RAP Monitoring Plan ENG - Social Assessment

BTC Project RAP Monitoring and Implementation Plan
Final
May 2003

RAP MONITORING IMPLEMENTATION PLAN

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003

1. Background

Requirements for monitoring and evaluation of the implementation of the Baku-Tbilisi-
Ceyhan Pipeline Resettlement Action Plan (“RAP”) 1 are defined in the following
instruments:

§ World Bank Operational Directive 4.30 Involuntary Resettlement (the reference
policy for the BTC Pipeline Project RAP); and

§ BTC RAP.

The BTC Pipeline RAP encompasses impacts and mitigation measures for both the BTC
Pipeline and the South Caucasus Pipeline (“SCP”) Projects. This Plan envisages that all
monitoring activities will be conducted under the umbrella of the projects’ operator, BP
Exploration (Caspian Sea) Limited (“BP” or the “Operator”). The paper does not attempt to
differentiate activities, budgets or reporting requirements between the two projects.
Monitoring for the BTC Project therefore effectively refers to monitoring for both the BTC
and SCP Projects.

The BTC Pipeline RAP establishes the broad framework for the BTC and SCP Projects’
resettlement monitoring. This Plan describes the actions and logistic preparations necessary
to implement the RAP monitoring and evaluation program. Except where necessary for
clarity, this paper does not repeat the content of the RAP.

The logistical demands and time required to conduct RAP monitoring over the 1,760
kilometres of pipeline through three countries should not be underestimated. However, if
basic data collection, record keeping and grievance procedures are made an integral part of
project operations and administration at the outset, the task can be made relatively
straightforward.

2. Purpose of Plan

The objectives of this Plan are as follows:

§ To describe the concrete steps necessary to implement the monitoring and evaluation
program;

§ To define organizational resources, budgets and logistical requirements for internal and
external monitoring; and

§ To expand on the framework established in the RAP in terms of monitoring
implementation.

1 The BTC Pipeline RAP encompasses most land, asset and livelihood impacts for both the SCP and BTC
Pipeline Projects. There are some gaps however. For example, the BTC Pipeline RAP Part C for Georgia does
not cover acquiring rights and associated compensation for ‘restrictions of use’ that will apply to the Shah Deniz
gas pipeline.

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003
The Plan is not intended to pre-empt the Expert Consultant Panel’s formulation of monitoring
protocols in consultation with country Environmental and Social Departments.

3. RAP Monitoring Approach

3.1 General

Various models for undertaking RAP monitoring were considered as part of the RAP
planning phase, with particular consideration of the role and composition of the External
Monitoring Panel. A management consensus was reached that the RAP monitoring process
should be set up to provide practical guidance and troubleshooting advice to the projects’
management teams on how to solve problems that arise during the land acquisition and
reinstatement process, rather than simply to identify areas of compliance and non-
compliance. For this reason, it was determined that a panel comprised of international
resettlement experts would best meet the needs of the project.

3.2 Monitoring Framework

There are three components of the RAP monitoring framework for the BTC Pipeline:

§ Internal monitoring by BTC Co.’s Environmental and Social Department (“E&S
Department”) in conjunction with BOTAS in Turkey, and augmented by inputs from
local NGOs or consultants in Georgia;

§ Monitoring by a three-person panel of expert consultants; and
§ RAP Completion Audit by the Expert Monitoring Panel.

The scope of each type of monitoring is briefly described in Section 4.

3.3 World Bank Performance Indicators

Monitoring will follow the system of input, output, process, outcome and impact performance
indicators that has been adopted by the World Bank. These are outlined in the BTC RAP.
Specific indicators for the projects will be identified when the expert panel is first convened.
These indicators will be field-tested in consultation with affected people and other
stakeholders to ensure that they are effective and relevant to the RAP.

3.4 Composition of the Expert Monitoring Panel

It is proposed that the external monitoring panel will consist of the following personnel:

§ Chair (yet to be selected)
§ Prof. Ayse Kudat
§ Mr. Robert Barclay

Prof. Kudat and Mr. Barclay are independent consultants and were advisors during the BTC
Pipeline and ACG Phase 1 RAP preparation, and have a detailed understanding of the land
acquisition and compensation frameworks for all three countries.

