Anambra State Government Framework for Responsible and Inclusive Land-intensive Agricultural Investment

FRILIA DOCUMENT FRAMEWORK FOR RESPONSIBLE AND INCLUSIVE LAND-INTENSIVE AGRICULTURAL INVESTMENT ANAMBRA STATE GOVERNMENT i FOREWARD The Framework for Responsible and Inclusive Land-Intensive Agricultural Investment (FRILIA) Toolkit is a comprehensive and strategic resource designed to support the successful development and implementation of large-scale agricultural projects, particularly those under the FRILIA initiative. This toolkit serves as a guide for stakeholders to ensure that agricultural investments not only meet their business objectives but also align with the needs, expectations, and aspirations of host communities. It is grounded in the principles of social responsibility, environmental sustainability, and economic empowerment, all of which are essential for promoting inclusive and sustainable agricultural growth. The FRILIA Toolkit aims to foster positive, long-term impacts on host communities by ensuring that projects are designed and implemented with active community participation, respect for local culture and governance systems, and a clear focus on enhancing the quality of life for vulnerable groups, women, and youth. As Anambra State continues to leverage its agricultural potential, it is critical that these investments contribute to sustainable development while addressing the social and environmental concerns that may arise during project implementation. Central to the FRILIA initiative is a series of toolkits that guide various aspects of project planning and implementation. These include the Community Needs Assessment (CNA) and Community Development Plan (CDP) toolkits, which provide the foundation for understanding community needs and designing targeted interventions. The Stakeholder Engagement Toolkit ensures that all relevant stakeholders, from government agencies to local communities, are effectively identified and engaged throughout the project lifecycle. The Communication Strategy is essential for maintaining transparent and open communication between investors, local populations, and other stakeholders, ensuring that all parties are informed and involved in decision-making. Moreover, the toolkit addresses the need for land access, easement, and involuntary resettlement management, providing the necessary guidelines for handling land acquisition and resettlement processes in a way that respects the rights and dignity of affected communities. The Valuation and Compensation Management Toolkit provides essential guidance on the fair and just valuation of affected properties and ensures that appropriate compensation is provided to displaced individuals or communities. The Environmental and Social Risk Management Toolkit helps investors identify, assess, and mitigate potential environmental and social risks, ensuring that agricultural projects are developed in a way that minimizes harm to local ecosystems and promotes social equity. This is complemented by the Outgrowers and Food Security Toolkit, which focuses on integrating local smallholder farmers into larger agricultural supply chains, thereby enhancing food security, promoting sustainable farming practices, and ensuring that local communities benefit directly from the investment. ii The FRILIA Toolkit also incorporates the Grievance Redress Mechanism (GRM), ensuring that any disputes or concerns raised by local communities or other stakeholders are addressed in a fair, transparent, and accountable manner. The Monitoring and Evaluation (M&E) framework ensures that all community development initiatives are continuously assessed to track progress, measure impact, and ensure that the objectives of the FRILIA initiative are being met. Furthermore, the toolkit provides detailed protocols for preparing and implementing the Community Development Plan (CDP), ensuring that the identified needs of the community are translated into practical, sustainable projects. This includes identifying community development partners, securing financial and non-financial resources, and establishing clear governance structures to oversee project implementation and sustainability. The FRILIA Toolkit is the result of extensive consultations with key stakeholders, including the Anambra Investment Promotion and Protection Agency (ANSIPPA), relevant government ministries, and other development partners. It aligns with both the goals of the FRILIA initiative and the broader development objectives of Anambra State, ensuring that the benefits of agricultural investments are shared equitably across all sectors of society. By following the guidance provided within this toolkit, investors and stakeholders can ensure that large-scale agricultural investments contribute positively to the local economy, improve the livelihoods of host communities, and support Anambra State’s vision for a more inclusive and sustainable agricultural sector. The FRILIA Toolkit is not merely a set of guidelines, but a call to action for responsible investment, one that places the well-being of local communities and the environment at the heart of agricultural development. Through the principles and tools laid out in this document, the FRILIA initiative provides a clear pathway for the development of responsible, inclusive, and sustainable agricultural investments that will benefit generations to come. Forster Ihejiofor Commissioner for Agriculture iii ACKNOWLEDGEMENT This document and the FRILIA Toolkit would not have been possible without the valuable contributions of many individuals and organizations. We would like to express our sincere gratitude to the Anambra State Government (ANSG) for its unwavering commitment to the sustainable development of the state and its communities. Special thanks go to the Anambra Investment Promotion and Protection Agency (ANSIPPA) for their leadership and vision in driving this initiative forward, as well as the Ministry of Agriculture, Ministry of Lands, and other relevant Ministries, Departments, and Agencies (MDAs) for their support and active participation. We would also like to acknowledge the investors, community representatives, and stakeholders who participated in the consultations and provided invaluable insights into the needs, challenges, and opportunities within the host communities. Their engagement has been essential to the successful development of this toolkit. iv HOW TO USE THIS GUIDE This guide has been designed as a practical tool to support investors, policymakers, and development practitioners in the planning, implementation, and management of responsible and inclusive agricultural investments in Anambra State. It offers a systematic approach to ensure that these investments are carried out in a socially, economically, and environmentally responsible manner, benefitting both the investors and the local communities. To make the most effective use of this guide, stakeholders should begin by familiarizing themselves with the FRILIA Toolkit structure, which is divided into multiple specialized toolkits, each addressing a distinct area of concern in the investment process. These areas include Community Needs Assessment (CNA), Community Development Plan (CDP), Land Access and Resettlement Management, Stakeholder Engagement, Grievance Redress Mechanism (GRM), and Environmental and Social Risk Management, among others. Each toolkit is designed to guide users through specific phases of a project, from early-stage planning to implementation and monitoring. Investors should begin by consulting the Stakeholder Engagement Toolkit to ensure that key stakeholders, including host communities, government agencies, and civil society organizations, are identified and meaningfully engaged from the outset. Following this, the CNA and CDP tools should be used to gather data and insights from the communities, ensuring that the interventions align with local needs, priorities, and resources. This participatory process is vital for ensuring that the community benefits from the investment and that the project receives the social license to operate. Once the community needs are identified, the Land Access, Easement, and Involuntary Resettlement Management Toolkit should be consulted to address any land acquisition or resettlement issues that may arise. The Valuation and Compensation Management Toolkit will ensure that affected individuals or communities are adequately compensated. To maintain transparent communication with all stakeholders, the Communication Strategy Toolkit provides detailed guidance on effectively conveying information about the project and engaging with stakeholders throughout its lifecycle. In parallel, the Environmental and Social Risk Management Toolkit offers methods for assessing and mitigating any potential risks associated with the project’s environmental or social impact. The Outgrowers and Food Security Toolkit focuses on involving local farmers in the project’s value chain, thereby fostering food security and economic empowerment. To address any disputes or concerns raised by affected individuals or communities, the GRM Toolkit outlines processes for grievance resolution. Lastly, the guide emphasizes the importance of continuous monitoring and evaluation through the Monitoring and Evaluation (M&E) framework, which helps track the progress of community development initiatives, measure their effectiveness, and ensure that the v intended outcomes are achieved. This is vital for ensuring that the project remains responsive to community needs and that any necessary adjustments can be made in a timely manner. Each toolkit is designed to be flexible, allowing it to be adapted to the specific needs of the project and context. By following the structured approach outlined in this guide, stakeholders can ensure that large-scale agricultural investments in Anambra State are not only profitable but also socially inclusive, environmentally sustainable, and aligned with the state’s development goals. vi TABLE OF CONTENTS FOREWARD .................................................................................................................... i ACKNOWLEDGEMENT ................................................................................................... iii HOW TO USE THIS GUIDE ............................................................................................... iv TABLE OF CONTENTS ..................................................................................................... vi LIST OF FIGURES ......................................................................................................... xiii LIST OF TABLES ............................................................................................................ xiv LIST OF ABBREVIATIONS AND ACRONYMS ..................................................................... xv EXECUTIVE SUMMARY ................................................................................................. xvii 1 INTRODUCTION AND PROJECT DESCRIPTION ........................................................... 2 1.1 Introduction ..................................................................................................... 2 1.2 Objectives ....................................................................................................... 2 1.3 Nature and Scope ............................................................................................ 3 1.4 Justification for FRILIA ...................................................................................... 4 1.5 Principles of FRILIA .......................................................................................... 4 1.6 Applicable Law and Implementation.................................................................. 5 1.7 Public Consultation .......................................................................................... 6 1.8 Monitoring and Evaluation ................................................................................ 6 1.9 Key Activities ................................................................................................... 7 1.10 Intended Users ................................................................................................ 7 2 COMMUNICATION STRATEGY TOOLKITS ..................................................................10 2.1 Introduction to Communication Strategy ..........................................................10 2.2 Objectives ......................................................................................................10 2.3 The Toolkit Communication Strategy .................................................................10 2.4 Target Audience ..............................................................................................11 2.5 Communication Channels ...............................................................................12 2.5.1 Communication Channel during FRILIA Pre-Implementation Phase .............12 2.5.2 Communication Channel during FRILIA Implementation Phase ...................12 2.6 FRILIA Implementation Agencies ......................................................................14 2.6.1 Key Implementation MDAs ........................................................................14 vii 2.6.2 The FRILIA Project Management Unit (PMU) at the Pre-Implementation Phase 14 3 LAND ACCESS, EASEMENT AND INVOLUNTARY RESETTLEMENT TOOLKIT ..................17 3.1 Introduction to the Toolkit ................................................................................17 3.2 Scope of the Toolkit .........................................................................................17 3.3 Visual Process Map for Involuntary Resettlement ..............................................18 3.4 RPF Visual Process Map in line with ANSIPPA's Investment Stages ......................19 3.5 Resettlement Policy Framework (RPF) ..............................................................20 3.5.1 Introduction to RPF...................................................................................20 3.5.2 Specific Goals of the RPF ..........................................................................20 3.5.3 Framework Application .............................................................................21 3.5.4 Principles of the Resettlement Policy Framework (RPF) Aligned with FRILIA ..21 3.6 Legal Framework for Resettlement under FRILIA ................................................23 3.6.1 Key Elements of the Legal Framework ........................................................23 4 VALUATION AND COMPENSATION MANAGEMENT TOOLKIT ......................................27 4.1 Introduction ....................................................................................................27 4.1.1 GIS Land Parcel Survey .............................................................................28 4.1.2 Asset Inventory and Valuation ...................................................................28 4.1.3 Socioeconomic Baseline Survey ................................................................28 4.2 Compensation Framework ...............................................................................28 4.2.1 Principles Guiding the Compensation Framework (CF) in Line with FRILIA ....29 4.2.2 Vulnerable Groups....................................................................................30 4.2.3 Determining Cut-off Date ..........................................................................31 4.2.4 Entitlement Matrix ....................................................................................31 4.2.5 Methodology of Valuing Affected Assets .....................................................33 4.2.6 Compensation .........................................................................................36 4.3 Livelihood Improvement Strategy .....................................................................38 4.3.1 Land-Based Programmes ..........................................................................38 4.3.2 Non-Land-Based Programmes ..................................................................40 4.4 Grievance Redress Mechanism (GRM) ..............................................................40 4.4.1 Avoiding Grievance ...................................................................................40 4.5 Stakeholder Engagement Framework ................................................................42 viii 4.5.1 Phases of Stakeholder Engagement ...........................................................43 4.6 RPF and RAP Implementation Arrangements and Procedures .............................43 4.7 Institutional Arrangement ................................................................................44 4.8 Implementation Budget ...................................................................................45 4.9 Monitoring and Evaluation ...............................................................................46 4.10 Completion Audit ............................................................................................47 4.11 Templates .......................................................................................................48 5 ENVIRONMENTAL AND SOCIAL RISK ........................................................................64 5.1 Introduction to ESRM Toolkit ............................................................................64 5.2 Scope of theToolkit ..........................................................................................64 5.3 Approach To ESRM Toolkit ................................................................................65 5.4 Environmental And Social Risk Management Framework (ESRMF) ......................66 5.5 Principles for ESRMF in line with FRILIA .............................................................68 5.6 Institutional Framework for ESRMF ...................................................................70 5.7 Capacity building requirements........................................................................70 5.8 Legal / Regulatory Framework ..........................................................................72 5.9 Environmental and Social Impact Screening .....................................................75 5.9.1 E&S Screening..........................................................................................75 5.9.2 Regulatory ESIA Process ...........................................................................75 5.10 Project Proposal Framework for FRILIA Investments ..........................................77 5.10.1 Screening and Categorization ....................................................................78 5.10.2 Execution of the ESIA ................................................................................79 5.11 Draft ESIA Report Content ................................................................................79 5.11.1 Environmental and Social Baseline ............................................................80 5.11.2 Guidelines and Methodology for Environmental Data Collection ..................80 5.11.3 Guidelines and Methodology for Social Data Collection ..............................80 5.12 E&S Impact Analysis, Ranking, and Mitigation ...................................................81 5.12.1 Impact Identification and Ranking Methodology .........................................81 5.12.2 Potential E&S Impacts and Significance Ranking ........................................81 5.13 Concept of Impact Mitigation and Enhancement ...............................................82 5.13.1 Mitigation Measures .................................................................................82 5.13.2 Enhancement Measures ...........................................................................83 ix 5.13.3 Recommended Mitigation and Enhancement Measures ..............................83 5.13.4 E&S Monitoring, Audit, and Reporting ........................................................83 6 LEGAL/INSITUTIONAL GUIDELINES, REQUIREMENTS AND PRINCIPLES GOVERNING RESETTLEMENT IN ANAMBRA STATE ...............................................................................86 6.1 Land Ownership in Nigeria ...............................................................................86 6.1.1 Categories of Land Ownership in Nigeria ....................................................86 6.2 Nigerian Legal/Institutional Guidelines and Requirements .................................86 6.2.1 Land Use Act of 1978 and Resettlement Procedures ...................................86 6.2.2 Requirements of the Land Use Act .............................................................87 6.3 Land Acquisition Procedure in Nigeria ..............................................................89 6.3.1 Steps in the Land Acquisition Process ........................................................89 6.3.2 Dispute Resolution Mechanisms ...............................................................90 6.3.3 Compensation Provisions under the Land Use Act ......................................90 6.4 The World Bank Environmental and Social Standards (ESS) ................................91 6.4.1 Objectives of ESS5 ...................................................................................91 6.4.2 Applicability of ESS5 .................................................................................92 6.4.3 Provisions under ESS5 ..............................................................................93 6.4.4 Lessons Learned and Improvements .........................................................93 6.5 International Standards for Land Acquisition and Resettlement ..........................94 6.5.1 Key Considerations for Resettlement and Compensation ............................94 6.5.2 Groups Eligible for Compensation .............................................................94 6.5.3 Resettlement Action Plans (RAPs) .............................................................95 6.5.4 Linkage with Project Implementation .........................................................95 6.5.5 Protection of Vulnerable Groups ................................................................96 6.5.6 Implementation Monitoring .......................................................................96 6.6 Gap Analysis Between Nigerian Law and World Bank ESS5 and Gap-Filling Measures 96 6.6.1 Key Areas of Alignment .............................................................................97 6.7 Major Outcomes of the Review of Nigeria Legislation and the International Policy on Involuntary Resettlement ...........................................................................................99 6.7.1 Key Conclusions ......................................................................................99 6.7.2 Implications for Implementation ............................................................. 100 x 7 OUT GROWERS AND FOOD SECURITY TOOLKIT ..................................................... 103 7.1 Introduction to the Toolkit .............................................................................. 103 7.2 Purpose of the Toolkit .................................................................................... 103 7.3 FRILIA Principles Applicable to Out-growers and Food Security ........................ 103 7.4 Importance of Out-growers in the Anambra State Transformation Program ........ 104 7.5 Roles of Investor, Communities, and Government ........................................... 105 7.6 Financing Out-growers and Food Security ....................................................... 106 7.7 Scope of the Out-growers and Food Security Toolkit ........................................ 107 7.7.1 Investor Out-grower Plan (OG Template 1) ................................................ 107 7.7.2 The Out-grower Models (OG Template 2) .................................................. 108 7.7.3 The Food Security Template (OG Template 3) ............................................ 109 7.7.4 Other Templates ..................................................................................... 110 8 STAKEHOLDER ENGAGEMENT ............................................................................... 112 8.1 Introduction .................................................................................................. 112 8.2 Objectives .................................................................................................... 112 8.3 Scope of the Toolkit ....................................................................................... 112 8.4 Stages of FRILIA Stakeholder Engagement ...................................................... 114 8.5 Stakeholder Engagement Plan Framework ...................................................... 115 8.5.1 Principles of Stakeholder Engagement Aligned with FRILIA ........................ 115 8.5.2 Additional Engagement Principles ........................................................... 115 8.5.3 Regulatory Framework for Stakeholder Engagement ................................. 115 8.6 Stakeholder Identification and Analysis .......................................................... 116 8.6.1 Stakeholder Identification ....................................................................... 116 8.6.2 Stakeholder Categorisation ..................................................................... 116 8.6.3 Summary of Stakeholders' Consultation .................................................. 119 8.6.4 Stakeholder Analysis .............................................................................. 120 8.6.5 Stakeholder Mapping .............................................................................. 122 8.6.6 Summary of Previous Engagements ......................................................... 123 8.7 STAKEHOLDER ENGAGEMENT STRATEGY ....................................................... 123 8.7.1 Mechanism for Future Engagement and Consultation of Project-Affected Persons (PAPs) ..................................................................................................... 123 8.7.2 Procedure for Stakeholder Engagement ................................................... 123 xi 8.7.3 Key Messages for Stakeholder Engagement .............................................. 124 8.7.4 Procedure for Initial Entry at the LGA Level ............................................... 124 8.7.5 Objectives of LGA Entry .......................................................................... 124 8.7.6 Steps for LGA Entry ................................................................................. 125 8.7.7 Community Entry Procedure ................................................................... 125 8.7.8 Stakeholder Engagement Methods and Tools ........................................... 125 8.7.9 Stakeholder Engagement Activities .......................................................... 127 8.7.10 Implementation Arrangements ................................................................ 128 8.7.11 Stakeholder Engagement Budget ............................................................. 128 8.8 Grievance Redress Mechanism for Stakeholder Engagement ........................... 128 8.9 Monitoring and Reporting ............................................................................... 129 8.9.1 Monitoring ............................................................................................. 129 8.9.2 Reporting ............................................................................................... 129 9 GLOBAL MEMORANDUM OF UNDERSTANDING (GMOU) TOOLKITS ......................... 137 9.1 Introduction to GMOU Toolkit ......................................................................... 137 9.2 Scope of the Toolkit ....................................................................................... 137 9.3 FRILIA Principles Relevant to the GMOU Toolkit ............................................... 137 9.4 FRILIA GMOU TOOLKIT APPROACH ................................................................ 138 9.5 GMOU Templates .......................................................................................... 139 9.6 Sections of the Guide .................................................................................... 139 9.7 How to Use the Templates ............................................................................. 140 10 GRIEVANCE REDRESS MECHANISM .................................................................. 142 10.1 Introduction to the GRM Toolkit ...................................................................... 142 10.2 Scope of the GRM Toolkit ............................................................................... 142 10.3 GRM Framework ........................................................................................... 142 10.3.1 Introduction ........................................................................................... 142 10.3.2 What is a Grievance and GRM? ................................................................ 143 10.3.3 Principles of the GRM ............................................................................. 144 10.3.4 FRILIA GRM Approach ............................................................................. 144 10.4 ESTABLISHMENT OF A GRIEVANCE REDRESS MECHANISM ............................. 147 10.4.1 Basic Elements of GRM Design ................................................................ 147 10.4.2 Institutional Arrangement for Grievance Redress Based on FRILIA ............. 148 xii 10.5 FRILIA Grievance Redress Procedure .............................................................. 149 10.6 Grievance Reporting and Dissemination ......................................................... 152 10.6.1 Communication Strategy ........................................................................ 152 10.6.2 Feedback Mechanism ............................................................................ 153 10.6.3 Recording and Monitoring of Grievances .................................................. 153 10.6.4 GRM Templates ...................................................................................... 154 11 COMMUNITY NEED ASSESSMENT (CNA) AND COMMUNITY DEVELOPMENT PLAN (CDP) TOOLKITS .......................................................................................................... 159 11.1 Introduction to the Toolkit .............................................................................. 159 11.2 Scope of the CNA and CDP Toolkit .................................................................. 159 11.3 Approach for Community Needs Assessment and Development Plan ............... 160 11.4 Community Development Plan (CDP) Framework ............................................ 162 11.4.1 Objectives and Justification for the CDP ................................................... 162 11.4.2 CDP Principles in line with FRILIA ............................................................ 162 11.5 CDP Methodology ......................................................................................... 163 11.5.1 Stakeholder Identification and Analysis ................................................... 163 11.5.2 Community Needs Assessment (CNA) ..................................................... 164 11.6 Preparation of the Community Development Plan (CDP) .................................. 166 11.7 CDP Implementation ..................................................................................... 167 11.8 Monitoring and Evaluation of the Community Development Plan (CDP) ............. 167 12 APPENDIX ........................................................................................................ 