Public Disclosure Authorized

MINISTRY OF NATIONAL DEVELOPMENT PLANNING ENVIRONMENTAL AND SOCIAL DUE DILIGENCE ON THE TRANSFORMING LANDSCAPES FOR RESILIENCE AND DEVELOPMENT IN

Public Disclosure Authorized

RESETTLEMENT POLICY FRAMEWORK

Public Disclosure Authorized

Public Disclosure Authorized

November 2018

1 | P a g e EXECUTIVE SUMMARY This Resettlement Policy Framework (RPF) is for the Transforming landscapes for resilience and development in Zambia (P164764) which the World Bank intends to finance. The Process Framework (PF) is prepared as a separate document.

The Agency responsible for the implementation of this RPF and PF is the Ministry of National Development Planning. This RPF and PF is meant for use by the Ministry of National Devleopment Planning to ensure that the World Bank’s Safeguard OP 4.12 for involuntary resettlement and Zambia’s needs for land acquisition and resettlement are addressed adequately. The Environmental Social Management Framework (ESMF) which was been prepared separately on the other hand stipulates the mechanisms that TRALARD will use for screening sub-projects for environmental and social impacts and prescribes measures for mitigating and managing the identified impacts.

Project objective and brief description The development objective of TRALARD is to increase the ecosystem resilience and land productivity within vulnerable landscapes and, in the event of an eligible crisis or emergency, to provide immediate and effective response to the eligible crisis or emergency.The PDO will be achieved through: (a) Institutional Development and Capacity Building for Landscape Restoration and Resilience, (b) Sustainable Landscape Management Practices, (c) Contingency Emergency Response, and (d) Project Management and Monitoring.

Need for RPF This Resettlement Policy Framework (RPF) sets out a framework and process for the application of the World Bank’s Resettlement Policy through the life of the project. This will guide the preparation of separate Resettlement Action Plan (RAP) satisfactory to the World Bank, for each site where land is acquired or persons are displaced from their homes, lands or businesses. The purpose of the Resettlement Policy Framework are to:

• Establish the principles, procedures and institutional framework for the TRALARD project through which all project resettlement activities will be conducted; and

• Lay the foundation for the preparation of operational instruments which include the Resettlement Action Plan, Abbreviated Resettlement Plans and or and Livelihood Restoration Plans.

Need for Process Framework According to World Bank guidelines, projects that may potentially impose restrictions of access of local communities to nature resources require a “Process Framework”, in accordance with Operational Policy OP 4.12 on Involuntary Resettlement, herein referred to as the Access Restriction Process Framework (ARPF). The TRALARD project will result in limited/restricted access of people to natural resources which may adversely affect vulnerable individuals or groups by curtailing their legal or illegal incomes. For the most part, these restrictions will be voluntarily negotiated with the affected vulnerable groups through a consultative process described in this framework. The process framework is prepared as a separate document.

1 | P a g e Project location The project will be implemented in the Northern region of Zambia (NRZ). This comprises three namely ; Northern; and , and covers a total area of 216, 023 square kilometres. Northern covers an area of 77,650 square kilometres, which is about 10.3 percent of the total area of Zambia and is administratively divided into eight districts, namely: , , Kasama, Luwingu, , , , and Mungwi. covers an area of 87,806 square kilometers, which is about 11.7 percent of the total area of Zambia and is administratively divided into six districts, namely: , , Mpika, and . covers a surface area of 50,567 square kilometres The province is administratively divided into seven (7) districts, namely: Chienge, , Mansa, , , and Samfya.

Legal Framework for Land Acquisition In Zambia relevant laws related to land administration, ownership, land use, valuation, compensation, entitlement and procedures for grievance redress include the Zambian Constitution, the Land Acquisition Act, the Agricultural lands Act, the Public Roads Act, the Arbitration Act, the Environmental Protection and Pollution Central Act, the Wildlife Act, the Local Government Act, the Town and Country Planning Act, the Land Survey Act, and the Land Convention of Titles Act.

Differences between the Zambian Legislations and the World Bank OP 4.12 on the general principles of resettlement, eligibility criteria, compensation period for expropriation and resettlement include:

• The World Bank OP 4.12 provision is that resettlement should be avoided as much as possible, while the Zambian Legislation provides for repossession of land in National Interest whenever deemed necessary. • The World Bank OP 4.12 provision entitles those without formal rights to the land they occupy to claim compensation while the Zambian legislation provides compensation to land title holders with leases to the properties in question.

The Zambian legislation provides for the vacating of repossessed land as soon as compensation has been paid contrary to the World Banks OP 4.12 provision that vacating should take place only when the necessary measures for resettlement have been put in place. For the purpose of this Project, expropriation, though supported by Land Acquisition Act CAP 189 of the Laws of Zambia, will only be relied upon as a last resort. A key element of this Project land acquisition process is the payment of fair and prompt compensation. Accordingly, land acquisition involves the following key components: 1. Legal preliminaries including getting statutory authority and serving notices, 2. Field investigations including valuation, 3. Land demarcation (field and plans), 4. Payment of compensation to those being dispossessed, 5. Transfer of ownership to the benefiting agency

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Potential project impacts from involuntary resettlement it is clear that the land within the conservation areas are encroached and the reclaiming of this land could result in involuntary resettlement. Potential impacts of this involuntary resettlement include: permanent loss of cultivable, residential, commercial land; temporal loss of access to land for cultivation and forests products; loss of agricultural crops, and fruit and wood trees; loss of income and livelihood; loss of residential and commercial structures; loss of cultural, religious, and community structures /facilities; and change in Livelihood for women and other vulnerable people that need to substitute their income because of adverse impacts.