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003

4. Monitoring Tasks

4.1 Internal Monitoring Team

4.1.1 Objectives

The objectives of internal monitoring are:
§ To measure and report progress against the RAP schedule,
§ To verify that agreed entitlements are delivered in full to affected people,
§ To identify any problems, issues or cases of hardship resulting from the resettlement
process, and to develop appropriate corrective actions, or where problems are
systemic refer them to the management team,
§ To monitor the effectiveness of the grievance system, and
§ To periodically measure the satisfaction of project affected people.

4.1.2 Activities

The RAP identifies the following activities for the internal monitoring teams:

i. Liaison with the Land Acquisition Team, construction contractor and project
affected communities to review and report progress against the RAP;

ii. Verification that land acquisition and compensation entitlements are being delivered
in accordance with the RAP;

iii. Verification that agreed measures to restore or enhance living standards are being
implemented;

iv. Verification that agreed measures to restore or enhance livelihood are being
implemented;

v. Identification of any problems, issues, or cases of hardship resulting from the
resettlement process;

vi. Assessment project affected peoples’ satisfaction with resettlement outcomes
through informal village head and household interviews;

vii. Collation of records of grievances, follow- up that appropriate corrective actions
have been undertaken and that outcomes are satisfactory;

viii. When required, assist with verification activities to support the expert panel; and
ix. Preparation of brief quarterly progress and compliance reports for BTC Management
and the Expert RAP Monitoring Panel.

4.1.3 Implementation

The way in which internal monitoring is implemented will vary between countries. In
Azerbaijan, most of the activities will be undertaken by BTC Co.’s Environmental and Social
Department. In Georgia, where the Environmental and Social Department has fewer staff,
their role will be augmented with inputs from local NGOs, and possibly, local consulting
companies. In Turkey, where the primary internal monitoring role will be undertaken by
BOTAS, BTC Co. staff will collate information for reports from BOTAS, and will also
periodically review BOTAS’s monitoring system, record keeping and grievance processes.
In all countries, the projects’ community liaison officers will provide an ongoing monitoring
service working both proactively and reactively to community and individual issues as they
arise.

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003
Internal monitoring teams activities might involve 30 percent of time in the office and 70
percent of time in the field.
Typical office review activities might entail:

i. Liaison with Land Acquisition Teams to collate up-to-date information on land
acquisition progress such as agreement signing, compensation disbursement, RAP
Funds milestones and disbursement, land areas under construction, land areas
reinstated and the like;

ii. Review of grievance register and basic analysis of grievance types, numbers, and
closures; and

iii. Report preparation.

Fieldwork activities might entail:

iv. Liaison with the Construction Team Community Liaison officers to gather
information about progress, incidents, grievances and issues;

v. Spot checking on complainants who had lodged grievances to verify outcomes of
corrective actions;

vi. Conduct semi-structured interviews with a cross-section of affected households
including vulnerable groups to verify receipt of entitlements, review effectiveness of
measures, assess satisfaction with outcomes;

vii. Conduct interviews with other key informants; and
viii. Issues identification.

Depending on the number of monitors deployed, each internal monitoring review may take 2-
3 weeks in Georgia and Azerbaijan, and perhaps twice that period in Turkey, depending on
the status of land acquisition and construction activities.

4.2 Expert Monitoring Panel

4.2.1 Objectives

The RAP identifies the following objectives for the expert monitoring panel:

§ To assess overall compliance with the RAP;
§ To verify that measures to restore or enhance project affected peoples’ quality of life and

livelihood are being implemented and to gauge their effectiveness; and
§ To assess the extent to which the quality of life and livelihoods of affected communities

have been restored.

4.2.2 Activities

The RAP identifies the following activities for the expert monitoring panel:

i. Review of internal monitoring procedures and reporting to ascertain whether these are
being undertaken in compliance with the RAP;

ii. Review interna l monitoring records as a basis for identifying any areas of non-
compliance, any recurrent problems, or potentially disadvantaged groups or
households;

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003
iii. Review grievance records for evidence of significant non-compliance or recurrent

poor performance in resettlement implementation;
iv. Discussions with BTC Co. E&S Department staff, and others involved in land

acquisition, compensation disbursement or livelihood restoration to review progress
and identify critical issues;
v. Survey affected households and enterprises to gauge the extent to which project
affected people’s standards of living and livelihood have been restored or enhanced as
a result of the project;
vi. Assess overall compliance with the RAP requirements and OD 4.30; and
vii. Prepare a summary compliance report for BTC Co. Management on resettlement
progress, any issues arising and any necessary corrective actions.

4.2.3 Implementation

Start- up activities of the management team are discussed in Section 9.