175 xiii LIST OF FIGURES Figure 3.1 Process Map for involuntary Resettlement 18 Figure 4.2 IRVC Template 1 - Screening Checklist for Involuntary Resettlement 50 Figure 4.3 IRVC Template 3 Cut-off date Notice Sample 50 Figure 4.4 IRVC Template 8 Outline for Market Survey 54 Figure 4.5 IRVC Template 4 – Land Parcel Survey Form 55 Figure 4.6 IRVC Template 7 Sample Compensation Payment Form 56 Figure 4.7 IRVC Template 5 Sample Socioeconomic Survey Tool 57 Figure 4.8 IRVC Template 3 Valuation Report Format 60 Figure 4.9 IRVC Template 10 Typical Compensation Schedule Template 62 Figure 5.1 Visual Process Flow of ESRM 65 Figure 5.2 Regulatory ESIA Process in Nigeria 77 Figure 8.1 FRILIA Stakeholder Engagement Approach 114 Figure 8.2 FRILIA Stakeholder Groups 118 Figure 8.3 FRILIA Toolkits Communication Strategy for Stakeholder Engagements 131 Figure 8.4 Sample Interest Influence Matrix 132 Figure 8.5 Project Key Message Template 133 Figure 8.6 Sample Letter of Intent 134 Figure 8.7 Sample of Meeting Minutes 135 Figure 9.1 FRILIA GMOU Toolkit Approach 139 Figure 10.1 FRILIA GRM Approach 145 Figure 10.2 Grievance Redress Procedure 150 Figure 10.3: GRM Template 1 – Grievance Registration Form 154 Figure 10.4: GRM Template 2 – Grievance Acknowledgment Reciept 155 Figure 10.5: GRM Template 3 and 5 – Grievance Logbook and Grievance Committee Proceedings Template 156 Figure 10.6: Grm Template 4 – Grievance Disclosure Form 157 Figure 11.1 CNA and CDP Approach 160 Figure 11.2 CNA Process 164 Figure 11.3 CNA – Key Information Interview Template 170 Figure 11.4 CNA – Focus Group Discussion Template 171 Figure 11.5 CNA – Identified Community Development Projects Template 172 Figure 11.5 CNA – Community Needs Assessment Report Outline Template 173 xiv LIST OF TABLES Table 2.1 Stakeholder Groups and their Various Communication Channels 13 Table 3.1: Applicable National, Anambra State Laws and Policies on Resettlement, Valuation and Compensation 24 Table 4.1 Eligibility groups and Compensation based on FRILIA Principles 31 Table 4.2 Actions that can Avoid Grievances 41 Table 4.3 Template required for involuntary resettlement and compensation 48 Table 5.1 Impact Significance Matrix 82 Table 6.1 Key Gaps and Recommended Measures 97 Table 7.1 Summary of Roles 107 Table 8.1 Stakeholder Analysis 120 Table 10.1 Actions to avoid Grievances 146 xv LIST OF ABBREVIATIONS AND ACRONYMS ACSDA - Anambra State Community and Social Development Agency ANSG - Anambra State Government ANSIPPA - Anambra State Investment Promotion and Protection Agency ARAP - Abbreviated Resettlement Policy Framework CAN - Community Needs Assessment CBO - Community-Based Organisation CDIC - Community Development Implementation Committee CDP - Community Development Plan CDTC - Community Development Technical Committee CF - Compensation Framework CSO - Civil Society Organisation E & S - Environmental and Social ESIA - Environmental and Social Impact Assessment ESMF - Environmental and Social Management Framework ESMP - Environmental and Social Management Plan ESRM - Environmental and Social Risk Management ESMS - Environmental and Social Management System ESSs - Environmental and Social Standards FGN - Federal Government of Nigeria FMEV - Federal Ministry of Environment FPCU - Federal Project Coordinating Unit FRILIA - Framework for Responsible and Inclusive Land Agricultural Investment FSAP - Food Security and Agricultural Productivity GIS - Geographic Information System GMOU - General Memorandum of Understanding GRC - Grievance Redress Committee GRM - Grievance Redress Mechanism ICT - Information and Communication Technology IRVC - Involuntary Resettlement Valuation and Compensation LGA - Local Government Authority LRP - Livelihood Restoration Plan LUA - Land Use Act xvi M&E - Monitoring and Evaluation MDA - Ministries, Departments, and Agencies MOU - Memorandum of Understanding NGO - Non-Governmental Organisation OG - Out Growers PAP - Projected Affected Persons PEBEC - Presidential Enabling Business Environment Council PIM - Project Implementation Manual PMU - Project Management Unit PPP - Public-Private Partnership RAP - Resettlement Action Plan RPF - Resettlement Policy Framework SABER - State Action on Business Enabling Reforms SAPZ - Special Agro-Processing Zone SPCU - State Project Coordinating Unit WB - World Bank xvii EXECUTIVE SUMMARY The Framework for Responsible and Inclusive Land-Intensive Agricultural Investment (FRILIA) Toolkit is a comprehensive guide designed to assist investors, policymakers, and stakeholders in ensuring that large-scale agricultural investments are carried out in a socially responsible, environmentally sustainable, and economically inclusive manner. This toolkit is particularly relevant as Anambra State aims to unlock its agricultural potential while ensuring that the benefits of such investments are shared equitably within host communities. The FRILIA Toolkit emphasizes a holistic approach to development, ensuring that projects contribute positively to local economies, respect the environment, and improve the well- being of communities, particularly vulnerable groups such as women and youth. It provides practical tools to address challenges that arise throughout the lifecycle of an agricultural investment, from planning and development through to implementation and evaluation. The FRILIA Toolkit includes various specialized components designed to guide responsible agricultural investment. The Community Needs Assessment (CNA) and Community Development Plan (CDP) toolkits focus on identifying and prioritizing community needs through participatory processes, ensuring that the development interventions are closely aligned with the aspirations and requirements of local populations. These toolkits also help in fostering the development of sustainable and contextually appropriate projects that have long-lasting positive effects. The Stakeholder Engagement Toolkit ensures that key stakeholders, including government bodies, local communities, and civil society organizations, are effectively engaged and included in the decision-making process, which is crucial for project success. Effective communication throughout the investment process is critical for maintaining transparency and trust, which is why the Communication Strategy is an essential part of the toolkit. It provides methods and strategies for keeping all stakeholders informed and engaged. In addition to communication, the Land Access, Easement, and Involuntary Resettlement Management Toolkit outlines how to responsibly manage land acquisition and resettlement issues, ensuring that the rights of affected communities are respected and that the process adheres to both legal and social standards. The Valuation and Compensation Management Toolkit offers guidance on the fair and transparent valuation of affected properties, ensuring that displaced individuals and communities receive adequate compensation for their losses. The Environmental and Social Risk Management Toolkit is another key component of the FRILIA Toolkit, helping investors assess and manage potential risks associated with environmental and social impacts, ensuring that projects are both environmentally sustainable and socially responsible. In line with promoting inclusive growth, the Outgrowers and Food Security Toolkit focuses on integrating local farmers into the supply chains of large- scale agricultural investments, fostering food security and supporting local economic empowerment. xviii The Grievance Redress Mechanism (GRM) is designed to address any conflicts or disputes that arise during the implementation of agricultural projects. By establishing clear processes for grievance resolution, the toolkit helps maintain positive relationships between investors and host communities. To ensure that the projects are effectively implemented, and their impacts are positive and sustainable, the FRILIA Toolkit also includes a Monitoring and Evaluation (M&E) framework. This framework tracks the progress of community development projects, measures their impact, and provides continuous feedback to improve project outcomes. Overall, the FRILIA Toolkit provides a structured and adaptable framework for managing large- scale agricultural investments, ensuring that they contribute not only to the economic success of investors but also to the social, environmental, and economic well-being of host communities. It emphasizes the importance of collaborative governance, transparency, and stakeholder engagement throughout the investment process. By utilizing the tools in the FRILIA Toolkit, investors can align their projects with the development goals of Anambra State, creating lasting positive impacts for the state’s people while ensuring the long-term sustainability and inclusiveness of agricultural investments. 1 INTRODUCTION AND PROJECT DESCRIPTION 2 1 INTRODUCTION AND PROJECT DESCRIPTION 1.1 Introduction The Framework for Responsible and Inclusive Land-Intensive Investment in Agriculture (FRILIA) in Anambra State introduces an innovative approach to advancing the agricultural sector by promoting inclusive and sustainable land-use practices. Located in Nigeria's South-Eastern region, Anambra State boasts extensive arable land and a rich agricultural tradition, positioning it as a key player in farming activities. However, the state faces pressing issues related to land governance, investment strategies, and the adoption of sustainable agricultural methods. FRILIA aims to tackle these issues by providing a structured framework that advocates responsible land utilization, fosters inclusive stakeholder participation, and attracts sustainable investments in agriculture. The initiative underscores the importance of balancing social, economic, and environmental factors in land-intensive agricultural investments to promote sustainable development and uplift the livelihoods of local communities. Key elements of FRILIA include enhancing land accessibility for smallholder farmers, implementing fair and transparent land tenure systems, and adopting best practices in land use and management. By championing responsible investment principles, FRILIA strives to create a favourable environment for both local and international investors, driving innovation and improving agricultural output. The framework is the product of extensive collaboration and engagement with diverse stakeholders, such as farmers, government bodies, academic institutions, NGOs, and private-sector entities. This inclusive, participatory process ensures the framework is well-rounded, representative, and aligned with the needs and goals of all involved parties. Through FRILIA, Anambra State aspires to establish itself as a model for responsible and inclusive agricultural investments. The framework illustrates how sustainable land-use practices and equitable resource management can simultaneously increase agricultural productivity, foster economic growth, and enhance the quality of life for its residents. This initiative not only addresses immediate land management challenges but also lays the foundation for long-term sustainable agricultural progress in the state. 1.2 Objectives These voluntary frameworks are designed to strengthen the governance of land, fisheries, and forests, prioritizing the welfare of all, particularly vulnerable and marginalized 3 groups. Their overarching goals include securing food availability, progressively upholding the right to adequate nutrition, alleviating poverty, advancing sustainable livelihoods, and promoting social cohesion. Additionally, the frameworks aim to ensure housing security, encourage rural development, protect the environment, and support sustainable social and economic growth. Efforts to improve land rights management must align with a nation's existing commitments under international law, including adherence to the Universal Declaration of Human Rights and other global human rights treaties. These frameworks are designed with the following objectives: 1. Strengthen Tenure Governance: Provide guidance and insights on globally accepted practices for managing and regulating rights to utilize land, fisheries, and forests. 2. Enhance Governance Structures: Support the development and improvement of legislative, legal, and organizational frameworks that oversee various tenure rights related to natural resources. 3. Promote Transparency and Efficiency: Improve the transparency and effectiveness of tenure systems to ensure equitable and sustainable resource management. 4. Build Capacity and Foster Collaboration: Enhance the skills and operations of institutions and individuals responsible for implementing policies and managing land tenure. These include courts, local governments, farmer and small-producer associations, fishers, forest users, pastoralists, Indigenous peoples, civil society, private-sector actors, academics, and other stakeholders. The framework also encourages collaboration and synergy among these diverse groups. 1.3 Nature and Scope 1. Voluntary Nature: These frameworks are non-binding and voluntary in nature, offering guidance without mandating compliance. 2. Alignment with Legal Obligations: Their interpretation and application should be consistent with Nigeria’s existing legal obligations as well as international law, while also considering voluntary commitments under relevant regional and global agreements. The frameworks complement national, regional, and global initiatives that advocate for human rights and secure tenure rights for land, fisheries, and forests. 4 3. Wide Applicability: A broad range of stakeholders, including governments, implementing agencies, judicial authorities, local administrations, farmer associations, small-scale producers, fishers, forest users, pastoralists, Indigenous communities, civil society, private sector entities, academics, and individuals, can use these frameworks. They serve as tools to evaluate governance systems for land tenure, identify gaps, and guide improvements in management and implementation. 4. Global Relevance: These frameworks are universally applicable. Regardless of a country's level of economic development, they can be adapted to suit national contexts and applied to manage various forms of land ownership, including public, private, communal, collective, Indigenous, and traditional systems. 5. Contextual Adaptation: Their interpretation and use are tailored to align with Nigeria’s unique legal systems and institutional frameworks. 1.4 Justification for FRILIA Anambra State is endowed with rich natural resources and immense agricultural potential. However, unlocking this potential requires a well-structured framework to guide responsible and inclusive agricultural investments. The Anambra State FRILIA serves this purpose by offering clear principles and guidelines to address the challenges of land-intensive agricultural investments. This framework is designed to mitigate risks such as environmental degradation, social displacement, and unequal benefit distribution. It also promotes sustainable farming practices, strengthens food security, and drives economic growth. By doing so, it ensures that the benefits of agricultural development are shared equitably among all stakeholders, fostering inclusive and sustainable progress. 1.5 Principles of FRILIA • Sustainability: Agricultural investments must prioritize the long-term health and productivity of the environment. This involves adopting practices that conserve natural resources, minimize emissions, and protect biodiversity, ensuring the resilience and viability of ecosystems for future generations. • Inclusivity: Investments should guarantee the active participation and inclusion of all stakeholders, with a particular focus on local communities, women, and marginalized groups. This approach ensures equitable access to opportunities and benefits arising from agricultural development. 5 • Transparency: Transparency is essential for building trust, keeping stakeholders well-informed, and enabling accountability for investors. Open communication and clear processes foster collaboration and confidence among all parties involved. • Accountability: All investors and stakeholders must be held accountable for their actions and commitments. This includes strict adherence to legal standards, respecting the rights of communities, and fulfilling promises related to social and economic benefits. • Respect for Land Rights: Agricultural investments must uphold and respect existing land rights, including customary and communal ownership. Securing land tenure for local communities is essential for avoiding conflicts and fostering social harmony. • Economic Growth: Investments in agriculture should drive economic development in Anambra State by creating employment opportunities, enhancing infrastructure, and establishing strong linkages with other sectors of the economy. • Community Well-being: A primary goal of agricultural investments should be to improve the well-being of local communities. This involves expanding access to essential services such as education and healthcare and prioritizing community development in all investment strategies. • Environmental Protection: Safeguarding the environment is central to the sustainability of agricultural investments. This principle emphasizes adopting practices that minimize environmental harm, promote resource conservation, and maintain ecosystem health. 1.6 Applicable Law and Implementation. The primary legal framework governing land acquisition and expropriation in Anambra State, Nigeria, is the Nigerian Land Use Act of 1978. This Act serves as the principal national legislation guiding land-related processes. In parallel, the World Bank's Operational Policy 4.12, which addresses Involuntary Resettlement, outlines the bank's policy for operations that involve involuntary displacement. In analyzing both frameworks, particular attention was paid to entitlement and eligibility considerations in cases of asset loss, including land, economic tree structures, employment, and businesses. The evaluation compared the two frameworks, focusing on differences and similarities in processes related to land acquisition, displacement, compensation rates, and 6 entitlement criteria. In instances where discrepancies were identified, it was recommended that the more stringent and pro-poor provisions be adopted to ensure fair outcomes for all stakeholders. Given the alignment with World Bank Operational Policy 4.12, the project in Anambra State will adhere to international standards for involuntary resettlement. The Resettlement Policy Framework (RPF) is a comprehensive guideline for addressing the impacts of physical and economic displacement, as well as restrictions on access to or use of communal natural resources. Importantly, the RPF ensures that Project- Affected People (PAP) are consulted before any subproject activities are carried out, and it requires the thorough consideration of appropriate mitigation measures. In situations where significant impacts are anticipated, a detailed, site-specific Resettlement Action Plan (RAP) will be prepared to address the full scope and scale of the effects. The RPF acknowledges that PAPs may have grievances related to the non- implementation or dissatisfaction with the implementation of the RAP. To address such grievances, the RPF establishes a structured grievance mechanism, outlining various levels for grievance resolution to ensure that PAPs' concerns are addressed outside of the court system. However, if PAPs are dissatisfied with the outcome of the grievance resolution process, they retain the right to seek legal redress through the court. The RPF also provides detailed guidance on the composition, funding, and management of the Grievance Redress Committee (GRC), ensuring that the process is transparent, accessible, and effective for all parties involved. 1.7 Public Consultation Stakeholder and community consultations were intentionally incorporated during the preparation of this Resettlement Policy Framework (RPF), in line with SABER's requirements for developing FRILIA Toolkits. The consultations involved relevant government agencies, project-affected areas, and social groups within the clusters and sites that may potentially receive project financing support. 1.8 Monitoring and Evaluation Monitoring and Evaluation (M&E) are vital components of the Anambra State Framework for Responsible and Inclusive Land Intensive Investment in Agriculture (FRILIA). M&E ensures that agricultural investments align with the established principles, achieve their intended objectives, and contribute to sustainable and inclusive development. Objectives of M&E: 7 1. Track Progress: Continuously monitor the implementation of FRILIA to assess whether investments are advancing as planned. 2. Ensure Compliance: Ensure that all stakeholders are adhering to the principles and guidelines outlined in FRILIA. 3. Measure Impact: Assess the socio-economic and environmental impacts of investments to verify that they contribute to sustainable development. 4. Facilitate Learning: Identify key lessons and best practices that can inform and improve future agricultural investments. 5. Enhance Accountability: Hold investors and stakeholders accountable for their commitments and actions, ensuring transparency and responsibility throughout the process. 1.9 Key Activities 1. Baseline Studies: Undertake initial assessments to establish reference points, providing benchmarks against which future progress can be measured. 2. Regular Reporting: Establish a system for periodic reports on the status of investments, ensuring compliance with guidelines and tracking the achievement of objectives. 3. Field Visits: Conduct regular field visits to verify reported progress and engage directly with local communities. 4. Stakeholder Feedback: Gather feedback from all stakeholders, including local communities, investors, and government agencies, to ensure diverse perspectives are considered. 5. Impact Assessments: Carry out comprehensive impact assessments at various stages of the investment lifecycle to evaluate socio-economic and environmental effects. 1.10 Intended Users FRILIA is designed to serve a wide range of stakeholders involved in agricultural investments in Anambra State. The intended users include: 1. Government Agencies: To provide a regulatory framework and ensure adherence to state policies and laws. 2. Investors: To guide responsible investment practices, ensuring that their projects contribute to sustainable development. 8 3. Local Communities: To protect their rights, ensure their inclusion in decision- making processes, and improve their overall well-being. 4. Non-Governmental Organizations (NGOs): To advocate for best practices and monitor the social and environmental impacts of investments. 5. Researchers and Academics: To assess the effectiveness of FRILIA and contribute to its ongoing improvement and adaptation. 6. International Development Partners: To align their support with local frameworks, amplifying the impact of their contributions. 9 COMMUNICATION STRATEGY TOOLKITS 10 2 COMMUNICATION STRATEGY TOOLKITS 2.1 Introduction to Communication Strategy The FRILIA Toolkit Communication Strategy highlights the vital role of all stakeholders during both the pre-operationalisation and operationalisation phases. This approach is characterised by extensive consultation, collaboration, and inclusivity, ensuring that every stakeholder is well-informed, actively engaged, and equipped to manage and apply the toolkits effectively in the implementation of FRILIA. By involving all parties in this process, the strategy ensures that stakeholders are integral to the success of the project. 2.2 Objectives The objectives of this communication strategy are to: 1. Disclose the FRILIA Toolkit to Stakeholders: Ensure that all relevant stakeholders are introduced to the FRILIA toolkit, providing them with essential information about its purpose and content. 2. Sensitise Stakeholders on the FRILIA Toolkit and Its Applicability: Raise awareness among stakeholders about the toolkit and its relevance, particularly during the implementation phase, to facilitate effective use. 3. Ensure Stakeholder Buy-In: Foster a sense of ownership and commitment among stakeholders, ensuring their active participation and support for the toolkit’s application. 4. Ensure Access to the Toolkits During the Implementation Stage of FRILIA: Guarantee that stakeholders have continuous access to the toolkit throughout the implementation phase, enabling smooth execution of the framework. 2.3 The Toolkit Communication Strategy The communication strategy for the toolkits addresses the following key questions: • What information needs to be disclosed? The strategy identifies the key elements of the FRILIA toolkit that need to be shared with stakeholders, including its purpose, principles, guidelines, and how it will be applied during the implementation phase. • Who is the target audience? The target audience includes all stakeholders involved in the FRILIA process, such as government agencies, investors, local communities, NGOs, researchers, academics, and international development partners. 11 • What channel will be used to communicate the information? The strategy outlines the communication channels that will be utilised, such as meetings, workshops, printed materials, digital platforms, and community outreach, to ensure that the information reaches the relevant stakeholders effectively. • Who is responsible? The strategy specifies the individuals or groups responsible for disseminating the information, including project managers, communication teams, government agencies, and other designated entities. 2.4 Target Audience The primary information to be disseminated to stakeholders is the FRILIA Toolkit, which contains frameworks and templates across eight key areas. These resources are designed to guide investors in integrating the principles of responsible and inclusive land- intensive agricultural development into both the planning and operational phases of their projects. The toolkits include: 1. Stakeholder Engagement Toolkit: Provides strategies for engaging stakeholders throughout the project lifecycle. 2. Grievance Redress Mechanism Toolkit: Offers frameworks to address stakeholder grievances and ensure fair resolution processes. 3. Involuntary Resettlement, Valuation, and Compensation Toolkit: Outlines procedures for managing resettlement, including asset valuation and compensation guidelines. 4. Environment and Social Risk Management Toolkit: Focuses on mitigating environmental and social risks associated with land-intensive agricultural investments. 5. Community Needs Assessment and Community Development Plan Toolkit: Guides the assessment of community needs and the development of plans that align with those needs. 6. Out-grower Models and Food Security Plan Toolkit: Provides templates for establishing out-grower models and strategies to ensure food security. 7. Global Memorandum of Understanding (MoU) Toolkit: Offers frameworks for establishing MoUs that govern relationships between stakeholders. These toolkits are essential for ensuring that agricultural investments in Anambra State are developed and executed in line with sustainable, inclusive, and socially responsible principles. 12 2.5 Communication Channels 2.5.1 Communication Channel during FRILIA Pre-Implementation Phase During the pre-implementation phase, the primary communication channel for disseminating the FRILIA Toolkits will be training and capacity-building workshops for all stakeholders. These workshops will serve multiple purposes: training stakeholders on the toolkits, obtaining their feedback, and ensuring that they are fully informed about the principles and guidelines within the toolkits. The capacity-building and training program will be tailored to the different levels of stakeholders within Anambra State's political and technical spheres, as detailed in the "Proposal for Stakeholder Engagement on FRILIA Toolkit in Anambra State." These workshops will not only disclose the toolkits to stakeholders but also serve as an avenue for gathering input, which will then be incorporated into the final version of the toolkits. Following the workshops, participant feedback will be reviewed and used to make necessary revisions to the toolkits. Once finalized, the toolkits will be formally handed over to the Anambra State Government. 2.5.2 Communication Channel during FRILIA Implementation Phase In the implementation phase, the finalized FRILIA toolkits will be submitted to the Project Implementation Unit. They will be housed with the lead implementing agencies of FRILIA, namely the Anambra State Investment Promotion and Protection Agency (ANSIPPA). The agency will make the toolkits accessible to investors and other stakeholders. To ensure accessibility and uniformity, copies of the toolkits will also be made available in the relevant Ministries, Departments, and Agencies (MDAs) responsible for each area of the toolkit's application. Primarily, these toolkits will be available in soft copies, making it easier for potential investors and stakeholders to access them online. FRILIA Introductory Document At this point, the communication channels will vary depending on the target stakeholder group. The FRILIA introductory document will be disseminated to all stakeholders, providing them with an overview of the toolkit's contents and objectives 13 Stakeholder Groups Awareness/ Training Workshops Community meetings Infographics Flyers/Leaflets Phone call Text messaging Email FRILIA website portal Notice boards FRILIA Implementing Agencies ✔ Investors, Lenders ✔ ✔ ✔ ✔ ✔ ✔ Local Government Authorities ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ Traditional and community leaders ✔ ✔ ✔ ✔ NBOs, CBOs and civil societies and other development partners ✔ ✔ ✔ ✔ ✔ ✔ PACs/Host communities ✔ ✔ ✔ ✔ Media house/outfits ✔ ✔ ✔ ✔ ✔ Table 2.1 Stakeholder Groups and their Various Communication Channels 14 2.6 FRILIA Implementation Agencies 2.6.1 Key Implementation MDAs The Ministry of Agriculture and Anambra State Investment Promotion Agency (ANSIPPA) will serve as the key MDAs responsible for the implementation of FRILIA. Their responsibilities include: 1. Providing Orientation on FRILIA Toolkits: They will be tasked with orienting different stakeholders, ensuring they are familiar with the principles and guidelines of the FRILIA Toolkits. 2. Responding to Queries: These MDAs will serve as the point of contact for any queries relating to the applicability and details of the FRILIA Toolkits, providing clarification and support as needed. 3. Training and Capacity Building: Both the Ministry of Agriculture and ANSIPPA will oversee the training and capacity-building efforts for investors utilizing the FRILIA Toolkits, ensuring that they are equipped to integrate the guidelines into their agricultural projects. 2.6.2 The FRILIA Project Management Unit (PMU) at the Pre-Implementation Phase The FRILIA PMU will play a critical role in supporting the consultants during the pre- implementation phase. The PMU’s responsibilities will include: 1. Scheduling Stakeholder Engagement Activities: The PMU will coordinate and schedule the date, time, and venue for the stakeholder engagement sessions, ensuring that all logistics are managed effectively. 2. Securing the Venue: The PMU will be responsible for securing an appropriate venue for the engagement activities, ensuring that the environment is conducive for productive discussions. 3. Sending Invitations and Receiving Feedback: The PMU will send out invitations to all relevant stakeholders, managing the RSVPs and receiving commitments to attend the engagement sessions. 4. Coordinating with Consultants: The PMU will liaise with the consultants to ensure that they are fully prepared for the training sessions, aligning their content and materials with the needs of the stakeholders. 5. Overseeing the Entire Training Programme: The PMU will oversee the implementation of the training programme, ensuring that it runs smoothly and meets its objectives. 15 This collaborative approach between the MDAs and the FRILIA PMU ensures that the toolkits are effectively communicated and applied in the implementation phase. 16 LAND ACCESS, EASEMENT AND INVOLUNTARY RESETTLEMENT TOOLKIT 17 3 LAND ACCESS, EASEMENT AND INVOLUNTARY RESETTLEMENT TOOLKIT 3.1 Introduction to the Toolkit This toolkit merges the Involuntary Resettlement Toolkit and the Valuation and Compensation Toolkit to streamline the process and avoid redundancy in addressing the valuation and compensation components, which are essential parts of the resettlement procedure. In instances where the project leads to both physical and economic displacement, the complete toolkit will apply. However, in cases of economic displacement only, the livelihood restoration, valuation, and compensation components will be the relevant sections to consider. The toolkit provides frameworks and templates to design effective mitigation and compensation strategies for land acquisition impacts resulting from FRILIA-compliant project activities. A key principle of FRILIA is to minimise displacement and ensure the sustainable resettlement of Project-Affected Persons (PAPs). Since land-based developments, especially large-scale agricultural projects, tend to be land-intensive, it is critical to ensure that such FRILIA projects are developed sustainably to minimise adverse impacts on local communities and the environment. 3.2 Scope of the Toolkit This toolkit is applicable to any physical and/or economic displacement resulting from the development of large-scale agricultural projects. It is centred around the Resettlement Policy Framework (RPF) and its associated templates, which cover several key areas: • Legal Framework • Resettlement Planning Process • Compensation Framework and Arrangements for all Project-Affected Persons (PAPs) • Participatory Approach to Stakeholder Engagement • Livelihood Restoration Planning • Grievance Management Specifically, the compensation framework within the RPF outlines a structured process to ensure full compensation for individuals impacted by involuntary land acquisitions. It 18 establishes the procedures, applicable valuation standards, legal frameworks, and minimum performance requirements expected from stakeholders. The compensation framework of the RPF thus aims to: 1. Set Minimum Performance Standards: Define the minimum implementable and legally permissible standards required during involuntary land acquisition for agricultural projects in Anambra State. 2. Promote Best Practices in Land Valuation: Establish best practices for land valuation, taking into account existing national and state laws, the Anambra State Government (ANSG) regulations, and the new FRILIA Executive Order. 3. Recognise Land Rights: Identify and highlight all legitimate land rights, including restricted access to land resources, that any investment project may impact. 3.3 Visual Process Map for Involuntary Resettlement Figure 3.1 Process Map for involuntary Resettlement Review E&S Screenin g Review of FRILIA RPF RAP Screeni ng Stakehol der Engagem ent Review FRILIA GRM RAP Study Compen sation Framew ork Potential Investm ent GIS Land Parcel Survey Asset Inventory & Evaluation Socioec onomic Baseline M&E and RAP Audit Impleme ntation of Resettle ment Plan Budget Eligibilit y Criteria Entitle ment Matrix Develop a Livelihood Restoratio n Strategy 19 3.4 RPF Visual Process Map in line with ANSIPPA's Investment Stages Level 1: Initial Inquiry • Investor informs ANSIPPA about the intention to review the project for potential Level 2: Detailed Inquiry (Including Site Visit) • Review of Environmental and Social Impact Assessment (ESIA). • Review of project documents to understand the land requirement and project nature. • Investor reviews FRILIA RPF for resettlement guidelines. • Mapping and engagement of stakeholders at federal, state, and LGA levels as per the FRILIA Stakeholder Engagement Framework. • Conduct RAP study, including: o Socioeconomic baseline study o GIS land parcel survey o Asset inventory o Activation of grievance redress mechanism • Asset valuation and development of entitlement matrix for compensation. • Planning for replacement housing and identifying replacement land. • Livelihood restoration program design. Level 3: Negotiations / Signing of Memorandum of Understanding (MoU) • Discussions with stakeholders (PAPs) to disclose compensation and benefits. • Affected persons sign off on the agreed benefits. Level 4: Due Diligence and Facilitation of Implementation • Implementation of the RAP (payment of compensation, provision of replacement land and housing, etc.). Level 5: Operations Initiated 20 • Monitoring and evaluation of the RAP objectives. • Initiation of completion audits. Level 6: Aftercare • Ongoing social performance improvement during project operation. 3.5 Resettlement Policy Framework (RPF) 3.5.1 Introduction to RPF The Resettlement Policy Framework (RPF) aims to provide a structured process for managing the impacts of land-intensive projects under FRILIA, specifically focusing on the identification, assessment, and mitigation of physical and economic displacement. Its key objectives include: 1. Identification of Affected Persons: Establishing mechanisms to identify individuals and communities likely to experience displacement. 2. Impact Assessment: Evaluating the extent and severity of physical or economic displacement due to project activities. 3. Mitigation Planning: Outlining strategies to address displacement through the preparation and implementation of Resettlement Action Plans (RAP). The RPF sets out guiding policies and procedures aligned with FRILIA principles, ensuring compliance with legal frameworks governing land access and involuntary resettlement. For this framework, "involuntary resettlement" encompasses: • Physical Displacement: The relocation of individuals or communities from their residences. • Economic Displacement: The loss of income sources or other livelihood means resulting from land acquisition or restricted land use related to sub-project activities. This approach ensures that displacement is managed responsibly, minimising adverse impacts and prioritising sustainable outcomes for project-affected persons (PAPs). 3.5.2 Specific Goals of the RPF The Resettlement Policy Framework (RPF) aims to ensure that Project Affected Persons (PAPs) are appropriately and transparently compensated for any losses they incur due to land-intensive agricultural projects under FRILIA. These losses may include 21 permanent or temporary loss of land, unexhausted improvements, and loss of access to natural resources affecting livelihoods. 