Key principles for resettlement planning The resettlement planning must take into account the magnitude of the impacts of the sub-project on the affected people. The RAP will be prepared in a manner consistent with this framework for Bank approval before the sub-project is implemented. The resettlement and compensation plans must also include measures to ensure that displaced persons are: informed about their options and rights pertaining to resettlement and compensation; consulted on, offered choices, and provided with technically and economically feasible resettlement and compensation alternatives; provided prompt and effective compensation at full replacement cost for losses of assets and access, attributable to the project; and enabled to restore but preferably, to improve upon their pre-project living standards and conditions.

Grievance Redress Mechanism Affected people in the project area are poor and un-educated; the grievance procedures should be simple, accessible, flexible, just, fair and capable of being administered properly with minimum delay. In this regard, a complaints committee at the sub-project level under the chairmanship of the Ward Councillor with membership of representatives of the affected persons, local NGO’s, the Chiefs representative and the office of the District Agricultural Coordinating Office(DACO), Forestry Department and Department of Parks and National Wildlife shall be established before during project start up in order to address claims at an early stage because disputes can arise at an early stage of RAP preparation. Complaints should be submitted to the committee. After verification of the complaint through field visit, the concerned parties should be brought together to resolve the matter amicably. If not resolved, local courts system can be approached, as a last resort.

Affected individuals and households should be informed and familiarised with the local grievance redress process well before the individual compensation and RAPs are approved and individual contracts signed.

Monitoring and evaluation The Monitoring and Evaluation(M&E) will include arrangements for monitoring compensation and resettlement activities. In this regard, before implementation of sub-project activities are commenced, evaluations will be made to determine whether PAPs have been paid in full and on schedule. Furthermore, the impacts of compensation and resettlement activities shall be monitored using objectively verifiable indicators in order to determine and guide improvements in the PAPs standards of living. The indicators will quantitatively and qualitatively measure the physical and

3 | P a g e socio-economic status of the PAPs. To accomplish this task successfully, monitoring indicators tailored to specific site conditions will be developed.

Consultation, Review and Disclosure This RPF advocates for extensive public consultation and participation of affected individuals/households in the planning and implementation of the RAP. This RPF further recommends that public consultation and participation shall take place through various forms and media, including meetings, request for written proposals/comments, completion of questionnaires/application forms and explanations of the project ideas and requirements by stakeholders at national, Provincial and District levels. PAPs will be consulted and will participate in the required assessments once the proponent of a sub-project has identified the need to undertake an environmental and social screening and study. In this regard meetings will be held with stakeholders including affected groups to discuss potential resettlement issues.

The affected community members and other interested parties will be involved in the planning and implementation of social and economic studies needed for the preparation of the RAPs. Further, in the process of preparing and implementing the RAPs, representatives of the affected people will input their concerns in the processes through discussions on the potential costs of implementing the planned activities, enforcing the RPF provisions, mitigating impacts, rescheduling where necessary the timing of RAP activities.

Budget for RPF Implementation The four categories of resettlement costs are: - administrative, compensation, land acquisition (surveying, resettlement planning and valuation), and Monitoring and Evaluation costs. An indicative budget is costed in the report.

4 | P a g e ACRONYMS AND ABBREVIATIONS

CSA Climate Smart Agriculture CSO Civil Society Organization/ Central Statistical Office DDCC District Development Coordinating Committee DNPW Department of National Parks and Wildlife DPCU District Program Coordination Unit EA Environmental Assessment EAC Environmental Assessment Committee EIA Environmental Impact Assessment EIS Environmental Impact Statement EMA Environmental Management Act EPB Environmental Project Brief EPPCA Environmental Protection and Pollution Control Act ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan FD Forestry Department FMP Forest Management Plans FR Forest Reserve GEF Global Environmental Facility GHG Greenhouse Gas GMA Game Management Area GRZ Government of the Republic of Zambia HDI Human Development Index M&E Monitoring and Evaluation MDAs Ministries, Departments and Agencies MDG Millennium Development Goal MLNREP Ministry of Lands, Natural Resources and Environmental Protection MNDP Ministry of National Development Planning MRV Measuring, Reporting and Verification MTEF Medium Term Expenditure Framework NAPA National Adaptation Program of Action NBSAP National Biodiversity Strategy and Action Plan NCCRS National Climate Change Response Strategy NDCC National Development Coordinating Committee NHCC National Heritage Conservation Commission NP National Park NPIU National Program Unit NRP National Resettlement Policy NWFP Non Wood Forest Product OP Operational Policy PDCC Provincial Development Coordinating Committee PDO Project Development Objective PF Process Framework PIU Project Implementation Unit PPCR Pilot Program for Climate Resistance

5 | P a g e PPCU Provincial Program Coordination Unit PPSC Provincial Planning Sub-committee PPU Provincial Planning Unit RAP Resettlement Action Plan REDD+ Reducing Emissions from Deforestation and Forest Degradation REL Reference Emission Level RPF Resettlement Policy Framework SESA Strategic Environmental and Social Assessment SI Statutory Instrument ToR Terms of Reference TRALARD Transforming Landscapes for Resilience and Development UNCCD United Nations Convention to Combat Desertification UNCED United Nations Conference on Environment and Development UNFCCC United Nations Framework Convention on Climate Change WDC Ward Development Committee ZEMA Zambia Environmental Management Agency

6 | P a g e GLOSSARY OF TERMS Displacement. This is the term prefered by the World Bank to refer to social andf economic effects of land acquisition.The IFC policy in particular requires resettlement response to all those being economically and socially displaced.

