); (c) information needed to adapt the entitlement framework provided in the site’s displacement framework to address any project-specific impacts or requirements (chapter 8); and (d) quantifiable demographic, economic, educational, occupational, and health indicators that can be used as a benchmark for M&E during RAP/LRP implementation (chapter 13). The socio-economic baseline survey results should be presented in a manner that provides an in-depth understanding of the demographics of affected communities, their living standards, sources of income, access to and utilisation of services and infrastructure, access to and reliance on natural resources, vulnerability, social networks and preferences for relocation and livelihood restoration. A similar profile should be drafted for any host communities to provide a basis for assessing potential impacts on these communities resulting from the households being moved into their community. The RAP/LRP should be accompanied by a database containing the complete results of the census, socio-economic survey and asset inventory. The database should contain appropriate linkages between the datasets derived from the various surveys (e.g. the socio-economic dataset should indicate which asset owners/users reside in which surveyed households), and should be capable of generating lists of each of the following: All owners of affected land, structures or other assets, including type of ownership for each asset – formal (registered), customary or informal/unregistered; All users of each affected land parcel, structure and any other assets, including contact details and the basis for use (e.g. contract, oral contract, informal use, etc.) ; All persons who will be economically displaced and nature of displacement (including seasonal users of land/resources, loss of employment or source of subsistence, etc.) All individuals who will have to relocate their primary residence (including tenants, informal occupants); and Businesses and their owners, type of business activity (formal or informal), lists of business employees, monthly profit and employee salaries. The methodology and implementation strategy of the respective surveys should be documented and appended to the RAP. LRP; this should also include all data collection tools, such as surveys, interview guides, etc.
Analysis of displacement impacts	Displacement impacts resulting from loss of structures, including effects of (a) physical displacement resulting from loss of residential structures, (b) economic displacement resulting from loss of business structures and, (c) displacement of community facilities/infrastructure Impacts resulting from loss of land, including (a) economic displacement resulting from loss of farmland, trees and crops, and (b) economic displacement resulting from loss of other types of land Impacts on graves and cultural heritage, and access to infrastructure, services and natural resources Impacts on host communities	This analysis of impacts is undertaken by superimposing the project’s requisite land access and process (chapter 2) on the baseline profile (chapter 5). Displacement impacts usually extend beyond the physical loss of assets and therefore often require mitigation over and above regulated compensation and/or livelihood restoration. Consequently, this chapter should include a qualitative analysis of the indirect impacts of displacement in the prevailing socio-economic context. It should also discuss any potential impacts on host communities, including secondary displacement.
Vulnerable people	Overview of vulnerability within the Project context Vulnerability criteria and indicators Identification of vulnerable people Assistance for vulnerable groups	This chapter should (a) draw on information from the baseline chapter to clearly define groups that are or may become at risk as a result of displacement; (b) define appropriate, context-specific criteria and indicators to determine vulnerability; and (c) provide an analysis of potentially vulnerable groups and formulate special provisions that will be made to assist each group.
Entitlement matrix and compensation strategy	Eligibility Eligibility criteria and categories Cut-off date for eligibility Valuation Overview of national and international valuation requirements Description of asset-appropriate valuation methods: land types; residential, communal and other structures; graves and ritual sites; tenants and rental rates; crops and trees; businesses; livelihood restoration values; and allowances and transitional assistance. Compensation options and packages Delivery of in-kind compensation Replacement land and housing Livelihood restoration process Monetary compensation Compensation amounts Payment process Entitlement matrix (defining compensation and assistance measures for each eligibility category, referencing legislation and/or international standard as justification) Organisational arrangements for delivery of compensation	This chapter should outline the entitlements for each type of displacement impact and provide a clear basis for calculating the quantum for each type of compensation (including monetary and in-kind compensation, and additional support and livelihood restoration). The framework should recognise the legal context and resettlement principles adopted in the site’s displacement framework. The chapter should also demonstrate how inputs from stakeholders (e.g. during entitlement negotiations with the RWG) were taken into account during the formulation of entitlements.
Selection of replacement land and settlement/housing design	Replacement land requirements (including residential, agricultural and other land) Criteria for determining suitability of replacement land Resettlement site/replacement land selection process and outcome Process to acquire replacement land Design of resettlement site Replacement housing design Handover process	This chapter should quantify replacement land requirements based on the results of the asset survey and measures requiring replacement land identified in the entitlement framework. It should also describe criteria agreed with affected parties to select a suitable relocation site/replacement land; these may include access to services, infrastructure and natural resources, and proximity of and impact on host communities. Identified options for replacement land should be listed, and a description provided of how the agreed criteria were applied to rank them. The description of the process for acquiring replacement land should note any permitting or rezoning requirements, studies required or conducted to ensure suitability of selected sites, and the process for procuring, developing and allocating replacement land or residential plots. In cases of physical displacement, the following must be included: An overview of the township/settlement planning process; The planned settlement layout; Replacement housing designs and options (indicating how local conditions, cultural practices and preferences of affected households were taken into account); and If replacement housing designs are still in concept form, steps required to develop detailed designs. The chapter should also detail the handover process as well as care and maintenance arrangements, especially if replacement housing is provided.
Livelihood restoration planning	Principles (eligibility, key aspects of livelihood restoration and improvement entitlements) Restoration and improvement of land-based livelihoods Restoration and improvement of non-land-based livelihoods Specific aspects related to gender Specific aspects related to vulnerability Partnerships/linkages for implementation	The chapter should provide a detailed description of: Socio-economic aspects relevant to livelihood restoration planning; Anticipated livelihood impacts identified in the preceding chapters; Community preferences for livelihood restoration planning; Contextual considerations determining the feasibility of livelihood restoration concepts; Proposed livelihood restoration programmes; Feasibility assessment of the respective packages; and Implementation requirements; e.g. training, resources, financing, infrastructure, etc.
Consultation and disclosure	Stakeholder engagement principles and objectives Consultation structures and process – stakeholder identification, consideration of vulnerable groups, engagement planning, etc. Summary of consultation activities – engagements and outcomes Engagement plan for further stages Plan disclosure	This chapter should identify the stakeholders who were involved in development of the DMP and describe engagement activities undertaken during preparation, planning, disclosure, approval of the plan. Records of how information about compensation, eligibility, resettlement assistance, grievance redress, etc. were disseminated to relevant stakeholders (including vulnerable and/or minority groups) should be included in the chapter. The chapter should provide a detailed description of the RWG, including its mandate, ToR, composition, roles of participants, and mediation mechanisms. A summary of the views expressed by stakeholders, as well as an account of how these views were addressed in the plan, must also be included Detailed engagement records should be included as appendices to the plan; these normally include stakeholder comments and grievances (indicating follow-up actions/responses), a log of all meetings conducted as part of resettlement planning, attendance registers, and a summary of main issues discussed. It is also necessary to confirm stakeholder engagement requirements for the implementation, M&E and close-out phase of the plan (Tasks 9, 10 and 11).
Grievance management	Principles Grievance registration procedure Summary of grievances received to date	This chapter should detail the guiding principles that will be applied to ensure the resettlement grievance procedure is aligned with The Social Way requirements (Section 3B). A detailed description of the grievance procedure should be provided, including a description of the steps in the process, information management and the parties responsible for the various phases of the grievance process. The procedure should detail how unresolved grievances will be managed through arbitration/mediation or the judicial system. The grievance mechanism should establish performance monitoring procedures and KPIs, in line with the site/The Social Way framework, and indicate how resettlement-related grievance management will be integrated with the overall site engagement and grievance management strategies. If any grievances have been submitted at the time the DMP is compiled, the nature, status and resolution of these should be indicated.
Monitoring and evaluation framework	Monitoring and evaluation objectives M&E during implementation Scope and content of internal monitoring Indicators and KPIs for input, output, outcome and impact monitoring Scope and content of external evaluation Internal and external reporting Compliance review and close-out audit Objectives and scope Completion criteria Implementation arrangements	This chapter should cover: Internal monitoring and external evaluation of monitoring data, as well as external oversight (Task 10); and Compliance reviews and close-out audits (Task 11). For each of these components, the following should be specified: Responsible parties; Activities to be undertaken; Frequency and timeline of activities; Indicators or criteria to be used to demonstrate progress, effectiveness and/or compliance; and Reporting requirements.
Implementation, scheduling and financing	Implementation responsibilities Time schedule (including review of compatibility of resettlement schedule with overall project construction and development schedule) Budget and arrangements for financing	Institutional arrangements: Document the organisational structure and institutional arrangements for implementing the Plan. It should confirm the details of the institution(s) responsible for delivery of the entitlements and livelihood restoration programmes (including external service providers) and confirm how resettlement activities will be coordinated. Schedule: should highlight key milestones, dependencies, assumptions and potentials risks to the schedule. Budget and financing arrangements: should include an estimated budget for all resettlement-related costs, including contingencies. It should account for inflation effects and currency fluctuations and confirm how the costs will be monitored and evaluated. It should note whether any costs are to be government or partner-funded and how these disbursements will be coordinated.