1. Legal and Institutional Framework: o Establish the underlying legal and institutional framework in the Nigerian context. o Complement these frameworks with provisions aligning with FRILIA principles and laws for involuntary resettlement and compensation. 2. Eligibility and Consultation: o Define eligibility criteria for compensation and resettlement. o Describe consultation procedures and participatory approaches, ensuring active involvement of PAPs and other key stakeholders. o Provide strategies for addressing and resolving project-related grievances and disputes. 3. Asset Valuation Methodology: o Establish a clear and transparent methodology for valuing assets to ensure fairness in compensation. 3.5.3 Framework Application The RPF acts as a principle-based guide for future agricultural projects under FRILIA that require livelihood restoration or resettlement. As individual sub-projects or components are defined and more detailed information becomes available, the RPF will be expanded into specific plans, proportionate to the identified risks and impacts. • For projects triggering resettlement, either a Resettlement Action Plan (RAP) or an Abbreviated Resettlement Action Plan (ARAP) will be prepared. • The scale and severity of impacts will determine whether a RAP or ARAP is required. The RPF also provides detailed steps for designing a RAP, ensuring compliance with FRILIA principles and prioritising equitable outcomes for PAPs. 3.5.4 Principles of the Resettlement Policy Framework (RPF) Aligned with FRILIA The Resettlement Policy Framework (RPF) for projects under FRILIA is guided by relevant Nigerian laws, particularly the Anambra State FRILIA law, and is informed by the following key principles: 22 1. Minimisation of Land Acquisition Impacts: o Efforts must be made to minimise or avoid land acquisition and associated adverse impacts wherever feasible (FRILIA Principle 1.1). 2. Inclusive Consultation and Participation: o All investments must include consultation and participation of stakeholders, including disadvantaged and vulnerable groups. o Stakeholders should be informed of their rights and supported in building their capacity to negotiate effectively (FRILIA Principle 1.5). 3. Grievance Redress and Dispute Resolution: o Establish accessible and affordable grievance redress mechanisms to resolve disputes related to displacement or resettlement. o These mechanisms should incorporate judicial recourse, community mediation, and traditional dispute resolution approaches (FRILIA Principle 2.3). 4. Consistency and Transparency in Compensation: o Compensation standards must be disclosed and consistently applied to ensure fairness and equity (FRILIA Principle 3.1). 5. Addressing Economic and Social Impacts: o Identify and mitigate the economic and social impacts caused by land acquisition or the loss of access to natural resources. o This includes ensuring the inclusion of people without full legal rights to the assets or resources they use or occupy (FRILIA Principle 3.2). 6. Fair and Adequate Compensation: o Provide fair compensation to enable the acquisition of replacement assets of equivalent value. o Transitional expenses must be covered before taking land or restricting access (FRILIA Principle 3.3). 7. Livelihood Restoration and Improvement: o Implement measures to restore or improve livelihoods if land acquisition affects income-generating opportunities (FRILIA Principle 3.4). 23 8. Restoration of Public Infrastructure and Services: o Replace or restore any public infrastructure and community services adversely impacted by the project (FRILIA Principle 3.5). 9. Options for Land-Based Livelihoods: o Displaced persons with land-based livelihoods should be offered the option of replacement land. o If equivalent land is unavailable, other fair and sustainable alternatives should be provided (FRILIA Principle 3.6). 10. Compensation, Resettlement, and Livelihood Restoration: • The principles guiding compensation, resettlement, and livelihood restoration should be implemented equitably to ensure social and economic well-being (FRILIA Principle 3.7). These principles ensure that the rights and livelihoods of Project Affected Persons (PAPs) are safeguarded while promoting sustainable and inclusive development through responsible land-intensive investments. 3.6 Legal Framework for Resettlement under FRILIA The Resettlement Policy Framework (RPF) establishes the legal foundation for addressing land acquisition, involuntary resettlement, and displacement associated with FRILIA projects. It aligns with the legal, regulatory, and policy frameworks of Nigeria and the Anambra State Government, ensuring compliance and sustainable practices. 3.6.1 Key Elements of the Legal Framework 1. Reference for Managing Land Acquisition: o The RPF serves as the definitive reference for managing land acquisition and resettlement, ensuring compliance with relevant national and state laws. 2. Applicability: o It is applicable to all land-intensive projects under FRILIA, addressing the socio-economic and environmental impacts of land acquisition and resettlement. 3. Guidance from Legal Provisions: o The framework provides guidance derived from: 24 ▪ Federal Laws governing land acquisition and resettlement in Nigeria. ▪ Anambra State-specific laws, policies, and special provisions. ▪ FRILIA principles ensuring inclusivity and sustainable practices. 4. Comparative Analysis Requirement: o To develop a Resettlement Action Plan (RAP) or Livelihood Restoration Plan (LRP), project proponents must perform a comparative analysis of: ▪ Federal laws. ▪ State regulations and policies. ▪ FRILIA principles. Table 3.1 below provides a comprehensive list of laws, regulations, and policies governing land acquisition and resettlement at both federal and state levels. These instruments form the foundation for designing and implementing project-specific resettlement measures under FRILIA. Table 3.1: Applicable National, Anambra State Laws and Policies on Resettlement, Valuation and Compensation Year Law/Document Comments 1978 Land Use Act, Cap L5 Incorporated into the 1999 Constitution as the foundational law for land ownership and administration in Nigeria. 1991 State Lands Law, Cap 137 Revised Laws of Anambra State Governs the acquisition, management, and administration of state-owned lands in Anambra State. 1992 National Agriculture Land Development Authority Grants the Federal Government the authority to acquire land for overriding public interest, including agricultural purposes. 1992 Nigeria Urban and Regional Planning Act Establishes procedures for land acquisition, allocation, and compensation for public purposes according to Land Use Act (Cap L5, LFN 2004) 2005 Harmonized Rates for Compensation for Economic Trees, Crops, and buildings Standardises compensation rates for land and property across Nigeria's geopolitical zones 25 2013 Anambra State Physical Planning Law Provides a legal framework for regulating physical development and land use planning in Anambra State, ensuring orderly and sustainable growth. 2020 Anambra Vision 2070 Calls for improved governance in land administration The FRILIA Principles harmonise best practices for involuntary resettlement with national and state legal standards. While the Land Use Act (CAP L5, LFN) and the State Lands Law provide minimum benchmarks for valuation and compensation, the FRILIA Principles build upon these by incorporating enhanced provisions to address resettlement and compensation comprehensively. Under this framework, land-intensive projects must not only meet the baseline legal requirements but also apply the advanced standards set by FRILIA. This ensures that resettlement processes are transparent, equitable, and align with both sustainable development goals and the socio-economic well-being of Project-Affected Persons (PAPs). By doing so, the FRILIA Principles go beyond compliance to foster inclusivity and fairness in addressing the impacts of land acquisition. 26 VALUATION AND COMPENSATION MANAGEMENT TOOLKIT 27 4 VALUATION AND COMPENSATION MANAGEMENT TOOLKIT 4.1 Introduction The Valuation and Compensation Toolkit is a comprehensive guide designed to assist professionals in assessing property values and determining appropriate compensation in land acquisition and development projects. It provides practical frameworks and methodologies for conducting valuations, ensuring that property and land are assessed in accordance with local legal, economic, and social contexts. The toolkit outlines clear guidelines for appraisals, cost estimation, and compensation mechanisms, helping stakeholders make informed decisions that are fair and equitable. The toolkit supports transparency, fairness, and consistency in land transactions, promoting trust among stakeholders and minimizing the potential for disputes. Additionally, it emphasizes the importance of sustainable practices in land acquisition and compensation, aiming to protect the rights and livelihoods of Project Affected Persons (PAPs) while ensuring that compensation strategies are effective and long-lasting. 28 Fig 4.1 Process Map for Valuation and Compensation 4.1.1 GIS Land Parcel Survey The GIS Land Parcel Survey is a precise mapping process that uses GPS technology to measure and define the boundaries of individual land parcels within a project area. The captured boundary data is processed into a geodatabase for accurate record-keeping. During the survey: • Survey forms (refer to IRVC Template 4) are completed on-site, collecting critical land-related details about the owner or user. 4.1.2 Asset Inventory and Valuation Asset Inventory involves cataloguing all unexhausted improvements, such as buildings, crops, and infrastructure, within each land parcel identified in the GIS survey. • A certified valuer conducts a rapid market survey (see IRVC Template 8) to understand prevalent crops and collect current market price information. • This data informs the development of replacement values for assets potentially impacted by the project. • Use IRVC Template 3 for recording asset inventory data during this process. 4.1.3 Socioeconomic Baseline Survey The Socioeconomic Baseline Survey is a critical step in preparing a Resettlement Action Plan (RAP). This census: • Identifies all landowners or users, along with any unexhausted improvements made to the land. • Collects key indicators such as demographics, livelihoods, income and expenditure patterns, access to social infrastructure, vulnerability levels, and food security status. • Use IRVC Template 5 as a tool for conducting this survey. 4.2 Compensation Framework The Compensation Framework (CF) outlines the valuation and compensation processes for involuntarily acquired land in Nigeria, specifically governed by the Land Use Act (LUA Cap L5) and the State Lands Law cap 137 of 1991. These laws collectively empower the Governor to revoke land rights for public purposes and require compensation to be paid to Project Affected Persons (PAPs). The LUA, in Section 33, also gives PAPs the option of resettlement instead of monetary compensation. 29 The Anambra State Government (ANSG) follows a modified land take system that incorporates the provisions of the LUA Cap L5 while also adopting best practices in compensation. The government practices a land-for-land compensation policy, where feasible, and compensates for economic trees, crops, and structures based on different rates. Additionally, the government places a strong emphasis on the participation of affected stakeholders through consultation, supported by an effective Grievance Redress Mechanism (GRM) for all acquisitions. While the government’s land valuation and compensation strategies are robust, the FRILIA Principles introduce a more comprehensive framework for compensation under the Compensation Framework (CF), which addresses several key issues: • Existing Compensation Guidelines: It provides a detailed description of the current compensation practices of ANSG. • Valuation Methodology: It outlines the approach an investor must apply in valuing the losses incurred by PAPs. • Asset Types and Compensation: It specifies the different types of assets affected by land acquisition and the corresponding compensation for each class. • Compensation Valuation Methods and Eligibility: It defines the methods for asset valuation and the criteria for determining who is eligible for compensation or assistance. • Compensation Payment Process: It sets out the timeline and procedures for how and when compensation should be paid. 4.2.1 Principles Guiding the Compensation Framework (CF) in Line with FRILIA The FRILIA Law incorporates guiding principles to ensure that compensation standards are consistently applied across projects. A Standing Committee is tasked with overseeing the monitoring and application of these principles, which include: 1. Consistency and Disclosure of Compensation Standards: Compensation standards must be transparently disclosed and consistently applied across all projects to ensure fairness and clarity in the compensation process. 2. Identification and Addressing of Economic and Social Impacts: The social and economic impacts caused by land acquisition or the loss of access to natural resources should be thoroughly identified and addressed. This includes compensating individuals who may lack full legal rights to the assets or resources they occupy or use. 30 3. Provision of Fair Compensation: Fair compensation will be provided to enable affected persons to purchase replacement assets of equivalent value and to cover any transitional expenses incurred before the land is taken or access to resources is restricted. 4. Livelihood Improvement and Restoration: If the taking of land results in the loss of income-generating opportunities, supplemental measures to improve or restore livelihoods should be provided to mitigate the economic impact on affected persons. 5. Replacement or Restoration of Public Infrastructure: Any public infrastructure or community services that may be adversely affected by land acquisition should be replaced or restored to ensure the continued functioning of public services for the community. 6. Option for Replacement Land: Displaced persons who rely on land-based livelihoods should be offered the option of replacement land, unless suitable and equivalent land is unavailable. This principle ensures that the displaced individuals can continue their livelihoods in a sustainable manner. 4.2.2 Vulnerable Groups Vulnerable groups are individuals or communities who may face heightened negative impacts from resettlement due to factors such as age, gender, ethnicity, physical or mental disabilities, financial or social status. These groups may also face significant challenges in accessing or claiming compensation or resettlement assistance. Recognizing the potential for disproportionate effects on these groups, all projects and sub-projects must prioritize addressing the needs of vulnerable persons, ensuring that their voices are heard and their specific needs are met within the broader resettlement process. To ensure that vulnerable groups are properly supported, it is essential that they are consulted in a fair, transparent, and culturally appropriate manner. This approach guarantees that any compensation or assistance provided is not only equitable but also respects cultural and social norms. Although no fixed compensation mechanisms are currently in place, it is critical to develop these measures in advance of resettlement. Adequate time must be allowed for consultations with affected individuals, ensuring that the mechanisms are fair, culturally appropriate, and tailored to the unique circumstances of vulnerable groups. This commitment to social justice forms the foundation of the resettlement process, ensuring that no one is left behind in the implementation of resettlement and compensation plans. 31 4.2.3 Determining Cut-off Date The cut-off date is a critical point in the resettlement process, marking the deadline after which no further claims for compensation related to land, assets, or unexhausted improvements will be accepted. To avoid speculative claims from individuals moving into the project area after the start of the resettlement process, a formal cut-off date notice should be issued. This notice can be disseminated through various mediums, such as radio broadcasts, newspapers, gong-gong beaters, information centers, or other culturally appropriate methods that are widely accessible to the community. Once the cut-off date is established, individuals who move into the project area thereafter will not be eligible for compensation or assistance. Additionally, any inhabitants who make further improvements to their homes or other structures after the cut-off date will not be compensated for these additional changes. This ensures that the resettlement process remains fair and prevents any claims arising from post-established developments. 4.2.4 Entitlement Matrix The entitlement matrix outlines the groups eligible for compensation, the types of losses they may experience, and the corresponding compensation or assistance provided under both the Anambra State Government (ANSG) and FRILIA principles. This matrix serves as a guiding tool for ensuring that all Project Affected Persons (PAPs) are adequately compensated for their losses, whether they are related to land, assets, or other economic and social impacts. Table 4.1 Eligibility groups and Compensation based on FRILIA Principles Eligibility Group Type of Loss Compensation/Assistance (based on FRILIA Principles) Agricultural Land User (Renting land through cash or in-kind payment) Loss of land for cultivation - Compensation for the land rental value (cash or in-kind equivalent) lost during the period of displacement. - Alternative land provided (where possible), or livelihood restoration programs to support continued agricultural activities. Crop Cultivators, including sharecroppers or farmers Loss of crops and/or access to land - Compensation for lost crops (calculated based on current market value). - Cash compensation for loss of income due to displaced agricultural activities. 32 cultivating land without customary right of occupancy - Access to agricultural inputs or land restoration support where possible. House Owner: Holder of customary rights of occupancy Loss of residential land and property - Compensation for the value of the house and land (replacing land of equivalent value or cash compensation). - Relocation assistance (including transportation costs). - Assistance in resettlement to a comparable location, including housing replacement or cash equivalent. Agricultural Landowner and Holder of Customary and Statutory Rights of Occupancy Permanent loss of agricultural land - Cash compensation for land value based on current market rates (or land- for-land if feasible). - Compensation for lost agricultural production (including economic trees). - Assistance for transition to alternative livelihood (e.g., agricultural training, relocation support). Occupier of Habitable Asset (tenant or occupant without land ownership) Loss of home or habitable asset - Compensation for lost tenancy rights or relocation assistance to a similar property. - Cash compensation for improvements made to the property. - Assistance in locating a new place to live with similar amenities. Formal Workers Employed by Agricultural Land Occupier and Holder of Customary/Statutory Rights of Occupancy Loss of employment - Severance pay or compensation for loss of wages during displacement period. - Job placement assistance, retraining programs, or relocation assistance to other areas of employment. Graves, Tombs, and Shrines Loss of graves, tombs, or shrines - Reburial costs, including transportation and ceremonial expenses. - Compensation for cultural and spiritual loss, agreed upon with community leaders and the affected family. 33 Owner of Other (Non-Habitable) Physical Assets on Land Loss of non- habitable structures (e.g., fences, storage facilities) - Compensation for the value of the structures (based on replacement value). - Assistance for relocating or reconstructing the structures if applicable. Owner of Movable Assets on the Land (whether or not they live or work there) Loss of movable assets (e.g., tools, equipment, livestock) - Compensation for lost assets at market value. - Livelihood restoration programs to help replace lost assets, including providing new tools or livestock (where applicable). Government Assets (Schools, Health Centers, etc.) Loss of public infrastructure (schools, health centers, etc.) - Reconstruction or restoration of the public assets on an equivalent site. - Financial support for rebuilding public infrastructure. Utility Companies (Water Authority, Pipelines, Telcos, etc.) Loss or disruption to utility infrastructure - Compensation based on the cost of relocating or rebuilding the utility infrastructure. - Assistance in restoring utility services in the affected area. Water Users (Community/Individual) Loss of access to water sources - Compensation for loss of access to water sources (e.g., provision of alternate water sources or infrastructure to restore access). - Assistance in securing sustainable water sources for the community. Community-provided Infrastructure (Roads, Water Sources, Mosques, Churches, etc.) Loss or damage to community infrastructure - Reconstruction or restoration of community infrastructure, such as roads, water sources, or places of worship. - Compensation for the loss of access to social and religious infrastructure. 4.2.5 Methodology of Valuing Affected Assets The methodology for valuing affected assets in line with FRILIA principles aims to ensure that compensation is fair, transparent, and equitable. This process involves determining the current market value of the various types of assets that may be impacted by land 34 acquisition or resettlement. Below are the key steps and methods used in asset valuation: 1. Identification of Affected Assets The types of assets that may require valuation include: • Residential Assets: Buildings and structures used for residential purposes. • Commercial Assets: Businesses and buildings used for commercial activities. • Agricultural Assets: Farmlands, crops, economic trees, and related farming infrastructure. • Communal and Recreational Assets: Public facilities, places of worship, recreation areas, and water sources. • Temporary Structures: Structures used temporarily for residential, commercial, or agricultural purposes. • Undeveloped Lands: Empty plots of land or fallow agricultural land. • Water Bodies: Including fishing traps, fishing nets, and related assets in water bodies. • Cultural Assets: Shrines, communal cultural assets, and graves. • Livestock and Poultry Assets: Business assets related to animals, fishing, and poultry. • Government and Utility Assets: Public utilities and services such as water pipelines, electricity lines, etc. 2. Valuation Methodology The current market value method is applied to determine the compensation for affected assets. This approach ensures that the value of the assets reflects their replacement cost, not their depreciated value. The following steps are involved in the valuation process: a) Full Replacement Cost: • Replacement Cost refers to the cost of recreating the same assets in a new condition without considering depreciation due to age, wear, or state of repair. This applies to buildings, structures, installations, and any improvements made on the land. 35 • Assets such as economic trees and crops are valued based on their current market value, including the expected yield or income they would generate over a defined period (usually the gestation period of the crops or trees). b) Engagement of Independent Valuers: • Certified and registered valuers will conduct the market surveys within the project area, documenting current prices and the cost of replacement for each asset category. • Valuers will issue a market survey report that includes detailed valuations for all identified assets. This report should include indices for replacement costs expressed per unit, square meter, or linear meter, based on the specific characteristics of each asset. c) Valuation of Specific Assets: • Residential, Commercial, and Agricultural Structures: The valuation will cover both the physical structure and any improvements made to it, such as fencing, gardens, or outdoor cooking facilities. These assets are valued based on the cost of rebuilding them in a new location or the replacement cost per unit area. • Crops and Economic Trees: For crops, the valuation follows the investment yield approach, which takes into account the opportunity cost of lost income from crops or trees during the resettlement period. The resettlement period is typically set for three months, but the gestation period for different crops and trees will be factored into the calculation of lost income. • Water Bodies: Fishing rights and assets, such as fishing traps, nets, and equipment, will be valued based on the loss of income from fishing activities during the resettlement period. The value will also include any physical infrastructure that is part of the fishing business. • Cultural Assets (Graves, Shrines, etc.): The valuation of cultural assets, including graves and shrines, should be determined in consultation with community representatives and affected individuals. Compensation will cover reburial and relocation costs as well as the spiritual and cultural value of these assets. • Livestock and Poultry: These assets are valued based on their current market value (e.g., the cost of purchasing replacement livestock or poultry). The valuation should also consider any lost income or livelihood from the business associated with these animals. 36 d) Market Survey and Compensation Indices: • The market survey report will include comprehensive details on the replacement cost of affected assets in the local market. This survey should reflect the cost of materials, labour, and other transactional costs involved in reproducing the assets to their full value. • Compensation Indices will be developed, providing a clear basis for calculating compensation for various asset categories. These indices will be expressed per unit of measurement, such as per square meter for land, per tree for economic trees, or per linear meter for infrastructure. 3. Non-Depreciation of Assets • The FRILIA principles ensure that assets are not depreciated based on their age or state of repair. For example, if a building is dilapidated, its compensation should not reflect its deteriorated state, but rather the full cost of constructing a new, equivalent structure. 4. Additional Considerations for Livelihood Restoration: • In cases where land is taken for agriculture, compensation will also include livelihood restoration programs. These programs may include training, provision of alternative land for farming, or other forms of support to ensure that displaced persons can continue their livelihoods. The valuation report for assets identified as affected by land acquisition should follow a detailed outline as specified in IRVC Template 9. This template provides a structured approach for documenting and reporting the valuation of each asset type, ensuring that the process is thorough, consistent, and transparent. 4.2.6 Compensation Compensation is a critical aspect of the resettlement process, aimed at ensuring that Project Affected Persons (PAPs) are fully compensated for the loss of assets, income, or access to resources due to land acquisition or other activities under the FRILIA framework. This process should be guided by the principles of fairness, transparency, and equity, with the objective of restoring or improving the livelihoods of affected individuals. Types of Compensation 1. Monetary Compensation: Monetary compensation is provided when a PAP’s asset cannot be restored or replaced with an equivalent item. This form of compensation 37 should reflect the full replacement cost of the lost asset, including transactional costs (e.g., legal fees, transfer costs). For example, the loss of a residential property may be compensated by paying the equivalent market value of the property or building. 2. In-Kind Compensation: In-kind compensation involves providing the PAP with replacement assets that are similar or of greater value than those that were lost. This could include providing a replacement home or agricultural land for a PAP who lost their farmland. The decision to provide in-kind compensation should be based on the availability of equivalent assets, and both the project and the PAP should mutually agree on this option. 3. Livelihood Support Programmes: When the land acquisition or loss of assets results in income loss, PAPs may be eligible for livelihood restoration programs. These may include training, job placement assistance, or support for setting up new businesses. Livelihood support programs should be designed to ensure that PAPs have alternative sources of income and are able to maintain or improve their living standards. Key Compensation Principles • Full Replacement Cost: Compensation should be based on the principle of full replacement cost, meaning that the PAP should receive compensation that allows them to replace their lost asset with one of similar or greater value. This applies to both physical and non-physical assets (such as crops, trees, and cultural sites). • Agreed Compensation Type: The form of compensation (monetary or in-kind) should be mutually agreed upon by the project authorities and the PAPs, ensuring that their preferences are considered. If in-kind compensation is chosen, it must ensure that the replacement asset is of equivalent or greater value and quality, and that the compensation is timely. • Timeliness of Payment: Compensation payments should be made before the physical displacement occurs, allowing PAPs to transition smoothly and without hardship. This includes providing transitional support, such as relocation allowances or temporary housing, where necessary. • Culturally Appropriate Compensation: Compensation must respect cultural sensitivities, especially when dealing with cultural sites like graves or shrines. The compensation and resettlement process should involve meaningful consultations with PAPs to understand their needs and preferences. 38 • Vulnerable Groups: Special attention should be paid to vulnerable groups, such as the elderly, women, children, people with disabilities, and other marginalized individuals. These groups may face additional barriers in receiving compensation and may require specific forms of assistance, such as alternative housing, income support, or social services. Decision-Making Process The project team should engage with PAPs to ensure their participation in the decision- making process regarding the type of compensation they receive. This process should include: • Consultation: PAPs should be fully informed about their rights and the compensation options available to them. • Documentation: A clear agreement should be documented, specifying the form of compensation and the terms of payment or replacement. • Grievance Mechanism: PAPs should be made aware of the grievance redress mechanism, in case they wish to contest the compensation offered or any aspect of the resettlement process. 4.3 Livelihood Improvement Strategy The Livelihood Improvement Strategy aims to support Project Affected Persons (PAPs) by providing both land-based and non-land-based programmes to restore or improve their livelihoods following land acquisition. The strategy focuses on creating sustainable alternatives to ensure that PAPs have access to income-generating opportunities and the necessary skills to adapt to their new circumstances. 4.3.1 Land-Based Programmes Land-based programmes focus on agricultural, livestock, and fishing activities, which are vital sources of livelihood for many PAPs. These programmes are designed to enhance productivity and ensure that affected persons can continue or improve their livelihoods through farming, livestock management, and fishing. 1. Agriculture o Access to Improved Seeds: Provision of high-quality seeds to boost agricultural yields. o Assistance for Clearing, Tiling, Planting, and Harvesting: Support for land preparation and labour to improve crop production. 39 o Training on Farm Management: Teaching best practices in managing farms efficiently, including crop rotation, pest control, and soil fertility management. o Out-grower Programmes: Establishment of out-grower schemes where PAPs can grow crops under contract with larger commercial farming operations, offering them a guaranteed market for their produce. 2. Food Processing o Provision of Processing Equipment: Supplying equipment to enable PAPs to process agricultural products for added value, improving their income. o Training on Use and Maintenance of Equipment: Teaching PAPs how to use and maintain food processing equipment to ensure sustainability and long-term success. o Provision of Extension Services: Providing ongoing support and advice on processing techniques, quality control, and market linkages. 3. Livestock Keeping o Improved Breeds: Introduction of high-yielding and disease-resistant livestock breeds. o Access to Water from Earth Dams (All-Year Round): Ensuring access to reliable water sources to support livestock and agricultural activities. o Assistance in Improved Livestock Management Practices: Training in modern livestock management techniques, including feeding, health care, and breeding. o Veterinary Assistance and Vaccination Programmes: Regular veterinary services to ensure the health of livestock, including vaccination and disease prevention. o Livestock Housing: Provision of housing for livestock to ensure their safety and well-being. 4. Fishing o Training on Aquaculture: Providing training in fish farming techniques to enable PAPs to engage in sustainable fish production. o Training on Feed Formulation: Teaching PAPs how to formulate nutritious feed for their fish, which is crucial for productivity. 40 o Access to Extension Services: Providing technical support on fish farming, including pond management, breeding, and disease control. 4.3.2 Non-Land-Based Programmes Non-land-based programmes offer alternative livelihood opportunities for PAPs who may not have access to land or wish to pursue non-agricultural activities. These programmes focus on skills development, employment, and entrepreneurship. 1. Setting Up Community/Village Cooperatives: Establishment of cooperatives to help PAPs pool resources, share risks, and collectively manage income- generating projects. 2. Project-Related Employment: Employment opportunities within the project or related infrastructure development, providing temporary or long-term work for PAPs. 3. Financial Management Training: Teaching PAPs how to manage their finances, including budgeting, saving, and investing, to improve their economic resilience. 4. Technical and Vocational Training: Offering training in various trades such as sewing, basket weaving, catering, welding, and other skills to help PAPs diversify their income sources and improve their employability. The livelihood improvement strategy, through both land-based and non-land-based programmes, seeks to ensure that PAPs are supported in recovering from the loss of land or resources. These programmes provide not only immediate financial support but also long-term solutions that will enhance their overall well-being, helping to sustain livelihoods and empower communities to thrive in the post-resettlement period. 