Public Disclosure Authorized

REPUBLIC OF KENYA
Public Disclosure Authorized

MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING

AND URBAN DEVELOPMENT
Kenya Informal Settlements Improvement Project II
(KISIP II)
Public Disclosure Authorized

Vulnerable and Marginalized Groups Framework (VMGF)

November, 2019
Public Disclosure Authorized

Authorized for Disclosure

 The Kenya Informal Settlements Improvement Project II V.3.2019
Vulnerable and Marginalized Groups Framework (VMGF)

Document Version and Status

Version Date Author Purpose of Issue

1.0 September 2019 MoTIHUD Vulnerable and Marginalized Groups

Framework (VMGF) in support of the
proposed KISIP II project activities – for
World Bank review and stakeholder
consultation.

2.0 October 2019 MoTIHUD Revised Vulnerable and Marginalized

Groups Framework (VMGF) in support
of the proposed KISIP II project for
World Bank review.

3.0 November 2019 MoTIHUD Revised Vulnerable and Marginalized

Groups Framework (VMGF)
incorporating World Bank (RSA)
Comments, in support of the proposed
KISIP II project for World Bank review.

4.0 November 2019 MoTIHUD VMGF Cleared for Disclosure

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ACRONYMS
BP Bank Policy
CoK Constitution of Kenya
CSOs Civil Society Organizations
EAs Environmental Assessments
EIA Environmental Impact Assessment
EMP Environmental Management Plan
ESIA Environmental and Social Impact Assessment
ESMF Environmental and Social Management Framework
ESMP Environmental and Social Management Plan
FPIC Free, Prior and Informed Consultation
FS Feasibility Study
GOK Government of Kenya
GRM Grievance Redress Mechanism
HIV/AIDS Human Immune Deficiency Syndrome
ICT Information and Communication Technologies
IDA International Development Association
IE Impact Evaluation
IPPF Indigenous Peoples Planning Framework
KNCHR Kenya National Commission on Human Rights
LA Land Act 2012
LAC Land Administration Committees
LACT Land Acquisition Compensation Tribunal
LRA Land Registration Act 2012
M&E Monitoring and Evaluation
MDGs Millennium Development Goals
ME&F Ministry of Environment and Forestry
NT National Treasury
MTR Mid-Term Review
NEMA National Environment Management Authority
NGO Non-Governmental Organization
NLC National Land Commission
NLP National Land Policy
OP Operational Policy
PAD Project Appraisal Document
PAP Project Affected Persons
PCT Project Coordination Team
PDO Project Development Objective
PIM Participatory Impact Monitoring
PIM Project Implementation Manual
PRA Participatory Rural Appraisal
RAP Resettlement Action Plan
RPF Resettlement Policy Framework
RRA Rapid Rural Appraisal
SA Social Assessment

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UN United Nations
UNDRP Declaration on the Rights of Indigenous Peoples
US$ United States Dollars
VMG Vulnerable and Marginalized Groups
VMGF Vulnerable and Marginalized Groups Framework
VMGP Vulnerable and Marginalized Groups Plan
WB World Bank

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List of Tables

Table 1: Indicative Counties with VMGs

Table 2: Potential Project Risks
Table 3: Potential Adverse Project Impacts and Mitigation Measures
Table 4. Indicative VMGs Consultation Matrix
Table 5: Vulnerable and Marginalized Groups Plan
Table 6: Grievance Redress Mechanism
Table 7: Monitoring Plan for VGMP

Annexes
Annex 1: Social Screening Form
Annex 2: Contents Vulnerable And Marginalized Groups Framework
Annex 3: Contents Of Vulnerable And Marginalized Groups Plan (VMGP)
Annex 4: Sample Terms Of Reference For Developing a VMGP
Annex 5: Sample Fact Sheet for VMGPs; VMGP Review – Fact Sheet For VMGPs
Annex 6: Three Point Rank Order System for VMGPs (Sample)

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Table of Contents
ACRONYMS ....................................................................................................................... iii
List of Tables ....................................................................................................................... v
Table of Contents ................................................................................................................. vi
1. Introduction .................................................................................................................. 9
1.1 Background .......................................................................................................................9
1.2 Project Description ...........................................................................................................9
1.2.1 Project Objectives ...................................................................................................................................9
1.2.2 Project Components ................................................................................................................................9
1.2.3 Project Financing ..................................................................................................................................10
1.2.4 Project Activities ...................................................................................................................................11
1.2.5 Project Area ...........................................................................................................................................11
1.2.6 Expected Project Benefits .....................................................................................................................12
1.2.7 Implementation Arrangements..........................................................................................................13
1.2.8 Environmental and Social Requirements ..............................................................................................13

2. Vulnerable and Marginalized Groups (VMGs) .......................................................... 15

2.1 Definition of VMGs.........................................................................................................15
2.2 VMGs in Kenya ...............................................................................................................16
2.3 Vulnerable and Marginalized Groups Framework (VMGF) ...........................................17
2.3.1 Objective of the Vulnerable and Marginalized Group Framework ......................................................17
2.3.2 Methodology for Preparation of VMGF ..............................................................................................19

3. Policy and Legislative Framework on Vulnerable and Marginalized Groups ........... 21

3.1 National Policy and Legal Framework ............................................................................21
3.1.1 Constitution of Kenya, 2010 ..................................................................................................................21
3.1.2 Other National Policies and Laws.........................................................................................................22
3.2 International /UN Declarations/Treaties/Agreements ......................................................24
3.3 World Bank’s Policy .............................................................................................................25
4. Potential Project Impacts ........................................................................................... 26
4.1 Environmental Risks .......................................................................................................26
4.2 Social Risks .....................................................................................................................26
4.2.1 Positive Impacts ....................................................................................................................................26
4.2.2 Adverse Impacts ....................................................................................................................................27
4.3 Other Risks ............................................................................................................................................28
4.4 Proposed Mitigation Measures .......................................................................................29
5. Sub-Project Screening and Social Assessment (SA) ................................................... 32
5.1 Sub Project Investment Screening ..................................................................................32
5.1.1 Screening Methodology ........................................................................................................................32

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5.1.2 Screening Criteria..................................................................................................................................33

5.2 Social Assessment............................................................................................................33
5.2.1 Methodologies for Social Assessment ...................................................................................................34
5.3 Process of Conducting SA ...............................................................................................35
5.3.1 Literature Review: .................................................................................................................................35
5.3.2 Stakeholder Identification .....................................................................................................................36
5.3.3 Stakeholder Consultation ......................................................................................................................36
5.3.4 Impact Identification Including Long Term.........................................................................................37
5.3.6 Determination of Mitigation Measures ................................................................................................37
5.3.7 Development of strategies for participation of Vulnerable and Marginalized Groups ............................37
5.3.8 Strategies for inclusion of women and youth ............................................................................................38
5.4 Who Conducts the SA .....................................................................................................38
6. A Framework for Free, Prior, Informed Consultation ........................................... 39
6.1 Free, Prior Informed Consultation..................................................................................39
6.2 The Elements of FPIC .....................................................................................................39
6.2 FPI-Consultation Tools ........................................................................................................39
6.3 Strategy for Participation and Consultation with VMGs ...............................................40
6.4 Decision on Sub-Projects ................................................................................................43
7. Vulnerable and Marginalized Groups Plans (VMGPs) ................................................. 44
7.1 Elements of a Vulnerable and Marginalized Groups Plan....................................................44
7.2 Vulnerable and Marginalized Groups Plan .....................................................................44
8. Grievance Redress Mechanisms ................................................................................. 47
8.1 Overview..........................................................................................................................47
8.2 Grievance Redress Process..............................................................................................48
8.3 Establishment of Grievance Redress Committee ............................................................48
8.4 Use of Alternative Dispute Resettlement Mechanisms...................................................48
8.5 Further Redress-Kenya Courts of Law ............................................................................49
8.6 Grievance Log Documentation and Recording ...............................................................49
8.7 Responding to complaints ...............................................................................................49
8.8 Monitoring Complaints ...................................................................................................49
9. Implementation of the VMGF .................................................................................... 51
9.1 Phases of Implementing the VMGF ................................................................................51
9.2 Disclosure Arrangements ................................................................................................51
9.3 Specific capacity-building for VMGs ..............................................................................51
9.4 Roles and Responsibilities...............................................................................................52
9.4.1 KISIP PCT ............................................................................................................................................52

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9.4.2 Non-Governmental Organizations ............................................................................................................52

9.4.3 World Bank ...........................................................................................................................................52
9.5 Budget .............................................................................................................................53
10. Monitoring and Evaluation ..................................................................................... 54
10.1 Mechanisms for monitoring, evaluation and reporting...................................................54
10.2 Monitoring and Evaluation Benchmarks.........................................................................55
10.3 Reporting ............................................................................................................................55

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1. Introduction
1.1 Background
The Government of Kenya is in consultation with the World Bank for consideration of the
Kenya Informal Settlements Improvements Project II (KISIP II) to consolidate the gains made
under KISIP I and enhance the benefits of the project to more people in informal settlements.
This Second Kenya Informal Settlements Project (KISIP II) will build on the successes and
lessons learned from KISIP1, but also introduce new interventions to deepen its overall impact.
It will support the interventions that have been successful under KISIP I: tenure regularization,
infrastructure upgrading, and institutional strengthening. In addition, the project will include
activities to link vulnerable people (elderly, orphans, disabled, and others) of informal
settlements to government programs aimed at reducing poverty and vulnerability, and to link
at-risk youth to programs focused on building skills and creating opportunities for employment
and self-employment. KISIP II will include activities to prevent crime and violence.
The proposed project objective is to enhance access to basic services and improve tenure
security in urban informal settlements in Kenya. This will be achieved by investing in
infrastructure based on plans developed in consultation with the community, by supporting
planning, surveying and issuance of land documents for residents of informal settlements, and
by strengthening capacity of county administrations to deliver on their mandates. KISIP II will
have a wider coverage beyond the fourteen KISIP I Counties, to potentially cover the whole
country 1.

1.2 Project Description

A more comprehensive description of the project is given in the Project Appraisal Document
(PAD).

1.2.1 Project Objectives

The proposed project development objective is to improve access to basic services and tenure
security of residents in participating urban informal settlements and strengthen institutional capacity
for slum upgrading in Kenya. This will be achieved by investing in infrastructure based on plans
developed in consultation with the community, by supporting planning, surveying and issuance of
land documents for residents of informal settlements, and by strengthening capacity of county
administrations to deliver on their mandates.

1.2.2 Project Components

The project has four components:

1
For a more detailed project description, refer to the Project Appraisal Document

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Component 1(Integrated Settlement Upgrading): KISIP2 has built on the lessons learned from
KISIP1 and has combined tenure regularization and infrastructure into one integrated upgrading
approach to save both money and time, ensuring better coordination between the two interventions
in a settlement and deepening the project’s overall impact on the participating communities by
supporting tenure regularization and infrastructure upgrading in the same communities. Thus, two
main interventions have been identified under this component: (i) tenure regularization; and (ii)
infrastructure upgrading. Settlements will benefit from one or both interventions depending on the
initial condition of the settlement.

Under tenure regularization, KISIP2 will support the chain of activities required to regularize tenure
for people living on uncontested public lands. Based on experiences of KISIP 1, the project will
minimize displacement of residents in planning using ‘adoptive’ planning approach to minimize
displacement of residents in informal settlements.

Under infrastructure upgrading, KISIP2 will support the same types of investments: roads, bicycle
paths, pedestrian walkways, street and security lighting, vending platforms, solid waste collection and
settlement sorting, stormwater drainage, water and sanitation systems, public parks, and green
spaces. The menu will also include investments related to prevention of crime and violence,
including but not limited to community centers. Most of the infrastructure will contribute to climate
resilience and the project will have substantial climate change adaptation and mitigation co-benefits.

Component 2 (Socio-Economic Inclusion Planning): This component will support the

development of community-level socio-economic plans. The plans intend to identify together with
the communities their socio-economic needs and then address how best the needs can be met.

Component 3 (Institutional Capacity Development for Slum Upgrading): The Project will
support institutional and policy development at national and county levels. Activities will include
supporting the review of the 2005-2020 National Slum Upgrading and Prevention Strategy, the
development of county-specific slum upgrading and prevention strategies, developing financing
mechanisms for slum upgrading at county level, and developing strategies to plan for urban growth,
prevent crime and violence and to ensure adoptive planning in informal settlements.

Component 4 (Program Management and Coordination): This component will finance

activities of the NPCT and the CPCTs related to national and county-level project management and
coordination, including planning, surveying, engineering, fiduciary (financial management and
procurement), safeguards compliance and monitoring, monitoring and evaluation (M&E), and
communication and community development.

1.2.3 Project Financing

KISIP2 is estimated to cost US$165 million. The project will be financed through an IDA
Credit of US$150 million equivalent. The Government will add US$15 million as counterpart
financing. The Government will be responsible for budgeting for counterpart financing to
cover some operating costs, and any compensation due to project-affected people.
Compensation costs associated with proposed subprojects will be identified and budgeted for on
an annual basis.

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1.2.4 Project Activities

a) Tenure Regularization
KISIP2 will support the chain of activities required to regularize tenure for people living on
uncontested public lands. The regularization process involves: (a) development of a local
physical plan for the settlement which lays out infrastructure (roads, drainage, walkways and
the like), and private plots; (b) surveying with physical placement of beacons to demarcate the
plots as per the plan; (c) preparation and issuance of letters of allotment based on the survey
plan; and finally (d) issuance of titles.
KISIP2 will follow the experience of KISIP1 to minimize displacement of residents by
following an ‘adoptive’ planning approach. Adoptive planning is an approach that lays out
infrastructure and plots in close alignment with the existing layout of the settlement. Under
KISIP1, adoptive planning has reduced displacement by up to 85 percent in some settlements,
compared with what would have occurred had the normal standards been applied. It is expected
that use of the adoptive approach in KISIP II will result in minimal displacement and costs of
compensation.
b) Infrastructure upgrading
KISIP2 built on the success of KISIP I in supporting an integrated package of investments to
comprehensively upgrade settlements. KISIP2 will support the same types of investments:
roads, bicycle paths, pedestrian walkways, street and security lighting, vending platforms, solid
waste collection and settlement sorting, storm water drainage, water and sanitation systems,
public parks, and green spaces. The menu will also include investments related to prevention of
crime and violence, including but not limited to youth and community centres. Though, the
infrastructure is planned within public land, the investments have potential to affect people’s
assets and livelihoods.

1.2.5 Project Area

KISIP I was initially implemented in 15 towns located in 14 counties. Under revised guidelines,
after mid-term review, the 15 counties were at liberty to propose activities in informal
settlements in other towns within their jurisdiction. As a result, the number of towns
participating in the project grew. In KISIP II, all the Counties are eligible to participate under
a certain criterion.

In preparation for KISIP 2, KISIP1 financed the preparation of detailed designs and bidding
documents for upgrading plans for 39 settlements in six counties (Nairobi, Kilifi, Kakamega,
Kisumu, Nakuru, Mombasa). Implementation of the plans will ensure that KISIP2 is able to
provide relatively quick and high-impact results. An additional 17–20 settlements in other
counties will also benefit from infrastructure upgrading. However, not all counties will be able
to access the funds, and clear criteria will need to be developed during preparation that allow
selection to be made on technical grounds. Alternatively, the funds can be allocated for
integrated settlement planning for tenure regularization and infrastructure, allowing the
development of a pipeline for future investment.