4F. Tool 4 – Land access scenarios per tenure arrangement

In the table below, the term “project footprint” denotes any land required for mining/processing purposes, as well as applicable health and safety buffers.

Table 4F. 7 Common scenarios where land access could result in displacement

Displacement categories	Scenarios
Displacement of individuals and communities that have formal legal rights to land and/or assets they use and/or occupy	Persons or communities who own the land within the project footprint under legal title, i.e. private tenure
	Persons or communities who legally own affected buildings and infrastructure within the project footprint
	Institutions who own land and/or buildings within the project footprint
	Owners of economic trees, perennial and/or seasonal crops, either on their own land or on the land of others
	Legitimate owners or custodians of recognised cultural heritage assets such as graves, sacred/spiritual sites, etc.
	Tenants of houses and/or land – i.e. persons who, while not owning the house or land, have formalised right of occupancy through formal rental/lease agreement
	Employees of formal businesses (i.e. entity with tax statements and auditable records) that will be displaced as the business will become unviable as a result of land access by the company.
	Individuals that depend directly/indirectly on the land and structures within the project footprint for sustaining their livelihood, through formal agreements to graze livestock, practice agricultural activities
Displacement of individuals/communities that do not have formal legal rights to land and/or assets but do have a claim which is recognised under national law.	Persons who have the customary right of occupancy of affected land
	Owners of standalone informal business structures, such as kiosks, market stalls, bars, clothing manufacture, furniture manufacture, etc.
	Tenants of houses and/or land – i.e. persons who, while not owning the house or land, have right of occupancy based on verbal or informal agreement
	Land required by the project is used on an intermittent/seasonal basis for livelihood purposes such as seasonal grazing, agriculture, etc.
Displacement of individuals/communities who have no recognisable legal right or claim to land and/or assets they occupy or use.	Include persons who have constructed buildings or have cultivated crops on land owned by another, without approval and/or knowledge of the landowner. This also includes informal users on public or private land.
	Encroachers that, without consent, have settled on and/or use project owned/leased land for residential and/or livelihood purposes
	Informal users of land – for example, persons who collect firewood, herbs and medicines, and other natural resources without knowledge and/or any consent of landowner
	Individuals using land regularly for grazing livestock