4.4 Grievance Redress Mechanism (GRM) The Grievance Redress Mechanism (GRM) is a vital process that ensures the concerns, complaints, and grievances of Project Affected Persons (PAPs) are heard and addressed promptly and fairly. It is an essential component of the FRILIA framework, designed to facilitate smooth project implementation and maintain positive relationships between the project, PAPs, and other stakeholders. Given the complex nature of land acquisition and involuntary resettlement, it is anticipated that grievances will arise. Therefore, planning and establishing a robust GRM in advance is critical to effectively manage these issues and minimize disruptions to the project. 4.4.1 Avoiding Grievance The primary goal is to avoid grievances before they arise. Effective communication, transparency, and timely information dissemination are key to preventing 41 misunderstandings and conflicts that may lead to complaints. Below is a table of actions that can help minimize grievances related to land access and involuntary resettlement. Table 4.2 Actions that can Avoid Grievances Action Description Clear and Timely Communication Ensure that all stakeholders are regularly informed about the project’s activities, timelines, and any potential impacts. Provide information in a clear, accessible manner to ensure everyone understands the process and their rights. Inclusive Stakeholder Consultation Engage affected communities, including vulnerable groups, in meaningful consultations at every stage of the project. Ensure that their concerns are considered and addressed in the decision-making process. Transparency in Land Acquisition Process Clearly explain the land acquisition process, eligibility criteria, and the compensation framework. Ensuring transparency will help PAPs understand the rationale behind the project’s actions. Participatory Planning Involve communities in the planning process, especially in identifying compensation options, livelihood restoration strategies, and grievance procedures. This creates a sense of ownership and reduces the likelihood of conflict. Setting up Local Grievance Redress Committees Establish local grievance committees with representatives from the affected community and project authorities to serve as the first point of contact for resolving complaints. This can help resolve issues at the local level before they escalate. Fair and Culturally Sensitive Compensation Ensure that compensation is fair, adequate, and culturally appropriate. This reduces dissatisfaction and the likelihood of grievances related to compensation. Timely Payment of Compensation Ensure that compensation payments are made in a timely manner, following established processes. Delays in compensation can lead to frustration and grievances. 42 Capacity Building and Training Provide training for local communities on their rights and the grievance process. Ensure that PAPs understand how to submit grievances and the steps involved in resolving them. 4.5 Stakeholder Engagement Framework Effective stakeholder engagement is essential to the success of any resettlement project, and it plays a critical role in ensuring that the project is completed on time, in line with best practices, and in full compliance with the FRILIA Principles. Continuous, two-way communication must be maintained throughout the entire resettlement process to ensure that all parties are well-informed, concerns are addressed promptly, and the rights and interests of all stakeholders, particularly vulnerable groups, are respected. Projects and sub-projects must adhere to the following principles of stakeholder engagement, as outlined by the FRILIA framework: 1. Participatory Engagement: Stakeholder engagement should involve active participation from all parties, including marginalized and vulnerable groups within the community. Ensuring that everyone has a voice in the process is vital for promoting equity and inclusivity. 2. Recognition of Community Rights and Interests: Projects should acknowledge and respect the rights and interests of local communities. It is essential to recognize their legitimate concerns and incorporate them into the planning and decision-making process. 3. Transparency and Accountability: All project activities, particularly those related to land acquisition and resettlement, must be conducted in a transparent manner. Stakeholders should have access to information and updates, and the project should be held accountable for its actions. 4. Building Trust and Good Faith: A relationship based on trust and mutual commitment between the project and its stakeholders is crucial. By acting in good faith, the project can build a foundation of cooperation and support from the community. 5. Respect for Stakeholder Opinions and Aspirations: The project must listen to and respect the views, concerns, and aspirations of stakeholders. Their input should be considered when making decisions that affect them. 6. Collaborative Problem-Solving: The project should work closely with stakeholders to identify and implement solutions that benefit all parties. 43 Collaboration helps ensure that common interests are met and that issues are resolved amicably. 7. Strengthening Stakeholder Capacity: Empowering stakeholders by strengthening their implementation capacity is an important aspect of stakeholder engagement. This involves building their skills and knowledge to effectively participate in the process. 4.5.1 Phases of Stakeholder Engagement Consultation and engagement with stakeholders should take place throughout the resettlement process. Specifically, consultations should occur during the following phases: 1. Project Design Phase: At this early stage, stakeholders should be consulted to gather input on project planning, potential impacts, and to discuss possible mitigation measures. This ensures that the project design reflects the concerns of affected communities. 2. Preparation of Resettlement Action Plan (RAP): During this phase, meaningful consultations should occur to gather the necessary information for developing the RAP. Stakeholder feedback will inform decisions regarding resettlement options, compensation, and livelihood restoration strategies. 3. Implementation of the RAP: Stakeholder engagement should continue during the implementation phase to ensure that resettlement and compensation processes are carried out effectively and in accordance with agreed-upon terms. Regular communication will help address any emerging issues promptly. 4. Monitoring and Evaluation of the RAP: After the RAP is implemented, ongoing consultations are necessary for monitoring and evaluation. Stakeholders should be engaged to assess the success of the resettlement process and identify areas for improvement. This helps ensure that the project continues to meet its goals and the needs of affected communities. 4.6 RPF and RAP Implementation Arrangements and Procedures Under the FRILIA framework, projects will be implemented through ANSIPPA, while Ministry of Lands will facilitate land acquisition and compensation processes. A systematic approach will be followed to ensure the proper preparation and execution of the Resettlement Action Plan (RAP) when necessary. The steps involved are as follows: 1. RAP Screening: The RAP screening process is essential in determining whether a project or sub-project will cause physical or economic displacement. This 44 process will ascertain if an RAP is needed and guide the preparation and implementation of the plan. Investors and project teams should use the RAP Screening Checklist (IRVC Template 1) to identify potential resettlement impacts. Once it is confirmed that a project triggers resettlement, the project team will develop a RAP using IRVC Template 6. 2. Development of the RAP: During the RAP development phase, socioeconomic profiling and asset inventory are critical steps. These processes ensure that the project team has a clear understanding of the affected population's socio- economic conditions and a detailed inventory of the assets that will be impacted by the land acquisition. 3. Disclosure, Sign-off, and Approval: It is crucial that projects under FRILIA ensure transparency through appropriate disclosure of information. Affected persons must be consulted, and their informed participation must be integrated into the process. The compensation payable to affected individuals should be disclosed to them prior to the official sign-off of the RAP (IRVC Template 7 provides a sample sign-off certificate). This ensures that all affected parties understand the terms of compensation and are in agreement before the implementation of the RAP. 4.7 Institutional Arrangement A functional and effective institutional framework is essential for the successful development, execution, and monitoring of any RAP. The institutional framework will define the roles and responsibilities of all involved stakeholders, ensuring that each party understands their obligations and contribution to the process. The key components of this framework include: 1. Stakeholder Roles and Responsibilities: Projects and sub-projects under FRILIA should establish a robust institutional framework that clearly delineates the roles of all stakeholders. This framework should include the Developer, Anambra State Government, traditional leaders, NGOs, and affected communities, among others. 2. Collaboration and Coordination: The institutional framework will serve as a platform for close collaboration between all stakeholders, enabling seamless interaction and cooperation in the RAP implementation process. This ensures that all parties are aligned in their objectives, roles, and contributions to the project, leading to smoother execution and greater accountability. 45 4.8 Implementation Budget The implementation budget outlines the anticipated costs associated with the development, execution, and monitoring of the Resettlement Action Plan (RAP). At this stage, it is difficult to provide an accurate estimate of the number of individuals who may be affected by the potential resettlement activities under the FRILIA framework. This is primarily due to the lack of detailed technical designs and specifics of land use for the subsequent projects. Additionally, the impacts of land acquisition and the need for resettlement have not yet been fully determined. However, as the locations of affected areas become clearer, and after the completion of site-specific socioeconomic baseline studies, the information on the specific impacts will be available. This will allow the development of tailored compensation measures and more accurate assessments of the project’s financial requirements. Once these elements are established, a detailed and accurate budget for the RAP will be prepared. Until then, an indicative budget should cover the following key areas: 1. Payment of Compensation: This includes compensation for the acquisition of land, as well as for crops, economic trees, buildings, and other unexhausted improvements made on the land. 2. Resettlement Allowances: The costs associated with providing allowances to affected individuals, helping them transition to new living conditions. 3. Cost of Disclosure: Expenses for informing affected communities and stakeholders about the resettlement process, ensuring transparency. 4. Cost of Livelihood Training: This includes training for affected persons to improve or restore their livelihoods, such as agricultural training, vocational skills, or entrepreneurship programs. 5. Cost of Implementation of RAP: These are the direct costs involved in the execution of the RAP, including administrative and operational expenses. 6. Cost of Procurement and Management: Expenses related to the procurement of resources, services, and equipment necessary for the successful implementation of the RAP. 7. Cost of Replacement Housing: If applicable, the budget should account for the provision of replacement housing for displaced persons, including construction costs. 46 8. Cost of Monitoring and Audits: Ensuring that the RAP is effectively implemented and that compensation is provided in line with the agreed terms. This includes costs for monitoring the progress of the resettlement process and conducting audits to assess compliance with the RAP’s objectives. 4.9 Monitoring and Evaluation Monitoring and evaluation (M&E) are essential components of the resettlement process, as they help identify and address any challenges faced during the implementation of the Resettlement Action Plan (RAP). They ensure that the resettlement activities are carried out as planned, and that the outcomes align with the objectives set in the RAP, in adherence to the FRILIA principles. M&E also ensures that the benefits of the resettlement, including compensation and livelihood restoration, are effectively delivered to the Project Affected Persons (PAPs). In planning the RAP or Livelihood Restoration Plan (LRP) under FRILIA, projects should develop a robust monitoring and evaluation plan. This plan will outline performance indicators, which are key to tracking the progress and effectiveness of the resettlement efforts. Some of the key indicators include: 1. Proper Communication with Affected Persons and Communities: Ensuring there is consistent and transparent communication with PAPs and other stakeholders throughout the resettlement process. 2. Timely Handing Over of Housing (where applicable): Ensuring that affected individuals or communities receive their new housing or replacements in a timely manner. 3. Verification of Payment/Delivery of Compensation Packages: Tracking and confirming that compensation for land, crops, structures, and other losses has been paid in full and delivered according to the terms of the RAP. 4. Transparency of the Implementation Process: Maintaining openness and accountability throughout the entire implementation process, ensuring that all actions are documented and accessible to stakeholders. 5. Paying Critical Attention to Vulnerable Groups: Ensuring that vulnerable groups, such as the elderly, women, disabled, and marginalized, are given special consideration and support during the resettlement process. 6. Grievance Redress: Monitoring the grievance redress mechanism (GRM) to ensure that complaints and disputes are being resolved in a timely and fair manner. 47 7. Absence or Prevalence of Conflicts: Identifying whether conflicts arise due to land acquisition or resettlement, and ensuring peaceful and amicable resolution. 8. Continued Support from Local Communities and Stakeholders: Ensuring that local communities and relevant stakeholders continue to support and engage with the resettlement process, and that they remain committed to its success. 9. PAPs Maintaining or Improving their Standard of Living: Monitoring whether the living conditions, livelihood opportunities, and well-being of PAPs have been restored or improved to at least the level they were before the land was acquired. In cases where the above indicators are found to be insufficient to measure the success of the RAP, additional indicators can be developed. These additional indicators should address any emerging challenges or gaps and enhance the effectiveness of the monitoring and evaluation process. The M&E process is an ongoing one, aimed at ensuring that the RAP is being implemented effectively and that the PAPs benefit from the resettlement and compensation plans. Regular feedback, assessments, and adjustments will ensure that the RAP remains aligned with the FRILIA principles and delivers sustainable outcomes for affected communities. 4.10 Completion Audit A RAP completion audit is an independent and comprehensive evaluation conducted at the end of the resettlement process to assess whether the project has met its commitments outlined in the Resettlement Action Plan (RAP), Abbreviated Resettlement Action Plan (ARAP), or Livelihood Restoration Plan (LRP). The completion audit plays a crucial role in ensuring that all resettlement and livelihood restoration objectives have been achieved and that the Project Affected Persons (PAPs) have received the compensation and support promised to them. Key aspects of the RAP completion audit include: 1. Verification of Compensation Payments: One of the primary objectives is to confirm that all forms of compensation, whether in cash or in-kind, have been fully dispensed to the PAPs in accordance with the RAP. This ensures that the affected individuals have been compensated for their losses, including land, structures, crops, and livelihoods. 2. Assessment of Livelihood Restoration and Improvement: The completion audit will evaluate whether the project has succeeded in restoring and improving the livelihoods of those affected. This includes checking whether livelihood support programs, training, and income-generating activities have been implemented and 48 whether they have effectively helped PAPs regain or surpass their pre-project standard of living. 3. Evaluation of Compliance with RAP/ARAP/LRP: The audit assesses the implementation of the actions and commitments prescribed in the RAP, ARAP, or LRP. This ensures that the planned activities have been carried out as intended and that the resettlement process has been aligned with the legal, social, and environmental requirements. 4. Engagement of an External Auditor: To maintain impartiality and objectivity, the completion audit should be carried out by an external party or consultant with expertise in resettlement and compensation processes. This independent evaluation ensures credibility and transparency in assessing the project's outcomes. The completion audit serves as a final assessment of the resettlement process, identifying any remaining issues or shortcomings and providing recommendations for addressing them. 4.11 Templates The list of templates required for the Involuntary Resettlement, Valuation and Compensation (IRVC) toolkit can be found in the Table 4.3 Below. Table 4.3 Template required for involuntary resettlement and compensation CDP Templates IRVC Template 1 Screening checklist for identifying cases of involuntary resettlement IRVC Template 2 Cut-off date notice IRVC Template 3 Valuation Form IRVC Template 4 Land Parcel Survey Form IRVC Template 5 Socioeconomic Data collection tool IRVC Template 6 RAP Outline IRVC Template 7 Compensation payment Sign-off certificate IRVC Template 8 Outline for Market Survey IRVC Template 9 Valuation Report Format 49 IRVC Template 10 Compensation Schedule IRVC Template 11 Updated ANSG valuation rate in line with current market rates 50 Figure 4.2 IRVC Template 1 - Screening Checklist for Involuntary Resettlement Figure 4.3 IRVC Template 3 Cut-off date Notice Sample 51 52 53 54 Figure 4.4 IRVC Template 8 Outline for Market Survey 55 Figure 4.5 IRVC Template 4 – Land Parcel Survey Form 56 Figure 4.6 IRVC Template 7 Sample Compensation Payment Form 57 Figure 4.7 IRVC Template 5 Sample Socioeconomic Survey Tool 58 59 60 Figure 4.8 IRVC Template 3 Valuation Report Format 61 62 Figure 4.9 IRVC Template 10 Typical Compensation Schedule Template 63 ENVIRONMENTAL AND SOCIAL RISK 64 5 ENVIRONMENTAL AND SOCIAL RISK 5.1 Introduction to ESRM Toolkit The Environmental and Social Risk Management (ESRM) toolkit provides detailed templates and frameworks to help implement the environmental and social (E&S) standards outlined in FRILIA. Managed by the Ministry of Environment, the toolkit supports the integration of sustainability safeguards in all stages of the project lifecycle. While the Ministry of Environment oversees the environmental aspects, Ministry of Lands is responsible for managing the social components, including land acquisition and resettlement. Additionally, ANSIPPA plays a key role in investment promotion and community engagement. The toolkit provides guidance for assessing, mitigating, and monitoring environmental and social risks, ensuring that the health, safety, and welfare of stakeholders are protected throughout the project’s implementation. 5.2 Scope of theToolkit The Environmental and Social Risk Management (ESRM) Toolkit provides a comprehensive framework for managing environmental and social (E&S) risks throughout the investment lifecycle under FRILIA. It covers several critical areas, including: 1. Environmental and Social Due Diligence: The toolkit embeds screening and assessment mechanisms to ensure that E&S considerations are integrated from the planning stage of proposed projects. 2. Baseline Data Collection: It outlines the process of collecting baseline data to identify and interpret potential E&S risks and impacts, enabling informed decision-making. 3. Risk Management: The toolkit offers guidance on managing both positive and negative environmental and social risks, including addressing climate change mitigation and adaptation, in alignment with best practices. 4. Sustainable Agriculture Investment: It provides templates tailored to sustainable agriculture investments, ensuring alignment with industry best practices. 5. Management Plans and Monitoring: The toolkit helps develop E&S management plans to mitigate or enhance risks and impacts, with clear processes for monitoring and evaluating the effectiveness of these plans. 65 5.3 Approach To ESRM Toolkit Figure 5.1 Visual Process Flow of ESRM The ESRM Visual Processes are structured in alignment with ANSIPPA's investment stages to guide the integration of environmental and social (E&S) elements throughout the investment lifecycle: • Level 1: Initial Enquiry: At this stage, the investor conceptualizes the potential investment, including the environmental and social (E&S) components, to ensure that these elements are considered from the outset. • Level 2: Detailed Enquiry (including a site visit): After the initial enquiry, the investor conducts a thorough E&S due diligence process, including site visits, to assess potential risks and impacts. 66 • Level 3: Negotiations/Signing of Memorandum of Understanding (MOU): This stage involves reviewing the E&S due diligence (ESDD) report to determine whether the investment triggers the need for an Environmental and Social Impact Assessment (ESIA). The decision on whether to proceed with an ESIA or not will significantly impact the negotiations and the signing of the MOU. • Level 4: Due Diligence and Facilitation of Implementation: Based on the decision made in Stage 3, this phase may involve conducting a full ESIA if necessary. Alternatively, if the ESIA is not triggered, the focus will shift to developing mitigation measures for any identified E&S issues during the due diligence process. • Level 5: Operations Initiated: Once operations begin, the focus is on implementing the E&S management plans, monitoring the program to mitigate impacts, and conducting regular regulatory E&S audits to ensure compliance. • Level 6: Aftercare: In this final stage, aftercare is focused on continuous improvement of the environmental and social performance of the investment, ensuring ongoing compliance and the enhancement of E&S outcomes throughout the project's life cycle. 5.4 Environmental And Social Risk Management Framework (ESRMF) The Environmental and Social Risk Management (ESRM) Framework is designed to guide investors and stakeholders in identifying, assessing, and managing environmental and social risks and impacts associated with investments, ensuring compliance with best practices and sustainability standards. The framework is aligned with the principles of FRILIA and outlines processes for mitigating and enhancing environmental and social risks across the investment lifecycle. Below is an overview of the key components of the ESRM framework: 1. Risk Identification and Assessment • E&S Due Diligence: Conduct a comprehensive screening and due diligence of proposed investment projects to identify potential environmental and social risks. This includes environmental risks (e.g., pollution, biodiversity impacts) and social risks (e.g., displacement, labour conditions). • Baseline Data Collection: Gather baseline environmental and social data to assess the current conditions and the potential impacts of the project. This helps in understanding the scope and severity of the risks. 67 • Risk Categorization: Classify risks based on their severity and likelihood. This step determines whether the project requires an Environmental and Social Impact Assessment (ESIA) or if mitigation strategies are necessary. 2. Risk Management • Mitigation Plans: Develop and implement mitigation strategies to reduce or eliminate the identified risks. These plans should align with best practices and regulatory requirements, covering both direct and indirect impacts. • Enhancement Strategies: Identify opportunities to enhance positive environmental and social outcomes, such as improving local community benefits, promoting sustainable practices, or contributing to climate change mitigation efforts. 3. Monitoring and Evaluation • E&S Performance Monitoring: Continuously monitor the implementation of mitigation and enhancement measures to ensure their effectiveness. This includes tracking key performance indicators (KPIs) related to environmental protection, social impacts, and stakeholder engagement. • Regulatory Audits: Regularly conduct audits to ensure compliance with environmental and social regulations and policies. These audits help identify areas for improvement and ensure that the project meets its sustainability commitments. 4. Stakeholder Engagement • Inclusive Participation: Ensure that all stakeholders, particularly vulnerable and marginalized groups, are consulted and involved in the decision-making process. This includes engaging local communities, government agencies, and NGOs. • Transparent Communication: Maintain transparent communication with stakeholders throughout the investment process, from planning through to post- implementation, to foster trust and accountability. 5. Operationalization of E&S Management • E&S Management Plans: Develop specific E&S management plans tailored to the project's risks and impacts. These plans should be integrated into the overall project management processes and cover areas such as waste management, resource use, worker safety, and community health. 68 • Capacity Building: Train project staff, contractors, and local authorities on E&S best practices, ensuring that all parties involved are equipped to implement and monitor the management plans effectively. 6. Aftercare and Continuous Improvement • Ongoing Monitoring: After the project is operational, continue to monitor and evaluate its E&S performance to identify new risks or issues that may arise during the project’s lifecycle. • Adaptive Management: Adjust and update management plans as necessary to respond to unforeseen challenges, changes in regulatory frameworks, or evolving stakeholder needs. 7. Compliance and Reporting • Legal and Regulatory Compliance: Ensure that the project complies with all relevant local, national, and international environmental and social laws and regulations. • Reporting: Provide regular reports on E&S performance, including progress on mitigation measures, stakeholder engagement activities, and the effectiveness of the risk management plans. 5.5 Principles for ESRMF in line with FRILIA The Environmental and Social Sustainability Principles within the FRILIA framework are designed to ensure that investments are made in a way that promotes long-term positive outcomes for both the environment and society. These principles guide the process of managing and mitigating potential environmental and social impacts of investments, ensuring that these impacts are properly addressed in a responsible and sustainable manner. Below are the FRILIA principles related to environmental and social (E&S) sustainability: 1. Safeguard Against Environmental Damage (FRILIA Principle 4.1) • Objective: Ensure that all investments are designed and implemented in a way that prevents or adequately mitigates environmental damage. This principle requires that any negative environmental impacts are identified early and addressed through mitigation measures, such as pollution control, resource conservation, and biodiversity protection. 69 • Application: Prior to investment, environmental assessments must be conducted to understand the potential risks and develop appropriate mitigation strategies. 2. Independent Assessments of Impacts on Tenure Rights, Food Security, Livelihoods, and the Environment (FRILIA Principle 4.3) • Objective: Ensure that investments are preceded by independent assessments to evaluate their potential impacts on local communities, tenure rights, food security, and livelihoods. These assessments help to understand how the investment could affect the rights of local populations and their ability to sustain themselves economically and socially. • Application: For any investment, especially those involving land acquisition or resource use, a thorough and independent assessment is required to gauge potential displacement, loss of income, or disruption of food production systems. 3. Promote Community, Individual, and Worker Safety (FRILIA Principle 4.4) • Objective: Prioritize safety in all aspects of the investment process, including the safety of the local community, individual workers, and the environment. This includes protecting people from harmful effects of the project, such as accidents, exposure to hazardous substances, or social tensions. • Application: Investments must ensure that health and safety measures are in place to protect both workers and the surrounding community. This may involve implementing safety protocols, providing protective equipment, and conducting regular safety audits. 4. Promote Fair Treatment, Non-Discrimination, and Equal Opportunity (FRILIA Principle 4.5) • Objective: Ensure that workers are treated fairly and equitably, with no discrimination based on race, gender, disability, or other factors. This principle also emphasizes the prevention of forced and child labor. • Application: Employers must create an inclusive work environment, provide equal opportunities for all employees, and uphold workers' rights. The principle demands that fair wages, proper working conditions, and freedom from discrimination be core elements of the employment practices within any investment. 5. Promote the Use of Good Practices Related to Hazardous Materials (FRILIA Principle 4.6) 70 • Objective: Encourage the use of internationally recognized good practices for the management, handling, and disposal of hazardous materials. This principle ensures that any hazardous materials generated during the project’s activities are dealt with safely and responsibly. • Application: Investments must comply with best practices for handling hazardous materials, such as ensuring proper storage, labelling, transportation, and disposal, to prevent harm to the environment, workers, and surrounding communities. 5.6 Institutional Framework for ESRMF The Ministry of Environment in Anambra State plays a central role in coordinating all efforts related to the management of Environmental and Social (E&S) risks associated with the FRILIA framework. This includes overseeing the mitigation and management of potential E&S impacts that may arise from various investments and development projects under FRILIA. The FRILIA Working Group (FWG) is a key collaborative body comprising members from various institutions, including Ministry of Lands, ANSIPPA (Anambra Investment Promotion Agency), the Anambra State Community and Social Development Agency (ANCSDA), and other relevant institutional stakeholders. The FWG's role is to support the Ministry of Environment in addressing cross-cutting issues and ensuring the integration of E&S considerations into the project planning and execution phases. The FWG reports to the Project Management Unit (PMU) of the Anambra State Program- for-Results initiative, which is responsible for the overall coordination and monitoring of FRILIA projects at the state level. The State Executive Council provides the final oversight and decision-making authority for the initiative. At the Federal level, the Federal Ministry of Environment (FMENV) and the Federal Ministry of Labour & Employment provide support to Ministry of Environment to ensure that FRILIA projects comply with national environmental and labour standards. This cooperation ensures that FRILIA projects fulfil necessary environmental and social obligations, obtain appropriate permits, and adhere to required compliance measures, as outlined in documents such as the GMOU (General Memorandum of Understanding) Template 4. 5.7 Capacity building requirements To efficiently and effectively implement the FRILIA Environmental and Social Risk Management (ESRM) Toolkit, it is essential that personnel involved in its execution possess a 71 thorough understanding of key environmental, social, and sustainability concepts. The toolkit emphasizes the need for specialized knowledge in several areas, and capacity- building initiatives are critical for ensuring that all relevant stakeholders are adequately prepared to address the environmental and social challenges of the projects. Below are the key areas of capacity building that have been identified and recommended: 1. E&S Risks and Impacts Identification and Assessment: Personnel must be trained to identify and assess potential environmental and social risks and impacts associated with FRILIA projects. This includes understanding how to recognize both direct and indirect impacts on the environment, livelihoods, and communities. 2. Stakeholder Engagement: It is crucial to equip personnel with the skills needed to engage with all relevant stakeholders, including local communities, government authorities, and other key groups. This will ensure transparent communication and collaborative decision-making throughout the project lifecycle. 3. Reinforced ESIN Process: The process should be expanded to include socioeconomic assessments, physical culture assessments, and conflict analysis. This will help better understand the diverse needs and concerns of affected populations, as well as potential sources of social conflict. 4. Understanding an Environmental and Social Management System (ESMS): Training should focus on how an ESMS is designed and implemented to manage E&S risks in a structured and systematic way. This includes how to create, monitor, and update E&S management plans and integrate them into project operations. 5. E&S Auditing: Capacity-building will include the principles of conducting E&S audits to assess compliance with environmental and social management plans. Personnel will learn how to identify gaps, monitor project implementation, and ensure corrective actions are taken. 6. Best Practices in Sustainable Agriculture: Training on sustainable agricultural practices is essential. This includes the use of pesticides, waste management, water conservation, and irrigation techniques to ensure that agricultural activities are environmentally responsible and economically viable. 