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All counties will be eligible for support for integrated settlement planning for tenure
regularization and infrastructure. KISIP2 is expected to support about 74 settlements from
KISIP1 (which have benefited from tenure regularization) with detailed designs and bidding
documents for settlement upgrading plans. It will support an additional 75 settlements with
integrated planning for both tenure regularization and infrastructure. All counties will be
eligible for support under this component. However, detailed eligibility criteria will be
established to ensure that the work has a high impact. Such criteria could include, overall
population of the settlement, density of the settlement, and assurance that settlement is on
government land, which the government is willing to release for tenure regularization.

1.2.6 Expected Project Benefits

The project’s expected benefits will arise from investments in infrastructure and from tenure
regularization. Although a cost-benefit analysis for KISIP1 investments has not yet been done,
analysis done for similar investments in urban areas in Kenya and in other countries showed
significant benefits for the types of investments KISIP1 and 2 are supporting. Examples are as
below.
1. Benefits of investments in urban roads. The benefits associated with improved roads
are (a) travel time savings; (b) travel cost savings; (c) reductions in vehicle operating costs;
(c) enhanced access to jobs, markets, health facilities schools, and other services at lower
cost than otherwise available (reflected in enhanced land values); and (d) promotion of
economic growth in the region through enhanced trade, increased efficiency, and higher
productivity. The economic rate of return for urban roads under various World Bank-
supported projects in Africa ranged from 18 to 33 percent.
2. Benefits of drainage systems. Benefits include (a) reduced number of days of work lost
due to flooding (b) reduced property damage (buildings, roads, furniture, appliances,
household goods); (c) increased property values; (d) reduced loss of income from businesses
whose hours are curtailed and access reduced; (e) improved travel times on streets that
used to flood; (f) lower maintenance costs for vehicles; and (g) reduced costs of illness
associated with exposure to polluted and stagnant water. Analysis done for the Kenya
Municipal Program showed that investments in a drainage system that considered only
reduced number of days lost from work generated an internal rate of return of 32 percent.
3. Benefits of investments in street lighting. Benefits of street lighting include (a)
increased perception of safety, (b) reduced accidents, and (c) and increased ability to do
business after dark. People interviewed for the beneficiary analysis of KISIP1 noted that
they felt a greater sense of security at night and were now walking along streets with
lights, rather than taking motorized transport to their destinations. Some participants
pointed out that accidents between vehicles and between vehicles and pedestrians had
declined. Some mentioned that business hours had expanded and that the appearance and
livability of the urban center had improved.
4. Benefits of tenure security. Benefits of tenure security include (a) increased investments
in housing and businesses, (b) increased labor-force participation, (c) improved health due
to reduced stress from fear of displacement and expropriation. People interviewed for the

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beneficiary analysis of KISIP1 noted that they felt much reduced stress and were planning
to invest in their properties.

1.2.7 Implementation Arrangements 2

Implementation of KISIP will involve a three-tier institutional arrangement (National, County
and Community).
a) National level: The National Treasury (NT) will represent the GoK, and the Ministry of
Transport, Infrastructure, Housing and Urban Development (MTIHUD) will be the
main implementing agency. Within the MTIHUD, the project will be anchored in the
State Department for Housing and Urban Development. A Project Coordination Team
(PCT) has been established within the MTIHUD, which will be responsible for overall
project coordination (including liaising with senior government officials and the Bank
team). The national team will also be responsible for compiling interim financial reports
and quarterly progress reports, based on inputs from the Counties. The national PCT
will consist of a project coordinator, component heads, and specialists in key areas,
including financial management, procurement, environment and social safeguards,
community development, and monitoring and evaluation. The key personnel of the PCT
have been appointed and have participated fully in implementation of KISIP1 and
preparation of KISIP2.
b) County level: The county governments will be the executing agencies of the project.
They will establish County Project Implementation Units (PIUs) which mirror the PCT
in personnel.
c) Community level: Communities will form Settlement Executive Committees (SECs) to
provide an interface between the communities and the project.
The three-tier institutional arrangement aims to: (a) lessen the approval layers for faster
decision-making and efficient project implementation; and (b) utilize the constitutionally
mandated governance structures at the national and county levels, to the extent possible. To
enhance linkages and ownership of the project, the County governments will be fully involved
in the decision-making process at the national level. In addition, County governments will be
fully responsible for the decision-making and project implementation and oversight at county
and community levels. The detailed roles and responsibilities of the national, county and
community institutions will be provided in the Project Implementation Manual (PIM).

1.2.8 Environmental and Social Requirements

The KISIP II has triggered the following environmental and social safeguard policies of the
World Bank: Safeguard OP 4.01, Environmental Assessment; and OP 4.12, Involuntary
Resettlement. A precautionary approach will taken in relation to OP 4.10, Indigenous Peoples,

2
This will be updated once the PAD is finalized.

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and OP 4.11, Physical Cultural Resources. This has necessitated the preparation of the
following safeguard policy instruments which will be publicly disclosed:
a) Environmental and Social Management Framework (ESMF)
b) Resettlement Policy Framework (RPF)
c) Vulnerable and Marginalized Groups Framework (VMGF)
In addition, a Stakeholder Engagement Framework (SEF) has been developed to provide
guidance on making stakeholder engagement meaningful and effective and in accordance with
international standards and practices.

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2. Vulnerable and Marginalized Groups (VMGs)

2.1 Definition of VMGs

The Constitution of Kenya 2010 (Article 260) defines marginalized communities as:

a)A community that, because of its relatively small population or for any other reason, has been
unable to fully participate in the integrated social and economic life of Kenya as a whole;
b) A traditional community that, out of a need or desire to preserve its unique culture and
identity from assimilation, has remained outside the integrated social and economic life of
Kenya as a whole;
c)An indigenous community that has retained and maintained a traditional lifestyle and
livelihood based on a hunter or gatherer economy; or
d) Pastoral persons and communities, whether they are: (i) Nomadic; or (ii) A settled
community that, because of its relative geographic isolation, has experienced only marginal
participation in the integrated social and economic life of Kenya as a whole.

The World Bank has agreed to use the term ‘Vulnerable and Marginalized Groups’ (VMGs)
rather than “Indigenous Peoples”, thus a Vulnerable and Marginalized Group Framework/Plan
(VMGF/P) is prepared instead of an Indigenous People Plan Framework/Plan (IPPF/P). The
World Bank in OP4.10 defines indigenous people (similar to VMGs) as a “distinct, vulnerable,
social and cultural group possessing the following characteristics in varying degrees:
(i) self-identification as members of a distinct indigenous cultural group and recognition of this
identity by others;
(ii) collective attachment to geographically distinct habitats or ancestral territories in the project area
and to natural resources in these habitats and territories;
(iii) customary cultural, economic, social or political institutions that are separate from those of the
dominant society and culture; and
(iv) an indigenous language, often different from the official language of the country or region.

VMGs generally include minority groups following traditional livelihoods, generally

marginalized, and discriminated against by the wider society. Within the marginalized groups,
some segments may also be more vulnerable than others: older persons, persons with disability,
women, child and women headed-households, youth, mentally ill persons, and vulnerable
children.

Some of the key factors that continue to affect and maintain the marginalization of VMGs
communities include:

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a) Dispossession of ancestral lands including lack of access and/or no control or legal

recognition of such land and other natural resources.
b) A focus on modern agriculture versus preservation of livelihoods of hunter and
gatherers and pastoralist groups.
c) Limited access to education, resulting in inability to compete for employment
opportunities.
d) Unequal development of health care and other social infrastructure; and
e) Limited access to justice and increased conflict and a deteriorating security situation
and recurrent inter-ethnic conflicts.
2.2 VMGs in Kenya

Kenya is home to a number of groups who self-identify as Indigenous Peoples. Some of these
are hunter-gatherers with some transitioning to agro-pastoralism, others nomadic or
seminomadic pastoralists and other artisanal blacksmiths and fishing communities.23In the
absence of updated and reliable statistics, it is difficult to give precise demographic data of the
various groups. Estimations vary greatly and depend on personal or institutional judgments of
which group is considered as Indigenous Peoples in Kenya. Some experts have put the total
population of groups that self-identify as Indigenous Peoples at around 1.5 million.

Indigenous Peoples (OP 4.10) will be triggered by proposed investment projects to be

implemented under the KISIP. Since KISIP is countrywide in nature an initial screening
indicates the presence of groups that meet the World Bank criteria for indigenous peoples who
are likely to be present in or have collective attachment to the micro-project areas where
component 1 and 2 might be implemented. While the exact sites of the sub-projects remain
unknown at this point, a preliminary assessment indicates that since the project is to be
implemented in urban areas, it is not likely that indigenous people who meet the criteria under
OP 4.10 will be present and affected. This VMGF is developed as a precautionary measure to
guide mitigating adverse impacts on the vulnerable and marginalized groups, should screening
of any sub-project trigger OP 4.10.

From desk review, Table 1 presents areas where VMGs are present.

Table 1: Indicative Counties with VMGs

Region County VMGs that may be present in the
County and could meet OP 4.10
Eastern Makueni, Meru, Kitui, Embu, Waatha (Kitui)
Coast Kilifi, Kwale Waatha (Kilifi), Waswaka (Kilifi),
Wakifundi (Kilifi), Makonde (Kilifi)
Central Kirinyaga, Kiambu, Dorobo (Kiambu)
Muran’ga
Rift-Valley Nakuru, Narok, Baringo, Ogiek (Nakuru, Narok), and Endorois/Il-
Samburu Chamus (Baringo), Ilkunono (Narok)
Western Bungoma, Trans Nzoia, Sengwer (Trans-nzoia), Ogiek (Bungoma,
Nandi, Vihiga Trans-nzoi, Nandi), Tarik (Vihiga, Nandi)
South Nyanza Kisii, Migori, Nyamira, Noney
Homa Bay

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In addition to OP 4.10, screening and profiling of marginalized communities and marginal

groups will be done in line with the interpretation of Constitution of Kenya, 2010, section 260,
which provides criteria that can be used as a basis for profiling of communities and groups that
could possibly be identified as “Marginalized Communities” and “Marginalized Groups”. Where
the KISIP confirms the existence of VMGs within sub-project operational area, it will carry out
a social analysis and the process of FPIC, for purpose of ascertaining whether the respective
VMGs broadly support the project. Where such broad VMGs support for the micro-project
exist, as confirmed by the World Bank, KISIP will proceed to prepare VMGs for each micro-
project site. However, site-specific verification is required given the fast pace of urbanization
and social economic change in Kenya. Hence for that reason, the list provided here is indicative.
A two-step process will be applied including (a) screening and (b) field verification.

2.3 Vulnerable and Marginalized Groups Framework (VMGF)

This Vulnerable and Marginalised Group Framework (VMGF) has been prepared with respect
to the proposed Kenya Informal Settlements Improvement Project II (KISIP II) to be
supported by the World Bank. Since the proposed project interventions will be implemented in
areas where Indigenous Peoples (IPs) are present referred to in Kenya as Vulnerable and
Marginalized Groups 3 (VMGs the World Bank (WB) safeguard policy OP/BP 4.10 has been
triggered and a VMGF prepared to guide the implementation of the project.

KISIP I did not have a Vulnerable and Marginalized Groups Framework (VMGF) and no
groups that satisfy the criteria of OP 4.10 were affected by project activities. This is because the
interventions were confined in informal settlements in urban areas, an unlikely location for the
presence of VMGs. With an expanded scope of interventions and geographical scope under
KISIP II, it is likely that groups that meet the criterion for vulnerable and marginalized may be
impacted by the project. This VMGF is prepared as a precaution.

2.3.1 Objective of the Vulnerable and Marginalized Group Framework

WB OP 4.10 ‘contributes to the Bank's mission of poverty reduction and sustainable
development by ensuring that the development process fully respects the dignity, human
rights, economies, and cultures of Indigenous Peoples (IPs). For all projects that are proposed
for World Bank financing and that affect Vulnerable and Marginalised Groups (VMGs), the
Bank requires the borrower to engage in a process of Free Prior and Informed Consultation

3
Given particularities with respect to the term Indigenous Peoples in Kenya, the 2010 Constitution of Kenya uses
the term “vulnerable groups” and “marginalized communities”. Since adoption of the Constitution in 2010, the
GoK has requested that project instruments related to the implementation of OP 4.10 use the constitutionally-
sanctioned terminology. OP 4.10 contemplates that different terminology may be applied in different countries
without affecting the application or substance of the policy. It states: “Indigenous Peoples may be referred to in
different countries by such terms as indigenous ethnic minorities; aboriginals, hill tribes, minority nationalities,
scheduled tribes, or tribal groups.”

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(FPIC) leading to broad community support. The Bank provides project financing only where
FPIC results in broad community support to the project by the affected vulnerable and
marginalised groups. Such Bank-financed projects include measures to:

a) Avoid potentially adverse effects on the Indigenous Peoples’ communities; or

b) When avoidance is not feasible, minimize, mitigate, or compensate for such effects;
c) Ensure that the vulnerable and marginalised people receive social and economic benefits
that are culturally appropriate and gender as well as inter-generationally inclusive; and
that the VMGF is based on FPIC with indigenous peoples leading to broad community
support.

The objectives of the policy are to avoid adverse impacts on vulnerable and marginalised
groups, secure broad community support for the project and to provide Vulnerable and
Marginalized Groups (VMGs) with culturally appropriate benefits.

A Vulnerable and Marginalised Groups Framework (VMGF) is developed when a proposed

project design is not yet finalised so that it is impossible to identify all of the impacts, as is
required to prepare a Vulnerable and Marginalised Groups Plan (VMGP). This situation
applies to all the related proposed sub-projects under KISIP. At the time of preparation of this
VMGF the following issues were outstanding:
(a) host sites for sub-projects had not yet been identified; and
(b) those vulnerable and marginalised groups whose rights and livelihoods may be affected by
the sub-projects had not yet been defined, as the location or alignment of the sub-projects were
yet to be decided.

Although it is not envisaged at this stage of project conceptualization that vulnerable and
marginalized groups that meet the criteria of Op 4.10 will be impacted by the project, since
KISIP is an urban project where indigenous persons are unlikely to be resident, the preparation
of a Vulnerable and Marginalised Groups Framework (VMGF) will ensure that the
development process fully respects the dignity, human rights, economies, and culture of
vulnerable and marginalised people should they be impacted. This will also ensure that KISIP
sub-projects have broad community support from the affected vulnerable and marginalised
people.

It should be noted that minimal, if any, negative impacts are anticipated as a result of the
project. Most of the impacts anticipated will be positive for all communities, including for

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VMGs. As a result, a key focus of the VMGF and the VMGPs will be to propose pro-active
steps for such groups to benefit from the project. It is generally envisaged that the vulnerable
and marginalized populations do not have access to these services in a similar way to other
communities in Kenya.

The VMGF provides for the screening and review of the proposed sub-projects in a manner
consistent with OP 4.10. The KISIP will integrate the VMGF recommendations into the
project design of each sub-project.

The VMGF recognizes the distinct circumstances that expose VMGs to different types of risks
and impacts from development projects as social groups with identities that are often distinct
from dominant groups in their national societies. VMGs are frequently among the most
marginalized and vulnerable segments of the population. At the same time, this policy, together
with the Resettlement Policy Framework (RPF) and Environmental and Social Management
Framework (ESMF) already prepared for this project, recognizes that VMGs should benefit
from KISIP interventions.

This VMGF describes the policy requirements and planning procedures that KISIPP will
follow during the preparation and implementation of sub-projects, especially those identified as
occurring in areas where VMGs are present. The VMGF outlines the processes and principles
of screening to determine if a proposed investment has impacts on vulnerable communities and
the preparation of a VMGP, including the social assessment process, consultation and
stakeholder engagement, disclosure procedures, communication and grievances redress
mechanism. A detailed VMGP will be prepared for each sub-project once a project location is
identified and screening is conducted to determine if VMGs are present in the project
investment area.