Easement This represents a formal right in properties ceded by the land owner to another for rights of access. The other types are the Right of Way and Wayleave. All the three do not amount to the rights of ownership on the part of residents although there are certain activities or actions which may be allowed such as putting up non-structural assets, e.g., ornamental plants in front of the legal property boundaries. Usually, an easement is recorded with appropriate survey information and legal text with the Registry of Lands and Deeds and is written into or read in conjunction with the respective title deeds. Project-Affected Is any person who, as a result of the implementation of the project, loses the right Person (PAP) to own, use, or otherwise benefit from a built structure, land (residential, agricultural, pasture or undeveloped/unused land), annual or perennial crops and trees, or any other fixed or moveable asset, either in full or in part, permanently or temporarily. Affected people might be displaced either physically (“Physically Displaced People”) or economically (“Economically Displaced People”). LR is the process by which a project-affected person (PAP) is given the Livelihood Restoration opportunity to restore or enhance the means of earning an income which has been permanently lost due to involuntary economic displacement arising from a project’s land acquisition. On the other hand, Livelihood Restoration Plan is an operational instrument developed to remedy the effects of project –induced situations of restrictions in land access or use that only involve economic displacement, with no permanent or temporal physical displacement.

Land acquisition This is the process of acquiring land under the legally mandated procedures of eminent domain

Involuntary Occurs wherever and whenever there is compulsory acquisition of land or defacto Resettlement change in the use of land that is occupied or used done by a legally constituted authority in public interest. Land acquisition involves the physical or economic displacement of impacted persons due to project-related land acquisition and does not apply in situations of willing seller willing buyer where the transaction is purely voluntary and the buyer can not resort to expropriation. Economic Loss of income streams or means of livelihood resulting from land acquisition or displacement obstructed access to resources (land, water, or forest) resulting from the construction or operation of a project or its associated facilities.

1 | P a g e Contents EXECUTIVE SUMMARY ...... 1 ACRONYMS AND ABBREVIATIONS ...... 5 1. INTRODUCTION ...... 5 1.1 PROJECT BACKGROUND ...... 5 1.2 RESETTLEMENT POLICY FRAMEWORK OBJECTIVES ...... 6 1.3 PROJECT DEVELOPMENT OBJECTIVE ...... 7 1.4 INSTITUTIONAL ARRANGEMENTS ...... 10 2. RPF METHODOLOGY ...... 12 2.1 LITERATURE REVIEW ...... 12 2.2 STAKEHOLDER ANALYSIS ...... 13 2.3 ANALYSIS OF BASELINE ENVIRONMENTAL AND SOCIAL DATA ...... 13 2.4 SITE VISITS AND FIELD ASSESSMENTS ...... 13 2.5 INTERVIEWS AND FOCUS GROUP DISCUSSIONS ...... 13 2.6 ANALYSIS OF WORLD BANK SAFEGUARD POLICIES AND ZAMBIAN POLICIES, REGULATIONS AND INTERNATIONAL AGREEMENTS ...... 13 3. POLICY AND LEGISLATIVE FRAMEWORK ...... 13 3.1 ZAMBIAN POLICY AND LEGISLATIVE FRAMEWORK ...... 14 3.2 WORLD BANK RESETTLEMENT POLICY FRAMEWORK ...... 17 3.3 COMPLEMENTARITY OF ZAMBIAN LAND LEGISLATION AND THE WORLD BANK RESETTLEMENT POLICY ...... 18 4. SOCIO-ECONOMIC BASELINE OF THE PROJECT AREA ...... 23 4.1 LOCATION ...... 23 4.2 POPULATION AND DEMOGRAPHIC PROFILE ...... 23 4.3 EMPLOYMENT ...... 24 4.4 ECONOMIC PROFILE ...... 24 4.5 CONSERVATION MANAGEMENT AREAS ...... 26 4.6 LAND TENURE ...... 27 4.7 LAND USE ...... 27 4.8 ENERGY USAGE ...... 27 4.9 KEY ISSUES FROM STAKEHOLDER CONSULTATIONS ...... 28 5. POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS ...... 33 5.1 OVERVIEW ...... 33 5.2 POTENTIAL SOCIAL IMPACTS ...... 33 5.3 POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS ...... 33 6. COMPENSATION ELIGIBILITY CATEGORIES ...... 34 6.1 DEFINITION OF AFFECTED PERSONS ...... 34 6.2 CUT-OFF DATE ...... 34 6.3 ELIGIBILITY CRITERIA ...... 34 6.4 PRINCIPLES FOR DEVELOPING ELIGIBILITY CRITERIA ...... 35 7. VALUATION OF AFFECTED ASSETS ...... 36 2 | P a g e 7.1 ASSET VALUATION PRINCIPLES ...... 36 7.2 ASSET INVENTORYING ...... 36 7.3 ZAMBIAN ASSET VALUATION METHODS ...... 36 7.4 WORLD BANK ASSET VALUATION METHOD ...... 36 7.5 COMPARISON BETWEEN THE ZAMBIAN AND WORLD BANK ASSET VALUATION METHODS ...... 37 8. ARRANGEMENTS FOR FUNDING RESETTLEMENT COMPENSATION ...... 38 8.1 COMPENSATION COMMITTEE ...... 38 8.2 SOURCES OF FUNDING ...... 38 9. COMPENSATION PAYMENTS ...... 39 9.1 COMPENSATION GUIDELINES ...... 39 9.2 COMPENSATION COMPUTATION ...... 40 9.3 COMPENSATION PAYMENT PRINCIPLES ...... 41 9.4 ENTITLEMENTS AND COMPENSATION MATRIX ...... 41 9.5 COMPENSATION PRINCIPLES ...... 45 10. RESETTLEMENT ACTION PLAN GUIDELINES AND REPARATION, REVIEW AND APPROVAL PROCESS ...... 47 10.1 RESETTLEMENT AND COMPENSATION GUIDELINES ...... 47 10.2 RAP TYPES...... 49 10.3 RAP PREPARATION ...... 49 10.4 RAP CONSULTATION ...... 50 10.5 RAP APPROVAL ...... 51 10.6 IMPLEMENTATION ARRANGEMENTS ...... 52 10.7 IMPLEMENTATION SCHEDULE ...... 52 10.8 MONITORING ...... 53 11. GRIEVANCE REDRESS MECHANISMS ...... 54 11.1 POTENTIAL GRIEVANCES AND DISPUTES ...... 54 11.2 PRINCIPLES OF THE RESETTLEMENT GRIEVANCE REDRESS MECHANISM ...... 54 11.3 PROCEDURE ...... 55 11.4 UNRESOLVED GRIEVANCES AND DISPUTES ...... 55 12. MONITORING AND EVALUATION ...... 59 12.1 RPF MONITORING ...... 59 12.2 INTERNAL MONITORING ...... 59 12.3 IMPACT MONITORING ...... 59 12.4 EXTERNAL COMPLETION AUDIT ...... 60 12.5 DEVELOPMENT OF VERIFIABLE INDICATORS ...... 60 13. REFERENCES/ BIBLIOGRAPHY ...... 62 14. ANNEXES ...... 64 14.1 ANNEX 1: GRIEVANCE REGISTRATION FORM ...... 64 GRIEVANCE INVESTIGATION REPORT ...... 64 14.2 ANNEX 2: FIELD MAPS- TUTA BRIDGE, TRADING PLACE IN THE GMA ...... 66