7. Occupational Health and Safety Management Systems (OHSMS): Ensuring that workers are safe is a key concern in the implementation of FRILIA projects. Personnel should be trained in developing and maintaining OHSMS to reduce risks related to health and safety on project sites. 72 In addition to specialized training, it is important that all site personnel receive basic E&S awareness training. This ensures that all involved are familiar with the FRILIA ESRM toolkit, as well as the regulations and standards guiding the projects. Such comprehensive capacity building will ensure that the environmental and social risks associated with FRILIA projects are effectively managed and that sustainable practices are adopted at all stages of project development and implementation. 5.8 Legal / Regulatory Framework The application of national and state laws and policies, along with international best practices, is a cornerstone for the effective management of environmental and social risks in projects under FRILIA. Below are the key national and state laws, regulations, and policies that provide the legal and regulatory framework for managing these risks: 1. National Laws, Regulations, and Policies: 2. Criminal Code, 1990: This sets the legal basis for criminal offenses, including environmental violations, ensuring accountability for harmful practices. 3. Environmental Impact Assessment (EIA) Act No. 86 of 1992: This act mandates the assessment of the potential environmental impacts of proposed projects before they proceed, ensuring that projects do not harm the environment. 4. Employee's Compensation Act, 2010: Provides compensation for employees who suffer from occupational accidents or diseases related to their work. 5. Labour Act, 1990: Governs employment practices and ensures worker rights, including fair treatment and protection from unsafe working conditions. 6. Land Use Act, 1978: Establishes the legal framework for land tenure and governs land use, especially in relation to land acquisition for development. 7. National Adaptation Strategy & Plan of Action on Climate Change for Nigeria, 2011: A strategic plan to address climate change adaptation, ensuring that projects consider and mitigate climate risks. 8. National EIA Procedural Guidelines, 1995: Provides detailed guidelines for conducting Environmental Impact Assessments in Nigeria, ensuring that potential environmental impacts are properly considered. 9. National Environmental Regulations: o Air Quality Control Regulations, 2014 o Control of Bush, Forest Fire, and Open Burning Regulations, 2011 73 o Desertification Control and Drought Mitigation Regulations, 2011 o Hazardous Chemicals and Pesticides Regulations, 2014 o Noise Standards and Control Regulations, 2009 o Sanitation and Waste Control Regulations, 2009 o Soil Erosion and Flood Control Regulations, 2011 o Surface Water and Groundwater Quality Control Regulations, 2011 o Wetlands, Riverbanks, and Lake Shores Protection Regulations, 2009 o Management of Solid and Hazardous Wastes Regulations, 1991 10. National Policy on Environment, 2016: Provides the overarching framework for environmental management and sustainability in Nigeria. 11. National Policy on Occupational Health and Safety, 2020: Ensures that all projects adhere to health and safety standards to protect workers and communities from potential hazards. 12. National Policy on Solid Waste Management, 2018: Establishes guidelines for proper waste management, crucial for projects that may generate waste. 13. Nigeria’s Cultural Policy, 1996: Ensures that cultural heritage is respected and preserved in development projects. 14. Pension Reform Act, 2004: Regulates pensions for employees, ensuring their social security is safeguarded. International Standards and Best Practices: 1. FAO and World Health Organization (WHO) International Code of Conduct: These frameworks ensure the responsible conduct of agriculture and health practices, with guidelines for environmental sustainability and social responsibility. 2. Africa Agenda 2063: A continental development agenda that outlines the long- term vision for Africa’s transformation, emphasizing sustainable development, environmental stewardship, and social inclusion. 3. FAO Code of Conduct for Responsible Fisheries, 2011: Provides global standards for responsible fisheries management, focusing on the sustainable use of aquatic resources and respect for community rights. 74 4. FAO Environmental and Social Management Guidelines, 2015: Offers practical guidance on how to integrate environmental and social considerations into agriculture and rural development programs. 5. IFC Corporate Governance Guidelines, 2019: These guidelines promote best practices in corporate governance, encouraging transparency, accountability, and stakeholder engagement in investment projects. 6. IFC Performance Standards (PS 1 to 8) and Guidance Notes, 2012: Establishes a comprehensive framework for managing environmental and social risks in private sector projects, covering areas such as labor, resource efficiency, and community impacts. 7. International Labour Organization (ILO) Conventions (1930-1958): These conventions set international labor standards that focus on workers' rights, including non-discrimination, fair wages, and working conditions. 8. ISO Standards: o ISO 14001:2015: Environmental management systems ensuring that projects minimize negative environmental impacts. o ISO 45001:2018: Occupational Health and Safety Management System, focusing on worker health and safety. o ISO 26000:2010: Provides guidance on social responsibility, helping businesses act in an ethical and transparent manner. o ISO 37101:2016: Management systems for sustainable development in communities. 9. Stockholm Convention on Persistent Organic Pollutants, 2004: A global treaty aimed at eliminating or reducing the release of persistent organic pollutants, which are harmful to both human health and the environment. 10. UN Sustainable Development Goals (SDGs), 2015-2030: A set of 17 global goals aimed at ending poverty, protecting the planet, and ensuring prosperity for all by 2030, influencing how development projects should be structured. 11. United Nations (UN) Convention Against Corruption, 2005: Promotes anti- corruption measures and calls for transparency and accountability in development projects. 75 12. World Bank Environmental and Social Standards (ESS 1-10), 2017: These standards provide a comprehensive framework for managing environmental and social risks in World Bank-funded projects. 13. World Bank EHS Guidelines (2007-2012): Detailed guidelines on environmental health and safety for sectors including aquaculture, crop production, livestock management, waste management, and water sanitation. 5.9 Environmental and Social Impact Screening Environmental and Social (E&S) screening is a critical process in the early stages of any investment under the FRILIA framework. This process involves an initial assessment to evaluate the potential environmental and social impacts of a proposed investment. The purpose of the screening is to determine the level of risk associated with the investment, which will then guide further E&S management processes. 5.9.1 E&S Screening The E&S screening process categorizes projects into three risk levels: 1. High Risk (Category I): These projects have significant potential environmental and social impacts, and comprehensive E&S management plans, including an Environmental and Social Impact Assessment (ESIA), are required. 2. Medium Risk (Category II): These projects have moderate impacts, requiring a more detailed review and mitigation plans to ensure compliance with the necessary E&S standards. 3. Low Risk (Category III): These projects have minimal environmental and social impacts and are not land-intensive. Projects in this category do not require compliance with the full FRILIA E&S framework, and the toolkit is not applicable to them. 5.9.2 Regulatory ESIA Process The Federal Ministry of Environment (FMENV) is the primary body responsible for setting policy guidelines on environmental issues and ensuring compliance with national standards. The Environmental Assessment (EA) department within FMENV implements Nigeria's Environmental Impact Assessment (EIA) Act No. 86 of 1992. At the state level, ANSIPPA is responsible for ensuring that environmental and social standards are met during project implementation, in alignment with the Environmental and Social Management Plan (ESMP). The ESIA process includes the following steps: 76 1. Screening: Initial categorization of projects based on potential environmental and social impacts. 2. Scoping: Identifying the key environmental and social issues that need to be assessed in the ESIA. 3. Impact Assessment: Detailed evaluation of the potential impacts on the environment and society, including mitigation measures. 4. Public Consultation: Engaging local communities and stakeholders to gather feedback on potential impacts and proposed mitigation measures. 5. Preparation of the ESIA Report: A comprehensive report outlining the findings, impacts, and proposed measures, which must be submitted to the relevant regulatory bodies for review and approval. The FMENV, ANSIPPA, and Ministry of Environment collaborate to ensure the effective monitoring and implementation of the ESIA process in Anambra State, ensuring that projects adhere to environmental and social standards and regulations. The ESIA report serves as the core output of this process, providing a detailed analysis of the potential impacts and the necessary steps for mitigation. The report follows established regulations and best practices, and its structure is outlined in ES Template 2. 77 Figure 5.2 Regulatory ESIA Process in Nigeria 5.10 Project Proposal Framework for FRILIA Investments 1. Brief Description of Project • Project Title, Proponent, and Contact Information: Include the name of the project, the proponent, and the designated contact person (name and phone number). 78 • Nature and Location of the Project: Provide an overview of the project's objectives and its geographical location. Include any available plans or schematics. • Land Clearing Activities: Describe any land clearing activities involved during construction or operation that may lead to emissions, noise, night-time operations, waste generation, or by-products. • Technical Diagrams: Include process flow diagrams, site plans, and current land use maps to illustrate project operations and site characteristics. 2. Outline of the Planning and Implementation Programme • Project Plan and Implementation Timetable: Present a detailed schedule covering all phases of the project from initiation to completion. • Project Interactions: Describe interactions with other entities or systems, such as out-grower models, with reference to the FRILIA Out-Grower and Food Security Toolkit. 3. Outline of the Significant Elements of the Surrounding Environment • Environmental and Social Context: o Residential developments, schools, hospitals, parks, and cultural or archaeological features. o Groundwater and surface water resources, fishing areas, surrounding communities, and potential project-affected persons (PAPs). o Environmentally sensitive areas that could be impacted. 4. Comment on E&S Protection Measures and Further E&S Implications • E&S Protection Measures: Detail contractual controls, measures to address both beneficial and adverse effects, and strategies to mitigate short-term, long- term, secondary, induced, and cumulative effects. • Stakeholder Engagement: Provide documentation of any public consultations or forums held with stakeholders (refer to the FRILIA Stakeholder Engagement Toolkit for guidance). 5.10.1 Screening and Categorization • Categorization: Classify the project as Category I (High Risk), II (Medium Risk), or III (Low Risk) based on FRILIA E&S Screening (refer to ES Template 1). 79 o Category I: Requires full ESIA due to significant potential impacts. o Category II: May not require a full ESIA, but an ESMP is mandatory. o Category III: Expected to have beneficial impacts and does not require an ESIA; an Environmental Impact Statement (EIS) may suffice. • Screening Report: The FMENV will provide written advice to the proponent, outlining regulatory requirements and screening decisions. 5.10.2 Execution of the ESIA The ESIA scope must address the following: 1. Legal and Policy Framework: Review national and international laws, regulations, and codes relevant to the proposed project. 2. Scoping and Stakeholder Engagement: Coordinate with FMENV and ANSIPPA to identify key E&S issues and engage stakeholders. 3. Project Description: Provide a comprehensive description of all planned actions and activities. 4. Baseline Data Collection: Gather environmental and social data through field surveys and laboratory analysis. 5. Impact Assessment: o Identify and evaluate potential E&S impacts. o Rank the significance of these impacts based on established criteria. 6. Mitigation and Enhancement Measures: o Recommend measures to mitigate risks and enhance opportunities. o Develop an Environmental and Social Management Plan (ESMP). 7. Report Preparation: o Develop the ESIA report with findings and recommendations. o Submit the draft report to FMENV and ANSIPPA for review. 5.11 Draft ESIA Report Content The draft ESIA report should follow the outline provided in ES Template 2 and include all relevant data, analysis, and recommendations for E&S management. Copies of the 80 report should be submitted to FMENV and ANSIPPA for review and approval. Subsequent stages will proceed as outlined in the screening and regulatory frameworks. 5.11.1 Environmental and Social Baseline The Environmental and Social (E&S) Baseline forms the foundation for identifying potential project impacts. It captures the pre-existing environmental and social conditions of the project area to serve as a reference point for assessing changes caused by project activities. 5.11.2 Guidelines and Methodology for Environmental Data Collection Environmental baseline data collection involves the systematic gathering of information on key environmental parameters: • Hydrogeology: Assessing subsurface water movement and storage. • Air Quality and Noise: Measuring pollutants and ambient noise levels. • Surface and Groundwater Quality: Evaluating water quality for ecological and human uses. • Aquatic Biodiversity (Hydrobiology): Documenting species and ecosystems within water bodies. • Soil: Analyzing soil characteristics, fertility, and erosion potential. • Land Use: Identifying current land use patterns. • Terrestrial Biodiversity: Inventorying flora and fauna in the project area. This data collection will adhere to the FRILIA ESIA Baseline Data Collection Tool for Environmental Parameters (ES Template 3). 5.11.3 Guidelines and Methodology for Social Data Collection Social baseline data collection focuses on capturing the socioeconomic characteristics of the project area, including: • Demography: Population size, age structure, and dynamics. • Ethnicity, Language, and Religion: Cultural and social composition. • Vulnerable Groups: Identifying marginalized or disadvantaged populations. • Institutions: Administrative, socio-cultural, and governance structures. 81 • Migration Trends and Patterns: Movement of populations in and out of the area. • Land Acquisition: Historical and ongoing changes in land tenure and ownership. • Economics and Livelihoods: Sources of income and economic activity. • Community Grievances and Expectations: Concerns and aspirations of stakeholders. • Infrastructure and Services: Availability and condition of health, education, and other services. Data collection will follow the FRILIA ESIA Baseline Collection Tool for Social Parameters (ES Template 4). 5.12 E&S Impact Analysis, Ranking, and Mitigation 5.12.1 Impact Identification and Ranking Methodology Environmental and social impacts are identified using a project activity-receptor interaction matrix. • Magnitude: Determined by the extent, duration, scale, and frequency of the impact. Rated as negligible, low, medium, or high. • Receptor Sensitivity: Economic, social, or ecological significance of the receptor. Rated as low, medium, or high. • Significance Ranking: The combined magnitude and receptor sensitivity determine the impact significance, categorized as negligible, minor, moderate, or major. 5.12.2 Potential E&S Impacts and Significance Ranking Potential impacts are categorized as: • Negative Impacts: Adverse changes from the baseline or introduction of undesirable factors. • Positive Impacts: Improvements to the baseline or introduction of beneficial factors. • Direct Impacts: Immediate consequences of project activities. • Indirect Impacts: Secondary effects of the project. • Cumulative Impacts: Incremental impacts when combined with other projects or actions. 82 The impact determination process involves: 1. Magnitude Assessment: Evaluating extent, duration, scale, and frequency. 2. Receptor Sensitivity Assessment: Evaluating reliance and importance of the affected receptor. 3. Significance Determination: Combining magnitude and sensitivity using a standardized matrix (Table 2). Note: The potential E&S impacts are detailed in ES Template 5, tailored to specific project types such as agriculture, livestock, or aquaculture. The template is non- exhaustive and adaptable for varying contexts. Table 5.1 Impact Significance Matrix 5.13 Concept of Impact Mitigation and Enhancement 5.13.1 Mitigation Measures Mitigation involves implementing interventions to avoid, minimize, reduce, or offset adverse impacts. The following standard hierarchy guides mitigation strategies: 1. Avoidance: Implement preventive measures to avoid adverse impacts wherever feasible. 2. Minimization: Reduce negative impacts to an "As Low As Reasonably Practicable" (ALARP) level. 3. Offsetting/Remediation: Compensate for residual impacts that cannot be mitigated further. Approach to Mitigation: • Preference is given to avoiding impacts. • Feasible and cost-effective measures employing best available technologies (BAT) are prioritised. Examples include: o Climate-smart agriculture. o Innovative techniques like aquaponics, vertical farming, and reforestation. 83 o Sustainable practices in water management, livestock management, soil management, and pest management. o Proper agricultural waste management. Compensation: As a last resort, compensation mechanisms are applied, referencing the FRILIA Involuntary Resettlement Valuation and Compensation Toolkit. 5.13.2 Enhancement Measures Enhancement focuses on optimizing and improving positive project impacts. This involves: 1. Developing management plans and procedures for positive impact identification and enhancement. 2. Utilizing evaluation and monitoring tools to track progress. Enhancement aims to align positive impacts with sustainable development goals and project objectives. 5.13.3 Recommended Mitigation and Enhancement Measures Mitigation and enhancement recommendations should align with identified E&S impacts, as outlined in ES Template 6. This template offers guidelines for: • Physical, plant-based agriculture systems. • Adaptations for livestock rearing, poultry, agroforestry, aquaculture, etc. The recommendations vary based on project specifics, scale, available technology, and sustainability objectives. The goal is to: • Reduce or eliminate adverse impacts. • Maximize positive opportunities. 4. Environmental and Social Management Plan (ESMP) An ESMP must be developed to ensure proper management of mitigation and enhancement strategies. The ESMP: • Details significant mitigation and enhancement measures. • Provides a framework for monitoring, auditing, reviewing, and improvement. Refer to ES Template 7 for the ESMP outline. 5.13.4 E&S Monitoring, Audit, and Reporting Monitoring Programme An E&S monitoring programme ensures compliance with mitigation measures through: 1. A schedule highlighting key E&S parameters, monitoring frequency, and responsible parties. 2. Submission of quarterly Environmental and Social Compliance Monitoring Reports to FMENV, NESREA, and ANSIPPA. 84 Monitoring Programme Content: • Use ES Template 8 to develop a monitoring programme in tabular form, detailing monitored parameters, frequency, and responsible personnel. Environmental and Social Audit (E&S Audit) Projects must submit an Environmental and Social Audit Report (EAR) every three years after operations commence. The audit: • Complies with the National Guidelines for Environmental Audit in Nigeria (2011) issued by NESREA. • Ensures long-term monitoring and adjustment of E&S practices. Audit Report Content: Refer to ES Template 9 for guidance on structuring an EAR. By enforcing regular monitoring and audits, the project promotes compliance with best practices and regulatory standards, ensuring E&S sustainability. 85 LEGAL/INSTITUTION GUIDELINES, REQUIREMENTS AND PRINCIPLES GOVERNING RESETTLMENT IN ANAMBRA STATE 86 6 LEGAL/INSITUTIONAL GUIDELINES, REQUIREMENTS AND PRINCIPLES GOVERNING RESETTLEMENT IN ANAMBRA STATE 6.1 Land Ownership in Nigeria Land ownership in Nigeria is deeply influenced by a blend of traditional customary practices and the Land Use Act (LUA) of 1978. While the LUA is the governing legal framework for land acquisition and resettlement, the coexistence of customary norms and legal statutes creates a complex land tenure system. The Land Use Act, reviewed under Cap 202, 1990, centralizes land ownership under governmental authority while recognizing customary arrangements. 6.1.1 Categories of Land Ownership in Nigeria Land ownership can broadly be classified into the following types: 1. Community Land (Ancestral Land): Land collectively owned by a community. 2. Communal Land: Typically undeveloped forest lands that become owned by the first party to clear and use the land. 3. Clan or Family Land: Owned and passed down within clans or families. 4. Institutional Land: Allocated to traditional authorities or institutions such as chiefs and kings. 5. Individual Land: Acquired through inheritance, purchase, or government allocation. While these traditional classifications exist, under the LUA, all land belongs to the government. This allows the government to acquire land via established land acquisition procedures or revocation of rights. 6.2 Nigerian Legal/Institutional Guidelines and Requirements 6.2.1 Land Use Act of 1978 and Resettlement Procedures The Land Use Act of 1978 (Cap 202, 1990) governs land ownership, acquisition, transfer, and usage in Nigeria. Key provisions include: 1. Centralized Land Control: 87 o The Governor of the State holds all land in trust for the government and people of the state. o Urban lands are administered directly by the Governor, while rural lands fall under the jurisdiction of Local Government Councils. 2. Land Classification and Usage: o Lands are categorized as urban or rural. o Statutory rights of occupancy for various purposes (e.g., agriculture, residential use) can be granted by the Governor. 3. Limits on Rights of Occupancy: o Maximum grant for agricultural purposes: 500 hectares. o Maximum grant for grazing: 5,000 hectares (subject to the Governor's consent). o Rights are granted for definite terms, typically capped at 99 years. 4. Compulsory Acquisition: o The Government has the right to compulsorily acquire land for public purposes, subject to legal procedures. o Compensation and resettlement must align with LUA provisions. 5. Role of Local Government: o Local Government Councils may utilize and occupy rural lands within their jurisdiction, provided they are not subject to acquisition by the Federal or State Government or relevant to mineral resource laws. 6. Implications for Resettlement Action Plans (RAP) • RAP analyses must consider the dual framework of customary land ownership and the Land Use Act to address entitlement and compensation adequately. • Land acquisition and resettlement should align with the LUA’s requirements, ensuring that impacted individuals or communities are compensated or resettled in accordance with their rights under the law. 6.2.2 Requirements of the Land Use Act The Land Use Act of 1978 outlines specific provisions and processes for the revocation of rights of occupancy and compensation for affected parties. These requirements 88 establish an administrative framework to manage disputes and ensure equitable treatment of landholders during land acquisition or revocation. Below are the key requirements: 1. Administrative Systems for Revocation and Compensation • Land Use and Allocation Committee: Each state is mandated to establish a Land Use and Allocation Committee to determine disputes regarding compensation payable for improvements on the land. (Section 2(2)(c)). • Land Allocation Advisory Committee: States are also required to form a Land Allocation Advisory Committee to advise Local Governments on land management matters. 2. Entitlements for Revoked Landholders or Occupiers • Unexhausted Improvements: Landholders or occupiers are entitled to compensation for unexhausted improvements at the date of revocation. (Section 6(5)). o Definition of Unexhausted Improvement: ▪ Permanent attachments to the land that result from capital or labour investment, enhancing its productivity or utility. ▪ Examples include: Buildings, fences, roads, plantations of long- lived crops or trees, irrigation, or reclamation works. ▪ Excludes results of ordinary cultivation (e.g., growing annual crops). • Alternative Land Allocation: For land under customary rights of occupancy used for agricultural purposes, the Local Government may allocate alternative land for the same purpose upon revocation. (Section 6(6)). • Delayed Compensation: If the Local Government fails to compensate the affected party within a reasonable time, the Governor may assess the compensation and direct the Local Government to pay the amount. (Section 6(7)). 3. Compensation for Public Purpose Revocations • When land is revoked for public purposes or the extraction of building materials, the holder or occupier is entitled to compensation for the value of unexhausted improvements as of the revocation date. 4. Developed Land vs. Vacant Land 89 • Developed Land: Defined under Section 50(1) as land containing physical improvements, including: o Roads, water, electricity, drainage, buildings, structures, or other enhancements that increase its value for industrial, agricultural, or residential purposes. • Vacant Land: No compensation is payable on land without physical improvements resulting from capital or labour expenditure. • Compensation Value: Calculated based on the estimated value of unexhausted improvements at the revocation date, ensuring that landholders are compensated for their investments, not for the land itself 6.3 Land Acquisition Procedure in Nigeria The procedure for land acquisition across Nigeria’s states follows a uniform process derived from the Land Use Act of 1978, particularly Sections 28 and 29. The compulsory land acquisition involves several steps: 6.3.1 Steps in the Land Acquisition Process 1. Request for Land: o Individuals or organizations submit a request to the State Governor, who directs the Commissioner of Land to acquire the land through compulsory acquisition. 2. Survey and Demarcation: o The Surveyor General, under the instruction of the Commissioner of Land, conducts a land survey to: ▪ Identify the landowners or right holders. ▪ Establish the compensation owed based on the unexhausted improvements as per national legislation. 3. Review and Public Notification: o After reviewing and approving the survey results, the Commissioner for Land issues a public announcement to notify affected communities and invite all right holders to present themselves to the authorities. 4. Final Survey and Verification: o A final survey is conducted after the public disclosure period to: 90 ▪ Confirm the initial survey findings. ▪ Register any additional claims or changes. 5. Compensation and Possession: o Once the survey results are either accepted by right holders or confirmed by the Commissioner for Lands: ▪ Compensation is paid for unexhausted improvements. ▪ The land is transferred to the State Government, which can then issue a Certificate of Occupancy to the new owner or investor. 6.3.2 Dispute Resolution Mechanisms To address disputes during the acquisition process: • Land Use and Allocation Committee: Reviews and resolves disputes concerning compensation amounts. • Land Allocation Advisory Committee: Advises Local Governments on identifying and allocating replacement land when agricultural land under customary rights of occupancy is expropriated. • State Intervention: The State Government may take over unresolved issues from the Local Government if they are not resolved within a reasonable time. 6.3.3 Compensation Provisions under the Land Use Act 1. Unexhausted Improvements: Compensation is based solely on the value of unexhausted improvements, which include: o Buildings, roads, plantations, long-lived crops or trees, fencing, irrigation works, and reclamation works. o Excludes results of ordinary cultivation or fallow land without physical improvements. 2. Developed Land: Defined as land with physical improvements such as roads, water supply, drainage, buildings, or structures that enhance its value for industrial, agricultural, or residential purposes. 3. Compensation Principles: o No compensation for undeveloped land (e.g., fallow or unused land). 91 o Compensation is determined by the value of improvements at the time of revocation. 4. Ambiguities in Occupancy Rights: o The Act’s definition of holder (certificate of occupancy holder) and occupier (user of the land or improvement) can lead to confusion: ▪ For example, a tenant occupying a property might not be entitled to compensation, which is payable to the certificate holder. 5. Partial Land Revocation: When a portion of a larger land area is revoked: o Compensation is computed for the entire land, with adjustments for the unaffected portion. o Any interest payable follows the same proportional approach. 6. Resettlement Provisions: o The Act mandates public notification, but the process for public consultation and engagement with Project Affected Persons (PAPs) is vaguely defined. o The notification allows affected persons to indicate their interest but does not detail how their concerns will be addressed. 6.4 The World Bank Environmental and Social Standards (ESS) Since October 2018, all World Bank-funded Investment Project Financing (IPF) projects must comply with the Environmental and Social Framework (ESF). This framework comprises 10 Environmental and Social Standards (ESSs) that outline borrower requirements for identifying, assessing, and managing environmental and social risks and impacts associated with projects. These standards aim to achieve sustainable development outcomes while ensuring transparency, accountability, and stakeholder engagement. ESS5, focusing on Land Acquisition, Restrictions on Land Use, and Involuntary Resettlement, specifically addresses the social impacts of such activities and sets out requirements for mitigating them. This section highlights the application of ESS5 in developing the Resettlement Policy Framework (RPF) for projects in Anambra State. 6.4.1 Objectives of ESS5 ESS5 has the following objectives: 92 a) Minimising Involuntary Resettlement: Avoid involuntary resettlement wherever possible or minimise it by exploring project design alternatives. b) Avoiding Forced Eviction: Prohibit actions that lead to the involuntary removal of individuals without due process or compensation. c) Mitigating Adverse Impacts: Address unavoidable adverse effects by: • Providing timely compensation at replacement cost for lost assets. • Assisting displaced persons in restoring or improving their livelihoods and living standards to pre-displacement levels or better. d) Improving Living Conditions for Vulnerable Groups: Ensure that physically displaced poor or vulnerable persons are provided: • Adequate housing. • Access to essential services and facilities. • Security of tenure. e) Sustainable Resettlement Activities: Execute resettlement activities as development programs, ensuring sufficient resources enable displaced persons to directly benefit from the project. f) Transparency and Participation: Plan and implement resettlement activities with clear information disclosure, meaningful consultation, and active participation of affected persons. 6.4.2 Applicability of ESS5 ESS5 applies to projects resulting in temporary or permanent social and economic impacts caused by involuntary land acquisition or restrictions on land use. It encompasses situations involving: 1. Direct Impacts: o Relocation or loss of shelter. o Loss of assets or access to assets. o Loss of income sources or livelihoods (with or without relocation). o Restriction of access to protected areas or parks, affecting livelihoods. 2. Types of Land Acquisition and Restrictions: o Expropriation or compulsory acquisition under national law. 93 o Negotiated settlements where failure to settle would lead to compulsory acquisition. o Restrictions on land use affecting access to traditional or customary resources. o Relocation of individuals without formal land rights who occupy land before a project’s cut-off date. o Displacement caused by project impacts that render land unusable or inaccessible. 6.4.3 Provisions under ESS5 The ESS5 provisions ensure that resettlement practices adhere to international standards, addressing gaps in Nigeria’s Land Use Act. Under this framework: • Compensation for Assets: o Only unexhausted improvements (e.g., buildings, plantations, and long- term structures) are compensated, but updated valuation rates are applied to reflect fair market value. o Compensation must comply with replacement cost principles, exceeding the outdated rates in the Land Use Act. • Involuntary Resettlement Scope: o Covers all project components causing involuntary resettlement, regardless of funding source. o Includes "linked" or "associated facilities" contemporaneous with project investments. • Stakeholder Engagement: o Consultation with affected persons and communities is integral, ensuring participation in decision-making processes. 6.4.4 Lessons Learned and Improvements Over time, Nigerian states have improved their asset valuation processes, moving away from outdated rates under the Land Use Act of 1978. For this project, participating states, including Anambra, have committed to meeting World Bank ESS5 requirements, ensuring compliance with modern international standards. 94 6.5 International Standards for Land Acquisition and Resettlement International standards for land acquisition and resettlement, including those set by the World Bank under ESS5, provide a structured framework to address the adverse social and economic impacts caused by land acquisition, restrictions on land use, and involuntary resettlement. These standards ensure that affected persons are compensated fairly and resettled with dignity, focusing on livelihood restoration, fairness, and the provision of development opportunities. 6.5.1 Key Considerations for Resettlement and Compensation 1. Restrictions on Resources: Resettlement processes address limitations on access to resources such as communal property, natural resources (e.g., forests, aquatic resources, grazing grounds), or any claims to land or resources relinquished without full compensation. 