Resettlement policy framework and specific resettlement action plan

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19Monitoring and evaluation
Annex 1: Decree On Optimization of Cropping Areas and Increasing of Food Crop Production

1	2	3	4	5	6
7
Formula						(3)	(5) (1)*	(4) ((1)-(2))*
Total, Ha		69.8	42.24
Cotton	43.0%	30.0	18.2	895.5	215.5	895	26,872.5	2,553.5
Wheat	34.4%	24.0	14.5	1,326.4	172.9	1,326	31,845.5	1,639.1
Corn	0.7%	0.5	0.3	948.7	116.0	949	480.8	23.2
Rice	0.1%	0.1	0.0	7,000.0	1,500.0	7,000	572.2	48.4
Vegetables	1.4%	1.0	0.6	11,721.4	630.0	11,721	11,757.0	84.0
Melon, water-melon	0.5%	0.4	0.2	11,722.7	592.8	11,723	4,216.5	89.5
Bean crops	0.1%	0.1	0.1	1,643.3	516.0	1,643	158.5	22.6
Fodder crops / corn for silo, hay, lucerne	10.7%	7.5	4.5	2,576.6	2,414.7	2,577	19,314.5	1,527.3
Occupied by orchards	8.9%	6.2	3.8

Total amount of compensation for all farms, ‘000 UZS							95,218	5,987.4
Total amount of compensation for all farms, ‘000 USD							68.0	4.3

Note: Compensation shall be done for 1 year; lands permanently acquired will be removed from the agricultural lands cadastre on the second year

Annual crops occupy 63.3 ha out of 69.8 ha. Damages, related to loss of fruit trees on the remaining 6.2 ha, shall be compensated separately.

Table 20. Calculation of compensations for acquisition of 200 ha of lands under annual crops, for the purposes of installation of 100 km long SHD

	Average weighted structure of land use for annual crops (without permanent crops)	Temporary acquisition, ha	Permanent acquisition, ha	Annual income (‘000 UZS per ha)	Net income per 1 ha, 2008, ‘000 UZS	Compensation for 1 year, per 1 ha of crops, ‘000 UZS	Total amount of compensation for 1 year for all farms, ‘000 UZS	Amount of compensation for lost income owing to restriction of land users’ rights within one year after SHD installation, ‘000 UZS	Total
		1	2	3	4	5	6	7	8
Formula						(3)	(5) (1)*	(4) ((1)-(2))*	(6)+(7)
Total, Ha		200	0
Cotton	47.2%	94.4	0.0	895.5	215.5	895	84,554.3	20,348.5	104,902.8
Wheat	37.8%	75.5	0.0	1,326.4	172.9	1,326	100,202.0	13,061.7	113,263.8
Corn	0.8%	1.6	0.0	948.7	116.0	949	1,512.9	185.0	1,697.9
Rice	0.1%	0.3	0.0	7,000.0	1,500.0	7,000	1,800.5	385.8	2,186.4
Vegetables	1.6%	3.2	0.0	11,721.4	630.0	11,721	36,993.5	669.1	37,662.6
Melon, water-melon	0.6%	1.1	0.0	11,722.7	592.8	11,723	13,267.2	713.0	13,980.3
Bean crops	0.2%	0.3	0.0	1,643.3	516.0	1,643	498.8	179.9	678.7
Fodder crops / corn for silo, hay, lucerne	11.8%	23.6	0.0	2,576.6	2,414.7	2,577	60,773.0	12,170.8	72,943.8

Total amount of compensation for all farms, ‘000 UZS							299,602	47,714.0	347,316
Total amount of compensation for all farms, ‘000 USD							214	34	248

The construction of SHDs will require temporary acquisition (for one agricultural season) of 200 ha of land being occupied by annual crops. At this stage of construction works, amount of compensations for lost income will be almost 300 million UZS, or 214 thousand USD. Additional compensation will have to be paid for restriction of land users’ rights within 1 year after the construction, in the amount of 47 million UZS, or 34 thousand USD. Therefore, total compensation for SHD construction will be 347.3 million UZS, or 248 thousand USD (Table 20).