2.3.2 Methodology for Preparation of VMGF

This involved; -
a) Literature review about the project and vulnerable and marginalized groups (VMGs) to
gain a deeper understanding. Among the documents reviewed, included: World Bank
Indigenous Peoples Operational Policy, OP 4.10; Other relevant VMGF documents
prepared in Kenya for bank projects, Constitution of Kenya and various legislation
touching on vulnerable and marginalised groups;
b) Collation of baseline data on the Vulnerable and Marginalized Communities in Kenya
including lifestyle, livelihood, history;

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a) Identification of positive and negative impacts of the proposed sub projects on the
VMGs; Formulation of monitoring and evaluation plan.
b) Stakeholder consultations.

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3. Policy and Legislative Framework on Vulnerable and Marginalized Groups

3.1 National Policy and Legal Framework

3.1.1 Constitution of Kenya, 2010

The CoK, 2010, does not specifically use the term IP, it is nevertheless robust in articles that
define vulnerability and marginalization, including issues that VMGs cite as the reasons for
their self-identification. It also addresses social exclusion in general. Article 260 of the
Constitution defines a “marginalized community” as: (a) a community that, because of its
relatively small population or for any other reason, has been unable to fully participate in the
integrated social and economic life of Kenya as a whole;(b) a traditional community that, out of
a need or desire to preserve its unique culture and identity from assimilation, has remained
outside the integrated social and economic life of Kenya as a whole;(c) an indigenous
community that has retained and maintained a traditional lifestyle and livelihood based on a
hunter or gatherer economy; or (d) pastoral persons and communities, whether they are (i)
nomadic; or (ii) a settled community that, because of its relative geographic isolation, has
experienced only marginal participation in the integrated social and economic life of Kenya as a
whole8.

Similarly, the COK, 2010, defines ‘marginalized group’ as: a group of people who, because of
laws or practices, on, or after the effective date, were or are disadvantaged by discrimination on
one or more of the grounds in Article 27 (4) which prohibits discrimination on the basis of
ethnic or social origin, religion, conscience, belief, culture, dress or language. In addition,
article 27(6) calls on the state to undertake, ‘legislative and other measures, including
affirmative action programmes and policies designed to redress any disadvantage suffered by
individuals or groups because of past discrimination’. This article prohibits both direct and
indirect discrimination.

Articles 56 and 260 of the Constitution are a clear demonstration of the intentions of the
country to deal with the concerns of minority and marginalized groups: The definition of
marginalized communities and groups by the COK, 2010, and the provisions for affirmative
action programmes for minority and marginalized groups are efforts to provide a legal
framework for the inclusion of minority and marginalized groups into mainstream development
of the country. These articles present the minority and marginalized groups including groups
that fit the OP 4.10 criteria as a unique category of certain segments of the Kenyan population
that deserve special attention in order to bring them to per with the rest of the country.

The Constitution of Kenya requires the State to address the needs of vulnerable groups,
including “minority or marginalized” and “particular ethnic, religious or cultural communities”
(Article 21.3): The Specific provisions of the Constitution include: affirmative action programs
and policies for minorities and marginalized groups (Articles 27.6 and 56); rights of “cultural or
linguistic” communities to maintain their culture and language (Articles 7, 44.2 and 56);
protection of community land, including land that is “lawfully held, managed or used by specific
communities as community forests, grazing areas or shrines,” and “ancestral lands and lands

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traditionally occupied by hunter-gatherer communities” (Article 63); promotion of

representation in Parliament of “…(d) ethnic and other minorities; and (e) marginalized
communities” (Article 100); and an equalization fund to provide basic services to marginalized
areas (Article 204).

Kenya’s 2010 Constitution provides a rich and complex array of civil and political rights, socio-
economic rights and collective rights that are of relevance to indigenous communities. While
important, constitutional provisions alone are not enough. They require a body of enabling
laws, regulations and policies to guide and facilitate their effective implementation. In 2011,
Kenya’s parliament enacted 22 laws. In the main, these laws are of general application and will
have a bearing on the way in which the state exercises power in various sectors, some of them
of fundamental importance to indigenous communities.

3.1.2 Other National Policies and Laws

Kenya’s legal and regulatory framework has inclusion of several provisions, policies and
instruments that if well developed and implemented hold promise for addressing
marginalization and inclusion of VMGs. These include:

a) The National Land Policy (NLP): The NLP was endorsed in 2009 while the Land Act,
Land Registration Act and National Land Commission Act were adopted in May 2012.
According to the policy, a Community Land Act is scheduled to be adopted within five
years of the enactment of the new Constitution, along with a number of other land
related laws and regulations. The NLP includes a key policy principle for restitution of
land rights of minority communities as a way of restoration and protection of land
rights which were violated by colonial and post-colonial governments (articles 3.6.1.2
and 3.6.6 on restitution and land rights of minority communities respectively). The
policy calls on the GoK to secure community land and to “document and map existing
forms of communal tenure, whether customary or non-customary, in consultation with
the affected groups, and incorporate them into broad principles that will facilitate the
orderly evolution of community land law” (article 3.3.1.2, paragraph 66).

b) The Forest Act of 2005 and Forest Policy of 2007 both provide some provisions for
the customary rights of forest communities and community forestry: The Forest Act
states, that “nothing in this Act shall be deemed to prevent any member of a forest
community from using, subject to such conditions as may be prescribed, such forest
produce as it has been the custom of that community to take from such forest otherwise
than for the purpose of sale” (Article 22), and “…may include activities such as
‘collection of forest produce for community based industries’’ (Article47.2.e) under a
license or management agreement. The Act defines a "forest community" as “a group of
persons who: (a) have a traditional association with a forest for purposes of livelihood,
culture or religion (Article 3). The Forest Policy recognizes the “traditional interests of
local communities customarily resident within or around a forest” (paragraph 4.3).

c) The National Policy on Culture and Heritage (2009) aims to promote and protect
the cultures and cultural diversity among Kenya’s ethnic communities. This includes the

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protection of indigenous languages, the expression of cultural traditions, knowledge,

and practices, traditional medicines, and community rights.

d) Ministry of Education’s Sessional Paper No. I of 2005: A Policy Framework for

Education, Training and Research - Meeting the Challenges of Education, Training and
Research in Kenya in the 21st Century. This sessional paper establishes that the
language of instruction shall be the mother tongue in lower primary school (classes 1-3)
in the rural areas, and that a culturally sensitive approach must be used to address the
learning needs of different communities – including the VMGs.

e) Policy Framework for Nomadic Education in Kenya (COK, 2010): Free and
mandatory education was introduced in Kenya in 2003. However, the pastoralist areas
have continuously recorded a much lower enrolment and completion rates as compared
to the rest of the country. The Government of Kenya formally adopted the Nomadic
Education Policy in 2010 to boost education access to nomadic communities. The
policy contemplates education terms based on seasons rather than calendar terms. The
policy considers use of an academic calendar that would be flexible and factor in climatic
conditions and patterns of nomadic livelihood. The policy provides for the development
of curriculum that would be useful to pastoral lifestyle. The policy further proposes
creation of a National Council for Nomadic Education.

f) National Policy for the Sustainable Development of Northern Kenya and other
Arid Lands. The policy states that the Government will put in place an institutional
and legal framework for the development of Northern Kenya and other arid lands. The
policy thus calls on the government to establish a range of institutions that will provide
long-term continuity in Arid and Semi-Arid Land (ASAL) development, including a
National Drought Management Authority and National Drought and Disaster
Contingency Fund to increase responsiveness to drought, National Council on Nomadic
Education, a Northern Kenya Education Trust, a Livestock Marketing Board, and a
Northern Kenya Investment Fund.

g) Commission on Revenue Allocation, mandated by Article 204 of the Constitution to

earmark 0.5% of annual state revenue to the development of marginalized areas, in
addition to 15% of national revenue for direct transfer to county governments. In
implementing Article 59 of the Constitution, the government has created a) the Human
Rights Commission b) the Commission on Administrative Justice and c) the Gender
Commission.

h) Environment and Land Court Act, No. 19 of 2011 “hears and determines disputes
relating to environment and land, including disputes: (a) relating to environmental
planning and protection, trade, climate issues, land use planning, title, tenure,
boundaries, rates, rents, valuations, mining, minerals and other natural resources; (b)
relating to compulsory acquisition of land; (c) relating to land administration and
management; (d) relating to public, private and community land and contracts, chooses
in action or other instruments granting any enforceable interests in land; and (e) any
other dispute relating to environment and land.

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3.2 International /UN Declarations/Treaties/Agreements

African Commission on Human and Peoples Rights (ACHPR) 4 - The Africa region has also
taken important steps to recognize and apply the concept of Indigenous Peoples: The ACHPR,
a sub-body of the African Union, adopted in 2005 the “Report of the African Commission’s
Working Group of Experts on Indigenous Populations/Communities11.” The report
recognizes the existence of populations who self-define as Indigenous Peoples, who are
distinctly different from other groups within a state, have a special attachment to and use of
their traditional land, and who experience subjugation, marginalization, dispossession,
exclusion or discrimination because of their cultures, ways of life or modes of production
different from those of the dominant society.

The ACHPR report concludes that these types of discrimination and marginalization threaten
the continuation of Indigenous Peoples’ cultures and ways of life and prevents them from being
able to genuinely participate in decisions regarding their own future and forms of development.
The report is the ACHPR’s official conceptualization of, and framework for, addressing issues
pertaining to VMGs, and as such it is an important instrument for recognizing Indigenous
Peoples in Africa, improving their social, cultural, economic and political situation, and for
protecting their human rights. The report outlines the following key characteristics, which
identify certain social groups as VMGs/IPOs in Africa:

• Their cultures and ways of life differ considerably from the dominant society • Their cultures
are under threat, in some cases to the point of extinction
• The survival of their particular way of life depends on access and rights to their lands and the
natural resources thereon
• They suffer from discrimination as they are regarded as less developed and less advanced than
other more dominant sectors of society
• They often live in inaccessible regions, often geographically isolated
• They suffer from various forms of marginalization, both politically and socially.

The ACHPR report concludes that these types of discrimination and marginalization threaten
the continuation of Indigenous Peoples’ cultures and ways of life and prevents them from being
able to genuinely participate in decisions regarding their own future and forms of development.
The report is the ACHPR’s official conceptualization of, and framework for, addressing issues
pertaining to Indigenous Peoples, and as such it is an important instrument for recognizing
Indigenous Peoples in Africa, improving their social, cultural, economic and political situation,
and for protecting their human rights. In line with the approach of the United Nations 5, the
ACHPR emphasizes the principle of self-identification, and stresses that the criteria for
identifying Indigenous Peoples in Africa is not mainly a question of aboriginality but of the
above factors of structural discrimination and marginalization. The concept should be
understood as an avenue for the most marginalized to advocate their cause and not as an
attempt to deny any African his/her rights to their African identity. The report emphasizes

4
See ACHPR, Report of the African Commission’s Working Group of Experts on Indigenous
Populations/Communities, Banjul & Copenhagen: ACHPR & IWGIA, 2005; and ACHPR, Indigenous Peoples in Africa:
the Forgotten Peoples? The African Commission’s work on Indigenous Peoples in Africa, Banju l & Copenhagen:
ACHPR & IWGIA, 2006.
5
E.g. the ILO Convention 169 and the UN Declaration on the Rights of Indigenous Peoples

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that the African peoples who are applying the concept include mainly hunter-gatherers and
pastoralists.
3.3 World Bank’s Policy
The World Bank has a set of “Do No Harm” safeguard policies that are meant to protect
Project Affected Persons (PAPs) from impacts and actions of Bank financed projects: Some of
the World Bank’s development activities have significant impacts on the rights and livelihoods
of VMGs, who worldwide constitute the “poorest of the poor and continue to suffer from higher
rates of poverty, lower levels of education and a greater incidence of disease and discrimination
than other groups” (World Bank 2010). Since the early 1980s the World Bank Group (WBG)
has adopted a number of policies, designed to mitigate harm to indigenous peoples in WBG-
financed projects (Mackay, 2005). These have been referred to as safeguard policies.

The World Bank Operational Policy/Bank Procedures Indigenous Peoples (OP/BP 4.10). The
operational policy requirement that Bank-financed projects are designed not only to avoid
adverse impacts but equally important to recognize that “the distinct identities and cultures of
VMGs remain inextricably linked to the lands they inhabit and the natural resources they
depend upon to survive”. The policy provides processing requirements for VMGs that include:
(i) screening,
(ii) social assessment, in consultations with communities involved,
(iii) preparation of Indigenous Peoples Plan (IPP) or Indigenous Peoples Policy Framework
(IPPF) and,
(iv) disclosure.

It also requires the borrower to seek broad community support of VMGs through a process of
FPIC before deciding to develop any project that targets or affects VMGs.

The World Bank, like the UN, has no definition of IP: because of the varied and changing
contexts, in which VMGs live, and because there is no universally accepted definition of IP
(paragraph 3), OP 4.10 presents a set of characteristics for identifying VMGs. For purposes of
this policy, the term” Indigenous Peoples” is used in a generic sense to refer to a distinct,
vulnerable, social and cultural group possessing the following characteristics in varying
degrees:
a) Self-identification as members of a distinct indigenous cultural group and recognition of
this identity by others;
b) Collective attachment to geographically distinct habitats or ancestral territories in the
project area and to the natural resources in these habitats and territories
c) Customary, cultural, economic, social, or political institutions that are separate from
those of the dominant society and culture; and
d) An indigenous language, often different from the official language of the country or
region.

The preparation, implementation, and monitoring of this VMGF follows the provisions of the
World Bank Operational Policy/Bank Procedures on Indigenous Peoples (OP/BP 4.10).

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4. Potential Project Impacts

The KISIP sub-projects have a likelihood of precipitating a range of political and governance,
institutional, environmental, social, economic, technological, technical skills, fiduciary related
positive and negative impacts. The KISIP II is assigned EA category B, based on the screening
during project preparation. There are no significant and/or irreversible adverse environmental
and social issues anticipated from the investments to be financed under the Project. Civil works
may lead to relatively minor air and water pollution during the construction phases and, once
the works are completed, limited loss of non-critical animal and plant habitats.

4.1 Environmental Risks 6

The envisaged environmental risks at project implementation include: (i) Air and water
pollution during construction phase; (ii) construction wastes (iii) Noise and vibrations during
construction, (iv) technical capacity to handle implementation and monitoring of the projects’
safeguards instruments is limited and especially at county level.

The project impacts were assessed through a screening process and appropriate mitigation
measures were proposed in the Environmental and Social Management Framework (ESMF).
The ESMF also contains an environmental and social screening process, including impacts
related to natural habitats, displacement and physical cultural resources, as well as mitigation
guidelines at the micro-project level.

4.2 Social Risks

The main social risks are the potential displacement of people and livelihoods; and the
likelihood of exclusion of the VMGs. The potential displacement impacts and mitigation
measures have been detailed in the Project’s Resettlement Policy Framework (RPF).

A key principle of the project is inclusion and therefore the VMGF will focus on how to ensure
that VMGs are aware of the project and can participate. The VMGF includes:

a) screening to determine presence of Vulnerable and Marginalized Groups (Indigenous

Peoples per OP 4.10 criteria) in the project areas and, if present,
b) measures to ensure they benefit from the project activities through the preparation of a
Vulnerable and Marginalized Group Plan (VMGP).

4.2.1 Positive Impacts

6
For a more detailed description of the environmental impacts and proposed mitigation measures, refer to the
project’s Environmental and Social Management Framework (ESMF).