4F. Tool 5 – Displacement management planning activities

Table 4F. 8 Displacement management planning – roles and responsibilities

Planning phase	Resettlement project team	Resettlement consultants	Vulnerability and gender considerations
Confirm displacement impacts and initiate management planning	Confirm whether a RAP, LRP, LAP or Remedial Plan is required based on the refined resettlement scope (Task 4). Develop a ToR for the resettlement project which defines the type of plan required, the nature and scale of displacement and the resettlement timeframe; supplies other relevant information (e.g. on previous resettlement and local community dynamics); and emphasising the need for complying with IFC PS 5. SteerCom to approve the ToR.	Depending on the scale and complexity of the resettlement project, consultants could be involved to develop a ToR.	Based on identification of vulnerable groups, demonstrate due consideration for any disproportional impacts on vulnerable groups considering their sensitivity and coping capacity, including any disproportionate impacts expected across gender or other marginalised groupings such as indigenous peoples
Identify and appoint service providers	Identify suitably experienced consultants and issue the ToR. Conduct technical and financial evaluation of the consultants’ proposals.	Develop proposal based on the ToR. Comment on risks associated with the resettlement project and proposed approach contained in the ToR.	Ensure that the scope of work requires the resettlement expert to demonstrate a clear and practical approach to ensure identification and full participation of vulnerable, gender and/or marginalised groups. Project planning should indicate special provisions required in terms of identifying, verifying and engaging vulnerable and/or gender groups as well as how data collection, disclosure and entitlement negotiations will be tailored to ensure inclusivity. This should include specific resourcing requirements for identifying, engaging and assisting vulnerable groups (e.g. gender specialist, social workers, culturally appropriate engagement teams, etc.)
Initiate planning process	Conduct project initiation meeting with the preferred consultant to ensure a common understanding of scope, timing and expectations. Review and approve project execution plan to ensure it is integrated and consistent with project planning and land access schedule. Align the plan with the PMF (Task 5).	Develop a project execution plan for the planning process. Provision must be made for review and approval processes by the resettlement project team. Risks to the budget and schedule must be identified and addressed with the resettlement project team.
Review and confirm land requirements	Obtain confirmation of land access schedule and requirements (Task 4) and share with consultant. Any changes in the schedule and/or requirements must be communicated to consultants. In the event of changes in the land access schedule, a change management process must be implemented and potential impacts on the planning process identified. Provide information about efforts undertaken or project alternatives considered to avoid/minimise displacement. Ensure this is documented in the DMP.	Review land requirements in collaboration with the resettlement project team and with cross-functional input to confirm the resettlement scope and identify implications for management planning. In collaboration with the resettlement project team, identify potential additional strategies (over and above those identified during Tasks 1 and 4) to avoid/minimise displacement during the remainder of the planning process and document these in the DMP.	Consideration of legal and informal land tenure and/or usage rights which is often the only type of tenure available to vulnerable groups, women and informal occupants.
Completion of desktop-based work	Based on an information request from the consultant, provide relevant documentation to the consultant. Ensure a record of information requested and exchanged is kept. Review and approve measures to address information gaps. These measures must be consistent with the displacement framework (Task 3). For legal requirements, obtain legal input.	Compile an information request. Draft desktop-based chapters of the DMP, including legal framework, principles and process, and prevailing socio-economic conditions. Review the gap analysis that was conducted during development of the displacement framework (Task 3) to address gaps between national legislative and international good practice requirements. If necessary, adjust the gap analysis to address any project-specific factors or considerations. Communicate the strategies and associated cost and schedule implications.	Identify potential vulnerabilities and gender considerations that should be expected in the context of the Project and develop criteria/framework to identify/verify vulnerable groups. Reference can be made to good practice standards which provides some generic criteria to assess vulnerability.
Establish Planning principles and process	Review and approve proposed principles and approach, aligned with the displacement framework (Task 3). In collaboration with the consultant, establish the RWG as per the RSEP (Task 6).	Develop planning principles (aligned with the site’s displacement framework) and a detailed description of planning and implementation processes Demonstrate that the processes are fit for purpose for timely land access. In collaboration with the resettlement project team, establish the RWG, aligned with the RSEP.	The resettlement project team and consultant must commit to provide specific support and/or undertake additional planning to ensure gender equity. Tareted suppot may include the provision of individual legal assistance, counselling, and psychological support to enable vulnerable groups to participate fully in consultations, surveys and negotiations.
Stakeholder engagement	Participate in all RWG meetings. Review and approve the updated RSEP. Ensure it is aligned with Section 3A. Provide input into and approve messaging to and narrative for stakeholders. Provide information on project related matters that may influence the planning process, including changes in project strategy, design or schedule. Ensure that stakeholder engagement records are managed as per the PMF (specifically, record keeping and document management process).	Engage the RWG on matters relating to displacement management. Update the resettlement project’s RSEP. Develop standard messaging and story board for engagement purposes. Develop and agree an entitlement framework and relevant aspects of planning in consultation with the RWG, including livelihood restoration options, replacement land and housing, implementation process, M&E planning, and completion criteria. Ensure the engagement process is inclusive and makes provision for engagement with gender, minority and vulnerable groups. Facilitate and document engagement process.	Stakeholder engagement is the most important mechanism to effectively manage vulnerability and gender-related aspects. It is important to create an inclusive environment in which views, issues, and suggestions can be expressed by all members of the affected community, including women, elderly, youth, and other potentially vulnerable, disadvantaged or marginalised groups. Where inclusivity cannot be ensured, the resettlement project team should provide additional mechanisms or opportunities for engagement. In some countries certain vulnerable groups or individuals are considered illegitimate (for example, the LGBT community, informal occupants, illegal land users, informal tenant), or there may be inadequate or non-existent national laws and regulations for their protection (for example, internally displaced communities and refugees). Consequently, these parties are often excluded from engagement processes. It is important that the resettlement project team ensure engagement forums/committees are inclusive of vulnerable or marginalised groups; where necessary, sub-committees or other alternative engagement methods should be established to reach these groups.
Planning of data collection and survey activities	Participate in engagement, sensitising relevant stakeholders (including leadership structures) on the survey process; request approval to commence surveys and schedule accordingly. Participate in data collection training activities (for example, training of survey staff) to gain familiarity with the process to ensure that due process is followed Participate, review and approve survey planning, approach to cut-off date and data collection tools. Highlight sensitivities in communities that should be considered in the data collection approach. Review the proposed data management process to ensure that the resettlement project team can access datasets to monitor progress and conduct quality control.	Sensitise relevant stakeholders (including leadership structures) regarding the survey process and incorporate recommendations. Prepare survey strategy and data collection tools with input from the resettlement project team, including survey forms and frequently-asked-questions messaging. Propose and agree with the resettlement project team a strategy to announce and enforce a cut-off date, including how land will be monitored for encroachment or speculation. Identify and train survey staff, prepare survey schedule and arrange logistics for survey teams. Demonstrate the data management process to be used for data processing, quality control and storage, and obtain input from the resettlement project team.	Data collection tools should incorporate appropriate mechanisms to capture a valid and reliable indication of vulnerability – for instance quantitative surveys should capture the views of women even where they are not household heads, similarly the views of the elderly, informal tentants and/or employees should also be captured. The resettlement project team must ensure that any groups that might be disadvantaged in terms of asserting their interests or rights to use land and assets are also recorded during the survey. Survey teams need to include appropriate resources to allow effective engagement with specific vulnerable and/or marginalised groups.