3 | P a g e 14.3 ANNEX 3: LIST OF STAKEHOLDERS IDENTIFIED & CONSULTED ...... 67 14.4 ANNEX 4: PROPOSED RAP FORMAT/TABLE OF CONTENTS ...... 81 14.5 ANNEX 5: KEY ISSUES FROM CONSULTATIONS ...... 82 14.6 ANNEX 6: LESSON LEARNT ...... 94 14.7 ANNEX 7: REINSTATEMENT COST ...... 97 14.8 ANNEX 8: TENTATIVE COMPENSATION BUDGET ...... 98

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1. INTRODUCTION

1.1 Project Background Zambia is making efforts to respond to climate change impacts through various adaptation and mitigation interventions. In terms of mitigation Zambia’s contribution to global mitigation efforts lies in the forestry sector. Although Zambia’s contribution to regional GHG emission levels is relatively low, the rise in land use changes, most of which result in forest loss (deforestation) lead to increased emission. Hence, one effective pathway through which Zambia can contribute to mitigation efforts is to reduce deforestation under initiatives such as REDD+.

The Northern region of Zambia comprises three provinces, namely; Luapula, Northern and Muchinga. They lie in the third agro-ecological zone with annual rainfall of above 1200mm. The region is also endowed with natural resources that include rich biodiversity, natural lakes, rivers and national parks, waterfalls among others. Notwithstanding these resource endowments, the region ranks poorly in socio-economic development. The primary economic activities include subsistence agriculture, fishing and exploitation of forest resource. Shifting cultivation is no longer tenable given the land use change and changing demographics. The soils are poorly‐drained, deep, dark‐grey soils, and include permanent swamps. The vegetation mainly consists of savannah woodlands, Miombo forest, swamps, and wetlands. Southern region of Zambia comprises of Western and Southern provinces is in region two and one with annual rainfall below 800mm.

Zambia has been implementing the World Bank led Pilot Programme for Climate Resilience (PPCR) aimed at strengthening Zambia 's institutional framework for climate resilience (while) improving the adaptive capacity of vulnerable communities in selected sub-basins. This phase strengthens capacity at both national and local levels, whilst piloting the mainstreaming of climate risk management into spatial planning. Investments supported by the Zambia PPCR on the ground include participatory adaptation, climate-resilient infrastructure and strategic program support in agriculture, water, livestock, fisheries and natural resources and climate information services. The investments were targeted at helping the country to manage challenge of land degradation, unsustainable land use and climate variability and change.