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The positive impacts of the projects: improved tenure security, connectivity through roads and
footpaths, improved drainage, water and sanitation, access to electricity and improved security
in the settlements will also accrue to the VGMs. Moreover,

a) VMGs would get an opportunity to integrate development model within their traditional
economies towards livelihood improvement while preserving their identity and dignity,
b) Targeted support on VMGs that is based on baseline survey will inform inclusive socio-
economic benefits that are culturally relevant.
c) Women groups among the VMGs will be able to access employment and income-
generating activities.
d) Understanding of VMGs by the county government and other development will:
• Draw attention to the marginal status of the VMGs and
• Attract development resources from alternative sources like the county development
funds and other donor or development partners

4.2.2 Adverse Impacts

Permanent effects - Permanent effects could result in loss of use of property, vegetation, or
land by the affected person as a result of the subproject activities. Such effects are anticipated to
affect:

• Vulnerable groups whose land is found suitable for these infrastructures and this
can translate into either loss of land, pasture and crop cover or all. The
mitigation is for KISIP to avoid the need for land acquisition and displacement
of people. Where land acquisition is inevitable, the provisions in the RPF should
be followed.
• Increase of infectious diseases like HIV/AIDS due to new interactions of
communities,’ specifically “foreign” workers who will be engaged in the
construction activities. Sensitization and awareness about HIV/AIDs will be
carried out as a mitigation measure for reducing incidence of contracting
HIV/AIDs and other sexually transmitted diseases.
• Some of the sites chosen for sub-projects may be culturally important or sacred
to VMGs. It will be essential to have consultations to address such concerns, and
ways to avoid or mitigate adverse cultural impacts.
• Exclusion of VMGs from the project due to:
a) Limited understanding of VMGs by national and country government
officers, and other stakeholders.
b) Language barriers due to low literacy and competence in national language
c) Cultural barriers that exclude women and youth from certain economic
activities and assets
d) Livelihood style like pastoralism, hunting and gathering, fishing
e) Women on-farm and household chores
f) Logistical issues like remoteness, distance, and transport cost from and to
VMG sites
g) Lack of institutional frameworks (saving and credit)
h) The remoteness of VMGs site might limit the market-oriented opportunities

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• Transference of unsettled historical land injustices to KISIPP context. Overreliance on

KISIPP to address historical marginalized and exclusion from the integrated social and
economic life of Kenya as a whole

Temporal impacts - Temporal impacts will result in an interruption in the current use of
property or land by the affected communities or individuals as a result of the subproject
activities.
4.3 Other Risks
Other risks at the county level include:
a) Weak capacity to implement and monitor safeguards at the county level as this is a
recently devolved function. A training component is included into the project design
targeting counties to address this as well training for communities and provision for the
ESMF, RPF and VMGF to guide development of plans and legal requirements for
national gender policy.
b) Socio-cultural issues in some target communities hinder resource allocation/sharing,
resource access and use, and equity issues in project implementation, particularly the
inclusion of women and youth in decision making structures and access to project
benefits. The project will require gender analysis as part of the consultation process and
development of the action plan.
c) Compensation for community land and/or donations of community land for investments
may also be challenging. The project has prepared an RPF, which lays out the principles
for compensation. As per the project design, the bulk of the investments are not likely to
result in physical resettlement or land acquisition.

In addition to these above impacts the following risks have been envisaged as being likely to
influence the outcome of project.

Table 2: Potential Project Risks

Risk Category Rating (High, Substantial, Moderate, Low)
Political and Governance SUBSTANTIAL: The risk rating is based on current devolved
structure of government. County governments now play the
primary role of delivering infrastructure and planning. The
capacity of county governments to deliver these services is
currently inadequate.
Sector Strategies and MODERATE: There is moderate risk of adverse impact on the
Policies. project implementation stemming from sector strategies and
policies. KISIP is consistent with the country’s main urban
development policies and strategies, but their coordination needs
to be strengthened.
Technical Design of MODERATE. The project design aims to address lack of access
Project to services and land tenure in informal settlements. This risk
relates to the capacity of county governments to design sub-
projects. KISIP will supplement capacity with consultants.
Institutional Capacity for SUBSTANTIAL. This risk is related to the uncertainty
Implementation and regarding the county governments’ capacity to sustain the

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Sustainability outcomes of KISIP beyond the project period. However,

investing in capacity building at County level is among the top
priorities.
Fiduciary SUBSTANTIAL. The overall fiduciary environment has
inherent weaknesses associated with inadequate financial
management and procurement control systems primarily at
county level. Detailed assessment of the financial and
procurement system will be finalized during project appraisal.
Social Safeguards MODERATE. Communities are highly influenced by the
political and social conditions; thus decisions could be driven by
political agenda. To minimize the possibility of certain groups
being excluded from the sub-projects, a participatory targeting
approach to identify and support VMGs, including IPs, will be
adopted.
Environmental Safeguards MODERATE. The project has triggered the OP 4.01. This risk
will be mitigated using the screenings under the Environmental
and Social Management Framework (ESMF), which will guide
the preparation of micro-project specific Environmental
Management Plans (EMPs).
Stakeholders MODERATE. Counties selected to participate in the project
may include those with IPs. Opposition from IP representatives
is not uncommon in Kenya. Community members will be actively
engaged in local level planning and implementation of project
activities.

4.4 Proposed Mitigation Measures

To avoid or minimize adverse impacts and, at the same time, ensure enhancement of benefits
and full participation of the vulnerable groups, KISIP will:

• Ensure that vulnerable and marginalized groups in general and their organizations are
informed of activities selection, design, and implementation processes to seek input and
to provide clarification.
• Carry out analysis of socio economic impacts of proposed sub projects on vulnerable
groups through a transparent process with the free and informed participation of the
affected communities.
• Ensure that the interventions do not unnecessarily and unintentionally exacerbate
factors outside the scope of planned impacts;
• Screen the activities of subprojects for a preliminary understanding of the nature and
magnitude of potential impacts, and explore alternatives to avoid or minimize any
adverse impacts as detailed in the ESMF and RPF;
• Be guided by the ESMF and RPF which spell out the principles of mitigation measures
to address such negative impacts.
• Undertake the necessary tasks in order to adopt appropriate mitigation measures. The
most important in this respect is consultation with the VMG communities, community

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elders/leaders, civil society organizations like NGOs and others who have experience
working with other vulnerable groups.

A summary of the potential adverse impacts of sub project investments under KISIP on VMGs
and possible mitigation actions are highlighted in Table 3 and should be considered as a
guideline in the development of investment specific VMGPs.

Table 3: Potential Adverse Project Impacts and Mitigation Measures

Impact Possible Actions Responsibilities
and Issues
Loss of Land No displacement of VMGs and thus exclude all PCT
sub projects screened and determined to trigger
displacement of VMGs.

Because physical relocation of VMGs is

particularly complex and may have significant
adverse impacts on their identity, culture, and
customary livelihoods, the Bank requires the
borrower to explore alternative project designs to
avoid physical relocation of Indigenous Peoples. In
exceptional circumstances, when it is not feasible
to avoid relocation, the borrower will not carry
out such relocation without obtaining broad
support for it from the affected Indigenous
Peoples’ communities as part of the free, prior, and
informed consultation process. In such cases, the
borrower prepares a resettlement plan in
accordance with the requirements of OP 4.12,
Involuntary Resettlement that is compatible with
the VMGs cultural preferences, and includes a
land-based resettlement strategy. As part of the
resettlement plan, the borrower documents the
results of the consultation process. Where
possible, the resettlement plan should allow the
affected VMGs to return to the lands and
territories they traditionally owned, or
customarily used or occupied, if the reasons for
their relocation cease to exist.
Increased risk of Disseminate public health messages and measures PCT
exposure to to combat spread of diseases Contractors
diseases such as
HIV/AIDS and
other
communicable
diseases
Physical/Economic No physical displacement of VMGs and thus
Displacement of exclude all sub projects screened and determined

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VMGs to trigger displacement of VMGs

Where resettlement is necessary, compensate the

VMGs who are economically displaced
Loss of traditional The project impacts will be minimal. PCT
livelihoods
Encroachment on The project will not likely encroach or degrade PCT
and degradation of land or natural resources.
land, territory and
natural resources Where temporary impacts occur they will be
mitigated through the ESMF and RPF.
Participation of KISIP executing agencies will ensure that
women and youth consultations and information dissemination is
gender- and inter-generationally appropriate
Increased a) Adequate communication and engagement PCT
marginalization framework to ensure VMPs voices are heard
and exclusion of b) A functional and effective Grievance Redress
the VMGs Mechanism.
c) Disclosure: KISIP will ensure that all project
design frameworks and consecutive processes
and activities disclosed in culturally
appropriate and accessible manner using FPIC
guidelines stipulated in this document.
d) Capacity Development of VMGs and
Stakeholders: KISIP will finance and support
the development of and training on
standardized training modules.

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5. Sub-Project Screening and Social Assessment (SA)

5.1 Sub Project Investment Screening

Screening of all the sub-project investments under KISIP will be a mandatory requirement
prior to implementation to determine if vulnerable and marginalized people are present because
the sub project investment locations have not yet been identified. Any project investment
involving involuntary resettlement, acquisition or physical relocation of VMGs will be avoided
at all costs and excluded for consideration.

Screening will be done in early in sub project preparation to determine whether VMGs are
present in, or have collective attachment to, the project area. In conducting this screening, the
technical judgment of qualified social scientists with expertise on the social and cultural groups
in the project area will be sought. Consultations with the VMGs concerned and the executing
agency will be undertaken.

The existing administrative structures of the County up to the settlement level will be used to
inform the vulnerable and marginalized communities about the proposed sub project and
arrange for consultative meetings. Settlement Executive Committee members, VMG leaders
will also be involved in dissemination of information about the meetings. Local radio stations
may be used to communicate the meeting dates, venues, and purpose.

To ensure inclusive participation:

a) Meetings may be conducted in indigenous languages
b) Representatives of the vulnerable and marginalized groups in collaboration with the
local administration in the sub project area will select a venue that is considered by way
of mutual consensus as appropriate.
c) Provide adequate notice for the meetings and allow time for consensus building, and the
articulation by VMGs of their views and preferences.
d) Ensure the time chosen for the meetings is appropriate for majority of the VMGs to
attend.

However, the subprojects that are selected may not impact the entire group or it may impact
non vulnerable group living in their midst (several VM groups appear to be dispersed among
other ethnic groups). In view of which it is necessary to carefully identify who will be
adversely affected by subprojects which may well turn out to be part of a VM group or parts of
several different groups only some of which are VM. This will be done during the screening
phase of the sub project implementation.

5.1.1 Screening Methodology

Screening will be done using a screening check list in a collaborative and consultative approach.
The KISIP Environmental and Social Specialists will prepare the screening forms in

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collaboration with the implementing Counties for the specific sub project considered for
implementation. A sample screening form is shown in Annex 1.

The criteria for screening will use both the OP 4.10 criteria of VMGs and the GOK definition.
If the results show that there are VMGs in the zone of influence of the proposed sub-project, a
Social Assessment (SA)/analysis will be undertaken.

5.1.2 Screening Criteria

The KISIP and Consultants responsible for subproject preparation and implementation will
visit all VMGs settlements near the selected subproject areas, which may be affected and
influenced by the subproject components. Public meetings will be arranged in selected
communities by the KISIP PCT with the VMGs and their leaders to provide them information
about the subproject and take their views on the subproject. The consultant will be a social
scientist with knowledge of various VMG in sub project areas.

During this visit, the screening team will undertake screening of the VMGs with the help of
the community leaders and local authorities. The screening will cover the following aspects:
a) Name(s) of VMGs in the area;
b) Total number of VMGs in the area;
c) Percentage of VMGs to that of total area/locality population
d) Number and percentage of VM households along the zone of influence of the proposed
subproject.
e) Any land acquisition required from any VMGs for the subproject?
f) If so, any alternatives to avoid land acquisition?
g) Will a VMGPs be required if a subproject passes through any VMG?
h) If no, why?

5.2 Social Assessment

If, based on the screening, the KISIP concludes that VMGs are present in, or have collective
attachment to, the project area; a social assessment will be undertaken to evaluate the project’s
potential positive and adverse effects on the VMGs, and to examine project alternatives where
adverse effects may be significant. The breadth, depth, and type of analysis required for the
social assessment will be proportional to the nature and scale of the proposed sub project’s
potential and effects on the Vulnerable and Marginalized Groups present. The KISIP will
prepare detailed Terms of Reference (ToR) for the social assessment study once it is
determined that VMGs are present in the project area. Annex 4 contains draft sample ToRs for
the development of a VMGPs.

The social assessment will also identify if the proposed investment will involve change in use or
management of commonly held properties in the community as well as involving the
commercial development of natural and cultural resources on lands or territories that VMGs
traditionally owned, or customarily used or occupied. The social assessment will ensure free,
prior and informed consultation with the VMGs during project planning and implementation.
It will ensure that mitigation of potential adverse impacts, deriving from project activities, will

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be based on a participatory and consultative process acceptable to the World Bank and the
VMGs themselves.

Sub project investments will comply with the following other than social screening namely; -
a) Conserve and sustainably use land and other natural resources that impact on VMGs
and other communities
b) Mitigate any possible adverse impacts
c) Be socially and culturally acceptable to the VMGs and economically feasible Be
institutionally feasible: Local institutionally capacity should be adequate to take up
activities
d) Be environmentally sustainable and avoid detrimental impacts from those activities that
cannot be mitigated
e) Be supported by the VMGs and other communities through participatory consultation •
Be supported by training and capacity building if necessary to enhance VMGs and
community development

5.2.1 Methodologies for Social Assessment

Combined qualitative and quantitative analysis method

Usually social Assessment (SA) is comprehensive and involves complex social issues
quantitative analysis is preferred, such as for population structure, educational level and
socioeconomic indicators. These indicators are analysed arithmetically and evaluated
objectively. Qualitative indicators that cannot be quantified should be analysed and evaluated
through a combination of qualitative and quantitative analysis, but primarily qualitative
analysis. However, in this case the impacts are expected to be minimal and the social
assessment/analysis will be in line with the scope of impacts identified and indeed will focus
more on how to enhance coverage to more VMGs.

Comparative analysis method

The comparative analysis method is designed to find out the social profile of a project area in
the absence of the project, and the impacts of the project on the area after its completion,
thereby identifying the natures and degrees of different benefits and impacts.

Stakeholder analysis method

Stakeholders refer to all parties directly or indirectly interested in the Project, and affecting the
success of the Project directly or indirectly. The stakeholder analysis method, identifies
different stakeholders involved in the Project and prepares a stakeholder table, detailing
expectations for the Project roles and responsibilities for successful project implementation.

Participatory assessment
Participatory assessment is a method that involves all stakeholders in SA. The key points
include listening to all stakeholders’ opinions respecting all participants, showing interests in
their knowledge, speeches and behaviours, and encouraging them to share their knowledge and
ideas. Through a semi-structured survey and whole-process participation, this method will
make compensation and resettlement programs, measures for mitigating social risks, and other
programs concerning the affected persons’ immediate interests more operable and acceptable.

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Other methods
A number of data analysis tools and methods may be used in undertaking SA, including: a)
socioeconomic survey; b) institutional analysis; c) social gender analysis; d) social impact
analysis; e) poverty analysis; and f) social risk assessment.