The largest share of compensation will be for damages to gardener farmers. SHD construction will not affect plots of these farmers. However, according to Ferghanagiprovodhoz Institute, there are 3,800 trees growing within the territory to be acquired for ID construction. Mostly these are willows and poplars, which local population grows for construction materials. In rural areas, poplar trees do not have commercial value and are grown for the families’ own needs and use. Legislation does not envisage compensation for cutting these trees because they are often located on reserved sanitary zones and are therefore illegal, and their owners may be brought to administrative sanctions. During consultations and discussions that took place within the framework of survey, however participants found a compromise solution: people residing in the Project area will be informed in a timely manner about the scheduled dates of construction works, so that owners of the poplars could remove them in time and use for own needs. At the same time, local authorities agreed not to impose administrative sanctions.

There are various fruit trees growing on the plots, which will be affected by ID construction works. According to information provided by Ferghanagiprovodhoz Institute, 1,277 fruit trees are located in the acquisition territory, including 1,136 apricot trees and 141 mulberry trees. In Altyarik raion there are both apricot and mulberry trees, in Rishtan raion – only apricots, and in Bagdad raion fruit trees are not within the acquisition area (Table 21). Mulberry trees are planted not for berries, but mainly for growing silkworm cocoons, which does not bring any significant income to farmers, as compared to apricot trees.

Table 21. Calculation of amount of trees on the routes of interceptor drains

Collector name	Trees type	Left side of ID		Right side of ID		Total number of trees	Of them orchards
Collector name	Trees type	Trees diameter	Number of trees	Trees diameter	Number of trees	Total number of trees	Of them orchards
Baghdad raion
B-1	No		0		0	0	0
B-2	Poplar/willow	0.2-0.3	242	0.2-0.3	47	289	0
B-3	Poplar/willow	0.2-0.3	177	0.2-0.3	108	285	0
B-4	Poplar/willow	0.2-0.3	327	0.2-0.3	77	404	0
B-5	Poplar/willow	0.2-0.3	31	0.2-0.3	24	55	0
B-6	Poplar/willow	0.2-0.3	23	0.2-0.3	29	52	0
B-7	Poplar/willow	0.2-0.3	161	0.2-0.3	88	249	0
B-8	Poplar/willow	0.2-0.3	29	0.2-0.3	38	67	0
B-9	Poplar/willow	0.2-0.3	57	0.2-0.3	31	88	0
B-10	Poplar/willow	0.2-0.3	20	0.2-0.3	44	64	0
B-11	Poplar/willow	0.2-0.3	27	0.2-0.3	69	96	0
B-12	Poplar/willow	0.2-0.3	37	0.2-0.3	149	186	0
B-13	No		0		168	168	0
Altyarik raion
A-1	No		0		0	0	0
A-2	Apricot	0.2-0.3	205	0.2-0.3	433	638	638
A-3	Mulberry	0.2-0.3	73	0.2-0.3	68	141	0
A-4	No		0	0.2-0.3	0	0	0
A-5	No		0	0.2-0.3	0	0	0
A-5-1	No		0		0	0	0
A-6	Poplar/willow	0.2-0.3	137	0.2-0.3	243	380	0
Rishtan raion
P-1	Apricot	0.2-0.3	129	0.2-0.3	145	274	274
P-2	Apricot	0.2-0.3	168	0.2-0.3	197	365	365

Total for 3 raions						3,801	1,277

Source: Explanation letter to research. Report of the Ferghanagiprovodhoz Institute on calculation of trees within the area to be acquired for construction of interceptor drains. September 2008. Prepared by R. Isakov

Estimates of compensations for losses incurred by gardeners by construction of interceptor drains, are shown in Table 22. Compensations for temporary land acquisition will be about 89 million UZS (including 88.7 million UZS for apricot trees), and those for permanent land acquisition with provision of equal quality replacement plots will be 212.4 million UZS (including 211.5 million UZS for apricot trees). Most expensive option is compensation of damages for fruit trees without allocation of replacement plots, about 700 million UZS, including 687 million UZS for apricot trees.

If replacement plots are provided, compensations will amount to 301 million UZS, or 215 thousand USD. If local authorities cannot provide replacement land to gardener farmers, compensations will go up to 785 million UZS, or 560.5 thousand USD.