Building on the programmatic approach agreed upon by stakeholders for the implementation of the PPCR in Western Province of Zambia; scaling up lessons from it, the Transforming Landscapes for Resilience and Development in Zambia (TRALARD-Zambia) will cover a number of thematic areas including biodiversity, forest, and watershed, among others to support one of the poorest regions in the country by integrating livelihood improvement with natural resource sustainability. The interventions will operationalize landscape approaches to contribute to the national forest landscapes restoration requirements as well as enhance resilience and development in the Northern region and deepen the work in southern region of the country. The impacts of climate change, subtle or gradual as they are, remain persistent. They are taking their toll on the natural resource base of the region, exacerbating the already vulnerable context of the people. The government of Zambia has embraced an integrated approach to development investments at landscape level. To respond to the challenges of sustainable livelihoods by restoring degraded forest

5 | P a g e lands and through multi-dimension renewable natural resource sustainable use and restoration, will require a demand for a large scale, landscape approach that could impact thousands of rural level communities. To achieve this, it will be imperative to have a better understanding of the complex pathways of transforming landscapes for resilience and development. Therefore, this project will carry out analytics, diagnostics, vulnerability risk assessment and feasibility studies to inform mapping of potential opportunities for Zambia in terms of resilience landscape investment in the three Provinces in the Northern Region.

Given that some of the TRALARD activities related to protected area investments may require resettlement, this Resettlement Policy Framework (RPF) has been prepared to address such risks. An Environmental and Social Management Framework (ESMF) report and a Process Framework (PF) report have also been prepared as separate documents.

1.2 Resettlement Policy Framework Objectives The RPF objectives are to:

• Provide the parameters and clarify responsibility for the preparation of Resettlement Action Plans; • Minimize and mitigate the occurrence of involuntary resettlement resulting from all components of the Project; • Ensure that the people that are adversely affected by sub-projects are fully compensated for the loss of assets, livelihoods and access rights, and successfully relocated; • Ensure that the livelihoods of displaced people are re-established and their standard of living improved; • Ensure that there is no impoverishment of people as a consequence of compulsory land acquisition or acquisition of assets, for purposes of implementing sub- projects; • Assist adversely affected persons in dealing with the stress caused by compulsory land acquisition; • Make all affected persons aware of the processes available for the redress of grievances and ensure the processes are easily accessible and immediately responsive; • Establish a consultative, transparent and accountable involuntary resettlement process with a time frame agreed to by the sub-project implementer and the affected persons; and • Provide adequate assistance in the form of transport, temporary accommodation, housing, training, capacity building, and services provision to the project affected people (PAP).

6 | P a g e 1.3 Project Development Objective The development objective of TRALARD is to increase the ecosystem resilience and land productivity within vulnerable landscapes in the Northern Region of Zambia and, in the event of an eligible crisis or emergency, to provide immediate and effective response to the eligible crisis or emergency. The PDO will be achieved through:

• Institutional Development and Capacity Building for Landscape Restoration and Resilience, • Sustainable Landscape Management Practices, • Contingency Emergency Response, and • Project Management and Monitoring.

Figure 1: Project Description

The project will build on the lessons learnt from the successful PPCR already under implementation in Zambia, upscaling it and extending it a phased approach to additional provinces in the northern part of the country. The focus will be on ensuring sustainability of poor rural community livelihoods in an environment already highly stressed by climate change and expected to undergo further important changes in the next decades. By improving agricultural and forestry practices, the project will simultaneously yield climate mitigation benefits and will complement the Zambia Integrated Forest Landscape Project which is helping to create an enabling environment for emissions reductions purchases in the NRZ. The project aligns with key national strategies and the country’s INDC. The proposed project has been conceived around four components, through which it will offer a combination of interrelated activities that can be tailored to the participating targetted provincial needs.

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Component 1. Institutional Development and Capacity Building for Landscape Restoration and Resilience This component is cognisant of the institutional, information and policy challenges that Zambia faces in transforming landscapes for resilience and development, particularly in rural areas. It will focus on policy and institutional strengthening, information and knowledge management, building plans for strengthening managerial skills, unleashing private sector approach entrepreneur potential and technical knowledge necessary for the natural resource management, preservation and restoration in the targeted project areas, using a resilient and integrated landscape approach. This will be done through financing of technical assistance (TA), workshops, trainings, operational costs, and equipment.

Policy and institutional strengthening: It will support capacity-building and plans for strengthening managerial skills and technical knowledge required for natural resource management. The activities will align with government priorities in the forest, wildlife and protected areas sectors to enhance integrated approach to natural resource management and coordinated land use planning and management. This will also enhance the ability of the government to scale up interventions in key sectors that hold greater promise to transforming landscapes for resilience and development.

Strengthening opportunities for private sector engagement: Entrepreneurship is a fundamental driver of growth and development. Entrepreneurs unleash the potenital for small scale and farmer groups and transforms low-income economies into dynamic, growing markets. In addition to the benefits of economic growth, jobs and income generation, entrepreneurs also promote resilience and inclusion. However, the overall contribution of micro, small and medium enterprises to the economic growth and development of Zambia remains untapped and below potential. TA will therefore be provided to strengthen the enabling environment for small and medium enterprise growth. An important first step is the use of entrepreneurship diagnostic tools to understand the opportunities and constraints for entrepreneurship. This will also build on and learn from the pilot being implemented under the Zambia PPCR private sector approcah.

Under this subcomponent, diagnostic tools will be employed for the identification of sector and firm level constraints to growth and opportunities for productivity gains, private investments and greater market access for (agro-) forest and fresh water fisheries products and services. It will also support growth through providing practicable knowledge products, lessons from good practice models and proposals for innovative financing instruments.