5.3 Process of Conducting SA

The process of gathering baseline information on demographic social, cultural, and political
characteristics of the affected VMGs, the land and territories that they have traditionally
owned or customarily used or occupied, and the natural resources on which they depend will be
through a participatory rural appraisal mapping exercise involving the VMGs in the proposed
project investment area. Mapping the community resources where the project investments are
targeted will determine the sphere of influence, how the vulnerable and marginalized
communities utilize the said resources so as identify how project can enhance utilization of
these resources.

Regarding customary rights of VMGs to use of common resources, the mapping will provide
information on (i) location and size of the area and condition of resource, (ii) primary users,
including those that belong to VMGs that currently use or depend on these common resources,
(iii) secondary users and the types of uses they make, (iv) the effects of these uses on the VMGs,
and (vi) mitigation measures of adverse impacts if any.

The following survey methods should be used mainly in SA for sub project investments where
a VMGP is required.

5.3.1 Literature Review:

Literature review is intended to learn the history and background of the project, and the social
and economic development of each subproject area, which is an important basis for in-depth
field survey. The SA team should collect feasibility study reports, plans and other documents
related to the Project according to the Bank policies of Indigenous Peoples and Involuntary
Resettlement, including:

1. Statistics: social and economic development statistics of the sub project area; census and
sampling population survey data; statistics on social relief.

2. Documents: documents of construction, traffic on project implementation; provisions of civil

affairs authorities on minimum living security; documents of the social security authorities on
unemployment and medical insurance

3. Research findings: existing research findings on construction planning and other findings
related to the Project Design documents related to the Project: project proposals, feasibility
study reports and relevant documents

4. Review of Legal Framework: A review, on a scale appropriate to the project, of the legal and
institutional framework applicable to VMGs.
5. Focus Group Discussions (FGD): Should be held with officials and technicians of competent
authorities aimed to learn their attitude to, ideas t and suggestions for the project.

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5.3.2 Stakeholder Identification

All the interested and affected stakeholders will be identified with specific focus of the
vulnerable and marginalized groups and will include an elaboration of a culturally appropriate
process for consulting with the VMGs at each stage of project preparation and implementation.
A stakeholder mapping exercise will be conducted for each of the proposed sub-projects
investment where there is a likelihood of VMGs being affected and the stakeholder mapping
process will ensure that all the interested and affected stakeholders are identified and included
in the social assessment process including impact identification and mitigation.

5.3.3 Stakeholder Consultation

Once screening has been conducted and an investment found to be located in an area where
vulnerable and marginalized groups are present, the existing administrative structures –county
and sub county leaders will be used to inform the vulnerable and marginalized communities
about the proposed sub project. County leaders in collaboration with KISIP will facilitate and
arrange for consultative meetings with members of the vulnerable and marginalized groups and
in these meetings there will be free and prior information about the proposed sub project, the
proposed location, and potential adverse impacts of the project on the marginalized and
vulnerable groups.

Such consultation will include use of indigenous languages, allowing time for consensus
building, and selecting appropriate venues to facilitate the articulation by VMGs of their views
and preferences. Representatives of the vulnerable and marginalized groups in collaboration
with the local administration in the sub project area will select a venue that is considered by
way of mutual consensus as appropriate.

Engagement will be based on honest and open provision of information, and in a form that is
accessible to VMGs. Engagement will begin at the earliest possible stage, prior to substantive
on-the-ground activity implementation. Engagement, wherever possible, will be undertaken
through traditional authorities and structures within communities and with respect for
traditional decision-making structures and processes. However, recognition of the limitation
these structures sometimes pose for some groups, such as women and young people will be
taken into account.

Good practice community engagement, in the context of Vulnerable and Marginalized Groups
and projects, will aim to ensure that:

 Vulnerable and Marginalized Groups have an understanding of their rights

 Vulnerable and Marginalized Groups are informed about, and comprehend the full
range (short, medium and long-term) of social and environmental impacts – positive and
negative – that can result from the proposed investment
 Any concerns that Vulnerable and Marginalized Groups have about potentially negative
impacts are understood and addressed by the KISIP
 Traditional knowledge informs the design and implementation of mitigation strategies
and is treated respectfully

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 There is mutual understanding and respect between the KISIP and the Vulnerable and
Marginalized Groups as well as other stakeholders
 Vulnerable and Marginalized People aspirations are taken into account in project
planning so that people have ownership of, and participate fully in decisions about,
community development programs and initiatives
 The project has the broad, on-going support of the Vulnerable and Marginalized
Groups
 The voices of all in the Vulnerable and Marginalized Groups are heard; that is,
engagement processes are inclusive.

5.3.4 Impact Identification Including Long Term

The assessment of each sub project investment beneficial and adverse impacts will be conducted
based on free, prior, and informed consultation, with the affected Vulnerable and Marginalized
Groups (VMGs), on the potential adverse and positive effects of the investment. In a
participatory process the determination of potential adverse impacts will entail an analysis of
the relative vulnerability of, and risks to, the affected VMGs given their distinct circumstances
and close ties to land and natural resources, as well as their lack of access to opportunities
relative to other social groups in the communities, regions, or national societies in which they
live.

Another concern is that while projects may consider short-term positive or negative impacts,
they usually fail to consider the long-term impacts that project interventions could have on the
livelihood, social organization and cultural integrity of VMGs, such as irrigation, dams or road
improvement projects that may open up remote areas and increase pressure on indigenous
lands and resources. Therefore, the identification of impacts should consider the long-term
impacts as well.

5.3.6 Determination of Mitigation Measures

The identification and evaluation, based on free, prior, and informed consultation with the
affected VMGs, of measures necessary to avoid adverse effects, or if such measures are not
feasible, the identification of measures to minimize, mitigate, or compensate for such effects,
and to ensure that the VMGs receive culturally appropriate benefits under the project will be
conducted in a participatory manner. The use of the above mentioned methods in the SA
process will be used in determining mitigation measures. Mitigation measures may involve
compensation as well and typical mitigation actions or compensations

5.3.7 Development of strategies for participation of Vulnerable and Marginalized

Groups

Participation will be through meetings with the different groups of the vulnerable and
marginalized communities primarily to ensure that;
a) The VMGs are aware of the project and its impacts
b) Aware of any restrictions and negative impacts
c) Can discuss compensatory measures
d) Provide support to VMG participation arrangements in the project

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e) Are aware of the GRM and

f) Provide broad community support

Sub project activities selected should ensure that the VMGs do not: Face further physical and
economic displacements from land and other natural resources traditionally utilized by them as
source of livelihood and basis for their cultural and social system.

5.3.8 Strategies for inclusion of women and youth

While it is important to acknowledge the role of elders and other traditional community
leaders, it should not automatically be assumed that those who occupy formal leadership
positions, whether they be traditional or government appointed, represent all interests in the
community. In particular, the KISIP need to be sensitive to those sections of the community
who are frequently excluded from the decision-making process, such as women and young
people.

During the Social Assessment, where it is determined that traditional decision-making

structures exclude women and younger people, it may be necessary to obtain input from these
groups by less direct means (for example, and where possible, via community needs surveys and
baseline studies, or through informal discussions with small groups).

Overall KISIP and executing agencies will have to consider and apply the following strategies
in order to avoid many of these problems associated with VMGs:

 Confer with the VMGs at the outset on how they wish to be engaged
 Understand and respect local entry protocols as they relate to permission to enter a
community and access traditional lands
 Commit to open and transparent communication and engagement from the beginning
and have a considered approach in place
 Ensure that all representatives of the KISIP staff carrying out the specific sub project
investment including third party subcontractors and agents are well briefed on local
customs, history and legal status, and understand the need for cultural sensitivity
 Regularly monitor performance in engagement
 Enlist the services of reputable advisers with good local knowledge.

5.4 Who Conducts the SA

The social assessment (SA) will be undertaken by the social consultants who will be recruited
by the KISIP as part of developing the Vulnerable and Marginalized Groups Plan (VMGP).
The TOR for the work will be shared with World Bank for clearance. The SA consultants will
gather relevant information from separate group meetings: Discussions will focus on sub-
Project impacts, positive and negative; and recommendations for design of subproject. The
social consultants will be responsible for carrying out the SA, analysing the SA, and for leading
the development of the VMGP the VMGs, project engineers, and other staff.

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6. A Framework for Free, Prior, Informed Consultation

6.1 Free, Prior Informed Consultation

The WP 4.10 requires that a process of free, prior, informed and accessible consultation leading
to broad community support, with the affected vulnerable and marginalized communities
throughout the KISIP design and implementation process. The (FPIA-Consultation will be
used in conjunction with the ESMF/P and RAF/P to ensure that any potential negative
impacts are avoided, minimized and/compensated, and further that they share benefits accruing
from KISIP and micro-project.

Free, prior, informed and accessible consultation (FPIA-Consultation, refers to a process

whereby affected vulnerable and marginalized communities, freely have the choice, based on
sufficient information concerning the benefits and disadvantages of the project and how these
activities occur.

The consultation process will ensure that any negative impact on the youth and differently
abled in the VMG area is addressed and they as well share benefits accruing from the KISIP
and its sub-projects. FPIC of the vulnerable and marginalized communities will be conducted at
each stage of the project, and particularly during project preparation, to fully identify their
views and ascertain their broad community support for the project.

6.2 The Elements of FPIC

a. Free – people are able to freely make decisions without coercion, intimidation or
manipulation
b. Prior – sufficient time is allocated for people to be involved in the decision-making process
before key project decisions are made and impacts occur
c. Informed – people are fully informed about the project and its potential impacts and
benefits, and the various perspectives regarding the project (both positive and negative)
d. Consultation – there are effective uses of consultation methods appropriate to the social
and cultural values of the affected Indigenous Peoples’ communities and their local
conditions and, in designing these methods, gives special attention to the concerns of
Indigenous women, youth, and children and their access to development opportunities and
benefits.

6.2 FPI-Consultation Tools

KISIP will utilize an evidenced approach and tools to ensure FPIC is observed throughout the
life of project. The proposed FPIC tools will include stakeholders’ attendance lists,
photographic evidences and minutes and/or back-to-office report.

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6.3 Strategy for Participation and Consultation with VMGs 7

Participation of VMGs in selection, design and implementation of the subprojects will largely
determine the extent to which the VMGP objectives would be achieved. To ensure benefits
have as wide a reach as possible and where adverse impacts are likely, the KISIP will undertake
prior and informed consultations with the likely affected indigenous communities and those
who work with and/or are knowledgeable of indigenous people’s development issues and
concerns. To facilitate effective participation, the VMGP will follow a timetable to consult
indigenous people communities at different stages of the Project program cycle, especially
during preparation and implementation of the VMGPs. The primary objectives would be to
examine the following:

a) To seek their inputs/feedback on how to maximize benefits accessibility and how to

avoid or minimize the potential adverse impacts associated with the required works;
b) Identify culturally appropriate impact mitigation measures; and
c) Assess and adopt economic opportunities, which the EA could promote to complement
the measures required to mitigate the adverse impacts.

Consultations will be carried out broadly in two stages. First, prior to final selection of any
subproject located in an area inhabited by VMGs, the KISIP will consult the VMGs about the
need for, and the probable positive and negative impacts associated with the
expansion/renovation works. Second, prior to detailed impact assessment, ascertain how the
VMGs in general perceive the need for undertaking physical works for the subproject and
gather any inputs/feedback they might offer for better outcomes, which would eventually be
addressed in VMGPs and design of the physical works.

The VMGPs communication strategy will:

 Facilitate participation of VMGs with adequate gender and generational representation;
customary/traditional VMG organizations; community elders/leaders; and civil society
organizations on VMGs development issues and concerns.
 Provide them with relevant information about the subproject, including that on
potential adverse impacts, organize and conduct the consultations in manners to ensure
free expression of their views and preferences.
 Document details of all consultation meetings, with VMGs perceptions of the proposed
works and the associated impacts, especially the adverse ones and any inputs/feedbacks
offered by VMGs; and an account of the broad community support by VMGs

The EA will assess the detailed impacts at household and community levels, with a particular
focus on the adverse impacts perceived by VMGs and the probable (and feasible) mitigation and
community development measures. To ensure continuing informed participation and more
focused discussions, the communication strategy will provide affected VMGs with the impact
details of the proposed project works. Consultations will cover topics/areas concerning cultural
and socioeconomic characteristics, as well as those VMGs consider important. Consultations
will continue throughout the preparation and implementation period, with focus on the

7
See KISIP Stakeholder Engagement Framework for a more detailed discussion.

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households directly affected. Consultation stages, probable participants, methods, and expected
outcomes are suggested in the VMGs consultation matrix below.

Table 4. Indicative VMGs Consultation Matrix

Consultation Stages Consultation Expected
Stages Consultation Participants
Project VMGs Method Outcome
Authority community
Reconnaissance & KISIP , project VMGs, including Open meetings First-hand
ground verification consultants organizations, & discussions, assessment of
of project sites (Social Scientist) community visit of VMGs’
and other leaders/elders proposed perception of
stakeholders subproject sites, potential
IP settlements social benefits
& surroundings and risks, and
prospect of
achieving
broad base
support for
the civil works
Screening of the KISIP , VMGs, including Open meetings, Identification
proposed sub Consultants(Soci likely affected focus group of major
projects al Scientists) & IPs, IP discussions, impact issues,
Other organizations, spot interviews, feedback from
stakeholders community etc. VMGs and
leaders/elders, would-be
key informants affected
persons for
the civil works
In-depth study of KISIP , project Would-be Formal/inform More concrete
risks and benefits consultants affected VMGs, al interviews; view of impact
taking into (Social Scientist), VMGs focus group issues & risks,
consideration, inter NGOs / CBOs, organizations, discussions; and feedback
alia the conditions Other Community hotspot on possible
that led to knowledgeable leaders/elders, discussion on alternatives
community persons key informants specific impacts, and mitigation
consensus alternatives, and
and mitigation; development
etc. measures
Social KISIP , project Adversely Structured Inputs for
Assessment/analys Consultants(Soci affected survey VMGP, and
is al Scientist) Individual questionnaires identification
VMGs/househol covering of issues that
ds quantitative & could be
qualitative incorporated
information into the
design

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delivery
Preparation of civil KISIP , project VMGs, Group Preparation of
works and VMGP consultants organizations, consultations, VMGP, and
(Social Scientist) Community hotspot incorporation
and Other leaders/elders, discussions, etc. of SA inputs
stakeholders adversely affected into
VMGs engineering
design to
avoid or
minimize
adverse
impacts, and
VMGs
development
program
Implementation KISIP , Individual Implementation Quick
Consultants(Soci VMGs, Monitoring resolution of
al Scientists) & organizations, committees issues,
Other community (formal or effective
stakeholders leaders/elders, informal) implementatio
other n of VMGP
stakeholders
Monitoring & KISIP , VMGs Formal Identification
Evaluation consultants organizations/ participation in & resolution
(Social groups and review and of
Scientists), individuals monitoring implementatio
NGOs & CBOs n issues,
effectiveness
of VMGP

Where the project affects VMGs, the PCT will engage in FPIC with them. To ensure such
consultation, the PCT:
a) Establishes an appropriate gender and inter-generationally inclusive framework that
provides opportunities for consultation at each stage of project preparation and
implementation among the implementing structures, the VMGs, the VMGOs if any,
and other local Civil Society Organizations (CSOs) identified by the affected VMGs
b) Uses consultation methods appropriate to the social and cultural values of the affected
VMGs and their local conditions and, in designing these methods, gives special
attention to the concerns of VMGs women, youth, and children and their access to
development opportunities and benefits; and
c) Provides the affected VMGs with all relevant information about the project (including
an assessment of potential adverse effects of the project on the affected VMG
communities) in a culturally appropriate manner at each stage of project preparation
and implementation.