2. Pre-Project Land Acquisition: The ESS5 provisions also apply to land acquisitions or restrictions initiated in preparation for the project, ensuring accountability for pre-project impacts. 3. Compensatory Measures: o Replacement Costs: Compensation is provided at full replacement cost, covering the value of lost assets and ensuring economic feasibility for displaced persons. o Livelihood Restoration: Efforts include land-based resettlement or alternative livelihood strategies, depending on displaced persons' preferences and land availability. 6.5.2 Groups Eligible for Compensation Displaced persons are categorised as follows: a) Formal Legal Landholders: Those with legally recognised rights to land, including customary and traditional rights. b) Claimants to Land: Individuals without formal legal rights at the time of census but who have legitimate claims recognised by law or eligible for recognition under the Resettlement Action Plan (RAP). c) Informal Occupants: Individuals with no legal rights or claims to the land they occupy before the census cut-off date. Entitlements: 95 o Groups (a) and (b): Receive compensation for land and assistance to ensure livelihood restoration. o Group (c): Are eligible for resettlement assistance and compensation for non-land assets to achieve ESS5 objectives. Encroachers arriving after the census cut-off date are not entitled to compensation or assistance. 6.5.3 Resettlement Action Plans (RAPs) RAPs ensure that displaced persons: 1. Are informed about their rights and options. 2. Participate meaningfully in consultations to choose among feasible resettlement alternatives. 3. Receive timely compensation for lost assets. 4. Obtain support for transitioning and livelihood restoration. For physical displacement, RAPs also include: • Relocation Support: Provision of moving allowances and equivalent or better housing or agricultural sites. • Post-Displacement Support: Assistance for a transition period to restore livelihoods and standards of living. • Development Opportunities: Such as credit facilities, land preparation, job training, or employment opportunities. 6.5.4 Linkage with Project Implementation Land acquisition and resettlement activities are closely tied to the project implementation schedule, ensuring the following: 1. Compensation Before Displacement: Displacement does not occur before adequate compensation, relocation assistance, and resettlement site preparation (if applicable) are completed. 2. Preference for Land-Based Strategies: o When livelihoods are land-based, priority is given to land-based resettlement strategies. 96 o Where land is unavailable or non-preferred by displaced persons, non- land-based strategies (e.g., employment opportunities) are implemented alongside cash compensation. 3. Cash Compensation: Appropriate only where: o Land taken is a small, viable portion of an asset. o Adequate markets exist for land, housing, or labour, and displaced persons use these markets effectively. o Livelihoods are not primarily land-based. 6.5.5 Protection of Vulnerable Groups Particular attention is given to the needs of vulnerable groups, including: • People below the poverty line. • Landless individuals. • Women, children, and elderly persons. • Ethnic minorities and indigenous peoples. Support measures for these groups include tailored resettlement assistance and development opportunities to ensure equitable outcomes. 6.5.6 Implementation Monitoring To align with ESS5 standards, the implementation of resettlement activities is monitored to ensure compliance with international best practices. Displacement is only permitted after compensation and other requisite measures are in place, protecting affected persons from premature or incomplete resettlement. By adhering to these international standards, the project can foster equitable outcomes, mitigate resistance, and ensure sustainable development for all stakeholders. 6.6 Gap Analysis Between Nigerian Law and World Bank ESS5 and Gap-Filling Measures A gap analysis has been conducted to compare Nigerian land laws, particularly the Land Use Act of 1978, with the World Bank Environmental and Social Standard 5 (ESS5) on Land Acquisition, Restrictions on Land Use, and Involuntary Resettlement. While there are areas of agreement, there are notable gaps in the approach and provisions of the two frameworks. 97 6.6.1 Key Areas of Alignment Both the Nigerian Land Use Act and World Bank ESS5 agree that: • Compensation: Compensation must be provided to Project-Affected Persons (PAPs) before displacement or commencement of works. • Recognition of Improvements: Compensation for improvements on land is considered in both frameworks. Table 6.1 Key Gaps and Recommended Measures Aspect Nigerian Law World Bank ESS5 Gap-Filling Measures Eligibility for Compensation Limited to legal landowners or those with formal titles. Extends eligibility to non-titleholders (e.g., squatters, customary land users) occupying the land before the cut- off date. Ensure that compensation and resettlement assistance are extended to all PAPs, regardless of legal status, provided they meet the project- defined cut-off date. Valuation of Assets Based on outdated or gazetted rates, often below replacement cost. Requires compensation at full replacement cost (current market value without depreciation). Update valuation practices to align with ESS5 by using current market rates, factoring in transaction costs, and avoiding depreciation for lost assets. Compensation for Land Compensation is limited to "unexhausted improvements" (e.g., crops, buildings). No compensation for Compensation is provided for all affected land and assets, even undeveloped land, at replacement cost. Provide compensation for undeveloped land at replacement cost, as required by ESS5. 98 bare or undeveloped land. Assistance to Vulnerable Groups Not explicitly addressed in Nigerian law. Special provisions for vulnerable groups (e.g., elderly, women, indigenous peoples, landless individuals) to ensure equitable outcomes. Identify and provide tailored assistance to vulnerable groups during resettlement, such as livelihood restoration programs, housing support, or social services. Consultation and Participation Limited provisions for public engagement and consultation in land acquisition processes. Emphasizes meaningful consultation with PAPs throughout the resettlement process, ensuring informed participation and transparency. Incorporate robust stakeholder engagement processes, including public notices, consultations, and grievance redress mechanisms (GRMs) that actively involve PAPs in decision- making. Resettlement Planning No requirement for detailed resettlement plans or livelihood restoration. Requires preparation of a Resettlement Policy Framework (RPF) and site-specific Resettlement Action Plans (RAPs) for effective planning and monitoring. Develop and implement RPFs and RAPs that align with ESS5, detailing compensation, relocation, and livelihood restoration measures. Cut-Off Date Not specified. Establishes a cut- off date to determine eligibility for compensation and prevent Clearly define and communicate a cut- off date during the census process to ensure transparency 99 opportunistic claims. and compliance with ESS5. Grievance Mechanisms No structured grievance mechanism in place for resolving disputes. Requires accessible and effective grievance redress mechanisms for addressing PAPs’ concerns promptly and transparently. Establish a GRM that is culturally appropriate, easily accessible, and capable of resolving complaints related to land acquisition and resettlement in a timely manner. 6.7 Major Outcomes of the Review of Nigeria Legislation and the International Policy on Involuntary Resettlement Following the review and gap analysis of Nigerian land legislation and the World Bank’s Environmental and Social Standard (ESS5) on Involuntary Resettlement, several key conclusions and recommendations have emerged. These conclusions highlight the need for consistency with international standards while addressing the realities of land rights and ownership in Nigeria. 6.7.1 Key Conclusions 1. Adherence to the More Stringent and Pro-Poor Law: o In cases of divergence between Nigerian legislation and the World Bank ESS5, the more stringent and pro-poor provisions must be followed. This ensures that the needs and rights of vulnerable communities are safeguarded, aligning with international best practices for resettlement. 2. Entitlement for Compensation Varies by Type of Asset: The entitlement to compensation varies depending on the nature of the asset. This includes state- owned, privately owned, and customary land, with specific compensation methods outlined for each category: o State-Owned Land (Urban and Non-Urban): ▪ Land owned by the state will be allocated free of charge by the Governor or Local Government (except for processing and registration fees). 100 ▪ Compensation/Resettlement Assistance will be provided if the state land is occupied or used by landlords, squatters, or others. o Privately Owned Land: ▪ For privately owned land, compensation must be provided at replacement cost, ensuring that the affected party is compensated in full for the loss of land and assets. ▪ The guiding principle is to provide land of equal size and quality to the landowner or user, or compensate them accordingly. o Assets Held Under Customary Law: ▪ Customary law applies to land and assets held under customary rights, primarily in local government jurisdictions. Compensation for such assets is based on the following methods: ▪ Compensation for improvements, such as labor, buildings, and other investments, is determined based on the replacement cost at the time the replacement is provided. ▪ Compensation is not provided after the entitlement cut-off date to prevent opportunistic claims. ▪ Customary land is typically owned by chiefdoms, villages, or towns, and the loss of such land is compensated through community-based in-kind compensation. o Customary Land Users on State-Owned Land: ▪ Under ESS5, customary land users on state-owned land will be compensated for both land and assets at market rates at the time of the loss. ▪ This ensures that land users without formal titles, but who hold customary rights, are compensated equitably for the loss of their land and associated assets. 6.7.2 Implications for Implementation • The implementation of the project must be carried out in a manner that respects both Nigerian law and the World Bank ESS5, ensuring that compensation and resettlement processes are equitable, transparent, and provide adequate support to all affected parties, particularly vulnerable groups. 101 • The project will compensate for all assets, including land, investments, and improvements, regardless of legal title, in line with ESS5’s broader framework for inclusive compensation. • Specific compensation mechanisms will be developed for customary land users and other informal landholders, acknowledging their rights and providing fair compensation at market rates. 102 OUTGROWERS AND FOOD SECURITY TOOLKIT 103 7 OUT GROWERS AND FOOD SECURITY TOOLKIT 7.1 Introduction to the Toolkit The Out-growers and Food Security Toolkit is designed to support the growth of large- scale agribusiness investments by empowering local communities through active participation. The toolkit outlines processes that investors can use to engage, support, and contract with out-growers, thereby fostering economic development while promoting food security within the participating communities. 7.2 Purpose of the Toolkit This toolkit helps investors and other stakeholders understand how to effectively engage with out-growers, ensuring that strategies for supporting and contracting out-growers are well-implemented. It serves as a practical guide to developing partnerships that benefit both investors and local communities, facilitating the inclusion of out-growers in large- scale agricultural initiatives. 7.3 FRILIA Principles Applicable to Out-growers and Food Security The toolkit is based on key principles from the FRILIA framework, ensuring that investments in agribusiness align with sustainable development goals and contribute to broader socio-economic objectives. These principles include: 1. Investment Consistency with Policy Objectives (FRILIA Principle 1.1): Investments should support national objectives such as poverty eradication, food security, sustainable land use, job creation, and the empowerment of local communities. 2. Transparency (FRILIA Principle 1.2): All investments should be conducted transparently, ensuring that processes and outcomes are clear and accessible to all stakeholders, including local communities. 3. Minimization of Land Acquisition Impacts (FRILIA Principle 1.3): Land acquisition should be avoided or minimized, ensuring that adverse impacts on local communities and the environment are kept to a minimum. 4. Consultation and Participation (FRILIA Principle 1.5): Investments must involve consultation with local communities, especially disadvantaged and vulnerable groups, to inform them of their rights and enable them to participate in decision- making processes. 104 5. Community Decision-Making on Land Use (FRILIA Principle 1.6): Local communities should have the opportunity and responsibility to decide whether or not to make land available for investment projects, based on fully informed choices. 6. Investment Monitoring (FRILIA Principle 1.7): Investments should be subject to continuous monitoring to ensure that they remain aligned with agreed-upon goals and that any unforeseen impacts are addressed promptly. 7. Environmental Safeguards (FRILIA Principle 4.1): Investments must be designed and implemented in a way that safeguards the environment, with mitigation measures in place to address potential environmental damages. 8. Independent Impact Assessments (FRILIA Principle 4.2): Before investments begin, independent assessments should evaluate the potential positive and negative impacts on land tenure rights, food security, livelihoods, and the environment. 7.4 Importance of Out-growers in the Anambra State Transformation Program The Anambra State Transformation Program is focused on large-scale agribusiness investments that require significant support, oversight, and international funding. The FRILIA framework is designed to support these investments, which are land-intensive and require the adoption of advanced agricultural practices. Unlike smaller, low-yield investments, FRILIA aims to drive transformative, sustainable agricultural practices in large-scale agribusinesses. Central to these projects is the involvement of out-growers, who supply a significant portion of the agricultural input needed by large-scale investors. In African agribusinesses, out-growers play a crucial role. Large-scale operations often rely on out-growers for 30% to 70% of their raw materials, which contrasts with more developed agricultural economies where producers and processors are separate entities. The out-grower model offers significant benefits to investors: 1. Turnover Without Capital Expense: By supporting out-grower projects, investors can obtain turnover without the need for heavy capital investment in land acquisition, as the projects are supported by external funding. 2. Harmonious Community Relations: The out-grower model promotes positive, mutually beneficial relationships between investors and local communities. It 105 goes beyond just obtaining Free, Prior, and Informed Consent (FPIC) from communities—it fosters sustainable partnerships. 7.5 Roles of Investor, Communities, and Government The roles and responsibilities of the key stakeholders in the investment process are crucial for ensuring the success of large-scale agribusiness projects. Below are the key roles of each partner: 1. Investors: o Role: Investors are the project proponents and designers of the agribusiness projects. They are primarily responsible for the vision, planning, and operational design of the agricultural ventures. o Key Activities: Investors focus on managing the day-to-day operations, ensuring technical feasibility, securing market links, and driving the business's growth. They provide the technical knowledge, resources, and systems necessary to support the operations. o Out-growers as Investors: In the context of this framework, out-growers are considered investors in their own right because they invest their time, effort, and opportunity into cultivating crops or raising livestock that supply the larger agribusiness venture. They are not merely suppliers but active participants in the economic model. 2. Communities: o Role: Communities act as both hosts and co-investors in the agribusiness projects. As hosts, they provide land and labor for agricultural activities. As co-investors, they contribute to the project's success through their engagement, participation, and provision of local resources. o Key Activities: Communities are responsible for deciding whether to participate in the out-grower programs, providing access to land, labor, and local knowledge. They also contribute to maintaining social harmony and ensuring that the benefits of the project reach local households. o Engagement: Communities are involved in all stages of the investment, from land allocation and contract agreements to the delivery of crops or livestock. 3. Government: 106 o Role: The government acts as a partner and mobilizer of development funds for communities. It facilitates investments by providing a favorable regulatory environment, access to development funds, and infrastructure support. o Key Activities: The government ensures the smooth implementation of projects by helping to secure land rights, providing necessary infrastructure, and supporting the development of policies and regulations that benefit both investors and communities. o Development Mobilization: The government is key to mobilizing funds, offering technical assistance, and helping local communities access the resources and capital required to participate in agribusiness ventures. 7.6 Financing Out-growers and Food Security The financing of out-growers and food security is a critical component of the agribusiness model. Recommendations for financing these activities include ensuring a sustainable financial structure that supports the growth of both the investor and the out-grower. The financing structure must account for: 1. Investor Funding: Investors typically provide the capital for the design and implementation of the large-scale agribusiness project. However, they might not directly finance the out-growers. Instead, investors may partner with financial institutions, development banks, or other funding sources to support the out- growers. 2. Government Facilitation: The government plays a central role in providing funding mechanisms, including subsidies, grants, or access to microfinance schemes that can help out-growers finance their operations. 3. Community Financing: Communities may also be mobilized to invest in the project, either directly through co-investment or indirectly through the provision of land, labour, and local resources. 4. Out-grower Support: Out-growers themselves may be supported through loans or grants, with repayment terms tailored to the crop cycle or livestock production timelines. This support can be facilitated by development institutions, NGOs, or government-backed financial programs. 107 Table 7.1 Summary of Roles Stakeholder Purpose Role Activities Investor Land acquisition for farming and factory; secure consistent supply Project proponent, designer, contractor, and purchaser Design and operate project; get consent from communities; organize out-growers Community Human development, economic upliftment, minimize land-take, improve food security Giver of consent, partner in training/selection, partner in food security strategy Maintain social cohesion; facilitate out-grower training; participate in food security efforts Government Human development, economic upliftment, environment protection Policy maker, regulator, auditor, mobilizer of development funds Create policies; maintain regulatory framework; provide funding for infrastructure Out-grower Supply agricultural produce to investors Participant in production, training, and business operations Learn modern practices; supply produce; engage in investment design and evaluation 7.7 Scope of the Out-growers and Food Security Toolkit The toolkit is designed to support the successful integration of out-growers in large-scale agribusiness projects while ensuring food security for participating communities. It consists of three key templates: 7.7.1 Investor Out-grower Plan (OG Template 1) This template focuses on structuring and managing the relationships between investors and out-growers. It consists of three primary sections: 1. Investor/Out-grower Relationships: o Details the dynamics between investors and out-growers, including roles, expectations, and mutual benefits. 108 2. Flow Chart: o A generic flow chart that visualizes the key steps involved in the life cycle of a project, from conception to operation, helping investors and communities understand the sequence of actions. 3. Narrative Descriptions: o Each step in the flow chart is elaborated upon in detail, with explanations of linkages to other activities, ensuring clarity of the process from planning to execution. 7.7.2 The Out-grower Models (OG Template 2) This template provides three generic models for out-growers and explains their respective features through an Out-grower Model Selection Matrix. Each model has operational, organizational, and financial components and is designed for different levels of sophistication in the project: 1. Model 1: Individual Farmers: o Small-scale farmers, typically with land up to 1 hectare, who practice traditional farming methods. 2. Model 2: Co-operative: o Farmers work individually on small plots but are organized into a cooperative. The cooperative allows them to utilize improved farming methods, providing collective support and shared resources. 3. Model 3: Farmers Corporate: o Farmers exchange land use rights for a share in a company they own. This model offers a more formal structure, with proper registration and incorporation, enabling farmers to benefit from the collective ownership of the business. Features of the Out-grower Models: • Acquiring Critical Resources: o Land, water, and financing are essential components for the models to function effectively. • Systems for Operations: 109 o Different farming systems are required based on the model, impacting how operations are managed. • Money and Contracting: o The methods of contracting and paying out-growers vary, and are essential for ensuring a fair relationship. • Organization: o Various structures are needed for different strategies, from informal cooperative setups to formal corporate entities. • Risks: o Financial, quality, social, and food security risks inherent in each model are outlined, helping stakeholders to prepare for and mitigate these challenges. 7.7.3 The Food Security Template (OG Template 3) This template ensures that communities involved in investor-led projects, particularly those where land used for food production is taken for the agribusiness project, continue to have access to adequate, nutritious food. The template focuses on four key objectives: 1. Replace Threat of Fewer Physical Resources with Higher Productivity: o Focuses on increasing food production through improved productivity, ensuring that the community can produce more food despite potentially reduced physical resources. 2. Replace Threat of Fewer Economic Resources with More Economic Activity: o Economic activity within the community is enhanced, leading to increased money available for food expenditure. 3. Replace Threat of Increased Competition with Increased Collaboration: o Encourages community collaboration to make better use of available resources, particularly human resources, thereby ensuring more efficient food production and distribution. 4. Replace Poor Knowledge of Diet with Increased Nutrition Knowledge: o Aims to improve nutrition education, ensuring that communities understand how to eat well and maintain better health despite changes in food production patterns. 110 Procedures for Achieving These Objectives: • The template outlines specific steps to achieve these objectives, and compliance with the food security strategy is mandatory. Investors must follow these guidelines, and failure to comply could result in penalties imposed by the government. 7.7.4 Other Templates In addition to the three main templates, additional templates have been developed as part of other toolkits. These templates are specifically designed for contracting and engaging with stakeholders, as outlined in the Investor-Out-grower Planning Template. These additional templates help structure agreements, roles, and responsibilities between the investor, out-growers, and communities to ensure transparency and accountability. 111 STAKEHOLDER ENGAGEMENT 112 8 STAKEHOLDER ENGAGEMENT 8.1 Introduction Engaging stakeholders effectively is crucial for any project's success. Those who impact or are impacted by a project play a significant role in shaping its results. By properly identifying and involving these stakeholders, their perspectives and concerns can be incorporated into the project’s development, leading to better outcomes. Stakeholders include anyone who influences or is influenced by the project. Ensuring their meaningful participation is essential to achieving project objectives, and FRILIA is no exception. The Stakeholder Engagement & Communication Toolkit has been thoughtfully crafted to guide investors and implementation teams in systematically and productively involving stakeholders 8.2 Objectives 1. Identifying Stakeholders: o Ensuring that all individuals or groups involved in or affected by the project are identified and accounted for. 2. Defining Stakeholder Roles and Responsibilities: o Clarifying the specific roles, contributions, and expectations of each stakeholder to create a clear understanding of their involvement. 3. Mapping Stakeholder Relationships: o Identifying and analysing interactions and dependencies between stakeholders to encourage collaboration and mutual understanding. 4. Establishing Effective Communication Pathways: o Developing clear and efficient communication channels to ensure inclusivity, participation, and timely feedback. 8.3 Scope of the Toolkit The toolkit focuses on creating a Stakeholder Engagement Plan and a Communication Strategy tailored for FRILIA, in alignment with current procedures followed by FRILIA implementation teams. It consists of two main components: 1. Stakeholder Engagement Plan Framework 113 This framework provides tools for effectively identifying and managing stakeholders. It ensures: • Comprehensive stakeholder mapping and prioritization based on their level of influence and interest. • Customized engagement strategies for each stakeholder group. • Regular reviews and updates of the stakeholder engagement plan as the project progresses. 2. FRILIA Communication Strategy This component outlines guidelines for maintaining clear and inclusive communication with stakeholders. It includes: • Tailored messaging aligned with project objectives and stakeholder needs. • Accessible and transparent communication methods to foster trust. • Regular updates and avenues for stakeholder feedback to maintain collaboration and resolve potential issues. 114 Figure 8.1 FRILIA Stakeholder Engagement Approach 8.4 Stages of FRILIA Stakeholder Engagement Stage 1 - Initial Inquiry: The process begins with the investor expressing interest in investing within Anambra State by reaching out to ANSIPPA. In response, ANSIPPA provides the FRILIA toolkits through the communication channels specified in the FRILIA Toolkit Communication Strategy. Stage 2 - Detailed Inquiry (Including Site Visit): During this phase, investors carry out stakeholder identification, analysis, and mapping to understand the key parties involved and their roles in the project. Stage 3 - Negotiations and MOU Signing: This stage marks the start of preliminary stakeholder engagement activities. It is recommended that the drafting of the Stakeholder Engagement Plan (SEP) begins concurrently to document and guide ongoing stakeholder engagement efforts effectively. 115 8.5 Stakeholder Engagement Plan Framework A Stakeholder Engagement Plan serves to identify a project's stakeholders and define strategies for their constructive involvement throughout the project lifecycle. It facilitates synergy between the project and its stakeholders, effectively mitigating risks. This plan is dynamic, requiring regular review and updates to reflect any changes during the project lifecycle. 8.5.1 Principles of Stakeholder Engagement Aligned with FRILIA The stakeholder engagement principles adhere to FRILIA principles 1.5 and 1.6, which advocate: • Consultation and Participation: Investments must involve consultation with all, including disadvantaged and vulnerable groups, informing them of their rights and supporting their capacity to negotiate (Principle 1.5). • Community Choice: Communities must have the opportunity to decide on land allocation based on informed choices (Principle 1.6). 8.5.2 Additional Engagement Principles • Ensure inclusive participation, particularly for marginalised and vulnerable groups. • Recognise and respect community rights and interests. • Foster transparency and accountability in all interactions. • Build trust and mutual good faith with stakeholders. • Acknowledge and respect stakeholder aspirations. • Collaboratively work with stakeholders to find mutually beneficial solutions. • Strengthen the capacity of stakeholders for effective implementation. 8.5.3 Regulatory Framework for Stakeholder Engagement This section outlines the legal and regulatory requirements governing stakeholder engagement in Anambra State. It will also address the expectations and obligations of project owners and financiers, ensuring compliance with all relevant frameworks. 116 8.6 Stakeholder Identification and Analysis 8.6.1 Stakeholder Identification The Ministry of Land, in collaboration with ANSIPPA, plays a crucial role in identifying stakeholders and facilitating their engagement through meetings. Stakeholder identification is a fundamental process aimed at recognising all individuals, groups, or entities whose actions or inactions could influence or be influenced by project activities. To effectively identify project stakeholders, the following key questions should be addressed: 1. Who benefits positively from the project activities? 2. Who may be negatively impacted by the project activities, particularly vulnerable groups? 3. Who holds the ability to influence the project outcomes or deliverables? 4. Which regulatory bodies are relevant to the project activities? 5. At what stages of the project cycle will stakeholders experience impact? 8.6.2 Stakeholder Categorisation Based on a detailed review of existing FRILIA and SABER PforR documents, as well as expert insights, stakeholders relevant to the implementation of FRILIA can be categorised into the following eight (8) groups: 1. Government Agencies • Includes ministries, departments, and agencies such as ANSIPPA, the Ministry of Lands, and regulatory bodies. • Role: Policymaking, regulatory oversight, funding mobilisation, and providing a conducive environment for project implementation. 2. Investors • Comprises domestic and international agribusiness entities or individuals interested in large-scale investments. • Role: Initiators of projects, responsible for investment planning, project design, and compliance with FRILIA principles. 3. Local Communities 117 • Hosts and participants in projects, including landowners, tenant farmers, and out- growers. • Role: Providers of land (through consent) and active participants in project activities such as farming, labour, or other value chain contributions. 4. Traditional Authorities • Chiefs, village heads, and community elders. • Role: Mediators and representatives of community interests; they ensure cultural and social considerations are addressed during project implementation. 5. Civil Society Organisations (CSOs) and NGOs • Non-profit organisations focused on social, environmental, and developmental issues. • Role: Advocates for vulnerable groups, monitors compliance with safeguards, and provides technical support to communities. 6. Financial Institutions and Development Partners • Includes commercial banks, international donors, and organisations like the World Bank. • Role: Provide funding, financial guarantees, and technical expertise to ensure sustainable project financing. 7. Private Sector Partners • Businesses that contribute to the project supply chain, such as agro-processors, equipment suppliers, and logistics companies. • Role: Collaborators in enhancing the efficiency and profitability of the project. 8. Academia and Research Institutions • Universities, colleges, and research centres with expertise in agriculture, land management, and food security. • Role: Provide research-based insights, training, and innovative solutions to improve project outcomes. 118 Figure 8.2 FRILIA Stakeholder Groups Note: The listed stakeholder groups can indeed be adjusted based on the specific needs and realities of a project. Key MDA’s involved in the implementation of FRILIA: 1. FRILIA Project Implementation Unit (PIU) o Central coordinating body overseeing the operationalisation of the FRILIA framework. 2. Ministry of Agriculture o Ensures alignment with agricultural policies, supports out-grower models, and facilitates agribusiness development. Government Agencies Local Communities CSOs and NGOs Private Sector Partners Academia & Research Institutions Fin Institutions & Dev. Partners Traditional Authorities Investors 119 3. Ministry of Local Government and Chieftaincy Affairs o Engages traditional authorities and local government structures for smooth community relations and stakeholder mobilisation. 4. Ministry of Environment o Monitors environmental compliance, safeguards against ecological impacts, and promotes sustainable practices. 5. Ministry of Justice o Provides legal frameworks and ensures contract enforceability and compliance with land tenure laws. 6. Ministry of Water Resources o Supports irrigation and water management infrastructure critical to agricultural projects. 7. Ministry of Women’s Affairs o Promotes gender inclusion by ensuring the active participation of women in project design and implementation. 8. Ministry of Planning and Economic Development o Facilitates economic planning, aligns FRILIA with broader development goals, and ensures funding mobilisation. 9. Ministry of Lands o Manages land allocation, resolves tenure disputes, and ensures adherence to land acquisition regulations. 10. Anambra State Investment Promotion and Protection Agency (ANSIPPA) o Primary interface for investors, providing investment facilitation and oversight in line with FRILIA principles. 11. Anambra State Internal Revenue Service (AIRS) o Ensures tax compliance and supports the financial sustainability of agribusiness investments. 