The logistics and time that would be taken for the three person Expert Monitoring Panel to
visit (as a panel) all three countries every six months would be onerous on the project and the
panel. The following alternative approach is suggested:

Every six months:

i. The Expert Monitoring Panel would initially convene by teleconference or in person
and discuss the review agenda - overall and country-by-country.

ii. Each Expert Monitoring Panel member would then travel to one of the three countries
along the route. This could be done on a rotational basis so that each panel member
reviewed a different country, each six monthly period.

iii. In-country, a panel member would:

§ Spend 3-4 days in the project office reviewing internal monitoring reports,
grievance registers, interviewing internal monitoring team members, project /
government officers, NGOs as necessary to assess functioning of monitoring
and grievance systems, assess progress against the RAP and identify issues
arising;

§ Brief/ prepare terms of reference for livelihood restoration verification surveys,
when required; and

§ Spend 7-10 days in field interviews with affected people, key informants,
project field staff and the like.

iv. All panel members would then convene for 4-5 days to run through country findings
and develop key conclusions and recommendations.

v. Panel members would return to home offices to draft and finalize the six monthly
external monitoring report.

Based on the above, the input from each expert monitoring panel member would be 30 days
(approximately 14 days in host countries; 4-5 days convened at central location; 5 days home
office input plus travel).

4.3 RAP Completion Audit

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003
A key objective of the RAP is that resettlement actions and mitigatory measures should lead
to sustainable restoration or enhancement of affected peoples’ pre-project living standards
and income levels. At such time as affected peoples’ quality of life and livelihood can be
demonstrated to have been sustainably restored, the resettlement process can be deemed
“complete”.
Resettlement planning for the BTC/SCP Projects assumes that livelihood restoration of
affected landowners will be complete when the productivity of agricultural land affected by
pipeline construction has been fully restored and community and social investment programs
are well established. This is anticipated to occur within three years of pipeline construction
completion. It is proposed that the resettlement completion audit be conducted by the Expert
RAP Monitoring Panel 36 months following pipeline construction completion or at such time
as the Expert RAP Monitoring Panel determines affected peoples’ living standards and
income levels have been fully restored, whichever occurs earlier.

5. Reporting
Reporting requirements are defined in the BTC Pipeline RAP and the ACG Phase 1 RAP, and
repeated in the projects’ Environmental and Social Action Plans. Reporting Requirements
for the BTC/SCP Pipeline are summarised in the table below.

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003

Summary of Monitoring Reports

Report Frequency Prepared By For Comment
Type Quarterly
Internal BTC E & S BTC Co. 10-15 page report (plus
RAP Department Management supporting documentation)
Monitoring Team (may also summarizing progress against
Report be reviewed by the RAP; outline of any issues
the Expert RAP and agreed related actions;
External Six monthly Expert RAP Monitoring Panel summary schedule of grievance
RAP Monitoring during 6-monthly status; minutes of any
Monitoring Panel, reviews) stakeholder or affected people
Report comprising 3 consultations or meetings
international BTC Co. Board 25-35 page report (plus
resettlement supporting documentation)
consultants Findings to be summarising assessment of
made available progress towards living standard
RAP One –off, 36 months Expert RAP publicly after restoration, livelihood
Completion after construction Monitoring presentation to the restoration; OD 4.30
Audit completion or at Panel BTC Co. Board. compliance; discussions of any
Report such time as the RAP issues of concern;
Expert RAP BTC Co. Board identification of any areas of
Monitoring Panel non-compliance and agreed
assess living Findings to be corrective actions; and summary
standards & made available or resettlement status.
livelihood publicly after RAP Completion Audit to verify
restoration is presentation to the BTC Co. has complied with
complete BTC Co. Board. undertakings defined buy the
RAP and that land acquisition
and compensation has been
completed in accordance with
the OD 4.30 principles

6. Organization and Human Resources

An organizational framework for the BTC, SCP and ACG Phase 1 RAP monitoring is
illustrated in Figure 6.1.

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BTC Project RAP Monitoring and Implementation Plan
Final
May 2003

Figure 6.1 BTC/SCP Pipeline Monitoring Organizational Framework

BTC Co SCP Partners

BP Management
Team

Expert RAP
Monitoring Panel

Azerbaijan E & S Georgia E & S Turkey E & S BOTAS
Manager Manager Manager Head of

Expropriation
Monitoring

Social Coordinator Social Coordinator Social Coordinator

Community Community Field Monitors Head Office GIS /
Liaison team Liaison Team Data Recording

Community NGOs under
Liaison Team
monitoring
contract

7. Logistics

For each six monthly visit by an expert panel member, the following types of logistical
support will be required to cover 3-4 days of office reviews and approximately 7-10 days of
fieldwork. Six monthly visits will occur for the five- year period 2003 –late 2008.