Table 22. Estimates of compensations for loss of fruit and mulberry trees during ID construction

		Formula	Apricot	Mulberry (leaves)
Number of trees within ID construction area *	1		1,277	141
including on lands to be permanently acquired	2		900	113
including on lands to be temporarily acquired	3		377	28
Productivity life of trees, years	4		30	80
Average cost of 2-year-old plant, UZS	5		1,800	2,000
Expenses for growing new tree (plant+transportation and planting expenses), UZS	6		2,700	3,000
Expenses related to cultivation of the tree and picking harvest, UZS per year	7		7,950	400
Average age of trees, years	8		16.8	18.8
Average annual production from 1 tree, kg	9		45	30
Average market price, UZS/kg, 2008	10		800	40
Annual income from 1 tree, ‘000 UZS	11		36.0	1.2
Net income from 1 tree, ‘000 UZS	12	(8)-(4)	28.1	0.8
Non-productive period, years	13		7	5
Remaining productive period, years	14	(4)-(8)+(13)	20.2	66.2
Option A. Estimates of compensations for permanent acquisition of land without allocation of replacement plot, ‘000 UZS	15	(18)+(19)	686,697.9	9,089.4
Compensation for 1 tree until the end of productive life, ‘000 UZS	16	(8)*(12)	471.2	15.0
Number of trees to be cut, pcs	17	(2)	900	113
Compensation of lost income for 1 year, ‘000 UZS	18	(2) * (11)	32,391	135
Compensation of lost income until the end of productive life, ‘000 UZS	19	(2)(12)(14)	654,306.5	8,954.1
Option B. Estimates of compensations, if equal quality replacement plot is provided, ‘000 UZS	20	(21)+(22)+(23)	211,488.9	924.3
Compensation of lost income for 1 year, ‘000 UZS	21	(2) * (11)	32,391	135
Compensation of lost income until the end of non-productive period of new trees, planted after return of lands, ‘000 UZS	22	(2)(12)(13)	176,668.2	450.9
Expenses for growing new trees, ‘000 UZS	23	(6)/1,000*(2)	2,429.4	338.1
Mandatory component. Calculation of expenses for temporary acquisition of land, ‘000 UZS	24	(27)+(28)+(29)	88,669.9	231.9
Compensation for 1 tree for the remaining productive period, ‘000 UZS	25	(8)*(12)	471.2	15.0
Number of trees to be cut on temporarily acquired lands, pcs	26	(3)	377	28
Compensation of lost income for 1 year, ‘000 UZS	27	(3) * (11)	13,580.6	33.9
Compensation of lost income until the end of non-productive period of new trees, planted after return of lands, ‘000 UZS	28	(3)(12)(13)	74,070.8	113.1
Expenses for growing new trees on returned lands, ‘000 UZS	29	(6)/1,000*(3)	1,018.5	84.9

Total expenses for Option A (without allocation of replacement land), ’000 UZS		(15)+(24)	775,367.8	9321.3
Total expenses for Option A (without allocation of replacement land), ’000 USD			553.8	6.7
Total for Option A, for all sorts of trees, ’000 USD				560.5

Total expenses for Option B (with allocation of replacement land), ’000 UZS		(20)+(24)	300,158.9	1,156.2
Total expenses for Option B (with allocation of replacement land), ’000 USD			214.4	0.8
Total for Option B, for all sorts of trees, ’000 USD				215.2

Compensation budget is not limited solely to compensations for agricultural producers. It also includes RF administration and M&E expenses, as well as incidental expenses.

A RF Special Reserve Fund (15%) is being established in order to compensate losses, which cannot be calculated before the development of a detailed design. The largest expenditure to be covered from the SRF will be for compensations to owners of illegal fruit, silkworm, and other trees, that have commercial value, as well as for illegal crops within canals’ reserve areas, as envisaged by WB OP 4.12. Under WB OP 4.12, however, any persons who suffer any adverse financial effect during the Project, regardless of their status and legality of their affected crops, shall be entitled to compensation and assistance from the Project, provided (1) their income decreases owing to Project activities (cutting trees), and (2) they provide proof that these trees belong to them.