8.6.3 Summary of Stakeholders' Consultation The primary aim of the consultations conducted during the preparation of this RPF is to: 120 • Inform project-affected persons and the community about the project's setup and developmental goals. • Foster a two-way dialogue to build understanding between the project team and stakeholders. • Encourage ownership by stakeholders while gathering diverse suggestions and inputs that will ensure the project's success and sustainability. 8.6.4 Stakeholder Analysis After identifying the relevant stakeholders, it is essential to carry out an in-depth analysis to gather specific information about them. This includes: • Defining Stakeholders: Providing a detailed description of each stakeholder group. • Understanding Interests: Identifying their stakes, interests, and expectations regarding the project. • Evaluating Potential: Assessing their strengths, resources, and contributions to the project. • Recognizing Challenges: Highlighting potential conflicts, constraints, or barriers to engagement. Table 8.1 Stakeholder Analysis Stakeholder Category Description Interests Roles and Responsibilities Government Ministries and Agencies (MDAs) Key government bodies responsible for project oversight, regulation, and implementation. - Compliance with policies - Economic growth - Community development - Environmental sustainability - Develop and enforce regulatory frameworks - Mobilize resources - Oversee project implementation Local Communities Host communities directly affected by the project activities. - Economic empowerment - Job opportunities - Food security - Provide Free, Prior, and Informed Consent (FPIC) - Participate in 121 - Minimal land displacement decision-making - Ensure environmental stewardship Investors Private entities proposing and funding large-scale agribusiness investments. - Securing land and resources - Profitability - Sustainable community relations - Design and execute project plans - Engage stakeholders constructively - Ensure adherence to agreements Traditional Institutions Local leaders and custodians of cultural and social norms within the communities. - Protection of community rights - Maintaining cultural integrity - Development for their people - Mediate disputes - Provide cultural insights - Facilitate community engagement Civil Society Organizations (CSOs) Advocacy groups that represent community interests and promote social justice. - Advocacy for community rights - Environmental protection - Social accountability - Monitor project activities - Advocate for community and vulnerable groups - Facilitate training and capacity building Women’s Groups Female-focused associations or organisations within the community. - Empowerment - Inclusion in decision- making - Access to resources - Advocate for gender-sensitive policies - Participate in training - Monitor project 122 impacts on women Private Sector Operators Local businesses and entrepreneurs indirectly benefiting from project activities. - Access to new markets - Supply chain opportunities - Enhanced business growth - Supply goods and services - Participate in capacity-building activities - Foster partnerships Media Organisations and platforms responsible for information dissemination. - Access to accurate and timely project information - Public awareness - Communicate project updates - Highlight stakeholder concerns - Promote transparency Donor Agencies/Development Partners International organisations providing funding or technical support. - Project success - Accountability - Socio- economic impact - Provide financial and technical resources - Monitor and evaluate project performance 8.6.5 Stakeholder Mapping Stakeholder mapping involves analysing the relationships among stakeholders and determining how best to engage and manage them. A stakeholder map serves as a visual representation of stakeholders, categorised by their level of interest and influence in the project. It is a foundational step in stakeholder management, providing clarity on how project proponents should communicate and engage with each stakeholder group. A key tool in stakeholder mapping is the stakeholder matrix, which is divided into four quadrants reflecting the varying degrees of interest and influence of stakeholders. This matrix provides a structured approach to prioritising stakeholder engagement and can be found in SE Template 1. 123 8.6.6 Summary of Previous Engagements A detailed summary of prior engagements carried out before the formulation of the Stakeholder Engagement Plan (SEP) should be compiled and regularly updated throughout the project's lifecycle. This documentation should include the categories of stakeholders engaged, the concerns or issues they raised, and the actions taken to address these concerns. Recording past and ongoing stakeholder engagement efforts helps identify gaps in communication and engagement, enabling project proponents to refine their strategies. The summary should specify: • Date of engagement • Purpose of the engagement • List of participants • Key issues and concerns discussed • Feedback and comments received 8.7 STAKEHOLDER ENGAGEMENT STRATEGY This section outlines the stakeholder engagement activities and procedures that will be implemented throughout the project lifecycle. 8.7.1 Mechanism for Future Engagement and Consultation of Project- Affected Persons (PAPs) Consultation with PAPs will leverage existing traditional governance structures, ensuring communication through village or community leadership. This culturally accepted approach effectively reaches all community groups. Social organisations, including Women's Associations, village meeting forums, cooperative societies, religious institutions (churches and mosques), will also be used to disseminate information. To address the unique needs of underrepresented groups, consultation efforts will be segmented into smaller, targeted discussions, enabling the inclusion of less advantaged groups, minority settlers, and other vulnerable groups in resettlement planning. Contact details from attendance records of previous engagements will be utilised to organise meetings and ensure effective communication with PAPs. 8.7.2 Procedure for Stakeholder Engagement This section describes the following aspects: 124 1. Key messages for stakeholder engagement. 2. Initial entry procedures at the Local Government Area (LGA) level. 3. Community entry procedures. 8.7.3 Key Messages for Stakeholder Engagement The key message conveys the core information about the project to project-affected persons, government officials, and other stakeholders. This message introduces the project, its proponents, the purpose of the engagement, and details of future interactions. It should assure stakeholders of the professionalism and commitment of the engagement team to uphold community rights and adhere to good practices. The key message must be concise, simple, and where necessary, translated into the local language. It should not exceed one page and should include the following components: • A brief, clear description of the project, including its background and components. • An introduction to the project proponents or consultancy conducting the engagements. • A summary of the intended activities. • Details of the proposed engagement methods. • A statement guaranteeing adherence to professional standards and respect for community rights. Printed copies of the key message should be distributed to stakeholders for reference (see SE Template 2). 8.7.4 Procedure for Initial Entry at the LGA Level Local government plays a pivotal role in grassroots development and policy implementation. Engaging the LGA is crucial to establish rapport and garner support for the project. 8.7.5 Objectives of LGA Entry 1. To formally introduce the project to the LGA. 2. To communicate the project’s objectives, goals, and potential impacts. 3. To understand the local regulations pertinent to the project. 4. To secure the LGA's support in project development. 125 8.7.6 Steps for LGA Entry 1. Submission of Letter of Intent: The project proponent/investor submits a letter (see SE Template 3) summarising the project’s purpose and engagement goals. This letter should be addressed to the Local Government Chairman and hand- delivered to ensure acknowledgement. It must also include valid project contact details for follow-up. 2. Follow-Up: Phone calls or in-person visits should follow to schedule discussions with LGA officials. 8.7.7 Community Entry Procedure Prior to engaging with the community, key stakeholders such as traditional leaders, interest groups, and other influential community members should be identified. The first point of contact within the community is the traditional authority or community leadership. Steps for Community Entry: 1. Face-to-Face Introduction: The project proponents or their representatives meet with community leaders to formally introduce the project. 2. Stakeholder Identification: Community leaders assist in identifying key stakeholders and organising initial meetings. 3. Respecting Local Customs: Acknowledge and honour the community's traditions and customs to foster goodwill and prevent grievances or hostility. These steps aim to ensure a smooth and effective stakeholder engagement process, strengthening community support and collaboration throughout the project lifecycle. 8.7.8 Stakeholder Engagement Methods and Tools This section outlines various approaches and tools for engaging different stakeholder groups effectively. The methods of engagement will be tailored to the specific needs and characteristics of each stakeholder category, as well as the purpose of the engagement. While the methods listed below are not exhaustive, they are widely applicable and suited to the context of Anambra State. Method Purpose Best For Format Advantages Public Meetings Share general project information and Communities, traditional leaders, NGOs, Open forums at neutral locations or Inclusive, transparent, 126 updates; collect feedback. local government representative s. community centres. accessible to larger groups. Focus Group Discussions (FGDs) Facilitate in- depth conversations on specific topics or issues. Women’s associations, youth groups, cooperative societies. Smaller, targeted discussions led by a facilitator. Encourages active participation and nuanced insights. Key Informant Interviews (KIIs) Gather detailed and expert opinions from individuals with unique knowledge. Government officials, traditional leaders, civil society representative s. One-on-one, semi- structured interviews. Provides specialised information and fosters trust. Surveys and Questionnaire s Collect quantitative and qualitative data on perceptions, priorities, concerns. PAPs, NGOs, and local communities. Distributed as printed forms or conducted digitally. Cost-effective and efficient for broad data collection. Stakeholder Workshops Facilitate collaborative problem-solving and decision- making. Project proponents, investors, regulatory agencies, NGOs. Interactive sessions with presentations , group discussions, and activities. Promotes collaboration and co-creation of solutions. Traditional Media Ensure widespread communication of key project updates and announcement s. General public and grassroots communities. Radio broadcasts, newspaper articles, public notices. Broad reach, familiar to local audiences. 127 Digital & Social Media Engage tech- savvy stakeholders and provide real-time updates. Youth groups, urban communities, diaspora stakeholders. Social media posts, email newsletters, instant messaging. Cost-effective, enables two- way communicatio n. Participatory Rural Appraisal (PRA) Engage local communities in assessing needs and priorities. Rural and remote communities. Mapping, ranking, visual exercises facilitated by a trained team. Empowers communities in an inclusive manner. Community Meetings Leverage existing governance frameworks for engagement. PAPs, community leaders, and local groups. Meetings led by traditional authorities in community settings. Builds trust and aligns with local customs. 8.7.9 Stakeholder Engagement Activities Stakeholder engagement activities will be carried out throughout the project lifecycle, encompassing all project phases such as inception, implementation, and monitoring. During each phase, specific types of engagement will be conducted to ensure effective communication and collaboration with stakeholders. These engagements may include community meetings, focus group discussions, surveys, and consultations with relevant government agencies, with the target audience varying by activity. The expected outcomes include obtaining stakeholder feedback, fostering community buy-in, and ensuring inclusive participation. A detailed schedule of stakeholder engagement activities will be developed, specifying timelines such as quarterly community meetings or biannual stakeholder workshops. Special Considerations for Gender, Vulnerability, and GBV/SEAH Special considerations will be given to vulnerable groups, including women, the elderly, and minority settlers, to ensure their active participation in project decision-making. Measures such as separate consultations, the use of female facilitators, and targeted communication channels will be employed. The project will also implement strict 128 guidelines to prevent and address gender-based violence, sexual exploitation, abuse, or harassment (GBV/SEAH) during stakeholder engagement activities. 8.7.10 Implementation Arrangements The implementation of the stakeholder engagement plan will involve a clearly defined structure. A dedicated Stakeholder Engagement Team (SET) will oversee all engagement activities, while project proponents will ensure adherence to the plan and provide necessary resources. Community Liaison Officers (CLOs) will act as key points of contact with local communities, facilitating communication and addressing concerns. 8.7.11 Stakeholder Engagement Budget The budget for stakeholder engagement will be sufficient to sustain activities throughout the project's lifecycle. It will cover costs such as organizing workshops, travel expenses, and documentation. Funding for these activities may come from project proponents, external donors, or state allocations. The plan’s financial provisions will be reviewed periodically to ensure alignment with project needs and realities. 8.8 Grievance Redress Mechanism for Stakeholder Engagement The grievance redress mechanism (GRM) outlines the process through which stakeholders, particularly those potentially affected by the project, can express their concerns and seek resolution. The GRM is designed to be proportionate to the potential risks and impacts of the project, ensuring that it is accessible, inclusive, and transparent. It will provide stakeholders with a clear process to raise grievances without fear of retribution. The mechanism will be adapted from existing grievance redress systems used in previous FRILIA projects, supplemented with project-specific adjustments where necessary. Key considerations for the development of the GRM include: • Prompt and Effective Response: The mechanism must address grievances swiftly and transparently, ensuring all concerns are dealt with appropriately. • Culturally Appropriate Handling: Grievances will be addressed in a culturally sensitive manner, ensuring that issues are managed discreetly and respectfully. • Confidentiality and Anonymity: The process will allow anonymous complaints to be raised and handled confidentially. • Clear Communication: Stakeholders will be informed about the grievance process during community engagements. 129 • Documentation: All grievances will be documented to enable clear tracking and resolution, ensuring transparency. 8.9 Monitoring and Reporting Effective monitoring and reporting are crucial for the success of stakeholder engagement throughout the project. This section outlines how stakeholder engagement will be incorporated into the broader project monitoring framework, ensuring that stakeholders are actively involved in tracking progress and providing feedback. The monitoring system will include indicators to assess the effectiveness of engagement, the frequency of monitoring, and the individuals responsible for tracking engagement activities. It will also address how data will be collected and how findings will be communicated back to stakeholders. 8.9.1 Monitoring Monitoring of stakeholder engagement will ensure that the project remains aligned with its goals and that stakeholders’ voices continue to shape its development. This will involve regular consultations with stakeholders to assess project impacts and progress. Monitoring will be extended beyond information gathering to include active participation by stakeholders in tracking the project's implementation. Some of the details to be described in the monitoring framework include: • Monitoring Indicators: These will help evaluate the success of the engagement process and ensure alignment with stakeholder expectations. • Frequency of Monitoring: The monitoring process will be conducted regularly, with an agreed schedule to ensure ongoing feedback loops. • Responsible Persons: A team will be designated to oversee monitoring, with responsibilities clearly assigned. Gaps in capacity, if any, will be addressed through training and support. • Data Collection and Reporting Strategy: This will include methods for collecting feedback and tracking changes over time, ensuring stakeholders are informed about progress. 8.9.2 Reporting Reporting will be a crucial tool to document all stakeholder engagement activities, including consultations, inquiries, and grievances. It will ensure that stakeholder concerns are addressed and that the engagement process remains transparent. Regular reporting will be conducted throughout the project to track progress and capture feedback. 130 • Documentation: All stakeholder interactions will be documented through meeting minutes, photos, videos, and other forms of documentation. • Report Preparation: Reports will be prepared on a monthly or quarterly basis, depending on the project phase, to monitor the implementation of the Stakeholder Engagement Plan (SEP). • SEP Updates: These reports will be used to update the SEP and adjust the engagement strategy as needed based on stakeholder feedback and changing project dynamics. Template Number Template Name SE Template 2 Key Messaging Template SE Template 4 Stakeholder Engagement Plan Implementation Schedule SE Template 6 Stakeholder Engagement Plan Outline Disclosure Requirements As part of standard practice, the project's safeguard documents, including the Resettlement Policy Framework (RPF) and Resettlement Action Plan (RAP), will be made publicly available along with registers documenting public comments and suggestions. These records will be formally processed by the Anambra State Government. This approach will continue for any additional safeguard materials created throughout the project's development. The RPF and RAP will be disclosed in line with relevant Nigerian regulations and the World Bank’s operational policies. These documents will be made available at designated locations within the country, such as the Ministry of Agriculture and Rural Development, the Federal Ministry of Environment, the State Ministry of Land and Survey, the State Ministry of Environment, and other relevant stakeholders in Anambra State. The documents will also be accessible in two daily newspapers for 21 days as per Nigerian legal requirements. Additionally, electronic versions of the safeguard documents will be posted on the project’s website, with the World Bank also publishing the documents on its platform. This will allow stakeholders with internet access to review the information regarding the planned development and engage in the public consultation process. The website will include an online feedback feature, enabling users to submit comments related to the disclosed materials. 131 To facilitate stakeholder input, mechanisms such as press releases, media announcements, and notifications of the disclosed materials will be sent to local, regional, and national NGOs, as well as any other interested parties. Figure 8.3 FRILIA Toolkits Communication Strategy for Stakeholder Engagements 132 Figure 8.4 Sample Interest Influence Matrix 133 Figure 8.5 Project Key Message Template 134 Figure 8.6 Sample Letter of Intent 135 Figure 8.7 Sample of Meeting Minutes 136 GLOBAL MEMORANDUM OF UNDERSTANDING (GMOU) TOOLKIT 137 9 GLOBAL MEMORANDUM OF UNDERSTANDING (GMOU) TOOLKITS 9.1 Introduction to GMOU Toolkit The GMOU Toolkit offers legal guidelines and regulatory compliance related to land acquisition and the execution of agricultural and development activities crucial for the effective implementation of FRILIA. 9.2 Scope of the Toolkit This toolkit works in conjunction with other FRILIA toolkits, such as: • Environmental and Social Risk Management Toolkit • Out-growers and Food Security Toolkit • Land Access, Easement, and Involuntary Resettlement Management Toolkit • Community Needs Assessment and Development Toolkit • Grievance Redress Mechanism Toolkit 9.3 FRILIA Principles Relevant to the GMOU Toolkit The GMOU Toolkit is aligned with several FRILIA principles: • Investments should support and be in line with policy objectives, including eradicating poverty, ensuring food security, promoting sustainable land use, creating employment opportunities, and supporting local communities (FRILIA Principle 1.1). • The project will seek to minimize or avoid land acquisition and its negative effects as much as possible (FRILIA Principle 1.3). • Communities should have the opportunity and responsibility to make informed decisions about land availability (FRILIA Principle 1.6). • Monitoring of investments should be conducted regularly (FRILIA Principle 1.7). • Legal tenure rights should be safeguarded in all investments (FRILIA Principle 2.1). • Identifying existing legitimate rights, whether formal or informal, and common property resources, must be carried out impartially and systematically (FRILIA Principle 2.2). 138 • Compensation standards must be disclosed and applied consistently across the project (FRILIA Principle 3.1). • Fair compensation will be provided to replace assets of equal value and to cover necessary transitional costs before land is acquired or access is restricted (FRILIA Principle 3.3). • Adequate measures will be taken to prevent environmental damage, or it will be mitigated appropriately (FRILIA Principle 4.1). • Community, individual, and worker safety must be prioritized (FRILIA Principle 4.4). • Workers should be treated fairly, with equal opportunities, and all forms of forced or child labour should be prevented (FRILIA Principle 4.5). • Best practices must be followed when managing hazardous materials (FRILIA Principle 4.6). 9.4 FRILIA GMOU TOOLKIT APPROACH The GMOU Toolkit is applicable at the following stages of ANSIPPA's project investment process: • Stage 1: Initial Investment Inquiries: This stage involves addressing inquiries about potential investments. • Stage 2: Review of Legal Framework, Site Visits, and Stakeholder Engagement: This stage covers the legal framework review, necessary site assessments, and discussions with relevant government bodies. • Stage 3: Memorandum of Understanding (MOU) Negotiation: At this stage, the parties engage in negotiations to establish the terms of the MOU. • Stage 4: Acquisition of Permits and Licenses: In this phase, the necessary permits and licenses for the operational phase are obtained. • Stage 5: Operational Start, Monitoring, and Feedback Surveys: This stage marks the commencement of operations, along with monitoring activities and feedback surveys. • Stage 6: Post-Operational Services: After the operation phase, ANSIPPA provides post-operational services to ensure smooth ongoing operations. 139 Figure 9.1 FRILIA GMOU Toolkit Approach 9.5 GMOU Templates • GMOU Template 1: Memorandum of Understanding between ANSG and Investor • GMOU Template 2: Checklist for Human and Land-Related Rights, International Standards, and Best Practices • GMOU Template 3: Procedure for Crop Registration in Nigeria • GMOU Template 4: Checklist for License and Permit Compliance • GMOU Template 5: List of Regulatory Bodies Involved • GMOU Template 6: List of Agricultural Research Institutes in Nigeria • GMOU Template 7: Memorandum of Understanding between Investors and Community Members for Community Development Project Implementation • GMOU Template 8: Memorandum of Understanding between Investors and Out- Growers • GMOU Template 9: Guidelines for Supply Contracting Agreement between Investors and Out-Growers • GMOU Template 10: FRILIA Local Employment Guidelines 9.6 Sections of the Guide 1. Responsibilities: Clearly defining the roles and obligations of each party is vital in any collaboration. The MoU templates provide specific sections to outline the Initial Investment Inquiries Review of Legal Framework, Site Visits, and Stakeholder Engagement Memorandum of Understanding (MOU) Negotiation Acquisition of Permits and Licenses Operational Start, Monitoring, and Feedback Surveys Post- Operational Services 140 responsibilities of all involved parties—whether it’s the state government, educational institutions, healthcare providers, or economic development partners. This ensures that everyone knows their duties, contributing to the effective execution of the project. 2. Expectations: The templates articulate the mutual expectations between collaborators, helping all parties align their objectives. This section ensures that the stakeholders understand the collaboration’s purpose and the desired impact, which is crucial for the project's success in Anambra State. 3. Timelines: Time is a crucial factor in project management. The MoU templates include sections for specifying project timelines, key milestones, and deadlines. This helps ensure that all parties are working in sync and that the project progresses efficiently towards its goals. 9.7 How to Use the Templates • Selection: Choose the appropriate MoU template based on the type of collaboration, whether it’s a small or large-scale agricultural investment. • Customization: Adapt the template to fit the specific details of the partnership, including names, addresses, and project-related information where necessary. • Legal Review: Before finalizing the agreement, it is recommended to consult legal counsel to ensure that the terms comply with local regulations and sufficiently safeguard the interests of all parties. • Signing: After customization and legal review, the MoU should be signed by the involved parties to formalize the collaboration. By using these MoU templates, Anambra State aims to create a transparent, accountable, and conducive environment for effective partnerships. The templates will strengthen global ties and accelerate progress toward the state's development objectives. The MoU templates can be found in the Appendix. 141 GRIEVANCE REDRESS MECHANISM 142 10 GRIEVANCE REDRESS MECHANISM 10.1 Introduction to the GRM Toolkit The impacts of development projects differ across stakeholders, including Project Affected Persons (PAPs), Project Affected Communities (PACs), and others. These groups should have the opportunity to express their concerns and grievances regarding the project, seeking resolutions that meet their expectations through reliable, transparent, and cost-effective mechanisms. It’s important to emphasize that the FRILIA Grievance Redress Mechanism (GRM) toolkit and its associated templates are integral and apply across all seven components of FRILIA. This toolkit provides stakeholders with a structured way to understand grievances, and it helps capture and address them effectively. Additionally, the toolkit supports the Grievance Redress Committee (GRC) in aggregating and monitoring grievances through an escalation process, while also offering feedback and exploring alternative dispute resolution methods. 10.2 Scope of the GRM Toolkit The FRILIA GRM defines how grievances should be submitted, managed, and resolved, specifying the committees responsible for addressing these issues. The toolkit is not intended to replace but to complement existing grievance mechanisms in Anambra State, such as ANSIPPA’s Grievance Redress Mechanism. The scope of the FRILIA grievance redress mechanism includes: • A comprehensive GRM framework • An institutional framework for handling grievances • A clear procedure for addressing grievances • A system for sorting, assessing, and processing grievances • A monitoring and tracking procedure for grievances • A feedback mechanism with a set time frame for responding to grievances • A reporting and dissemination system for grievance resolution updates 10.3 GRM Framework 10.3.1 Introduction A lack of a transparent, fair, affordable, and culturally appropriate grievance mechanism can hinder the successful implementation and long-term sustainability of FRILIA, 143 particularly at the community level. FRILIA GRM will establish a structured procedure for handling grievances related to FRILIA projects, and this toolkit will offer the guidance needed for ANSIPPA and Ministry of Lands to effectively manage and monitor all FRILIA- related disputes. The GRM will ensure that: • All stakeholders, including both investors and communities, are actively involved; • Multiple feedback channels are explored; • The GRM is interconnected with other relevant agencies to ensure efficient and timely feedback. 10.3.2 What is a Grievance and GRM? A grievance is any expression of dissatisfaction or concern arising from the actual or perceived impacts of an action on an individual or group. Grievance Redress Mechanisms (GRMs) are the institutions, methods, processes, and tools used to resolve grievances. Grievances, disputes, and complaints are inevitable in human interactions, and managing stakeholder relationships effectively is crucial to the success of FRILIA investments. A GRM provides a clear process through which grievances are voiced, handled, and resolved. The objectives of the Grievance Redress Mechanism are: • To establish clear procedures for capturing, assessing, and responding to concerns raised by stakeholders and the public throughout the project lifecycle; • To provide access to information about project implementation and address any complaints, concerns, or grievances that may arise during this period; • To create a platform for resolving disputes locally, minimizing the risk of escalation; • To ensure the rights of affected parties are respected, allowing the public to raise concerns or objections regarding investment projects; • To offer a cost-effective method for reporting grievances and complaints, facilitating the resolution of disputes in a timely manner; • To mitigate conflicts during project implementation and operation; • To promote transparency and accountability among stakeholders during project implementation; • To identify and address unintended impacts of projects on individuals and communities; 144 • To foster good relationships between project stakeholders, including investors, implementers, and beneficiaries. 10.3.3 Principles of the GRM An effective Grievance Redress Mechanism (GRM) should be guided by several key principles, including: • Accessibility: The GRM must be available to all stakeholders, regardless of their geographical location, language, or socio-economic status. This ensures that everyone, including those in remote areas, with varying levels of education or income, can access the mechanism. • Simplicity: The process for filing grievances should be straightforward and easily understood by stakeholders, ensuring that no one is deterred by complicated procedures. • Fairness: Grievances should be handled confidentially, assessed impartially, and resolved in a transparent manner, ensuring that all parties feel their concerns are treated with respect and integrity. • Timeliness: All grievances, whether simple or complex, should be addressed and resolved promptly. The actions taken should be constructive and aimed at resolving the issue efficiently. • Inclusiveness: Special attention should be given to vulnerable and marginalized groups, including the poor, those with special needs, and other disadvantaged communities, ensuring they can access and benefit from the GRM. • Responsiveness: The GRM should be responsive to the needs of complainants. Officials handling grievances must be trained to take effective action and respond promptly to grievances and suggestions. • Objectivity and Independence: The GRM must operate independently, free from external influence, to ensure impartial and fair treatment for every grievance. GRM officials must have the necessary resources and authority to investigate and address grievances thoroughly. 10.3.4 FRILIA GRM Approach The GRM approach for FRILIA is designed to manage and resolve grievances that may emerge at any stage of the investment process. The figure below outlines the process map, providing guidance to investors on how to effectively apply the toolkit. 145 Figure 10.1 FRILIA GRM Approach According to international best practices, the primary goal of a grievance mechanism is to prevent grievances before they arise. This is achieved by identifying the underlying causes of land-related issues and taking proactive measures to address them. Some common sources of land-related grievances include: • Inadequate stakeholder engagement • Compensation that falls short of expectations • Delayed payments • Impersonation of Project Affected Persons (PAPs) • Speculative planting aimed at increasing compensation • Multiple and conflicting claims over a single piece of land • Omission of certain assets, such as shrines, from consideration • Disregard for cultural heritage sites • Local employment quotas not being met • Lack of community development initiatives 146 • Destruction of community infrastructure • Damage to access routes In cases where grievances cannot be avoided, appropriate mitigation measures should be implemented to reduce their occurrence and impact. Examples of these mitigation actions are outlined in Table 1, including steps that can be taken to prevent grievances from arising in the first place. Table 10.1 Actions to avoid Grievances Action Description Enhanced Stakeholder Engagement Engage stakeholders early and continuously, ensuring their concerns are addressed. Clear Communication of Compensation Policies Communicate compensation standards and procedures clearly and transparently. Timely Payments Ensure that payments are made promptly as agreed to avoid delays. Verification of PAPs Ensure proper identification and verification of Project Affected Persons (PAPs). Pre-emptive Land Mapping Conduct thorough land surveys and mapping to resolve overlapping claims in advance. Consideration of Cultural Heritage Include and respect cultural heritage sites and assets (e.g., shrines) in the planning process. Respect Local Employment Quotas Adhere to local employment quotas to ensure fair job opportunities for the community. Community Development Initiatives Invest in meaningful community development initiatives to promote goodwill. Protection of Infrastructure Prevent the destruction of vital community infrastructure during project implementation. Maintenance of Access Routes Ensure that access routes and transportation links are maintained or restored during construction. Transparent Grievance Channels Establish clear and accessible grievance redress mechanisms for stakeholders to voice concerns. 