Community sensitisation: survey process and cut-off date	Accompany community sensitisation and introduce data collection team and activities to displaced communities. Where necessary, request support from other stakeholders (for example, leadership structures) and arrange access to communities. Participate in the announcement of cut-off date/moratorium. Ensure that the process is well documented.	Facilitate sensitisation meetings and communicate survey process and schedule to displaced communities. Announce and record instatement of cut-off date. Ensure that displaced communities and authorities understand and agree with land use implications and how future land use will be monitored for encroachment or speculation.
Execution of survey and data collection activities	Oversee execution of surveys. Ensure that survey data is incorporated into the agreed data management system and that the record keeping and document management process is adhered to. Request regular summaries on progress (as appropriate to the scale of displacement), including predefined outputs from the database as required. Depending on the nature of survey activities, a representative of the resettlement project team may be required to witness and sign-off completed survey forms, especially census and asset survey forms.	Complete baseline data gathering (census and socio-economic survey, asset inventory). Obtain initial information (through surveys and/or qualitative techniques) on household preferences in terms of resettlement site and livelihood restoration strategy). Ensure that the data collection activities are aligned with IFC PS 5 requirements in terms of survey content and process. Ensure that data collection is adequate to identify all eligible groups and entitlements.
Baseline development	Review and approve socio-economic baseline report. Confirm alignment with IFC PS 5 requirements. Conduct review of the survey database developed from the census, socio-economic and asset surveys. Confirm completeness, functionality and inter-survey consistency of the dataset. Ensure that the final survey dataset is imported or integrated into project data management system and that originals of all supporting data, such as spatial data, photographic records, signed asset inventories or census forms and grievances, are stored in an accessible location for future verification or auditing.	Prepare a baseline report based on census and socio-economic information gathered during surveys. The baseline should include a comprehensive asset inventory to determine all eligibility and entitlement categories recognised in IFC PS 5. Develop and finalise functional survey database and ensure this is consistent with baseline reporting. Establish criteria to identify vulnerable households and individuals. The baseline report should identify key performance indicators (KPIs) for M&E purposes.	Develop a register of groups, households and/or individuals that are potentially vulnerable. It should be noted that identification of vulnerable individuals and households in a resettlement context is an iterative process and will require on-going verification, which can be done through participatory identification and screening processes involving the resettlement committee or a specific vulnerability committee
Impact assessment	Review impacts that will be recognised for eligibility in terms of The Social Way 3.0. Review mitigation and compensation approaches and, where possible, highlight planned or existing site or BU initiatives that can be leveraged to address impacts. Consider any additional measures to minimise displacement. Provide feedback to the SteerCom for approval.	Conduct impact assessment which quantifies and describes all direct and indirect impacts resulting from displacement, including differential gender impacts, impacts on vulnerable or minority groups and impacts on host community. Demonstrate the effect of measures to minimise displacement in terms of reducing impact estimates.	Analyse and describe disproportionate or nuanced impacts on respective vulnerable groups and identify appropriate mitigation strategies.
Establish eligibility and entitlements	Review entitlements, valuation methods and compensation options, especially in-kind compensation and livelihood restoration strategies, and present to the SteerCom for approval. Ensure optimal alignment between entitlement framework and existing project initiatives or strategies (Section 4A). Participate in disclosure and negotiation of entitlement principles and framework to the displaced communities. Review and approve draft resettlement agreements. Ensure agreements are consistent with the timing, delivery process and entitlements in the final planning document.	Draft and submit an entitlement framework which is consistent with the entitlement matrix in the displacement framework (see 4F.2 Guidance, Task 3). Demonstrate due consideration of displaced communities’ inputs and preferences in entitlement framework. Present and agree the entitlement framework with all affected parties. Develop draft resettlement agreements based on agreed entitlements. Agreements should be fully consistent with the timing, delivery process and all entitlements in the final planning document.	Generally vulnerable groups and females will be offered the same entitlements offered to other parties. However, this can only be done on condition that vulnerable groups and women are able to take equal advantage of such entitlements. Alternatively, special entitlements for these groups may need to be developed. In addition provide transitional support tailored to each vulnerable group. It should be noted that where vulnerable groups live in poverty or in poor conditions prior to displacement it is not sufficient for entitlement to livelihood activities to be aimed at restoration only, in such situations, livelihood activities must clearly target improvement.
Identify replacement land and housing	Consult cross-functionally to identify opportunities for replacement land. Review and make available project land registers to identify land already acquired/earmarked by the site. Where relevant gather support from authorities to assist in identification of replacement land. If housing designs cannot be finalised during planning, ensure that the RAP details the design completion and handover process, resale restrictions and maintenance arrangements.	Estimate replacement land requirements (based on survey findings, impact assessment and entitlements). Facilitate identification of available replacement land for in-kind compensation in consultation with the resettlement project team, local authorities and the RWG. This should include feasibility studies for each replacement land option, including possible land encumbrances that will prevent timely land access or use for residential and/or livelihood purposes. In the case of a RAP (in which physical displacement is involved), develop and agree on detailed replacement housing designs and clearly illustrate how preferences and socio-economic conditions of affected people have been considered and/or incorporated.	Consider establishing land and/housing titles in the name of both spouses wherever legally possible. Housing design and location should demonstrate consideration of vulnerable groups for instance accessibility for disabled persons, proximity to medical services for the sick, maintenance assistance for vulnerable households, etc.
Monitoring and evaluation	Review M&E framework to ensure it aligns with The Social Way 3.0 and IFC PS 5, and can be readily converted into a comprehensive stand-alone M&E plan during Task 8.	Develop M&E framework in consultation with the RWG and aligned with the requirements of The Social Way 3.0 and IFC PS 5. Monitoring indicators with associated baseline information, methods and completion criteria must be clearly communicated to, understood by and agreed with the RWG.	Households can become more or less vulnerable due to displacement processes and external factors not related to the project, such as deaths in the family, ill health, loss of employment, crop failures and so forth. It is therefore necessary to ensure that the M&E system includes mechanisms that will allow identification of increased vulnerability or new cases of hardship or changed household circumstances that may indicate a need for additional and/or on-going support
Implementation planning	Review the feasibility of the organisational structure required for implementation (Task 9) and reassess the adequacy of the resettlement project team. In collaboration with the consultant, compile an implementation schedule that is aligned with the project’s land access schedule. Provide input and review the budget, and ensure financial provision is made.	Draft and submit a preliminary implementation plan (see Task 8 for guidance). The implementation plan should make provision for all applicable feasibility, permitting, internal procurement, financing and budget approval processes that apply to various aspects of plan implementation.	Provide additional assistance to vulnerable people in the process of salvaging materials from displaced structures, reregistering their new address with authorities, and obtaining new identity documents, establishing services with utility companies. Liaise with social welfare agencies to register vulnerable individuals into existing support programmes. Where necessary provide specific transitional in-kind assistance through food aid, health support, health insurance as appropriate.
Plan finalisation and public disclosure	Facilitate internal review and approval of DMP. Ensure the DMP is updated based on review comments or conditions. Confirm with relevant internal stakeholders when disclosure of the DMP can commence. Participate and attend the DMP disclosure process.	Develop draft DMP based on the content guideline presented in Table 4F. 3 (see 4F.4 Tools and guidance notes) Develop and agree strategy for public disclosure of final DMP (subsequent to DMP approval). Facilitate and document disclosure of the DMP.