Total estimates for RF are given in Table 23.

Minimum RF budget is estimated to be 733.5 thousand USD (provided that construction timelines are observed and gardener farmers receive equal quality replacement plots). If construction is extended or replacement plots are not available, RF budget will exceed 1,150,000 USD. In any case scenario, major expenses fall on two first years of construction, as it is planned to implement a large amount of works, entailing the necessity in allocation of considerable compensations.

Table 23. Total estimates for RF implementation, ‘000 USD

		Total	1^st year	2^nd year	3^rd year	4^th year	5^th year	6^th year
Compensations for temporary and permanent acquisition of lands, being occupied by annual crops, for ID construction
OPTIONS	construction timelines are observed	68	35	33
OPTIONS	construction timelines are not observed/extended	72.3	40.3	32.0
Compensations for fruit trees
OPTIONS	Option A. Compensations for temporary or permanent acquisition of land without allocation of replacement plot	560.5	300.5	260
OPTIONS	Option B. Compensations for temporary or permanent acquisition of land with allocation of replacement plot	215.2	130.2	85
Compensations for acquisition of lands, being occupied by annual crops, for SHD construction		248		100	37	37	37	37
Compensation for lost income		214		86	32	32	32	32
Compensations for restriction of land users’ rights		34		14	5	5	5	5
Expenses for monitoring and administration		80	20	20	5	15	5	15
Internal monitoring and administration		30	5	5	5	5	5	5
External monitoring		50	15	15		10		10
Intermediate total
Minimum		611.2	185.2	238	42	52	42	52
Maximum		960.8	360.9	411.9	42	52	42	52
Targeted Reserve Fund (15%)
Minimum		91.7	27.8	35.7	6.3	7.8	6.3	7.8
Maximum		144.1	54.1	61.8	6.3	7.8	6.3	7.8
Incidental expenses (5%)
Minimum		30.6	9.3	11.9	2.1	2.6	2.1	2.6
Maximum		48	18	20.6	2.1	2.6	2.1	2.6
TOTAL
Minimum		733.5	222.3	285.6	50.4	62.4	50.4	62.4
Maximum		1,152.9	432.9	494.4	50.4	62.4	50.4	62.4

19Monitoring and evaluation

The PIU will appoint a specialist for the internal monitoring of resettlement, who will develop detailed plans and indicators for monitoring for subsequent phases of land acquisition plan.
The monitoring specialist will submit quarterly information about the progress of resettlement to be incorporated into Project reports. Expenditures for internal monitoring shall be incorporated into the resettlement budget. General system of monitoring indicators is shown in the following table.

Table 24. M&E matrix

Purpose	Activities	Monitoring indicators
Identification of compensation recipients	Checking the list of compensation recipients against eligibility criteria for compensations.	Number of persons in the list of compensation recipients, who do not meet eligibility criteria (mistaken inclusion)
Identification of compensation recipients	Identification of persons, who may claim eligibility to compensation, but are not included in the lists of compensation recipients. Separate check should be performed on each type of compensation	Number of persons, who meet the criteria, but are not included in the list of compensation recipients (mistaken exclusion)
Controlling types of compensation	Confirmation of temporarily or permanently affected areas against RF	Area of land subjected to temporary acquisition, for which compensations have been paid
		Area of land subjected to permanent acquisition, for which compensations have been paid
	Fruit trees actually affected against the data in RF	Number of trees, for which compensations have been paid
Controlling compensation	Examination of financial documents	Number of persons, who received compensation in time and in full amount, disaggregated by compensation types
	Identification and analysis of reasons for compensations not being paid in full amount and in time	Number of persons, who did not receive compensation in time and in full amount, disaggregated by compensation types
		Number of persons, who received compensation in time, disaggregated by compensation types
		Amount of funding allocated for payment of compensations
	Identification of reasons, for which funds for compensations have been under/overspent	Rate of spending of funds allocated for compensations, % of envisaged by RF
Additional compensation in case the construction works will be delayed (In this case affected farms will have to be compensated for the second agricultural season losses)	Monitoring time limits of temporary land acquisition	Number of persons, on whose plots temporary acquisition needs to be extended
	Monitoring time limits of temporary land acquisition	Area, on which construction works will be continued after the established deadline
Consultations and participation	Determining the level of involvement, and identification of reasons of inadequate participation	Number of compensation recipients, who participated in consultations and coordination meetings at each stage of land acquisition
	Analysis of disputes’ and complaints’ content. Resolution of conflicts	Number of complaints
		Number of complaints resolved
		Level of satisfaction with the types and sizes of compensations