147 Early Conflict Resolution Mechanisms Implement early and effective conflict resolution strategies to address disputes before they escalate. Develop and Implement the SEP Design and execute a Stakeholder Engagement Plan (SEP) to ensure ongoing communication and involvement throughout the project lifecycle. 10.4 ESTABLISHMENT OF A GRIEVANCE REDRESS MECHANISM 10.4.1 Basic Elements of GRM Design For the Grievance Redress Mechanism (GRM) to function effectively, it must incorporate the following key elements: • Grievance Receipt Mechanisms: A variety of channels must be provided to receive grievances, such as call centers, comment/complaint forms, emails, text messages, suggestion boxes, websites, and local offices. • Cultural Sensitivity: The process should consider culturally appropriate ways of handling community concerns to ensure inclusivity. • Simplicity and Accessibility: The process should be easy to understand and use by all affected communities, with no cost involved. • Anonymity and Security: The process must guarantee anonymity and protect complainants from retaliation or intimidation. • Appeals Process: The mechanism should include multiple levels, allowing for appeals and access to an open court system if necessary. • Timeliness: The GRM should operate within a reasonable timeframe for resolution and feedback to stakeholders. • Transparency and Accountability: The process should be transparent, objective, and accountable in both its procedures and outcomes. • Flexibility in Decision-Making: Acknowledge the diversity and uniqueness of grievances, allowing for flexible decision-making where necessary. • Dedicated Unit/Department: A dedicated unit should be established to receive, record, and track grievances. A grievance register should be maintained for monitoring. 148 10.4.2 Institutional Arrangement for Grievance Redress Based on FRILIA For an effective GRM, it is essential to establish a solid institutional framework. The FRILIA GRM will consist of three key levels of institutional arrangement: 1. Community-Level Grievance Redress Mechanism (GRM) Unit: The first level of redress involves a community-level unit for addressing grievances of project-affected persons (PAPs), beneficiaries, and other stakeholders. • Members: Community members, including traditional leaders, women and youth leaders, Community-Based Organizations (CBOs), the Community Liaison Officer (CLO), local government representatives, and the FRILIA GRM officer. • Responsibilities: This unit will be responsible for receiving and registering grievances, recommending actions for resolution, and dedicating specific days for grievance resolution. 2. FRILIA GRM Secretariat at ANSIPPA: This secretariat will be responsible for the overall management, resolution, and monitoring of the FRILIA GRM. It will oversee grievance processes and manage multiple grievance uptake points (e.g., verbal, written, phone calls, emails, WhatsApp, suggestion boxes, etc.). • Officer: An officer will be appointed to oversee the secretariat, analyze the frequency, patterns, and causes of grievances, and maintain a grievance logbook. Monthly reports will be submitted to the Project Management Unit (PMU). • Appointed GRM Officers: GRM officers will be appointed at various grievance uptake points. 3. Grievance Redress Committee (GRC): The GRC will handle grievances based on the scope and impact of the issue. The committee will consist of at least five members, including: 1. A representative from the FRILIA GRM secretariat (serving as the secretary). 2. A representative from the FRILIA investors. 3. A representative from the Anambra State Government (e.g., Ministry of Justice). 4. A representative chosen by the project host community. 5. A senior LGA official from the project’s host community. 6. A representative from ANSIPPA. 149 7. A representative of Ministry of Environment. 8. A representative of the traditional ruler of the area where the project is located. 9. A representative from NGOs, CBOs, or civil society organizations. The GRC Chairperson will be a representative from the Ministry of Lands, and the committee secretary will prepare reports based on the findings of the committee, which will be submitted to the FRILIA GRM secretariat and PMU. 10.5 FRILIA Grievance Redress Procedure ANSIPPA, as the implementing agency for the FRILIA GRM, is responsible for establishing a GRM secretariat and managing all grievances related to FRILIA during the operational phase. All grievances associated with FRILIA will be collected from various grievance uptake points and forwarded to the FRILIA GRM secretariat for proper logging and categorization. The procedure to address each grievance involves the following steps: 1. Grievance Sorting and Forwarding: Upon receipt of a grievance, the GRM secretariat will sort and forward the grievance to the relevant authorities in the appropriate Ministries, Departments, and Agencies (MDAs) or other relevant bodies for resolution. 2. Timely Resolution: The responsible authority will aim to resolve each grievance within ten (10) days and provide feedback to the complainant within fourteen (14) days of grievance submission. This ensures timely communication and resolution. 3. Escalation Process: If grievances are not resolved within the given timeframe, they will be escalated to the Grievance Redress Committee (GRC) for further attention. If the GRC is unable to resolve the grievance, the complainant will be advised to seek redress at a multi-door courthouse before considering litigation. The FRILIA grievance redress procedure is summarized in the following steps, as illustrated in Figure 10.2. 150 Figure 10.2 Grievance Redress Procedure 1. Step 1: Grievance Receipt at the Uptake Points • The GRM secretariat will ensure grievance collection/uptake points are established at the community level and in relevant institutions such as MDAs, LGA offices, etc. • Easy-to-access grievance channels will be set up, including: o Suggestion/grievance boxes o Email addresses o Phone numbers o SMS numbers o FRILIA website portal o Grievance desks • A GRM unit will be set up at the community level, serving as a grievance uptake point. The grievance officers at the community level will: o Receive complaints/grievances through suggestion boxes, verbal communication, phone calls, or by completing a grievance registration 151 form (GRM Template 1). This form will be in English and translated into local languages as needed. o Acknowledge all registered complaints and issue an acknowledgment form (GRM Template 2) in English or the local language, depending on the complainant’s language preference. Acknowledgments may also be provided via text or phone call. o Forward all complaints to the GRM secretariat for logging and monitoring. • The GRM officer at the secretariat will acknowledge complaints received via other uptake points, such as emails, phone calls, text messages, and the FRILIA website portal. 2. Step 2: Grievance Registration and Sorting at the GRM Secretariat • Complaints will be received at the FRILIA GRM secretariat. • Record/register complaints in the FRILIA grievance logbook (GRM Template 3). • Review all complaints to identify the appropriate ministry/agency concerned based on the nature of the complaint. • Refer the complaint to the identified/relevant ministry/agency or the Grievance Redress Committee (GRC), as applicable. • Monitor the grievance through the resolution process. 3. Step 3: Grievance Resolution and Escalation The grievance resolution and escalation process is broken into four stages: a) Stage 1: Grievance Resolution at GRM Secretariat • Assess the nature of the complaint. • Identify the cause of the grievance. • Explore possible solutions. • Suggest and implement remedial actions, such as community resolution, mediation, or arbitration. • Monitor the implementation of the action/solution using the grievance logbook (GRM Template 3). • Inform the complainant of the action taken through the grievance disclosure form (GRM Template 4) or the complainant’s preferred mode of communication. 152 • Close the case if actions are satisfactory, or escalate the grievance to the GRC if not resolved. b) Stage 2: Escalation to the Grievance Redress Committee (GRC) • The GRC will assess and review the procedures taken at Stage 1. The outcome of their assessment is captured in the grievance committee proceedings template (GRM Template 5). • Explore and identify all available options for resolution. • Consult and inform the complainant by physical address or meeting. • Address all resolutions and actions taken. • Monitor the implemented actions and ensure compliance with the committee’s resolutions. • Close the case if the recommended actions are taken and complied with. c) Stage 3: Escalation to a Multi-Door Courthouse • If the grievance remains unresolved, refer it to an alternative dispute resolution system via a multi-door courthouse. d) Stage 4: Litigation • If the grievance remains unresolved after mediation and arbitration, the parties may seek litigation through the court system. 10.6 Grievance Reporting and Dissemination 10.6.1 Communication Strategy To ensure that all project stakeholders are well-informed about the grievance resolution process, the FRILIA PMU will provide awareness training on the GRM procedure. This will help stakeholders understand how to channel their grievances and concerns. The communication strategy will include the following elements: • Awareness Training: Specific MDAs across Anambra State will be trained to enhance understanding of the GRM Toolkit and templates. • Dissemination Tools: o Simple, easy-to-understand leaflets and infographics explaining the GRM will be made available at physical and online grievance uptake points. 153 o This ensures that stakeholders, especially local communities, have access to the information needed to file grievances and understand the resolution process. 10.6.2 Feedback Mechanism A key element of the GRM is the feedback mechanism, which ensures stakeholders are informed about the status of their grievances. The process will include: • Acknowledgment of Grievances: o All grievances must be acknowledged within two (2) working days of submission, with the receipt sent to the complainant. o For grievances lodged verbally, physically, or via phone to the FRILIA secretariat, an immediate acknowledgment will be provided. o Grievances not physically lodged will be acknowledged by the FRILIA GRM secretariat within two (2) working days, using the preferred mode of communication as indicated in the grievance form. • Updates on Grievances: o Complainants will be updated on the status of their grievances within 10 to 14 days of receipt. o The complainant will be informed of the resolution status using GRM Template 4 or through other modes of communication, such as phone calls, text messages, or emails. 10.6.3 Recording and Monitoring of Grievances Effective management and monitoring of grievances will be supported through the use of a GRM logbook (GRM Template 3). Key features of the grievance tracking process include: • Logbook Management: o The logbook will serve as a centralized database for recording grievances and tracking the actions taken. o It will allow for monitoring the status of each grievance, enabling the identification of recurring issues and contributing to improved project management. • Maintenance and Updates: 154 o The FRILIA GRM secretariat will be responsible for maintaining and continuously updating the logbook. o The secretariat will analyze the grievance registration forms from various grievance uptake points and update the logbook accordingly. • Monthly Reporting: o Each grievance unit will submit monthly reports of registered grievances, detailing their resolution status. 10.6.4 GRM Templates These templates will standardize the process of grievance registration, acknowledgment, resolution, and reporting, ensuring transparency and efficiency in the FRILIA GRM process. Figure 10.3: GRM Template 1 – Grievance Registration Form Figure 10.4: GRM Template 2 – Grievance Acknowledgment Reciept 155 156 Figure 10.5: GRM Template 3 and 5 – Grievance Logbook and Grievance Committee Proceedings Template 157 Figure 10.6: GRM Template 4 – Grievance Disclosure Form 158 COMMUNITY NEED ASSESSMENT AND COMMUNITY DEVELOPMENT PLAN 159 11 COMMUNITY NEED ASSESSMENT (CNA) AND COMMUNITY DEVELOPMENT PLAN (CDP) TOOLKITS 11.1 Introduction to the Toolkit The Community Needs Assessment (CNA) and Community Development Plan (CDP) toolkit is designed to support the planning, development, and execution of community development projects that align with large-scale agricultural investments under the FRILIA initiative. This toolkit plays a pivotal role in enhancing the social license to operate and fostering long-term growth and development in project-affected areas. The toolkit’s objectives include: • Promoting Social Responsibility: Ensuring that investors are committed to improving the quality of life for communities impacted by their projects. • Mitigating Negative Impacts: Addressing any adverse effects on community infrastructure and well-being arising from the large-scale agricultural investments. This toolkit is complementary to other social management plans such as the Food Security Plan and the Livelihood Restoration Plan, with its application being directly influenced by: • The investor’s commitment to enhancing community welfare. • A focused approach to mitigating any potential negative impacts on the community’s infrastructure and quality of life. 11.2 Scope of the CNA and CDP Toolkit This framework will focus on five key thematic areas, ensuring that the CNA and CDP are well-aligned with ANSG's priorities for community development. The key thematic areas for focus are: 1. Women and Youth Empowerment: o Promoting the active participation of women and youth in economic, social, and developmental activities. This will include creating opportunities for skills development, employment, and leadership. 2. Utilization of Local Contents and Materials: 160 o Ensuring that local materials and resources are effectively used in community development projects. This will promote local businesses, enhance sustainability, and create jobs for community members. 3. Minority and Vulnerable Groups: o Addressing the needs of marginalized groups, including ethnic minorities and other vulnerable populations, ensuring that they are included in decision-making and benefit from the development projects. 4. Knowledge Transfer and Dissemination: o Facilitating the transfer of knowledge and skills, particularly in agriculture, technology, and entrepreneurship, to build community capacity and resilience. 5. Improved Community Infrastructure: o Focusing on upgrading and expanding critical community infrastructure, such as roads, schools, healthcare facilities, water, and sanitation, to enhance overall community development. The CNA/CDP toolkit will serve as a practical guide for implementing these priorities, aligning the goals of FRILIA with broader state development strategies, and ensuring that community development is central to the overall investment process. 11.3 Approach for Community Needs Assessment and Development Plan Figure 11.1 CNA and CDP Approach 161 Stage 1 - Initial Enquiry: • Investor's Action: The investor contacts ANSIPPA with the intention to conduct a Community Needs Assessment (CNA) and to develop and implement a Community Development Plan (CDP). Stage 2 - Detailed Enquiry (including a site visit): • Stakeholder Identification and Analysis: The investor carries out stakeholder identification and analysis using the FRILIA Stakeholder Engagement Toolkit. • Community Needs Assessment (CNA): The investor conducts a CNA to identify the community's needs and opportunities for development, followed by the prioritisation of interventions. • Development of CDP: A Community Development Plan (CDP) is created, documenting the community development projects and the implementation arrangements. The CDP is then disclosed publicly. • Memorandum of Understanding (MoU): Once the CDP is developed, an MoU is signed between the investor and stakeholders (such as host communities and Ministries, Departments, and Agencies - MDAs). • Sustainability and Scaling Up: ANSIPPA liaises with MDAs or relevant institutions to ensure the sustainability of the CDP and to scale up the community development projects. Stage 3 - Negotiations/Signing of MoU: • Action: The MoU for the CDP is signed, formalising the agreement for the community development activities and project commitments. Stage 4 - Due Diligence and Facilitation of Implementation: • Action: The community development projects outlined in the MoU are implemented as per the agreed-upon terms and conditions. Stage 5 - Operations Initiated: • Monitoring and Evaluation: Monitoring and evaluation (M&E) of the implemented projects are carried out by the investor, ANSIPPA, and the established working group to assess the success and impacts of the projects. Stage 6 - Aftercare: 162 • Action: ANSIPPA collaborates with host communities to oversee the maintenance of the community development projects, ensuring their long-term sustainability. 11.4 Community Development Plan (CDP) Framework The CDP Framework is designed to ensure that the community development efforts align with the principles of FRILIA and meet the needs of the affected communities. This framework provides a structured approach to managing community development activities, with an emphasis on long-term sustainability. 11.4.1 Objectives and Justification for the CDP The CNA and CDP toolkit aims to: • Redress Vulnerability: Address and mitigate vulnerabilities that may arise in the FRILIA implementation phase, particularly by focusing on community needs. • Complement Other Social Plans: Complement existing mitigation plans like the Livelihood Restoration Plan and Food Security Plan. • Systematic and Strategic Development: Support systematic planning and implementation that fosters community ownership and enhances the sustainability of investments. The objectives of the CDP are to: • Identify and Engage Stakeholders: Recognise stakeholders within the host communities who can influence or be affected by the community development projects. • Assess Community Needs and Resources: Evaluate the needs, resources, and opportunities within the host communities for effective development. • Prioritise Needs: Prioritise the identified needs using a participatory approach to ensure that the most critical issues are addressed. • Develop a CDP: Translate the results of the community needs assessment into a structured plan that aligns with best practices for community development. 11.4.2 CDP Principles in line with FRILIA The following FRILIA Principles guide the preparation and execution of the CDP: • Supporting Project Host Communities (FRILIA Principle 1.1): Investments should be aligned with policy goals such as poverty reduction, food security, 163 sustainable land use, and local community support, thereby enhancing the socio- economic well-being of host communities. • Active Consultation and Participation (FRILIA Principle 1.5): Investments should involve consultations and active participation of all stakeholders, including disadvantaged and vulnerable groups, ensuring they are informed of their rights and assisted in negotiations. This principle ensures inclusivity and community engagement throughout the planning and implementation stages. 11.5 CDP Methodology The methodology for preparing and implementing the Community Development Plan (CDP) is essential to ensuring that the needs of the host communities are addressed through participatory processes. The following steps outline the core methodology for the CDP, focusing on stakeholder identification and the Community Needs Assessment (CNA). 11.5.1 Stakeholder Identification and Analysis Given the collaborative nature of FRILIA, identifying the right stakeholders is crucial for the successful planning, implementation, and monitoring of community development projects. The stakeholder identification process will focus on both state and non-state development actors who play a role in shaping or supporting community development efforts. Key stakeholders from the Anambra State Government (ANSG) will include: • ANSIPPA (Anambra State Investment Promotion and Protection Agency) • Ministry of Lands • Anambra State Community and Social Development Agency (ACSDA) A robust stakeholder mapping exercise will need to be carried out to identify all relevant parties and understand their roles and responsibilities in relation to community development. This exercise will help ensure a shared understanding of the expectations and contributions of each stakeholder, facilitating collaboration and alignment in the execution of the CDP. A bespoke stakeholder identification and analysis protocol is provided in the FRILIA Stakeholder Engagement Toolkit to guide this process, ensuring that all relevant actors are accounted for and engaged effectively. 164 11.5.2 Community Needs Assessment (CNA) The Community Needs Assessment (CNA) is an essential step in the CDP methodology and aligns with FRILIA's principles. The CNA process enables a detailed and participatory approach to identify the development needs of the host communities and to propose potential solutions. It serves to ensure that community development projects are grounded in the actual needs of the people they aim to serve. The CNA Process includes the following three key steps, as illustrated in Figure 11.2: Figure 11.2 CNA Process 1. Community Needs Identification and Analysis The Community Needs Assessment (CNA) process is designed to thoroughly identify community needs and existing resources, using a variety of methods that ensure cultural appropriateness and cost-effectiveness. Here’s a detailed breakdown of the steps involved: a) Desk Review A desk review involves reviewing existing documents related to the community infrastructure and development context for the FRILIA agri-investment project. This review provides valuable insights into the administrative structure and historical performance of community development projects. Documents to be reviewed include: Community Needs Identification and Analysis Analyse Community Needs and Potential Solutions Decide on the Best Course of Action 165 • Scoping Report (if available), which may have been conducted as part of the agri- investment project’s scoping study. • ESIA Report, specifically the social baseline and impact mitigation chapters. • Anambra State Development Plan and related documents. • Other state documents that inform the demographic profile, socioeconomic features, community dynamics, and the community development profile. b) Social Baseline Household Survey There are two possible scenarios for conducting the Social Baseline Household Survey: • Scenario One: The CNA is conducted during the social baseline data collection for the ESIA and RAP studies. In this case, the CNA is included as an addendum to the social baseline tool provided. • Scenario Two: If the ESIA and RAP baselines are completed prior to the CNA, the baseline survey can still be conducted independently. This survey will only be necessary if the review of existing social baseline data reveals significant gaps. In this case, the CNA component of the FRILIA Social Baseline Tool will still be applicable. c) Interviews Interviews are a critical data collection method for institutional stakeholders such as MDAs and NGO representatives. The Interview Template provided in CDP Template 1 will guide these discussions. d) Focus Group Discussions (FGDs) Focus group discussions provide additional field data, engaging specific groups within the community. These groups can be segmented by age and/or gender (e.g., adults, youths, male, female). The FGD tool provided in CDP Template 2 is generic and can be adapted to different community groups. 2. Analyse Community Needs and Potential Solutions After gathering data, the community needs and potential solutions are consolidated. These solutions are then prioritised based on their importance and feasibility. The prioritisation process is guided using a Prioritisation Matrix (CDP Template 3), which classifies projects into low, medium, and high priority. 166 3. Decide on the Best Course of Action Once the needs are identified and prioritised, a consensus-building exercise takes place between the investor, community, and key institutions. This exercise ensures agreement on feasible projects for implementation. The feasibility of projects is determined by: • Available resources (both financial and non-financial). • The investor's capacity. • Opportunities for external support from MDAs, NGOs, and CBOs. The consensus-building exercise will follow these steps: 1. Presentation of community needs and priorities to participants. 2. Presentation and confirmation of community resources to support identified priorities. 3. Understanding community attachments and preferences to high-priority projects. 4. Agreement on short-term, medium-term, and long-term community development projects. Following this process, the CNA report is documented using the provided reporting template (CDP Template 4). 11.6 Preparation of the Community Development Plan (CDP) The CDP is developed to ensure that identified community development priorities are sustainable, innovative, and contextually appropriate. Key steps in finalising the CDP include: • Identification of community development implementation partners: This process is guided by the FRILIA Stakeholder Identification and Analysis Template, identifying internal and external institutions that can contribute to the CDP. • Grievance management procedure (GRM): A GRM is necessary to manage conflicts that may arise regarding the community development projects. It will follow the FRILIA GRM procedure and will be detailed in the GRM Toolkit. • Public disclosure, signing of MOU, and approval: The public disclosure exercise involves presenting the community development projects to the community with the planned resources and timelines. After the public disclosure, the MOU will be signed between the investor and the community to formalise the commitment to the projects. 167 11.7 CDP Implementation • Develop working groups: Two-tier governance will be set up to ensure smooth and transparent project implementation. The Community Development Technical Committee (CDTC), made up of up to ten high-level stakeholders, will be responsible for the governance and monitoring of the projects. A second group, the Community Development Implementation Committee (CDIC), will oversee day-to-day implementation at the community level. • Implementation schedule: An implementation matrix will be developed, detailing the specific projects, phasing, and timeline for implementation. An Implementation Schedule Template is provided (SE Template 4). • Budget and resources: Financial and non-financial resources, such as land donation, community labor, and other contributions, will be considered. Local employment for the CDP will be guided by the FRILIA Local Employment MOU (GMOU Template 10). 11.8 Monitoring and Evaluation of the Community Development Plan (CDP) The Monitoring and Evaluation (M&E) process is integral to ensuring the effective implementation and impact of the Community Development Plan (CDP). The following outlines the key components and steps in the M&E process: 1. Outline the Goals and Objectives of the CDP The first step in the M&E process is to clearly outline the goals and objectives of the CDP. These goals should be aligned with the broader aims of the FRILIA initiative, such as improving the quality of life for host communities, ensuring sustainability, and promoting inclusive community development. The objectives should be SMART (Specific, Measurable, Achievable, Relevant, and Time-bound) and linked directly to the community needs identified in the CNA. 2. Define the Project Monitoring Indicators Monitoring indicators are essential to track the progress and effectiveness of the CDP. These indicators will be developed by the Community Development Implementation Committee (CDIC) and Community Development Technical Committee (CDTC) in collaboration with other relevant stakeholders. The monitoring indicators should focus on various aspects of the projects, including: 168 • Outputs: Quantitative measures of what has been completed (e.g., number of community infrastructure projects completed, number of people trained). • Outcomes: Changes or improvements resulting from the community development interventions (e.g., increased access to clean water, improved health outcomes). • Sustainability: Indicators related to the long-term sustainability of the projects (e.g., community ownership, local capacity building). These indicators should be measurable, timely, and aligned with the project's objectives. 3. Define Data Collection Methods and Timeline To ensure effective monitoring, it is crucial to define the data collection methods and timeline. These methods could include: • Surveys: Community surveys to assess perceptions of project impacts. • Interviews: Key informant interviews with stakeholders and community leaders. • Focus Groups: Discussions with community members to assess satisfaction and needs. • Observation: Site visits to observe the progress and quality of infrastructure development or other activities. • Document Review: Reviewing project records and reports for compliance with timelines and objectives. The timeline should align with the overall project phases (e.g., quarterly, semi-annually, annually) and allow for enough data collection points to assess trends over time. 4. Define Responsibility for Monitoring and Evaluation It is crucial to define who is responsible for the monitoring and evaluation process. Responsibilities may be distributed among the following groups: • Community Development Technical Committee (CDTC): This group will oversee the overall M&E process, ensuring that indicators are properly defined, monitoring procedures are followed, and evaluations are completed as per the timeline. • Community Development Implementation Committee (CDIC): This group will be responsible for carrying out the day-to-day monitoring activities, collecting data, and reporting progress to the CDTC. 169 • ANSIPPA: As the overseeing agency, ANSIPPA will play a critical role in ensuring that M&E findings are integrated into decision-making and that any issues are addressed promptly. • External Evaluators: Independent experts or consultants may be brought in to conduct impact evaluations and provide objective assessments of the project's success. 5. Process and Impact Evaluation The M&E process will include two types of evaluation: • Process Evaluation: This focuses on measuring the progress of the implemented projects in relation to the pre-defined indicators. It ensures that the projects are being executed as planned, within the budget, and on schedule. Process evaluation will also assess how well stakeholders are involved, how resources are being utilised, and whether any adjustments are necessary. • Impact Evaluation: This evaluates the long-term impact of the community development projects on the quality of life of beneficiaries. Impact evaluation will compare baseline data (collected at the start of the project) with data collected during and after the project to assess whether the desired social, economic, and environmental outcomes have been achieved. This may include measuring changes in income levels, access to services, health, education, and overall community well-being. 170 Figure 11.3 CNA – Key Information Interview Template 171 Figure 11.4 CNA – Focus Group Discussion Template 172 Figure 11.5 CNA – Identified Community Development Projects Template 173 Figure 11.5 CNA – Community Needs Assessment Report Outline Template 174 APPENDIX 175 12 APPENDIX Appendix 1: Checklist for Resttlement Screening and Affected Plot Sheet 176 177 178 179 180 Appendix 2: Memorandum of Understanding (MoU) in Investment in Intensive Agriculture Template Between [Your Organisation/Entity] and [Partner Organisation/Entity] This Memorandum of Understanding (MoU) is entered into on [Date], by and between [Your Organisation/Entity], located at [Address], hereinafter referred to as "Party A," and [Partner Organisation/Entity], located at [Address], hereinafter referred to as "Party B." Purpose of the MoU This MoU aims to establish a framework for collaboration between Party A and Party B, responsible for the development and investment in intensive agriculture, focusing on [Specify the purpose - e.g., sustainable farming practices, crop diversification, technology integration, etc.]. Terms of Agreement 1. Objectives: 1.1 Clearly outline the objectives and goals of the collaboration, including but not limited to increased agricultural productivity, sustainable farming practices, and mutual economic benefits. 2. Responsibilities: 2.1 Party A Responsibilities: - Define specific responsibilities, tasks, and contributions expected from Party A, including financial commitments, expertise sharing, and resource provision. 2.2 Party B Responsibilities: - Define specific responsibilities, tasks, and contributions expected from Party B, including land provision, operational management, and adherence to best agricultural practices. 3. Expectations: 3.1 Clearly state the mutual expectations of both parties regarding the collaboration, emphasizing transparency, open communication, and shared success. 4. Timelines: 181 4.1 Project Timeline: - Outline the proposed timeline for the collaboration, including key milestones such as land preparation, planting seasons, harvest periods, and other relevant events. 5. Resources: 5.1 Resource Allocation: - Specify the resources (financial, human, technological) each party commits to the collaboration, ensuring equitable distribution and optimal utilization. 6. Communication: 6.1 Communication Plan: - Establish a communication plan outlining how information and updates will be shared between the parties, ensuring regular meetings, progress reports, and a designated point of contact. 7. Confidentiality: 7.1 Confidentiality Clause: - Include a clause specifying the confidentiality of information shared between the parties, particularly concerning proprietary technologies, business strategies, and financial data. 8. Termination: 8.1 Termination Clause: - Define the conditions under which either party can terminate the agreement, ensuring a fair and transparent process. Review and Amendment This MoU may be amended only by written agreement of both parties. Termination Either party may terminate this MoU upon written notice to the other party with [Specify number] days’ notice. 182 Governing Law This MoU shall be governed by and construed by the laws of Anambra State, Nigeria. Signatures Hon. Attorney General [Name and Title - Party A] [Name and Title - Party B] Date: 183 Appendix 3: Grievance Log Sample 184 Appendix 4: Grievance Redress Form and Agreed Solution Format 185 Appendix 5: Registration Claim and Follow-Up Sample Template 186 187