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p. 22 of 79 BACK | NEXT Foreword Abbreviations Glossary 1. Introduction 2. The Resettlement Plan in the Project Cycle 3. Resettlement: Key Planning Concepts 3.1 Avoiding or Minimizing Resettlement 3.2 Policy Framework 3.3 Developing a Resettlement Policy 3.4 Defining Entitlement and Eligibility 3.5 Resettlement Planning for Vulnerable Groups 3.6 The Entitlement Matrix 3.7 Resettlement Budget and Financing 3.8 Land Acquisition and Resettlement Time Line 3.9 Checklist: Key Planning Concepts 4. Consultation and Participation 5. Socioeconomic Information 6. Relocation 7. Income Restoration 8. Institutional Framework 9. Monitoring and Evaluation Selected Reading List Appendix 1: The Bank's Policy on Involuntary Resettlement Appendix 2: Sample Terms of Reference for Full Resettlement Plan Appendix 3: Resettlement Policies in Selected DMCs Appendix 4: Resettlement Monitoring: Sample Formats for Monthly Progress Reports

Handbook on Resettlement: A Guide to Good Practice : 3. Resettlement: Key Planning Concepts

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3.4. Defining Entitlement and Eligibility

Some key concepts must be defined early in the planning process to establish criteria of eligibility and entitlement for APs. This will reduce confusion in data collection and facilitate delivery of support and services to the entitled persons.

Affected Persons
APs are defined as those who stand to lose, as a consequence of the project, all or part of their physical and non-physical assets, including homes, communities, productive lands, resources such as forests, range lands, fishing areas, or important cultural sites, commercial properties, tenancy, income-earning opportunities, and social and cultural networks and activities. Such impacts may be permanent or temporary. This most often occurs through land expropriation, using eminent domain or other regulatory measures. They have no option but to reestablish elsewhere. People can also be affected through exposure to health and safety hazards which then force them to relocate.

Unit of Entitlement
The unit of entitlement may be an individual, a household, a family or a community. Bank policy recognizes the concept of household as a unit for data collection and impact assessment. As a rule, the unit of loss should determine the unit of entitlement. However, if more than one person has customary rights to a resource (for example, common property), the compensation may be shared by all. Households headed by women are to be recognized and compensated equally with households headed by men. Widowed women or divorcees living within male-headed households and having no legal rights to land may be considered as separate units for relocation purposes. Usually, major children within the household are not eligible for full entitlements, but are compensated for any lost assets and assisted to restore any lost livelihoods.

Loss and Eligible Impact
Defining loss and eligible impact is important because some losses are more visible or tangible than others. For example, loss of agricultural land, structures, or loss of crops do not require any definitions. Other losses, such as access to livelihood sources (for example, tenant or sharecroppers losing 'user rights' to land or wage laborers losing opportunities to work on land), require investigation to establish resettlement effects.

Establishing Eligibility Criteria for Resettlement
The three important elements of involuntary resettlement are : (i) compensation for lost assets, incomes, and livelihoods; (ii) assistance for relocation; and (iii) assistance for rehabilitation to achieve at least the same level of well-being with the project as without it. Bank policy requires analysis of the losses experienced for each case through census and survey. This is often subject to a "cut-off" date used to minimize fraudulent practices. In situations where APs are left with non-viable farm-holdings, project management should always allow income restoration and resettlement eligibility.

Valuation of entitlements and grievance methods
The Bank policy has no reference for valuating entitlements except for the general principle that APs should be at least as well off after the project as before it. In other words, valuation of their property and assets should be at the replacement value. Bank's practices also recognize this principle to ensure protection of interests and the well-being of the APs. In the case of non-inclusion in the APs list or inadequate compensation, an AP must have recourse to established dispute resolution and grievance procedures.

Compensation options
The Bank's policy refers to compensation, relocation of APs, and rehabilitation. There is no discussion of cash as a mode of compensation. However, Bank practices discourage cash compensation for land, except in cases with limited impact only, such as a strip of land required for a right of way that does not threaten livelihoods. Replacement land, "topping up" or additional cash grants to purchase land, job creation and employment, and often a mix of these options have been applied in many projects. APs should be offered multiple options, from which to choose to restore livelihood.

Income restoration programs
Income restoration programs should include both land-based and nonland-based options depending on the pre-project income-generating activities of APs. See Chapter 7 for a greater discussion of income restoration.

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