2009年-世界发展银行全球_India_-_Mumbai_Urban_Transport_Project___Guidance_Note_on_Urban_Resettlement_82页_2mb

Summary of the Guidance Note on Urban Resettlement

Core Content

This guidance note provides a comprehensive framework for the planning, implementation, and monitoring of urban resettlement in the context of large-scale infrastructure projects in South Asian cities, with a particular focus on Mumbai. It aims to address the complexities and challenges of urban displacement, ensuring that resettlement processes are both effective and equitable, and that they support sustainable urban development.

Main Objectives

• To improve the planning and implementation of urban resettlement by integrating social and economic considerations into infrastructure projects.
• To provide a balanced approach that benefits both the transport infrastructure users and the affected communities.
• To facilitate the transition of informal sector workers to the formal sector through livelihood restoration and support.
• To ensure that resettlement is carried out in a manner that minimizes hardship and avoids claims and grievances.

Key Points

1. Background and Scope

• South Asian cities, including Mumbai, have experienced rapid urbanization, with significant population growth in the 20th and 21st centuries.
• Slums are a major feature of urban life in South Asia, with about 45% of Greater Mumbai’s population residing in slums.
• The high population density and informal economic activities in slums make them particularly vulnerable to displacement.
• The World Bank-funded Mumbai Urban Transport Project (MUTP) has had significant displacement impacts, with over 20,000 households affected.
• Resettlement costs account for about 15% of the total infrastructure cost in MUTP, highlighting the need for effective planning.

2. Resettlement Process Overview

• The resettlement process is divided into three main stages: planning, implementation, and monitoring.
• These stages often overlap in time and require integrated approaches to ensure smooth execution.

3. Planning Resettlement

3.1.1 Preliminary Scoping of Resettlement Issues

• Early identification of displacement issues is essential to manage costs and impacts.
• The scoping process involves both desk and field reviews to understand the physical and social footprint of the project.
• It includes:
  • Preliminary impact assessment based on maps and satellite imagery.
  • Identification of alternative routes or sites with lesser impact.
  • Rapid identification of land tenure regimes (formal or informal).
  • Preliminary categorization of affected people and activities.

3.1.2 Design Optimization

• The technical design of the project should be optimized to minimize resettlement and social impacts.
• Key considerations include:
  • Number of affected people.
  • Potential resettlement and expropriation costs.
  • Complexity of social issues and risks.
  • Avoiding social fragmentation and opposition.
• It is sometimes necessary to consider a broader "social footprint" rather than just the physical footprint, especially for linear projects.

3.1.3 Preliminary Entitlement Framework

• A framework is developed to associate compensation with specific impacts and losses.
• Example entitlements include:
  • Replacement apartment in a resettlement colony or cash compensation for slum dwellers.
  • Tailored livelihood restoration packages based on the household’s skills and needs.
  • Moving allowances for tenants and other affected groups.

3.1.4 Early Disclosure and Consultation

• Early disclosure and consultation with affected communities are critical to avoid delays and grievances.
• It helps in identifying vulnerable populations and their specific needs.

3.2 Data Acquisition and Management

• A general strategy for data collection is outlined, including:
  • Baseline information management.
  • Engagement planning with affected communities.
  • Documentation of the resettlement process.

4. Implementing Resettlement

4.1 Entitlement Options

• Current entitlement policies in Maharashtra (Slum Rehabilitation Authority and MUTP) are discussed.
• The note suggests potential improvements, such as:
  • More flexible packages for shopkeepers and businesses.
  • Clear categorization of eligible and non-eligible PAPs (Persons Affected by Project).
  • Proper compensation and entitlements for formal and informal landowners.
  • Awarding TDR (Transferable Development Rights) and FSI (Floor Space Index) to developers of resettlement colonies.

4.2 Grievance Management

• A two-tier grievance management mechanism is proposed:
  • First Tier (Internal): Direct engagement with affected communities and project teams.
  • Second Tier (Independent): Involvement of third-party mediators or institutions to resolve disputes.
• Typical grievances include dissatisfaction with compensation packages, delays in resettlement, and lack of clarity on future impacts.

4.3 Vulnerable People

• Vulnerable populations, such as the poorest and informal sector workers, are identified and given special attention.
• Assistance includes tailored support to ensure their livelihoods are not negatively impacted by resettlement.

4.4 Livelihood Restoration and Rehabilitation

• Livelihood restoration is emphasized as a key component of urban resettlement.
• Activities include:
  • Support for small businesses and informal sector workers.
  • Tailored rehabilitation packages for different categories of affected people.
  • Special attention to medium-sized businesses, which have a more complex structure and impact.

4.5 Post-Resettlement Sustainability

• The focus is on ensuring that resettlement sites are sustainable in the long term.
• This includes:
  • Planning for adequate infrastructure and services.
  • Ensuring that new communities do not face social or economic hardship.
  • Avoiding displacement of livelihoods that are critical for affected communities.

4.6 Monitoring and Evaluation

• A structured approach to monitoring and evaluation is outlined, including:
  • Input and output monitoring.
  • Outcome monitoring and evaluation.
  • Compliance monitoring and completion audit.
  • Financial auditing.
• Indicators for monitoring are provided in the document to track progress and effectiveness.

4.7 Implementation Arrangements

• A clear organizational structure is necessary for effective resettlement implementation.
• Example arrangements include:
  • Coordination between technical and social teams.
  • Involvement of local authorities and civil society organizations.

Conclusion

The guidance note underscores the importance of a holistic and inclusive approach to urban resettlement, especially in rapidly growing cities like Mumbai. It highlights the need for early and continuous engagement with affected communities, tailored compensation and livelihood restoration packages, and a robust monitoring and evaluation framework to ensure that resettlement is both efficient and equitable. The ultimate aim is to support sustainable urban development while minimizing the negative impacts of infrastructure projects on vulnerable populations.