§ Visa and arrivals documentation,
§ HSE and security inductions,
§ In-country transport,
§ Orientation / local guides – for locating particular land parcels or affected households

or officials,
§ Interpreting and occasional translation of documents, and
§ Field accommodation.

8. Budget

The following budget amounts were documented in the BTC RAP. These amounts reflect
costs for services to be sourced outside of the projects’ in- house social and community liaison
staff. In Turkey, BOTAS has a separate budget for internal monitoring covering the activities
of field offices, officers in charge of expropriation monitoring and data base maintenance in
its headquarters.

Country USD

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BTC Project RAP Monitoring and Implementation Plan

Final

May 2003

Azerbaijan 350,000

Georgia 350,000

Turkey 460,000

Total 1,160,000

Budgets need to be further defined as monitoring arrangements and the composition of the
expert panel are finalized.

9. Implementation Actions

Key actions for implementing the monitoring process are as follows:

§ Review and firm up monitoring arrangements for Georgia and Turkey;
§ Prepare Terms of Reference and commission NGOs for internal monitoring (where

required);
§ Confirm RAP monitoring budgets (all countries);
§ Confirm composition and commission RAP Expert Monitoring Panel members;
§ Convene RAP Monitoring Panel to agree (i) monitoring protocols; (ii) input, output,

process and outcome performance indicators; (iii) basic report formats; and, (iv)

internal monitoring team training requirements;
§ Update monitoring budgets and identify associated logistical support requirements;
§ Prepare and conduct internal monitoring team training sessions;
§ Walk-through fieldwork and first internal monitoring report preparation (3 countries);

and
§ Conduct first external monitoring review.

10. Program

An indicative program for ongoing monitoring reviews and report delivery is summarised in
the following table. The timing varies slightly from the RAP to: (i) shift externa l monitoring
reviews outside of periods of heavy snow cover in Georgia and Turkey and (ii) to reflect the
fact that the first internal monitoring review will be later than March 2003 as documented in
the RAP. Some notes on the program are as follows:

§ The schedule below assumes that BTC and SCP pipeline construction is
completed within a three year construction period;

§ Internal review reports (2 no.) should be completed and available ahead of the six-
monthly expert monitoring reviews; and

§ In the event, the expert consultant team determine that livelihood restoration is
completed earlier than the December 2008; the Expert Panel can perform the
Completion Audit at that time.

Schedule of Internal and External Monitoring

Monitoring Event Review Period Report Issued Summary to be
disclosed
Internal review April 2003 Late April 2003
Internal review July 2003 Late July 2003 ü
External review 2-30 August 2003 Early September 2003

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BTC Project RAP Monitoring and Implementation Plan

Final

May 2003

Monitoring Event Review Period Report Issued Summary to be
disclosed
Internal review October 2003 Late October 2003
Internal review January 2003 Late January 2003 ü
External review February 2004 Early March 2004 ü
ü
Internal review April 2004 Late April 2004 ü
Internal review July 2004 Late July 2004 ü
External review 2-30 August 2004 Early September 2004 ü
ü
Internal review October 2004 Late October 2004 ü
Internal review January 2005 Late January 2005 ü
External review February 2006 Early March 2006 ü
ü
Internal review April 2004 Late April 2004
Internal review July 2004 Late July 2004
External review 2-30 August 2004 Early September 2004

Internal review October 2004 Late October 2004
Internal review January 2005 Late January 2005
External review February 2006 Early March 2006

Internal review April 2006 Late April 2006
Internal review July 2006 Late July 2006
External review 2-30 August 2006 Early September 2006

Internal review October 2006 Late October 2006
Internal review January 2007 Late January 2007
External review February 2007 Early March 2007

Internal review April 2007 Late April 2007
Internal review July 2007 Late July 2007
External review 2-30 August 2007 Early September 2007

Internal review October 2007 Late October 2007
Internal review January 2008 Late January 2008
External review February 2008 Early March 2008

Internal review April 2008 Late April 2008
Internal review July 2008 Late July 2008
External review 2-30 August 2008 Early September 200

Internal review October 2007 Late October 2007
Internal review January 2008 Late January 2008
Completion Audit Final Quarter 2008

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