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6.4 Decision on Sub-Projects

In deciding whether to proceed with respective micro-project, the PCT will ascertain, on the
basis of social analysis, FPIC, whether the affected VMGs communities provide their broad
support to the project. Where such support will be provided, the PCT will prepare a detailed
report that will document:

a) The findings of the social assessment;

b) The process of FPIC with the affected VMG communities;
c) Additional measures, including project design modification, that may be required to
address adverse effects on the VMGs and to provide them with culturally appropriate
project benefits;
d) Recommendations for FPIC with and participation by VMGs during project
implementation, monitoring, and evaluation; and
e) Any formal agreements reached with VMGs and/or the VMGOs.

The PCT will then submit the social assessment report for inspection by the World Bank and
advice based on the outcome of the FPIC with the VMGs as a basis for determining whether
there is such report.

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7. Vulnerable and Marginalized Groups Plans (VMGPs)

This VMGF contains specific measures to ensure that the VMGs receive social and economic
benefits that are culturally appropriate, including measures to enhance the capacity of the
project implementing agencies and other stakeholders. This VMGF calls for the preparation of
a VMGP for each micro-project screened and found to be implemented in areas where VMGs
are present or have a collective attachment. The VMGP will be prepared through a
consultative process.

7.1 Elements of a Vulnerable and Marginalized Groups Plan

All the VMGPs that will be prepared will include the following elements, as needed:
a) A summary of a scale appropriate to the project, of the legal and institutional framework
applicable to Indigenous Peoples. Relevant baseline information on the demographic,
social, cultural characteristics of the affected Indigenous Peoples’ communities, and the
natural resources on which they depend within project affected area.
b) A summary of the social assessment findings
c) A summary of the framework and results of the FPIC with the affected VMGs that was
carried out during project preparation and that led to broad community support for the
project.
d) An action plan of measures to ensure that the VMGs receive social and economic
benefits that are culturally appropriate, including, if necessary, measures to enhance the
capacity of the project implementing agencies.
e) When potential adverse effects on VMGs are identified, appropriate action plans of
measures to avoid, minimize, mitigate, or compensate for these adverse effects.
f) The cost estimates and financing plan for the VMGP. Accessible procedures appropriate
to the project to address grievances by the affected VMGs arising from project
implementation. When designing the grievance procedures, the borrower takes into
account resolution of grievances at lowest levels possible; the availability of judicial
recourse and customary dispute settlement mechanisms among the VMGs.
g) Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and
reporting on the implementation of the VMGP. The monitoring and evaluation
mechanisms should include arrangements for the FPIC with the affected VMGs.

7.2 Vulnerable and Marginalized Groups Plan

The action plan will consist of a number of activities and will include mitigation measures of
potentially negative impacts, modification of sub-project design, and development assistance.
Where there is land acquisition in VMGs, the Project will ensure that their rights will not be
violated and that they be compensated for the use of any part of their land in a manner that is
culturally acceptable to them. The compensation will be done in compliance with OP 4.12, and
Op 4.10.

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Table 5: Vulnerable and Marginalized Groups Plan

Issues Activity Responsibility Indicators
Screening Carry out an inventory of KISIP PCT /VMGs
VMGs in the proposed sub
project operation areas
Vulnerable and Reconnaissance survey KISIP / Vulnerable Population and dynamics of VMPs in
Marginalized Groups and Marginalized screened areas well understood by key
Orientation and Community meetings Peoples players
Mobilization Organizations/
Elders VMGs in all areas identified give broad
support for the project
Consultations with Participatory Rural KISIP Information from consultations verified by
Vulnerable and Appraisals VMGs and VMGOs as correct and a true
Marginalized Groups representation of their needs and priorities
Mapping of community Baseline Surveys KISIP and VMGOs Community transect reports
resources critical to VMGs
which could benefit from Information from consultations verified by
the project VMGs and VMGOs as correct and a true
representation of natural, cultural and social,
technical resources critical to their survival
Development of strategies Social Screening KISIP and executing Activities implemented respect the conditions
for participation of VMGs partner agencies and and do not leave the VMGs
and mitigation measures VMGOs worse off than they were. Activities respect
the rights, culture and dignity of the VMGs
Carry out VMGP(s), if the If the inventory documents KISIP PCT and The VMGPs are accepted by the GoK, the
need arises that the proposed sub VMGs World Bank and the VMGs
projects might impact on the
indigenous peoples: carry out
VMGPs

Carry out training and

provide backstopping
Capacity Building Trainings/Information KISIP and executing VMGs and VMGOs aware of policy and
dissemination on policy partner agencies and project requirements.
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requirements for VMGs and VMGOs

VMPOs
Representation of VMGs in Ensure Representation of KISIP and executing Active participation of VMGs in forums
decision making organs VMGs in relevant project partner agencies and
implementation bodies VMGOs VMGs and M&E indicate that representation
is satisfactory to the VMGs
Participatory M&E with Internal M&E External KISIP and executing M&E reports accessible to VMPs and
VMGs M&E partner agencies and implementing agencies
VMGOs
Mechanism for feedback into VMGF in place
and implemented
Training and Capacity Training of staff from KISIP and executing Participants are able to implement VMGF
Building for partner executing agencies partner agencies
implementation of VMGPF and VMG Organizations

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8. Grievance Redress Mechanisms

8.1 Overview

KISIP will establish a mechanism to receive and facilitate resolution of affected VMGs
concerns, complaints, and grievances about the project’s safeguards performance at each micro-
project having VMGs impacts. The Grievance Redress Mechanism (GRM) will be specific to
addressing the concerns of the VMGs. The grievance redress mechanisms should be designed
with the objective of solving disputes at the earliest possible time and at the lowest levels
where the VMGs reside for quick resolution. The traditional dispute resolution structures used
by VMGs will be used as the first step in resolving grievances.

The VMGs will be provided with a variety of options for communicating issues and concerns,
including in writing, orally, by telephone, over the internet or through more informal methods
as part of the grievance redress mechanism. In the case of marginalized groups (such as women
and young people), a more proactive approach may be needed to ensure that their concerns
have been identified and articulated. This will be done, for example, by providing for an
independent person to meet periodically with such groups and to act as an intermediary.
Where a third-party mechanism is part of the procedural approach to handling complaints, one
option will be to include women or youth as representatives on the body that deals with
grievances. It should be made clear that access to the mechanism is without prejudice to the
complainant’s right to legal recourse. Prior to the approval of individual VMGPs, the affected
VMGs will have been informed of the process for expressing dissatisfaction and seeking
redress. The grievance procedure will be simple and administered as far as possible at the local
levels to facilitate access, flexibility and ensure transparency.

Many of the factors that may give rise to conflict between VMGs and proposed project
investments can be a source of conflict with non-VMGs as well. These include, for example:

a) Establishing a project investment in the absence of broad community support

b) Inadequate engagement or decision-making processes
c) Inadequate or inequitable compensation for land
d) Inequitable distribution of benefits
e) Broken promises and unmet expectations of benefits
f) Failing to generate opportunities for employment, training, supply or community
development
g) Environmental degradation
h) Disruption to amenities and lifestyle
i) Loss of livelihood
j) Violation of human rights
k) Social dislocation

In addition, however, there are some contextual factors that have particular salience for
vulnerable and marginalized people and their relations with sub project investments. For
example, a lack of respect (perceived or actual) for indigenous customary rights or culture,
history and spirituality, is likely to trigger a strong reaction. Similarly, issues around access to
and control of land and the recognition of sovereignty are very important for many VMGs and
can lead to serious conflict if they are not handled sensitively and with due respect for the
rights of affected groups.

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Grievances will be actively managed and tracked to ensure that appropriate resolution and
actions are taken. A clear time schedule will be defined for resolving grievances, ensuring that
they are addressed in an appropriate and timely manner, with corrective actions being
implemented if appropriate and the complainant being informed of the outcome. The grievance
procedure will be simple and will be administered as far as possible, at the subproject level by
the relevant institutions and partners.

The grievance procedure does not replace existing legal processes. Based on consensus, the
procedures will seek to resolve issues quickly in order to expedite the receipt of entitlements,
without resorting to expensive and time-consuming legal actions. If the grievance procedure
fails to provide a result, complainants can still seek legal redress.

8.2 Grievance Redress Process

The VMGP will establish a mechanism to receive and facilitate resolution of affected VMGs
concerns, complaints, and grievances about the project’s safeguards performance at each
subproject having VMGs impacts, with assistance from the KISIP.

All sections of the community where a sub project investment is identified, including those with
low levels of literacy, should be able to access the grievances mechanism easily. The KISIP
should facilitate access by maintaining and publicizing multiple access points to complaint
mechanisms, such as at the project site and in key locations within communities, including
remote communities.

The procedure of grievance redress will be incorporated in the project information pamphlet to
be distributed prior to implementation. Participatory consultation with affected households will
be undertaken during project planning and implementation stages.

8.3 Establishment of Grievance Redress Committee

A Grievance Redress Committee will be established at the project area once it has been
determined that VMGs are present in an area and that a VMGP is needed. The composition of
the Committees will include representatives of the VMGs, women, youth, local NGOs/CBOs,
and local administration.

The GRCs are to be formed and activated during the VMGPs implementation process to allow
VMGs sufficient time to lodge complaints and safeguard their recognized interests. Assistance
to VMGs will be given to document and record the complaint, and if necessary, provide
advocate services to address the grievances. As is normal practice under customary law,
attempts will be made to ensure that the traditional leaders via the GRC solve all disputes in
communities after a thorough investigation of the facts. The traditional dispute resolution
structures existing for each of the VMGs will be used as the first step in resolving grievances.

8.4 Use of Alternative Dispute Resettlement Mechanisms

The Land Act, 2012, Part VIII/128 provides for dispute resolution through the Land and
Environment Court. However, as is normal practice under customary law, traditional leaders
play a leading role in solving disputes in communities through investigation of the facts using
the services of local officials. The traditional dispute resolution structures existing for each of
the VMGs will be used as the first step in resolving grievances. Those seeking redress and
wishing to state grievances would do so by notifying their traditional leader of the VMGs or
the appropriate district authority, who will in turn inform and consult with the KISIP.

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8.5 Further Redress-Kenya Courts of Law

All the grievances that will not be resolved by the GRC or which the VMGs are dissatisfied
with in terms of resolution will be channelled to the existing structures in Kenya for handling
grievances which is the Kenyan Courts of Law as the last resort.

8.6 Grievance Log Documentation and Recording

Documentation of complaints and grievances is important, including those that are
communicated informally and orally. These should be logged, assessed, assigned to an
individual for management, tracked and closed out or “signed off” when resolved, ideally with
the complainant(s) being consulted, where appropriate, and informed of the resolution. Records
provide a way of understanding patterns and trends in complaints, disputes and grievances
over time. While transparency should be maintained – for example, through regular reports on
issues raised and rates of resolution – provision should also be made for confidentiality of
information or anonymity of the complainant(s) whenever necessary.

A grievance log will be established by the KISIP and executing partner agencies and copies of
the records kept with all the relevant authorities at the County, Sub County and Village level
and will be used in monitoring of complaints and grievances.

In each sub project investment, the KISIP Community Liaison Officer, will ensure that each
complaint has an individual reference number, and is appropriately tracked and recorded
actions are completed. The log also contains a record of the person responsible for an individual
complaint, and records dates for the following events:

 Date the complaint was reported;

 Date the grievance log was uploaded onto the project database;
 Date information on proposed corrective action sent to complainant (if appropriate);
 The date the complaint was closed out; and
 Date response was sent to complainant.
8.7 Responding to Complaints
Once parties agree on a path forward – such as an apology, compensation or an adjustment to
operations – an action plan should be formalized and implemented. Depending on the issue,
responses may vary from a single task to a program of work that involves different parts of the
operation. Effective responses will also include engagement with parties involved to ensure that
the response continues to be appropriate and understood. Communities should also be advised
of the closeout of the issue and what has been done to achieve it. This feedback provides an
opportunity for the PIU to demonstrate that it has addressed the issue as well as confirming
that the community considers the response satisfactory and the matter closed.

8.8 Monitoring Complaints

It is important to collect data on community interactions – from low-level concerns and
complaints to ongoing disputes and higher-order grievances – so that patterns can be identified
and project management alerted to high-risk issues. Effective monitoring may also help to
prevent the escalation of lower-level disputes into more serious conflicts.

Information related to monitoring of the VMGPs will be gathered through various channels,
such as formal review, evaluation and analysis or through day-to-day interaction with VMGs.
Monitoring will help determine the effectiveness of processes for responding to community
concerns; for example, by tracking complaint resolution rates over time. This information can

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then be used to refine the system and improve the outcomes being achieved. The outcomes of
monitoring should be reported formally to the community on a regular basis, in addition to
being used for internal management purposes. The VMGs/Project Community Liaison Officer
for each sub project investment will be responsible for:

 Providing the project investment reports detailing the number and status of complaints;
 Any outstanding issues to be addressed; and
 Monthly reports, including analysis of the type of complaints, levels of complaints, and
actions to reduce complaints.

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9. Implementation of the VMGF

9.1 Phases of Implementing the VMGF

The VMGF will be implemented in three phases:

I. County and VMG sites disclosure of the VMGF: This will entail sharing the VMGF
details through county forums and specific VMG sites. During this disclosure forums
and meetings additional comments and views will be gathered and included in the
VMGP design process as well as ensuring broad support of the KISIP by the county
government and VMGs. Continued disclosure will be required as the VMGF has been
disclosed at the national level and there remains many stakeholders from counties and
community levels who are not been able to attend this disclosure forum.
II. Development of standardized Capacity Development Manuals. The manuals will be
developed to include the consultation process; Participatory Impact Monitoring (PIM),
conflict redress process and grievance redress mechanism.
III. Capacity Development and Coaching of Relevant Stakeholders: Capacity
development and coaching activities will entail training session for various stakeholders
such as KISIP PCT, County KISIP, SECs, VMGs NGOs, CBOs etc. In addition, during
the VMGF implementation coaching session will be mounted on the project activities to
ensure any negative impact on the VMGs are mitigated and/or avoided and that they
share benefits that accrue from the KISIP.

9.2 Disclosure Arrangements

This VMGF and micro-project VMGPs will be made available to the affected VMGs in an
appropriate form, manner, and language. Various project design, launching, implementation,
monitoring and evaluation, and implementation completion sessions will be disclosed and/or
communicated throughout the project phase. Once the Bank accepts the documents as
providing an adequate basis for project appraisal, the Bank will make them available to the
public in accordance with Bank Policy on disclosure of information, and the GOK will also
make the documents available to the affected communities in the same manner as the earlier
draft documents.

Each micro-project VMGP will be disclosed to the affected VMGs with detailed information of
the micro-project. This will be done through public consultation and made available as
brochures, leaflets, or booklets, using local languages. Summary of the VMGP will be made
available in hard copies and in language at: Offices of the MTIHUD; Sub County or County
Office; and any other local level public offices. Electronic versions of the framework as well as
the VMGPs will be placed on the official website of MTIHUD and the official website of Bank
after approval and endorsement of the VMGF and each VMGP by the Bank.

9.3 Specific capacity-building for VMGs

As the target groups become clearer and awareness of the social and economic inclusion
principle of the project is widely shared, the VMGs members will be invited to participate in
training and capacity building sessions. The VMGs may have specific capacity building needs,
and dedicated skills training funded through potentially dedicated funding. Youth from the
VMGs like in other communities may need separate training programs, tailored to their needs
and lifestyle.