Strengthen the beneficial use of hydro-meteorological information : This activity wil support activities to strengthen early warning systems and related institutional systems that will help improve the resilience of communities to impacts and effects of climate change. Institutions will be strengthened with aim to improve decision-making processes related to enhance government preparedness. Specific support would include technical assistance to develop a long term strategic plan to strengthen the institutions responsible for delivering meteorological and hydrological information, data management and forecasting systems in countr. This sub-component will strengthen the use of hydro-met modelling information for both decision making and last mile end- users with specific focus in the Chambeshi-Luapula catchment area.

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Component 2. Sustainable Landscape Management Practices The component will catalyse efforts to reduce and/or avoid deforestation and forest degradation through (a) sustainable forest management, (b) protection of environmental services; (c) enhancement of carbon stocks in forest landscape, (d) agroforestry and sustainable use of non- timber products, (e) low carbon production systems in agriculture, and (f) evolving towards and strengthening of enterprises associated with appropriate social schemes.

Invesment in Integrated Natural Resounce Management Planning(INRMP): An integrated natural resources management planning will help with a conscious management that guarantees long-term and sustainable use of natural resources for the future generations. This activityt will support preparation of an INRMP in the project targeted are; related policies, suport and strengthen opportunities for private sector engagement; and Sustainable Forest Management.

Most of the land in the Northern region is in need for the restoration of carbon storage. Lands around water hotspots such as Lake Mweru, Lake Tanganyika and Lake have near medium conservation values, while the borders of the North Luangwa national park on the east have the highest conservation value and greatest need for protection of biodiversity. An INRMP to be implemented in the context of a natural reouces management would help to enhance dual benefit i.e community use efficiently and promotion of carbon accumulation in biomass and soil while also reducing unsustainable land use change that leads to emissions.

Improved Management of Protected Areas and Reserves : This activity will support the effective and sustainable development of the PA system in the northern region of Zambia in order to preserve the biodiversity and ecosystem services for the well-being of people with focus on forest dependent communities. In additron, it will support enhancing Ecotourism in the project targeted area. The project targeted area i.e Luapiula, Muchinga and Northern procinvies has tremendous opportunities to improve the utilization of its natural resource base for a more diversified tourism product. Essential to optimizing this potential is the creation of ecotourism corridors that link the main tourism gateways of these three provinves to their natural asset base. The objective of this subcomponent is will be to to introduce and strengthen eco-tourism aceess through improving access ,support infrastructure and establishing eco-tourism infrastructures. All of this is geared towards basic access improvement for visitors coombined with an appropriate interpretation of the landscape values to endear a balanced utilization and conservation.

Sustainable and Diversified Resilient Livelihoods: Promotion of community-based and culturally responsive sustainable activities for income generation to reduce heavy reliance on natural resources that leads to landscape degradation. The alternative livelihood activities will also be gender sensitive so that they contribute to lifting up the socio-economic situation of particularly women who are more heavily using natural resources with inferior financial value compared to men. Small-scale climate resilient irrigation and aquaculture techniques, improvement of food and seed storage capacities and developing feeds, among others will be promoted as sustainable and resilient livelihood sources.

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Component 3: Contingency Emergency Response Component (CERC) (Standardized) This contingency component can be triggered by a joint Government and World Bank agreement in case of an emergency. This component had been embedded in the project to finance early recovery and/or specific emergency works, goods, and services, in case of eligible emergencies/crises/disaster caused by natural or man-made hazard including public health crisis. The mechanism is designed to support enhancement of preparedness, early recovery activities, and provision of rapid response to disaster that can be implemented in a relatively short period. This component was considered necessary because of the inherent in Zambia’s current socioeconomic and climate related hazards (unexpected flooding or drought, an aggravation of the state of fragility, as a result of influx of large groups of displaced people ( cross boarder and internal displacements) could potentially shift priorities. Reallocation of funds to CERC can only be done when there is a serious disruption of the functioning of a community or society causing widespread human, economic, or environmental losses that exceed the ability of the affected community or society to cope using its own resources. Following such a disaster event where both the region and national resources cannot sufficiently and adequately address the situation, the Government of the Republic of Zambia (GRZ) may trigger activation of CERC according to national law and subject to the World Bank’s activation policy.

Component 4. Project Management and Monitoring The component will support activities related to the management and implementation of the project. It will support efforts to oversee, monitor and evaluate project activities and to strengthen internal systems so that the project implementation process leads to the accomplishment of the development objective of the project, and without compromising the quality of project outcomes.

1.4 Institutional Arrangements The major investments of the TRALARD project are intended to be decentralized, to the lowest level possible, in order to have funds managed and controlled by beneficiaries. However, there are some project investments, which are national in scope such as those related to REDD+ policy, MRV, policies, national-level institutional strengthening, etc. Implementation of TRALARD project will therefore require implementing agencies at both the national and NRZ levels.

At the national level, based on its mandate for climate change policy and project coordination, the Ministry of National Development Planning (MNDP) will represent the Government of the Republic of Zambia and will host the National Project Unit (NPU). Working through the PPCR PIU, MNDP will take overall responsibility for project, execution, oversight and coordination through the relevant line ministries and provincial administration responsible for specific project activities. The MoDP through the PPCR PIU has been facilitating the coordination of all climate change activities across sectors and projects to ensure harmonized approach to addressing climate change. Implementation arrangements with other ministries and provinces and districts would be undertaken by the MoDP through the standard government practice. Contracting with private sector partners will also be undertaken by the MoDP through relevant government policy, agreements and contracts, prior to finalisation, would be subject to the supervision and oversight of a “no objection” by the World Bank to ensure compliance with standard fiduciary operating procedures.