4F. Tool 6 – Terms of reference for a RAP/LRP

This tool provides guidance for development of a Terms of reference (ToR) for a Displacement Management Plan (DMP). Content provided in Table 4F. 6 is not exhaustive and resettlement project teams should seek guidance from the relevant procurement team. The generic ToR should be refined to ensure it is consistent with the site’s displacement framework and commensurate to the scale, complexity and nature of the resettlement project.

Table 4F. 9 Sample terms of reference for a RAP/LRP

Section	Guideline / draft text
Introduction and context	Present relevant operational details, project components/activities triggering resettlement, and an overview of anticipated displacement to establish the motivation for the DMP.
Objectives and outcomes	Establish the intention of the DMP and the company’s expectations regarding the outcome of the activities in the ToR. Objectives and outcomes should be aligned with The Social Way toolkit and the site’s displacement framework (see 4F.2 Guidance, Task 3). Complete the displacement management planning process within the parameters established in the site’s displacement framework and/or in alignment The Social Way requirements to ensure unencumbered land access. Co-design a fair, transparent and negotiated management plan in full partnership with affected parties and other relevant stakeholders. The management plan should set out the process and procedures to be followed during implementation and post-implementation of displacement management measures. Quantify displacement impacts on affected groups, including host communities, vulnerable groups, and indigenous and/or marginalised groups. Anticipate and avoid, or where avoidance is not possible minimize, adverse social and economic impacts from land access or restrictions on land use by (i) providing compensation for loss of assets at replacement cost and (ii) ensuring that resettlement activities are implemented with appropriate disclosure of information, consultation, and the informed participation of those affected. Improve, or restore, the livelihoods and standards of living of displaced parties.
Scope of work	Describe the scope of work and activities to be undertaken when developing the DMP. The scope of each DMP will depend on the displacement context, thus the relevance and scope of each task should be reviewed to ensure consistency with the site’s displacement framework, the planning objectives set out in the ToR and the nature, scale and complexity of displacement. See Table 4F. 5 (4F.4, Tools and guidance notes, Tool 2)
Approach and methodology	Request consultants to describe their proposed approach and methodology for meeting the objectives and fulfilling the scope of work. The approach and methodology should be aligned with The Social Way and prevailing international good practice standards. Consultants should describe and indicate the sequence of activities. Mandatory activities should include the following: Kick-off meeting Progress meetings Compilation of information request Risk assessment and project execution planning
Available data	Outline available data that will be shared with the successful bidder upon tender award and signature of a non-disclosure agreement. Typically, the following data should be made available: Land access and displacement strategy; Displacement framework; Phase 1: Scoping and framing study report; Detailed description of the activity/activities resulting in displacement; Environmental and social screening, scoping and/or impact assessments; Aerial/satellite imagery of the displacement context; Spatial data showing the requisite land access and the site’s footprint/infrastructure; Previous and/or on-going displacement management plans and compliance reviews/close-out audits; and Relevant AASW policies and standards.
Schedule and deliverables	List the required deliverables and associated timeframe. Deliverables should align with key activities listed in the scope of work

4F. Tool 7 - Land Access Procedure (LAP)

The Social Way requires that operations should address impacts associated with securing land access throughout the life of asset, including disturbance or temporary displacement impacts resulting from short-term or intermittent land access often required during the discovery phase for exploration drilling, temporary access roads, lay-down areas, construction camps, etc.

Generally, these impacts manifest before the inception of comprehensive management strategies, such as the Displacement Framework (Task 3) or DMP (Task 7), as this documentation is generally only drafted after pre-feasibility in response to long-term and significant project-induced displacement impacts, as opposed to short-term displacement or disturbance impacts. To deal with displacement impacts resulting from short-term or intermittent land access, a project team must develop and implement a LAP.

Objective and application

The main objective of the LAP is to facilitate timely land access while ensuring that any displacement impacts associated with short-term and/or intermittent land access needs are managed in a manner that is consistent with The Social Way requirements. The LAP should be applied when short-term or intermittent land access could result in:

Temporary restriction of landowners’ and/or users’ access to agricultural (crop) land, grazing land, fallow land, or land used for livelihood activities;
Damage to or loss of cultivated land and any standing seasonal crops or economic trees
Damage to or loss of structures owned/used for residential, business or recreational purposes;
Temporary disturbance in livelihood activities, including restriction in access to place of employment; and
Temporary physical displacement as result of short-term risks to health and safety or damage to place of residence.

Process, roles and responsibilities

The table below gives an example of a process for identifying, assessing, recording and compensating for the impacts associated with temporary or intermittent land access.