External monitoring

According to the requirements of the WB, PIU will hire a consultant for external monitoring of resettlement. Expenditures for external monitoring activities shall be included in the resettlement budget. Main functions of the external monitoring specialist will be the following:

Development of recommendations on the organization and implementation of internal monitoring of resettlement, including a system of monitoring indicators, timelines and procedures, reporting forms, etc.;
Analysis of, and preparation of recommendations on, the preliminary lists of persons, who incur damages and may be eligible for compensation;
Analysis of the RF, payment of compensations, procedures for approving and payment of compensations, and preparation of recommendations on their compliance with the WB resettlement policy;
Participation (as an observer) in consultative meetings on land acquisition;
Monitoring the timeliness of the allocations of funds for compensations; preparation of respective recommendations on adjustment of measures;
Monitoring land acquisition timelines and terms of temporary land acquisition; preparing recommendations on the adjustment of timelines/terms; and
Conducting special baseline update surveys with affected farmers who incurred damages resulting from construction works under the Project, in order to identify the level of satisfaction with types and sizes of compensations.

Annex 1: Decree On Optimization of Cropping Areas and Increasing of Food Crop Production

Issued by the President of the Republic of Uzbekistan on 20 October 2008
Due to recurring low availability of water during recent years, a steady food price surge in the international market, and also in order to assure further increase of production volumes and to expand foodstuff range with the purpose to provide the most possible satisfaction of the population’s demand on foodstuffs, and finally, to leverage incomes and enhance living standards of the rural population, this Decree envisages the following:

To accept the proposal initiated by the Ministry of Agriculture and Water Resources (MAWR) and the Ministry of Economy of Uzbekistan on decreasing (starting from 2009) of the volumes of raw cotton production being produced under contractual agreements, and accordingly, on downsizing of the cotton crop areas, as stated in the Attachment 1.
Having released cotton crop areas:
1. To increase sown areas under cereal crops of 2009 growing season, as stated in the Attachment 2.
2. To arrange planting of vegetables and other food crops in the rayons and farms where appropriate.
In process of crop zoning, the MAWR, the Council of Ministers of the Republic of Karakalpakstan, Regional and Rayon Khokimiats shall pay specific attention to the following:
1. To plant only those crops for which appropriate conditions are available including skills and experience of farms to grow specific crops.
2. To consider the status of irrigation and land improvement systems, as well as the level of water availability in the regions.
3. To try to expand plantings on the rainfed areas, particularly of oilseeds, fodders and melons.
The MAWR and the Regional Khokimiats shall make comprehensive arrangements for the additional sowing of winter cereals in October-November 2008, as prescribed in the Attachment 2. The Minister of Agriculture and Water Resources, Regional and Rayon Khokims shall bear personal responsibility for duly and appropriate implementation of the activities on fall-ploughing and sowing of cereal crops for 2009 crop yield.
The following is assigned to the Joint Stock Company Uzdonmakhsulot:
1. To duly provide the farms with high quality treated wheat seeds in appropriate volumes to assure timely sowing of the additional winter cereal crops in October-November of the current year.
2. During weekly period, in cooperation with the MAWR, to submit to the Cabinet of Ministers a proposal on increasing of the cereal seed stock to be sown on the irrigated areas in 2009 crop season.

For the additional sowings, to permit using of cereal seeds provided to the State Seed Stock above the required volume.

The MAWR in cooperation with the Ministry of Justice and the other stakeholders to submit to the Cabinet of Ministers in ten day period a proposal on amendments to the Resolution #PP-956 of 4 September 2008 issued by the President of Uzbekistan On arrangements of winter cereal crop sowing, variety pattern and public procurement of cereal harvest of 2009, resulting from this Decree.
To assign Mr. Sh. Mirziyoev, the Prime Minister of Uzbekistan, to be responsible for implementation of this Decree.