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KISIP will develop a training program targeting relevant project actors at the national, county,
sub-county and community levels with each target with relevant training module and
knowledge, skills and practice areas.
a) Nation and County Institutions: The institutions to be trained will include: National
and County PCTs.
b) Settlement Executive Committees (SECs), Grievance Redress Committees, CSO, NGO,
FBO’s among others.
c) VMGs: The training will focus on whole community with awareness creation session
and the VMGs CIGs with the respective training modules.

Terms of Reference and the selection process for facilitators and trainers will ensure that
candidates who can deliver training modules in an inclusive way to be hired. Also, language and
tools to be used in documents and training should factor in potential barriers these media can
pose to the participation of certain excluded groups in capacity building measures. The county
government should explore the possibility and ensure the language and modality of training
provision would not exclude certain groups of members.

9.4 Roles and Responsibilities

9.4.1 KISIP PCT
KISIP PCT specifically the environment and social safeguard specialists will remain
responsible for:
 Screening for projects affecting Vulnerable and Marginalized Groups;
 Review project proposals, ensuring that they adequately apply the World Bank’s
Indigenous Peoples Policy;
 Assess the adequacy of the assessment of project impacts and the proposed measures to
address issues pertaining to affected indigenous communities. When doing so project
activities, impacts and social risks, circumstances of the affected indigenous
communities, and the capacity of the applicant to implement the measures should be
assessed. If the risks or complexity of particular issues
 Assess the adequacy of the consultation process and the affected indigenous
communities’ broad support to the project—Monitor project implementation, and
include constraints and lessons learned concerning VMGs and the application of this
VMGF in its progress and monitoring reports; it should be assured that affected VMGs
are included in monitoring and evaluation exercises

9.4.2 Non-Governmental Organizations

The NGOs present and active in the area will be used during the social assessment studies as
well as during the monitoring and evaluation of each sub project. The formation of Grievance
Redress Committees and Steering Committees for each sub project investment will also include
representation by NGOs.

9.4.3 World Bank

The Bank will receive all the VMGPs prepared and review and provide a No Objection or
otherwise prior to sub project implementation. During implementation, the Bank will also
conduct field monitoring and evaluation. The Bank will also approve the VMGF.

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9.5 Budget
The costs for the implementation of VMGPs will financed by KISIP. At this stage, it is not
possible to estimate the exact number of VMGs who may be affected under KISIP since the
technical designs and details of all investments have not yet been finalized. It is therefore not
possible to provide a budget for the total cost of VMGP that may be associated with KISIP
implementation. However, when these locations are known, and after the conclusion of the
site-specific socio-economic study, a detailed and accurate budgets for each VMGP will be
prepared.

The following is an indicative budget for each sub-project which may be revised once the
VMGP is completed.

No. Activities Approx. cost (USD)

1 Preparation of VMGP 10,000.00
2 Sensitization/Awareness creation of stakeholders 60,000.00
at National, County and investment /community
levels
3 Capacity building ( technical staff, SECs, GRCs, 50,000.00
and VMGs)
4 Disclosure costs for VMGPs 10,000.00
5 Mitigation measures: Targeted support to the 150,000.00
VMGs
6 Stakeholders trainings/ consultation forums on 50,000.00
VMGF
7 Monitoring and evaluation of the implementation 50,000.00
of VMGP
8 Annual VMGPs audit 20,000.00
9 Establish/Operationalize SEC and GRM 10,000.00
Committees

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10. Monitoring and Evaluation

10.1 Mechanisms for monitoring, evaluation and reporting

All project results indicators will be disaggregated by gender to monitor women’s participation
in the project interventions. The project will also enhance inclusion of vulnerable hard-to-
serve female-headed households, child-headed households those living in the targeted counties
or those from marginalized communities of Kenya.

The implementation of VMGPs will be monitored. The PCT will establish a monitoring
system involving the project staff at national and county level, as well as community groups of
VMGs to ensure effective implementation of VMGP. A set of monitoring indicators will be
determined during VMGP implementation and will be guided by the indicators contained in
the VMGF document. The project support consultants will carry out monitoring, as will the
World Bank social staff. Appropriate monitoring formats will be prepared for monitoring and
reporting requirements.

The PCT and NGOs will collect baseline data including qualitative information and analyse the
same to assess the impacts of the project on groups that meet the OP 4.10. The experts will
advise on compliance issues and if any significant issues are found, the PCT will prepare a
corrective action plan or an update to the approved VMGP. The PCT will follow up on
implementing the corrective actions to ensure their effectiveness.

For any sub-project found to have significant adverse impacts on VMGPs, external experts or
NGOs will be engaged by the PCT to verify monitoring information of the VMGP for those
sub-projects.

Table 7: Monitoring and Evaluation Indicators for VMGF

Issues Indicator Responsibility Data Sources
Accessibility of Number of VMG KISIP Reports
project benefits to households benefitting
VMGs from project
interventions
Capacity Building for Number of individuals & KISIP Training reports
implementation of institutions trained
VMPPF
Vulnerable and Number of VMGs KISIP, Vulnerable Reconnaissance
Marginalized Groups meetings; Number of and Marginalized survey reports
Orientation and VMGs sensitized Groups Community
Mobilization Organizations/Elders meeting reports
Consultations with Number of PRA/RRA, KISIP, Vulnerable RRA reports PRA
Vulnerable and Attendance of and Marginalized reports
Marginalized PRA/RRA, PRA reports Groups
Groups: acceptable to VMGs Organizations
Mapping of Level of VP participation KISIP, Vulnerable Baseline survey
community resources Reports verified and and Marginalized reports Community
critical to VMGs accepted by VMGs Groups transect reports
Organizations
Development of Number of projects KISIP, Vulnerable KEMP/ PIU
strategies for passed by social and Marginalized reports
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participation of screening Number of sub Groups Implementing

VMGs and projects implemented Organizations agencies reports
mitigation measures
Capacity Building Types of training KISIP, Vulnerable Training reports
Number of Trainings and Marginalized
Attendance by VMGs Groups
Organizations
Equitable Number of meetings KISIP, Vulnerable VMGO reports
representation of attended by VMG and Marginalized
VMG in decision representatives Number Groups
making organs and types of VMGs Organizations
issues articulated
Participatory M&E Internal M&E External KISIP, Vulnerable
with VMG M&E and Marginalized
Groups
Organizations

10.2 Monitoring and Evaluation Benchmarks

Monitoring Indicators: several key indicators and topics for monitoring and evaluation of
VMGP are
(i) process of consultation activities;
(ii) appropriateness of affected assets valuation and compensation;
(iii) economic status of VMGPs in comparison with pre-project condition
(iv) status of VMGs as identified in the SA;
(v) any disadvantaged condition to VMGs that was not anticipated during the preparation
of VMGPs, that required corrective actions; and
(vi) grievance redress issues. The VMGP will collect required data/information and
regularly analyse project outputs and impacts considering impact on VMGs, and
semi-annually report the results to the Bank.

10.3 Reporting
Annual progress reports will be prepared by the PCT and the preparation of the progress
reports will be supported by the environmental and social safeguards specialists in the project
at the county and community levels. These reports will be submitted to the Bank.

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ANNEXES

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ANNEX 1-SOCIAL SCREENING FORM

SOCIAL SCREENING FORM FOR KISIP ACTIVITIES

A. BACKGROUND INFORMATION

A1.Type/description/justification of proposed
activity
A2. Location of activity
A3. Duration of activity

A 4. Focal point and person for activity

B. EXPECTED BENEFITS

B1. Benefits for local people

B2. Benefits to Vulnerable and Marginalized
Groups (VMGs)
B3. Total Number of expected beneficiaries
B4. Total Number of expected Vulnerable
and Marginalized Peoples beneficiaries
B5. Ratio of B4 and B5; Are benefits YES / NO
distributed equitably? If No, state remedial measures
C. POTENTIAL ADVERSE SOCIAL IMPACTS
C1. Will activity entail restriction of access YES / NO
of VMP to lands and related natural
resources If YES exclude from project
C2. Will activity entail commercial YES / NO
development of natural and cultural resources
critical to VMGs If yes exclude from project
C3. Will activity entail physical relocation of YES / NO
Vulnerable and Marginalized Peoples If yes exclude from project
D. CONSULTATION WITH IP
D1. Has VMP orientation to project been YES / NO
done for this group?
D2. Has PRA/RRA been done in this area? YES / NO
D3. Did the VMP give broad support for YES / NO
project

Prepared by: __________________________ Verified by: _________________________

Date: ______________________________ Date: _________________________________

Note: Attach sketch maps, PRA/RRA results and other relevant documents.

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ANNEX 2- CONTENTS VULNERABLE AND MARGINALIZED GROUPS

FRAMEWORK

The Indigenous Peoples Planning Framework (IPPF) sets out:

(a) The types of programs and subprojects likely to be proposed for financing under the project.

(b) The potential positive and adverse effects of such programs or subprojects on Indigenous Peoples.

(c) A plan for carrying out the social assessment for such programs or subprojects.

(d) A framework for ensuring free, prior, and informed consultation with the affected Indigenous Peoples’
communities at each stage of project preparation and implementation (see paragraph 10 of this policy).

(e) Institutional arrangements (including capacity building where necessary) for screening project-supported
activities, evaluating their effects on Indigenous Peoples, preparing IPPs, and addressing any grievances.

(f) Monitoring and reporting arrangements, including mechanisms and benchmarks appropriate to the project.
(g) Disclosure arrangements for IPPs to be prepared under the IPPF

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ANNEX 3-CONTENTS OF VULNERABLE AND MARGINALIZED GROUPS PLAN

(VMGP), OP 4.10

VMGs Development Plan

Prerequisites
Prerequisites of a successful development plan for indigenous peoples are as follows:

(a) The key step in project design is the preparation of a culturally appropriate
development plan based on full consideration of the options preferred by the indigenous people
affected by the project.

(b) Studies should make all efforts to anticipate adverse trends likely to be induced by the
project and develop the means to avoid or mitigate harm.

(c) The institutions responsible for government interaction with indigenous peoples should
possess the social, technical, and legal skills needed for carrying out the proposed development
activities. Implementation arrangements should be kept simple. They should normally involve
appropriate existing institutions, local organizations, and nongovernmental organizations (NGOs)
with expertise in matters relating to indigenous peoples.

(d) Local patterns of social organization, religious beliefs, and resource use should be
taken into account in the plan's design.

(e) Development activities should support production systems that are well adapted to the
needs and environment of indigenous peoples, and should help production systems under
stress to attain sustainable levels.

(f) The plan should avoid creating or aggravating the dependency of indigenous people on
project entities. Planning should encourage early handover of project management to local
people. As needed, the plan should include general education and training in management
skills for indigenous people from the onset of the project.

(g) Successful planning for indigenous peoples frequently requires long lead times, as well
as arrangements for extended follow-up. Remote or neglected areas where little previous
experience is available often require additional research and pilot programs to fine-tune
development proposals.

(h) Where effective programs are already functioning, Bank support can take the form of
incremental funding to strengthen them rather than the development of entirely new
programs.

Contents of VMGP
The development plan should be prepared in tandem with the preparation of the main
investment. In many cases, proper protection of the rights of indigenous people will require the
implementation of special project components that may lie outside the primary project's
objectives. These components can include activities related to health and nutrition, productive
infrastructure, linguistic and cultural preservation, entitlement to natural resources, and
education. The project component for indigenous people’s development should include the
following elements, as needed:

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(a) Legal Framework. The plan should contain an assessment of (i) the legal status of the
groups covered by this OD, as reflected in the country's constitution, legislation, and
subsidiary legislation (regulations, administrative orders, etc.); and (ii) the ability of such
groups to obtain access to and effectively use the legal system to defend their rights. Particular
attention should be given to the rights of indigenous peoples to use and develop the lands that
they occupy, to be protected against illegal intruders, and to have access to natural resources
(such as forests, wildlife, and) vital to their subsistence and reproduction.

(b) Baseline Data. Baseline data should include (i) accurate, up-to-date maps and aerial
photographs of the area of project influence and the areas inhabited by indigenous peoples;
(ii) analysis of the social structure and income sources of the population; (iii) inventories of
the resources that indigenous people use and technical data on their production systems; and
(iv) the relationship of indigenous peoples to other local and national groups. It is particularly
important that baseline studies capture the full range of production and marketing activities in
which indigenous people are engaged. Site visits by qualified social and technical experts
should verify and update secondary sources.

(c) Land Tenure. When local legislation needs strengthening, the Bank should offer to
advise and assist the borrower in establishing legal recognition of the customary or traditional
land tenure systems of indigenous peoples. Where the traditional lands of indigenous peoples
have been brought by law into the domain of the state and where it is inappropriate to convert
traditional rights into those of legal ownership, alternative arrangements should be
implemented to grant long-term, renewable rights of custodianship and use to indigenous
peoples. These steps should be taken before the initiation of other planning steps that may be
contingent on recognized land titles.

(d) Strategy for Local Participation. Mechanisms should be devised and maintained for
participation by indigenous people in decision making throughout project planning,
implementation, and evaluation. Many of the larger groups of indigenous people have their
own representative organizations that provide effective channels for communicating local
preferences. Traditional leaders occupy pivotal positions for mobilizing people and should be
brought into the planning process, with due concern for ensuring genuine representation of
the indigenous population. No foolproof methods exist, however, to guarantee full local-level
participation. Sociological and technical advice provided through the regional environment
divisions (REDs) is often needed to develop mechanisms appropriate for the project area.

(e) Technical Identification of Development or Mitigation Activities. Technical proposals

should proceed from on-site research by qualified professionals acceptable to the Bank.
Detailed descriptions should be prepared and appraised for such proposed services as
education, training, health, credit, and legal assistance. Technical descriptions should be
included for the planned investments in productive infrastructure. Plans that draw upon
indigenous knowledge are often more successful than those introducing entirely new principles
and institutions. For example, the potential contribution of traditional health providers should
be considered in planning delivery systems for health care.

(f) Institutional Capacity. The government institutions assigned responsibility for indigenous
peoples are often weak. Assessing the track record, capabilities, and needs of those institutions is a
fundamental requirement. Organizational issues that need to be addressed through Bank assistance
are the (i) availability of funds for investments and field operations;

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(ii) adequacy of experienced professional staff; (iii) ability of Indigenous Peoples’ own
organizations, local administration authorities, and local NGOs to interact with specialized
government institutions; (iv) ability of the executing agency to mobilize other agencies
involved in the plan's implementation; and (v) adequacy of field presence.

(g) Implementation Schedule. Components should include an implementation schedule with

benchmarks by which progress can be measured at appropriate intervals. Pilot programs are
often needed to provide planning information for phasing the project component for
indigenous peoples with the main investment. The plan should pursue the long-term
sustainability of project activities subsequent to completion of disbursement.

(h) Monitoring and Evaluation. Independent monitoring capacities are usually needed when
the institutions responsible for indigenous populations have weak management histories.
Monitoring by representatives of Indigenous Peoples’ own organizations can be an efficient
way for the project management to absorb the perspectives of indigenous beneficiaries and is
encouraged by the Bank. Monitoring units should be staffed by experienced social science
professionals, and reporting formats and schedules appropriate to the project's needs should be
established. Monitoring and evaluation reports should be reviewed jointly by the senior
management of the implementing agency and by the Bank. The evaluation reports should be
made available to the public.

(i) Cost Estimates and Financing Plan. The plan should include detailed cost estimates for
planned activities and investments. The estimates should be broken down into unit costs by
project year and linked to a financing plan. Such programs as revolving credit funds that
provide indigenous people with investment pools should indicate their accounting procedures
and mechanisms for financial transfer and replenishment. It is usually helpful to have as high a
share as possible of direct financial participation by the Bank in project components dealing
with indigenous peoples.