Table 4F. 10 Example of a Land Access Procedure (LAP)

Step	Description	Roles and responsibilities
Introductory sensitisation meetings with stakeholders responsible for administration of targeted land	Follow protocols stipulated in The Social Way for Discovery. Inform stakeholders of planned activities and process to be followed. Confirm legal right for temporary land access (based on exploration/prospecting/mining right or lease agreements). Agree on procedure for communication during upcoming activities. Designate site contact person and share contact details.	Engagement led by site SP team. External stakeholders to be engaged will vary depending on the nature of the land ownership and would include local government/municipality for titled land and tribal authorities for customary land.
Identification of temporary land access needs	Confirm required land areas and duration for which land access is required. Conduct non-intrusive reconnaissance of land to identify: Owners/users of required land; Sensitive areas (houses, key access routes, areas subjected to illegal land uses, valuable crops and trees, community facilities, graves, existing public infrastructure reserves/wayleaves, cultural heritage assets, etc.); and Identify options for avoiding or minimising impacts on sensitive areas. Record reconnaissance finding in site assessment form.	Discovery/Projects team
Collation of compensation rates for short-term land rental, disturbance and damages	Develop proposed land rental rates for the area (per hectare/square metre per day/week/month, depending on context. Collate rates proposed for damages (loss of or impacts on structures, crops, trees and other fixed assets). Rates must be based on current market rates and (where necessary) adjusted to provide full replacement value.	Independent registered valuer appointed by project team
Engagement with affected landowners/users	Explain land access needs and process to landowners/users who will be affected. Explain how payments (temporary land rental and compensation for damages to trees, crops and other assets) will be calculated.	Site SP team. Local authority representative (tribal authority or local government/municipality) to be present
Pre-access assessment	Assign unique reference number to each affected landowner/user. Complete pre-access assessment form containing: details of landowner/user (including unique reference number); details of affected land (coordinates/location, size, use); assets that will be affected; sensitive features that should be avoided; compensation rates to be applied (based on Step 3); compensation value; and restoration requirements (e.g. repair of fences after land access). Take photographs of: site to be accessed (showing pre-disturbance state of land and assets); and landowner/user holding a card displaying his/her unique reference number). Append photographs to form.	Assessment undertaken by independent registered valuer appointed by site, attended by landowner/user and witnessed by local authority representative and project team representative. All parties to sign the pre-access assessment form. Landowner/user and local authority representative to receive copies of the completed form, operation team retains the original (with photographs appended).
Payment of land rental	Prepare land rental payment for each affected landowner/user based on information in pre-access assessment form. Approve payments internally. Make payments within an agreed period. If possible, make payments into bank accounts. Where cash payments are unavoidable, put in place appropriate security arrangements.	Payments signed by the project team representative and landowner/user and witnessed by local authority representative. Project team representative to record payments in centralised electronic database.
Prior notice of land access	Give at least two weeks’ prior notice to landowners/users before accessing land. If there is a delay of over four weeks between pre-access assessment and land access, update pre-access assessment form to record any changes that may have occurred on the land.	Independent registered valuer, if possible. Otherwise operations SP team
Post-access assessment and valuation of damages	Complete post-access assessment form after activities for which land access was required are complete, and restoration activities have been undertaken. Record: Land, crops and assets that were affected; Restoration activities (e.g. fence repairs) undertaken or still outstanding.	Form completed by independent registered valuer and witnessed by local authority representative, landowner/user and site SP representative. Landowner/user and local authority representative to receive copies of the completed form, project team retains the original.
Calculation of the damages due	Calculate the damages amount due for impacts on crops, trees and assets, based on types of damage and previously determined compensation rates.	Independent registered valuer. Site SP representative to capture damages amounts in centralised database.
Approval of temporary access damages schedule	Review and approve schedule of damages payments. Record approval in centralised database.	Project team
Payment for damages	Notify landowners/users and make payments. Should be as soon as possible after land is accessed (e.g. within two weeks after post-access assessment)	Site SP representative
Final Verification	Fill in completion form, indicating that: Land rental payments have been made; Damages have been paid for impacts on crops/trees/assets; and Restoration actions have been undertaken.	Form completed by site SP representative, signed landowner/user and witnessed by local authority representative. Details recorded in centralised database.