I. Karimov,

The President of the Republic of Uzbekistan

Tashkent city

20 October 2008

Source: UzA, 22 October 2008.

Annex 2: Instruction On Constitution of a Special Committee (SC) in charge for development of proposals on optimization of farm enterprise plots

Issued by the President of the Republic of Uzbekistan on 5 October 2008, # F-3077

To develop proposals on efficiency improvement of farm enterprise operation through optimization of their land plots, the following is instructed:

To constitute the SC to be in charge for development of proposals on optimization of farmer plot sizes being under tenure of farm enterprises and on merging of the plots for efficiency improvement. A composition of the SC is listed in the Attachment.
The SC (Mr. Sh. Mirziyoev) shall visit regions and localized zones to conduct an in-depth and thorough inventory including size of land plots being in actual tenure, a status of their rational use, their efficiency for operation of the farm enterprises.
1. To critically review financial status of the farms including the status of their material and technical base.
2. To pay special attention to the extent of equipping the farms with needed machinery, the capacity of farms to arrange effective operation.
3. Based on the inventory outcomes and comprehensive review of the performance efficiency, to determine the most appropriate sizes of farm plots for every localized zone having in mind the goal of increasing efficiency of farm operation. To make emphasis on specific conditions of the zones – a density of population, employment rate and sectorial specialization (cotton production, cereal production, growing of fruit and vegetables, grape production, livestock breeding).
Based on the in-depth study and review of the above mentioned areas, the SC (Mr. Sh. Mirziyoev) shall develop and submit to the Cabinet of Ministers (by 15 November 2008) the proposals on optimization of land plot sizes being tenured by the farm enterprises by each zone, including implementation mechanisms for merging some small farms, which would not be responding to the optimal sizes.

To assign Mr. Sh. Mirziyoev, the Prime Minister of Uzbekistan, to be responsible for supervision over implementation of this Instruction.

wb15100

1 No works are anticipated in dehkan farms inside or outside the villages; should there be any need to do any repair work in some dehkans, compensation will be provided.

2 As stated the Projects’ adverse impacts will be shouldered primarily by leasehold farmers. They lease the land from the State, which owns all the potentially affected areas. Thus, no land will be acquired; rather compensation will only involve for standing crops. Thus, for purposes of this Project, we would be referring to damage on crops with acquisition of land.

3 This plot was used by person who received the land from a former shirkat in 2004. This person worked as a watchman for shirkat and continues to work in the same capacity guarding pumps on drainage wells. He has no salary and uses this garden as a payment for guarding. He has no documents to make a legal claim. Nevertheless, he will be compensated as indicated in the Compensation Matrix.

4 The process of ‘optimization’ or farm consolidation has affected these farmers during the past 2 months. Thus, some of them are not yet fully informed how the Project work will affect their land. However, given all lease holding farms are in the process of getting larger, the impacts are likely to be small. Farmers stress the immediacy of the need to complete the drainage works and are less interested in compensation as the farms were given to them free of charge by the Government.

5 A large portion of the potential adverse impacts that will occur as a result of rehabilitation works will be avoided by advance notice to farmers. Nevertheless, some damage to standing crops may occur.

6 See footnote above.

7 During the construction of the new power line, some damage may occur. The repair work could likewise cause damage to property. These will be avoided through advance notice to people.

8 A spacing of 100 m has been assumed for calculating the affected land.

9 This is estimated as follows: for the 3650 km of canals at least 10 meters on each side will be needed which will require 36,500,000sqm or 3,650ha. This amounts to 7,6 percent of the irrigated lands (48,000).

10 The pension age is 60 and 55 years old for men and women respectively.

11 According to SA-2007 data, in June 2007, the average monthly income of families in the Project districts was 250,000 soums (about USD 200); the average per capita income was 42,600 soums (USD 34).

12 One of these two persons was not a farmer, but the watchman, mentioned above.

13 Including the plot of the guard man

14 Excluding o.16Ha plot of the guard man

15 Currently, there are no maps indicating farm borders.

16 1USD=1400 UZS rate used

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