10 | P a g e At the provincial level, the Provincial Administration of the Northern Province, Muchinga Province and Luapula Province will host the Project Implementation Unit (PIU). The Provincial Administration of the 3 provinces will be the Executing Agency of the project. This arrangement follows the decentralization policy of government and aims to devolve decision-making to sub- national structures to enable more efficient project implementation. Annual Work Planning and Budgeting (AWPB) for the project will be submitted through the NPU for World Bank’s approval after clearance by i) the MNDP Permanent Secretary (PS) for the NPU national-level activities; and ii) the PS of the 3 Provinces for the sub-national level activities.

National level Overall project policy guidance will be provided by the TRALARD National Project Steering Committee (NPSC), which will be chaired by the Permanent Secretary of the MNDP. The members of the NPSC will include PSs from the relevant line ministries, departments and agencies (MDAs), i.e., MOF; Agriculture, Lands; DNPW; Local Government, representative of the private sector, CSOs and NGOs. This fits into the existing government structures and current project oversight of ongoing Ministry Of National Development And Planning programs.

The National Project Unit (as part of its core mandate, will be directly responsible for most of Component 1 and its management costs will be covered through Component 3. It will be responsible for the procurement of major studies and services related to the national component. In addition, the NPU will manage overall project reporting. The NPU will be responsible for preparing the Annual Work Plan and Budget (AWPB) for the national component of the investment. In addition, the NPU will consolidate the AWPB for the entire project for submission to and approval by the World Bank.

Provincial level The Provincial Development Coordinating Committee (PDCC) chaired by the PS in each of the 3 Provinces, will be responsible for providing policy support, guidance and advice to the PROJECT in relation to sectorial issues in the province. The PDCC already in place, will comprise provincial heads of government ministries including but not limited to Agriculture, Land, DNPW, Forest, Local Government and representatives from the private sector and civil society. The Provincial Planning Sub-Committee of the PDCC, chaired by the Provincial Chief Planner will be responsible for the day to day oversight on the operations of the PIU including reviewing, advising and approving sub-project activities from the lower levels (districts and communities). The PPSC will also ensure that project activities are incorporated in the Provincial Integrated Development Plan (PIDP). The Provincial Planning Sub-Committee is expected to be reinforced by the inclusion of representatives from traditional authorities, CSOs, and the private sector.

The Project Implementation Unit (PIU) This unit will be embedded into the Provincial Administration, Provincial Planning Unit (PPU). The PIU will be headed by a Provincial Project Manager (PPM) and report directly to the Provincial Chief Planner. For project progress reporting, the PPM will collaborate with the NPM. The PIU will be responsible for the day-to-day operations of the project’s livelihood investments and will be supported by the PPSC. The PIU will oversee the planning, provide specialized technical support, and carry out fiduciary, safeguards and monitoring oversight of the project. The PIU will work in collaboration with the line ministry technical experts in the PPSC to provide management oversight.

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District level At the district level, the District Development Coordinating Committee (DDCC) chaired by the District Commissioner provides policy guidance on projects in the district. Like the provincial level, the DDCC will comprise district heads of government MDAs including but not limited to Agriculture, Land, DNPW, Forest, Local Government and representatives from the private sector and civil society. The District Planning Advisory Sub-Committee (DPSC) consisting of technical staff, traditional representatives and civil society partners will provide the day to day overall coordination and will be responsible for advising, reviewing and recommending community sub- projects from Wards and Communities. The District Planning Officers under the guidance of the DPSC will ensure that the project is integrated in existing institutional structures and mandates of the district. Districts will be responsible for implementing interventions that fall under their authority and will provide coordination responsibility over community level micro-projects that cut across several communities. In such cases, District Development Plans (DDPs) will be prepared as appropriate. Where government MDAs do not have technical establishments in the districts back stopping and or implementation support will be provided from the provincial office.

Community level At the community level, the structure will be similar, with overall coordinating responsibilities falling under the Ward Development Committees (WDCs) that will be constituted according to local government electoral procedures. The WDCs will consist of community representatives from the respective Zones, civic leaders, government agencies (e.g. agriculture camp officers, wildlife camp officers, traditional authority representatives and civil society partners. Communities will be responsible for implementing and managing interventions at the community level with managerial oversight from the districts and the PPU. If not already existing, Ward Development Plans (WDPs) will be prepared covering plans from the Zones in a given area.

The Ministries, Departments and Agencies (MDAs): The MDAs, i.e. Agriculture, Forest, Lands, DNPW, Local Government, etc. will play a critical technical role at the sub-national levels and ensure synergy with their respective national line ministries. They will be responsible for regular technical back stopping and ensuring linkages of project investments with development plans and policy. When required, they will provide technical assistance and support, based on agreed annual work plans with the NPU and PPU, against which regular advances will be made and accounted.

2. RPF METHODOLOGY This RPF has been developed together with the ESMF and PF for the TRALARD Project. A number of activities have been undertaken in order to meet the safeguards requirements for the assignment including the following: literature review; stakeholder analysis; analysis of baseline environmental and social data; site visits and field assessments; interviews and focus group discussions; and the analysis of World Bank (WB) safeguard policies and Zambian policies, legislation and international agreements.

2.1 Literature Review A literature review was undertaken with a view to gathering relevant secondary data, and the key sources of secondary data are listed under the References/ Bibliography section of the RPF. This process was crucial in the development of the RPF as it informed the stakeholder analysis, analysis

12 | P a g e of baseline environmental and social data, site visits and field assessments, interviews and focus group discussions, and the analysis of WB safeguard policies and Zambian policies, legislation and international agreements.