4F. Tool 8 – Displacement management plan implementation activities

Table 4F. 11 Plan implementation: Internal and external considerations

Implementation phase	Resettlement project team	Resettlement consultants
Finalisation of tender documentation and contracting appropriate service providers	Initiate appointment process with Supply Chain.	Determine if level of planning undertaken to date and/or ToR provides enough detail to transition into full implementation or whether additional planning is required. Ensure appropriate technical feasibility studies have been completed for livelihood restoration programmes.
Initiation of implementation process	If there is a delay of 12 months or more from the conclusion of Task 7 to the commencement of Task 9, the implications for DMP validity (e.g. agreements and compensation amounts, cut-off date, feasibility of livelihood restoration programmes) should be assessed and addressed through appropriate amendments. Ensure that the implications of delays on process and timing are communicated to the RWG. Review the execution plan and ensure it includes procurement, capacity building and local content/employment commitments, especially if the scope involves extensive livelihood restoration programmes or large construction components (e.g. construction of resettlement village infrastructure, replacement housing, and supporting infrastructure of livelihood restoration). Ensure the execution plan makes adequate provision for contractor social management.	Review and finalise the implementation plan developed under Task 8. Develop an execution plan consistent with the implementation plan.
Confirmation of asset inventory valuation and quantification of livelihood impact. Finalisation of compensation packages, including livelihood restoration benefits	Depending on the legal context or if there have been delays of more than 12 months since the finalisation of Task 7, verification of assets, review of livelihood impact, and confirmation of compensation amounts as well as livelihood benefits may be required. Complete internal review and approval of compensation options and amounts as well as selected livelihood options Ensure that funds and resources are readily accessible to execute delivery of compensation (including provision of any transitional support or funds required as part of initiation of selected livelihood restoration option)..
Entitlement briefings and sign-off of agreements	Attend and observe entitlement briefings and if necessary, provide information on the process and anticipated timing of subsequent in-kind and monetary compensation as well as delivery of livelihood restoration programmes Review and approve final entitlement agreements. Witness signing of agreements and ensure copies are stored in appropriate digital and hard-copy formats and are readily accessible.	Prepare final agreements; ensure that agreements include all commitments agreed to during planning phase, including livelihood restoration, transitional support, maintenance arrangements and/or completion criteria, especially for completion of livelihood restoration. Ensure that resettlement agreements specify that displaced persons relinquish all rights to their former houses and/or land after relocation. Prepare and facilitate briefings for displaced communities with support from the resettlement project team and RWG, disclose livelihood restoration benefits, compensation options (monetary or in-kind), and facilitate signing of agreements. Ensure that agreements are signed by the primary beneficiary and spouse (or second relative) and witnessed by a representative from the resettlement project team and a legitimate local authority. Copies of signed agreements must be provided to the displaced households. If any other household member/s has been identified as a beneficiary of livelihood restoration, ensure agreement is tailored accordingly.
Preparation and delivery of monetary compensation (including payment allowances provided as part of transitional support or livelihood restoration efforts)	Review compensation payment schedule and provide support as appropriate. Authorise and regulate required funds as per compensation schedule. Ensure payments are defined, tracked, audited and documented. Ensure copies of proof of payments are provided to beneficiaries and stored in digital and hard copy formats together with corresponding agreement and engagement information.	Develop a detailed schedule for compensation payments based on logistical capacity (facilities, transport, mode of payment), security considerations and availability of beneficiaries. Ensure that scheduling does not prevent compensation to displaced households as a result of other displaced households holding out due to compensation grievances or external matters. Liaise with project team regarding compensation schedule to ensure availability of funds and resources to support payment process. Facilitate and manage compensation payment process. Ensure that the RWG and other authorities can observe the delivery process.
Preparation of replacement land required for replacement housing and/or livelihood restoration, construction of replacement housing and construction of infrastructure required for livelihood restoration	Appoint contractors to: construct replacement housing, demolish currently occupied houses after relocation, and/or construct infrastructure for delivery of livelihood restoration programmes, Commission permitting process, cadastral survey and land titling process for replacement land required for livelihood restoration, in-kind compensation and/or replacement housing. Fully brief construction/implementation teams on the details and implications of what was agreed in terms of housing and livelihood restoration. Monitor the process, preferably using personnel and community representatives involved during negotiation and agreement to ensure consistency with initial planning.	Administer and monitor interface between displaced communities and contractors constructing replacement housing and/or livelihood restoration infrastructure. Particular attention should be paid to interaction with vulnerable groups. Facilitate land survey, permitting procedures and land titling process for all replacement land. Manage preparation of replacement land according to commitments outlined in the operationalised plan (Task 8), e.g. soil preparation for crop cultivation if replacement land will be used for agriculturally based livelihood restoration. Provide opportunities to local authorities, displaced communities, host community and community representatives to observe the process, through regular visits to resettlement sites.
Implementation of livelihood restoration	Oversee and support implementation of livelihood restoration activities. Oversee and monitor implementation progress, outcomes and impacts.	Once preparatory activities for livelihood restoration planning have been concluded, undertake livelihood restoration initiatives as per agreed planning in collaboration with displaced households, selected livelihood restoration beneficiaries and appropriate service providers (as relevant).
Undertake physical relocation of residential and livelihood activities, including sign-off	Observe and support relocation process as appropriate. This includes both relocation of livelihood activities as well as residential relocation. Undertake progress monitoring. Accompany displaced households during final inspection of replacement land/housing and/or livelihood restoration operations to reaffirm any aspects that prevent sign-off on delivery of land, livelihood restoration and replacement housing. Ensure relevant authorities witness the handover process and conditions.	Relocate displaced households in a timely manner with minimal disruption to family, livelihood and education. Provide adequate notification to households regarding movement dates/process and assistance that will be provided. Execute relocation of affected households with facilitation and support from resettlement team and relevant authorities. Provide transitional support to households to assist with relocation and re-establishment at new residence or land. Allow all beneficiaries to conduct a final inspection of their replacement housing, land and/or assets and the opportunity to specify any legitimate aspects that prevent them from signing of delivery of compensation (including livelihood restoration).
Securing and maintaining land access	Once land access is attained, develop and implement measures to maintain and manage access as required.	In cases of physical displacement/relocation, demolish former houses once these have been vacated. Develop strategy to secure and maintain land access. Draft legal process to deal with illegal land uses, especially illegal settlement. Communicate implications of illegal land use and process that would be followed to manage illegal land users.

4F. Tool 9 – Monitoring and evaluation

Table 4F. 12 Example M&E KPIs

Aspect	Indicator	Source of data required for measurement
Activity/outcome indicators
Cost of resettlement activities	Distribution of spending on items such as consultation and engagement, planning and surveys, monetary compensation, resettlement site development and construction of replacement housing, livelihood restoration, support to vulnerable groups, grievance management, general implementation services and overheads	Financial records
Entitlement delivery, in terms of number of:	Full-time and part-time staff and consultants dedicated to resettlement and compensation	Human Resources
	Vehicles, computers, GPS units, and other equipment as applicable	Count
	Affected households and/or people by categories (if there are changes from the initial RAP/LRP)	Census and grievance management records
	Individual compensation agreements signed in the period	Data management system
	Dwellings: construction commenced in the period	Construction
	Dwellings: completed and delivered in the period	Construction
	Dwellings: allocated to households in the period	Data management system
	Households moved into their new dwelling in the period	Data management system
	Households and/or people who have received monetary compensation in the period	Data management system
	Resettled houses connected to utilities (power, water, sanitation)	Construction team
	Community facilities built	Construction team
	Households and/or people that received livelihood restoration–related training in the period	Data management system
Impact indicators
Grievances	Average time for grievance processing	Grievance log
	Number of open grievances at the end of each quarter and trends over time	Grievance log
	Number of grievances opened in the period and trends over time	Grievance log
	Categories of grievances and trends over time	Grievance log
	Gender and potential vulnerabilities of aggrieved individuals	Grievance log
	Location(s) of persons logging largest numbers of grievances	Grievance log
Compensation	Average time for payment of compensation (time between signing of compensation agreements and payment of compensation)	Compensation records
	Has compensation been paid at full replacement cost? Is compensation updated to take account of value increases in real estate or crops?	Compensation records, with possible market research to establish current asset values
	Use of compensation	Annual surveys of and/or focus groups with compensated persons (results disaggregated by gender).
Resettlement/ Relocation	Satisfaction with allocated dwellings (house layout, materials, finishes, heat regulation, ventilation, sanitary facilities, sanitation, erosion on resettlement plot, etc.)	Snag list, satisfaction survey
	Satisfaction with community facilities (drinking water, power, community centre, school, health clinic, recreational facilities, access roads, etc.) – in terms of accessibility and affordability	Satisfaction survey
	Technical and construction quality issues (roof leaks; cracked walls; water, sewage, and power supply problems; access roads; drainage systems, etc.)	Technical inspection roughly one year after physical relocation.
	Sanitation and waste management	Visual observations of cleanliness of public spaces and disposal of wastes.
	Allocation of dwellings and post-resettlement movements and transactions (e.g. whether replacement houses are being rented out instead of occupied by relocated households)	Annual surveys and/or focus groups
Livelihood restoration	Land replacement (has replacement land been allocated and prepared as per commitments in resettlement agreements?)	Implementation records.
	Training provided on agricultural improvements	Training records (disaggregated by gender)
	Uptake of agricultural improvement initiatives	Implementation records (numbers of vegetable gardens established, agricultural materials distributed, etc.)
	Business re-establishment	Sample survey of relocated businesses
	Employment of business employees in the relocated businesses	Sample survey of relocated businesses
	Jobs and employability (whether relocated wage earners are still employed in their former jobs)	Survey of a sample of wage earners and comparison with baseline.
	Income pre- and post-resettlement	Survey of a stratified sample of resettled households
	Hardship jeopardising efforts to restore livelihoods	Focus groups and individual interviews