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ANNEX 4: SAMPLE TERMS OF REFERENCE FOR DEVELOPING A VMGP

Note: the VMGP will be developed in detail commensurate to the impacts. Minimal adverse
impacts are anticipated and VMGPs will focus on how to broaden reach of benefits to VMGs.

A. Executive Summary of the Vulnerable and Marginalized Groups Plan

2. This section should concisely describe the critical facts, significant findings, and
recommended actions.

B. Description of the Project/Background Information

3. This section provides a general description of the project; discusses project components
and activities that may bring impacts on indigenous people; and identify project area.

The ToR should provide pertinent background for preparing the VMGP. This would include a
brief description of:

· Statement of the project objectives,

· Implementing agency/sponsor and their requirements for conducting a VMGP,
· Project components, especially those that will finance subprojects;
· Anticipated types of subprojects/components, and what types will not be financed
by the project;
· Areas of influence to be assessed (description plus good map)
· Summary of environmental/social setting
· Applicable Bank safeguards policies, and consequent Project preparation
requirements.

The ToR should also include a brief history of the project, including alternatives considered,
its current status and timetable, and the identities of any associated projects. Also include a
description of other project preparation activities underway (e.g., legal analysis, institutional
analysis, social assessment, baseline study).

C. Social Impact Assessment

4. This section should among others entail:
(i) Review of the legal and institutional framework applicable to indigenous people in the
project context where relevant.

(ii) Provide baseline information on the demographic, social, cultural, and political
characteristics of the affected Vulnerable and Marginalized Groups (VMGs); the land and
territories that they have traditionally owned or customarily used or occupied; and the natural
resources on which they depend.

(iii) Identify key project stakeholders and elaborate a culturally appropriate and gender-
sensitive process for meaningful consultation with VMGs at each stage of project preparation
and implementation, taking the review and baseline information into account.

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(iv) Assess, based on meaningful consultation with the affected indigenous people’s
communities, the potential adverse and positive effects of the project. Critical to the
determination of potential adverse impacts is a gender-sensitive analysis of the relative
vulnerability of, and risks to, the affected indigenous people’s communities given their
particular circumstances and close ties to land and natural resources, as well as their lack of
access to opportunities relative to those available to other social groups in the communities,
regions, or national societies in which they live.
(v) Include a gender-sensitive assessment of the affected VMGs perceptions about the
project and its impact on their social, economic, and cultural status.
(vi) identify and recommend, based on meaningful consultation with the affected
indigenous peoples communities, the measures necessary to avoid adverse effects or, if such
measures are not possible, identifies measures to minimize, mitigate, and/or compensate for
such effects and to ensure that the indigenous peoples receive culturally appropriate benefits
under the project.
Information Disclosure, Consultation and Participation
5. This section of the ToR should:

(i) Describe the information disclosure, consultation and participation process with the
affected VMGs that was carried out during project preparation;
(ii) Summarize their comments on the results of the social impact assessment and
identifies concerns raised during consultation and how these have been addressed in project
design;
(iii) in the case of project activities requiring broad community support, document the
process and outcome of consultations with affected indigenous people’s communities and any
agreement resulting from such consultations for the project activities and safeguard measures
addressing the impacts of such activities;
(iv) Describe consultation and participation mechanisms to be used during
implementation to ensure indigenous people’s participation during implementation; and
(v) Confirm disclosure of the draft and final VMGP to the affected VMGs.
E. Beneficial Measures
6. This section should describe and specify the measures to ensure that the VMGs receive
social and economic benefits that are culturally appropriate, and gender responsive.

F. Mitigation Measures
7. This section should specify the measures to avoid adverse impacts on indigenous
people; and where the avoidance is impossible, specifies the measures to minimize mitigate and
compensate for identified unavoidable adverse impacts for each affected indigenous people
groups.

G. Capacity Building
8. This section should provide measures to strengthen the social, legal, and technical
capabilities of (a) government institutions to address indigenous people’s issues in the project
area; and (b) indigenous people’s organizations in the project area to enable them to represent
the affected indigenous peoples more effectively.

H. Grievance Redress Mechanism

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9. This section should describe the procedures to redress grievances by affected

indigenous people’s communities. It also explains how the procedures are accessible to VMGs
and culturally appropriate and gender sensitive.
I. Monitoring, Reporting and Evaluation
10. This section should describe the mechanisms and benchmarks appropriate to the
project for monitoring, and evaluating the implementation of the VMGP. It also specifies
arrangements for participation of affected indigenous people in the preparation and validation
of monitoring, and evaluation reports.
J. Consulting Team
11. The general skills required of VMGP team are: Social Specialist or Anthropologist,
Stakeholder engagement specialist, Community Development expert.
K. Services, Facilities and Materials to be provided by the Client
The ToR should specify what services, facilities and materials will be provided to the
Consultant by the World Bank and the Borrower, for example:
1. The Project ISDS and draft PAD;
2. Relevant background documentation and studies;
3. Example VMGPs that demonstrate best practice, especially from the region or
country;
4. Making all necessary arrangements for facilitating the work of the Consultant and to
provide access to government authorities, other Project stakeholders, and Project sites.

L. Schedule and Deliverables

Specify dates for the consultancy deliverables (e.g. detailed work plan within 2 weeks, interim
report within 7 weeks, and final draft report within 10 weeks of contract signature), and the
overall duration of the consultancy (e.g. 15 weeks from contract signature).

M. Technical Proposal Contents

The ToR should require a technical proposal that at least:
5. Demonstrates that the Consultant understands the overall scope and nature of the
VMGP preparation work, and what will be required to respond satisfactorily to each
component of the ToR;
6. Demonstrates that the Consultant and his proposed team have relevant and
appropriate experience to carry out all components of the ToR. Detailed curriculum vitae for
each team member must be included;
7. Describes the overall methodology for carrying out each component of the ToR,
including desk and field studies, and data collection and analysis methods; and
8. Provides an initial plan of work, outputs, and staff assignments with levels of effort
by task.

N. Budget and Payments

The ToR should indicate if there is a budget ceiling for the consultancy. The ToR should
specify the payment schedule (e.g. 10% on contract signature, 10% on delivery of detailed

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work plan, 40% on delivery of interim report, 30% on delivery of final draft VMGP, 10% on
delivery of final VMGP).

0. Other Information
Include here lists of data sources, project background reports and studies, relevant
publications, and other items to which the consultant's attention should be directed.

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ANNEX 5; SAMPLE FACT SHEET FOR VMGPS; VMGP REVIEW

To be filled by PCT and World Bank as part of review and monitoring

[Country] – [Project ID #] – [Project Name]

Last Update: [11/20/ 2008] A. PROJECT DATA AND RECOMMENDED
ACTIONS
Reviewer: Date of Mission:
Country: Project Loan Amount:
Project title: Total Project Cost:
Project ID: Appraisal Date:
IPP #: Effectiveness Date:
Task Manager: Closing Date:
Environment Spec. Last PSR/ISR
Social Spec.
MTR Last Aide Memoire
REVIEW SUMMARY (Based on Desk and Field Review)
Issues / Observations
Proposed Actions (short term / long term, for TTL, SD, etc.)
B. SAFEGUARD IDENTIFICATION AND COMPLIANCE AT PREPARATION
1 Environmental Safeguard Classification:

2 Safeguard Policies Triggered at Preparation According to the ISDS, EDS, ESDS, PAD:

Applicable

Source
Environmental Assessment (OP/BP 4.01)
Natural Habitats (OP/GP 4.04)
Forestry (OP 4.36)
Pest Management (OP 4.09)
Cultural Property (OP 4.11) – OPN 11.03
Indigenous Peoples (OP 4.10)
Safety of Dams (OP/BP 4.37)
Projects in Disputed Areas (OP/BP 7.60)
Involuntary Resettlement (OP 4.12) – OD 4.30
Projects on International Waterways (OP/BP 7.50)
3 Project Objective and Components

Project Objectives

Project Description
4 Social Safeguard Triggers: Are there any social safeguard policies which should have been
triggered but were not?

C. SOCIAL MANAGEMENT PLANS AT PREPARATION

This review is based on IPP PAD SA RAP ISDS (check all that applies)
SCREENING

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Have all IP groups in project area been identified (is screening by the Bank adequate)?
SOCIAL ASSESSMENT
Has a social assessment taken place (is baseline data given)? Provide summary of social
assessment.

Has the legal framework regarding IPs been described?

Have benefits/ adverse impacts to IP groups been identified?

CONSULTATION, PARTICIPATION, COMMUNITY SUPPORT

Have IPs been involved in free, prior and informed consultation (at the project’s
preparation stage)? Are there any records of consultations? Is there a description of steps
for increasing IPs participation during the project implementation?

Does the project have verifiable broad community support (and how has it dealt with the
issue of community representation)?
Is there a framework for consultation with IPs during the project implementation?
INDIGENOUS PEOPLES PLAN
Is there a specific action plan (implementation schedule)?

Does the IPP include activities that benefit IP?

Are activities culturally appropriate?

Have institutional arrangements for IPP been described?

Is there a separate budget earmarked for IPP?

Are there specific monitoring indicators? If yes, are these monitoring indicators
disaggregated by ethnicity?

Has a complaint/conflict resolution mechanism been outlined?

Disclosure: Were IPP/IPPF disclosed at the Infoshop? Y / N

Was IPP/IPPF disclosed in Country and in a form and language accessible to IPs? Y / N

What’s missing: _______________

SPECIAL CONSIDERATIONS
If applicable, what considerations have been given to the recognition of the rights to lands
and natural resources of IPs

If applicable, what considerations have been given to the IP sharing of benefits in the
commercial development of natural and cultural resources?

Does the project involve the physical relocation of IPs (and have they formally agreed to
it)? If yes, has the project prepared a resettlement instrument (resettlement policy
framework, process framework, resettlement action plan)?

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D. IMPLEMENTATION AND SUPERVISION (Based on initial desk review and verified

by field assessment)
1 Social Safeguards
a. Have issues (anticipated and unexpected) been monitored and reported
systematically in Aide Memoires and ISRs? Have appropriate actions been taken?

b. Were social specialists included in supervision missions and how often?

c. What are the project impacts on IPs culture, livelihoods and social
organization?

d. In terms of consultation process, are there ongoing consultations with

the IP communities? Are there records of carried out consultations?

e. Have any social risks been identified? Have appropriate risk

management strategies/actions been recommended to the Borrower?

f. Are IPOs (beyond the community level) actively engaged throughout the
life of the project?

g. Does the project contribute to the respect of IP rights as recognized by

the country’s legal and policy systems?

2. Effectiveness
a. Are IPPF and/or IPP implemented satisfactorily? Are they effective? Is
funding adequate?

b. In relation to the implementation of IPPF/ IPP, were problems

identified, if any? If yes, how were they resolved by the Borrower?

Effectiveness of Monitoring Program

3.1 Has the monitoring program been adequately supervised? Are performance indicators
effective?

3. Effectiveness of Institutional Responsibilities/Training as outlined in the

project documents

4. Effectiveness of relevant Legal Covenants: Is compliance with legal covenants

being adequately supervised?

E. SITE VISIT(s)
- Date
- Location

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1.1 Activity
1.2 Observations
F. OVERALL ASSESSMENT (including desk and field reviews)
1 Overall Assessment and Risk Rating
1.1 To what extent is the OP4.10 relevant in delivering effective development to IP?

1.2 To what extent has OP4.10 (and previously OD4.20) been applied and how?
1.3 To what extent has OP4.10 been efficacious (cost effective) in achieving its objectives?
2 Recommendations
3. 1 Project specific
3. 2 Country / Program specific
3 List of Attachments
- Key People Met
- photos
-etc.
G. FEEDBACK FROM TTL / SD
- Date of feedback received

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ANNEX 6; THREE POINT RANK ORDER SYSTEM FOR VMGPS (SAMPLE) To be filled
by KISIP/PIU Team and World Bank as part of review and monitoring
Criterion Points Explanation
Screening
1. Have all IP groups in project area 0 Not stated
been identified (is screening adequate)? 0.5 The names of some groups have been
mentioned; baseline survey has been
proposed; Aggregates all groups
together
1 Detailed description of all indigenous
groups is given
Social Assessment
2. Has a social assessment been done (Is 0 Not stated
baseline data given)? 0.5 Proposed to collect all relevant data -
no specifics; data briefly stated; or not
updated, data not disaggregated
1 Disaggregated population data of IP;
relevant socio-economic indicators
have been stated; data that needs to be
collected are listed;
3. Has legal framework been described? 0 Not stated
0.5 Brief mention of framework given
1 Constitutional provisions, legal statutes
and government programs in relevant
sectors related to indigenous peoples
stated
Have benefits/ adverse impacts to IP 0 Not Discussed
groups been identified? 0.5 Potential impacts have been briefly
discussed
1 Potential positive and negative impacts
identified and discussed
Consultation, Participation, Community Support
Have IP been involved in free, prior and 0 Not determinable
informed consultation at the project 0.5 Brief mention that consultations have
implementation stage? Are there any taken place; no details provided
records of consultation? 1 Detailed description of process given;
appropriate methods used,
interlocutors are representative
Does project have verifiable broad 0 Not stated
community support (and how has it 0.5 States that IP groups will be involved
dealt with the issue of community in preparing village/community action
representation)? plans; participation process briefly
discussed
1 Detailed description of participation
strategy and action steps given
7. Is there a framework for consultation 0 No
with IPs during the project 0.5 Passing mention
implementation? 1 Detailed arrangements
Indigenous People Plan

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8. Is there a specific plan 0 Not stated

(implementation schedule)? 0.5 Flexible time frame (activities need to
be proposed); given activity wise;
year-wise distribution; mentioned but
integrated into another project
document (RAP, etc.); no separate
treatment; combined with RAP;
1 Detailed description given
9. Does the IPP/IPDP include activities 0 Not stated
that benefit IP 0.5 Activities stated but not detailed
1 Activities clearly specify
10. Are activities culturally 0 Not stated
appropriate? 0.5 Cultural concerns noted but not
explicit
1 Activities support cultural norms
11. Have institutional arrangements for 0 Not stated
IPP been described? 0.5 Mentioned but integrated into another
project document RAP, etc.); no
separate treatment
1 Detailed description of agencies
involved in implementation of plan,
including applicable IPO's or tribal
organizations.
12. Is a separate budget earmarked for 0 Not stated
IPP? 0.5 Mentioned but integrated into another
project document (RAP, etc.); not
broken down activity-wise
1 Detailed description given
Are there specific monitoring 0 Not mentioned
indicators? 0.5 Proposed that monitoring indicators
shall be designed later; Project
outcomes that need to be monitored are
stated
1 Monitoring indicators disaggregated by
ethnicity
Has acomplaint/conflict resolution 0 Not mentioned
mechanism been outlined? 0.5 Passing mention of mechanism in
document
1 Detailed description and few concrete
steps of mechanism given
Were the Indigenous Peoples Plan or 0 No
Framework (IPP/IPPF) disclosed in 0.5 Disclosed in Infoshop
Infoshop and in Country in an 1 Detailed Summary in appropriate form,
appropriate language? manner and language
Special Considerations
If applicable, what considerations have 0 None
been given to the recognition of the 0.5 Passing mention
rights to lands and natural resources of 1 Detailed considerations
IPs?

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17. If applicable, what considerations 0 None

have been given to the IP sharing of 0.5 Passing mention
benefits in the commercial development 1 Detailed considerations
of natural and cultural resources?
18. Does the project involve the 0 No resettlement unless with their prior
physical relocation of IPs (and have consent
they formally agreed to it)? 0.5 Only within traditional lands or
territories
1 Yes, physical relocation outside their
traditional
territories with no compensation or
consent

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