4F. Guidance note 1 – Management of displacement impacts as part of a government-led resettlement process

In cases where the process for land access and displacement management is determined by the host Government and this process does not align with the IFC PS 5 requirements, a Supplemental Resettlement Plan is required. This plan can either be implemented in parallel with the government-led process or thereafter.

Government-led land access processes usually deviate from what is required in terms of IFC PS 5. It is challenging to address these inconsistencies entirely through supplementary planning. Consequently, the resettlement project team must engage authorities as early in the process as possible to determine which gaps can potentially be addressed through refinement of the planned government process or concurrent displacement management by the resettlement project team, and to agree on what supplementary actions will be required. The BU government relations team should advise on this engagement and the outcome should ideally be formalised in a legal agreement with the host government.

In cases where land access is government-led, this must be identified in SHIRA (Task 2), and the land access and displacement strategy (Task 1) and the displacement framework (Task 3) must be developed accordingly. It is critical to proactively determine the deviations of the government process from IFC PS 5 requirements, especially in terms of consultation, entitlements, opportunity to reach negotiated settlement, eligibility, economic displacement, vulnerability, planning documentation and M&E.

4F. Guidance note 2 – Process for legal eviction

The process for legal eviction must be developed in consultation with relevant authorities as it is often a government-led process. Depending on the context, the resettlement project team may choose to disclose the process as part of planning documentation to ensure prior and informed awareness of due process.

The legal eviction process varies across jurisdictions. As a minimum, however, it must establish negotiation efforts (in addition to management planning engagement efforts) and assistance to be provided to households prior to considering and/or initiation of the legal eviction process. Accordingly, the process must distinguish between preparatory engagement, planning and implementation protocols, and post-eviction support.

The following preparatory steps must be completed prior to initiating lawful eviction:

Undertake engagement to achieve in-depth understanding of issues preventing negotiated settlement. This engagement must build on engagements already undertaken during displacement management planning. Although preparatory engagement will likely be the affected households’ last opportunity to avoid eviction, the resettlement project team must ensure that this is not used to coerce the households into a settlement.
Demonstrate that reasonable settlement compromises have been made where possible or alternatively why compromises were not possible. The outcome of the negotiation process must be clearly communicated to affected households and other relevant stakeholders.
Considering that adequate engagement opportunities have been provided to affected households during displacement management planning and that additional negotiation could have significant timing and land access implications, the resettlement project team must ensure that the process is guided by a detailed engagement timeframe providing opportunity for three to five meetings and enough time for the individuals to access and benefit from legal and/or mediation assistance.
Initial engagements must aim to develop a clear understanding of the scenario and to inform affected parties of their options to consult reputable and independent arbitration and/or mediation services. This is important to ensure that affected parties can effectively participate in the negotiation process and that they are fully aware of alternative mediation and legal options and implications.
The preparatory engagement phase must conclude with successful negotiation or rejection of the proposed settlement. Irrespective of the outcome, the resettlement project team must ensure that engagement efforts and the final decision of affected parties are formally recorded and disclosed to the relevant regulatory authorities.
If affected households reject the settlement agreement, legal eviction can be considered. The resettlement project team must engage internal stakeholders to demonstrate that all alternative options have been exhausted and confirm support for the decision to proceed with legal eviction. The decision must be documented together with detailed records of the engagement process to date, as well as evidence that alternative options have been exhausted.

Once a decision has been taken to initiate legal eviction, the following process must be followed as appropriate:

The resettlement project team, with adequate legal expertise, must ensure that the eviction process complies with national legislative requirements. Relevant authorities must be engaged to confirm the process.
The process must consider potential impacts on human rights and vulnerable groups, including adherence to international norms and Anglo American’s own human rights commitments, and include measures to prevent, minimise and mitigate such impacts.
In consultation with authorities, agree on the date of eviction and any security measures that may be required. Consideration must be given to refining the process to mitigate identified risks and impacts and the provision of supplementary support by the company to minimise and mitigate potential impacts.
Provide support to authorities to ensure timely and repeated notification to affected households about the date and process of the eviction. Notification must be provided well in advance and in a manner that ensures households fully understand the process, and are aware of post-eviction accommodation and assistance that will be provided.
In most instances, the eviction process must be implemented by government authorities with support of public security forces. It will be important to brief and, if required, train security personnel on human rights requirements (see Section 4E).
Relevant authorities, and ideally also representatives from civil society, must be invited to observe the process to maximise transparency and ensure that no disproportionate force is used.

Once an eviction has taken place, post-eviction support must be provided. Evicted households remain entitled to their eligibility, compensation, inclusion in livelihood restoration programmes and M&E. The resettlement project team must thus ensure that all appropriate entitlements are offered to evicted households, especially in terms of transitional support, accommodation, and assistance to vulnerable households.

4F Land Access, displacement and resettlement

4F Land Access, displacement and resettlement