2.2 Stakeholder Analysis A stakeholder analysis was carried out at the commencement of the assignment with a view to informing the stakeholder consultations, and the key stakeholders identified and consulted are listed in Annex 3.

2.3 Analysis of Baseline Environmental and Social Data Secondary baseline environmental and socio-economic data was gathered through the literature review, whilst primary data was obtained from the stakeholder consultations and field work. The purpose of the baseline data collection was to:

• Scope the study area from a framework point of view, rather than obtain detailed quantitative data that would normally be associated with a site specific assessment; and • Provide information on host environment conditions to be able to analyze and predict the nature and significance of potential Project-related environmental and socio-economic impacts.

2.4 Site Visits and Field Assessments Site visits and field assessments to the study area, Luapula, Muchinga and Northern Provinces were carried out in order to undertake stakeholder consultations and fill gaps identified during the literature review.

2.5 Interviews and Focus Group Discussions Stakeholder consultations included engagement with the key stakeholders listed in Annex 3. Interviews and focus group discussions were conducted in Luapula, Muchinga and Northern Provinces. The key issues discussed are also given in Annex 5.

2.6 Analysis Of World Bank Safeguard Policies And Zambian Policies, Regulations And International Agreements The PROJECT is required to comply with the WB Safeguard Policies and relevant Zambian policies and legal framework. An assessment of the WB Safeguard Policies and Zambian policies, legislation and international agreements was, therefore, undertaken so as to determine the safeguards and legal frameworks that would guide the implementation of the PROJECT. The assessment results are given Section 3 of this RPF.

3. POLICY AND LEGISLATIVE FRAMEWORK This section of the RPF reviews the Zambian policy and legal framework and the WB resettlement policy framework that is relevant to the TRALARD Project.

13 | P a g e 3.1 Zambian Policy and Legislative Framework Relevant Policies The Zambian resettlement policy framework consists of the National Resettlement Policy, and the legal framework for matters related to the compulsory acquisition of property, in particular land and the alienation of land, is provided for in the Zambian Constitution, Lands Act, and the Lands Acquisition Act. Whilst these three Acts provide the basis for land acquisition, various other national laws define the authority and responsibility of specific sectoral agencies. However, there is currently no specific law pertaining to involuntary resettlement in Zambia. The Zambian policy and legal framework that are applicable to the TRALARD are as follows:

• The Constitution of the Republic of Zambia • National Resettlement Policy; • Cap 1; • Environmental Management Act of 2011; • Lands Act Cap 184; • Lands Acquisition Act Cap 189; • Local Government Act, Cap 281; • Urban and Regional Planning Act of 2015; • Arbitration Act No. 19 of 2000; • Forests Act of 2015; • Zambia Wildlife Act of 2015; • National Heritage Conservation Commission Act, Cap 173 of 1989; • Agricultural Lands Act Cap 187 of 2006; • Land Survey Act Cap 188; and • Valuation Surveyors Act Cap 207.

Policy and Legislation Assessment This section of the RPF discusses the priority policy and legislation that is applicable to the TRALARD in the context of safeguard instruments.

The Constitution of the Republic of Zambia The Constitution of Zambia, Chapter 1 of the Laws of Zambia, and Article 16 of the Constitution provides for the fundamental right to property and protects persons from the deprivation of their property. It states that a person cannot be deprived of property compulsorily except under the Authority of an Act of Parliament, which provides for adequate payment of compensation. The Article further provides that the Act of Parliament under reference shall provide that in default of agreement on the amount of compensation payable, a court of competent jurisdiction shall determine the amount of compensation.

National Resettlement Policy The National Resettlement Policy (NRP) sets out the Government objectives, principles and measures for dealing with resettlement as a strategy for rural development and as a response to internal population displacements. In addition, it provides a mechanism for dealing with both voluntary and involuntary resettlements. The policy focuses on employment creation, access to

14 | P a g e public social services, increased food security, security of land tenure, stimulating economic growth in rural areas and compensation and resettlement assistance for internally displaced persons. The Department of Resettlement in the Vice President’s Office is in charge of implementing the NRP. However, the policy is not legally binding.

Environmental Management Act of 2011 This is the principal legislation on environmental and social protection and management in Zambia. Under the provisions of this Act, an Environmental and Social Management Framework will be prepared and submitted to the ZEMA for approval prior to the implementation of the TRALARD.

Environmental Project Briefs (EPBs) will also be prepared for all TRALARD Category B sub- projects in accordance with the provisions of the Environmental Protection and Pollution Control (Environmental Impact Assessment) Regulations of 1997. An EPB corresponds with the requirements of a WB Category “B” EA and will serve to identify and evaluate any sub-project's potential environmental and social risks and impacts in its area of influence, and to outline measures for preventing, minimizing, or mitigating any adverse environmental impacts identified. The MNDP will be responsible for the preparation of the EPBs, either internally or through a consultant. The EPBs will be approved by the ZEMA, through a decision letter with attached conditions, prior to the sub-project activities being implemented.

It is worth noting that the Project will not support WB Category “A” sub-projects, and these will be screened out through the use of the EIA Second Schedule and consultation with the ZEMA.

Following the approval of a subproject, any potential adverse environmental impacts identified by the ZEMA under the conditions of the decision letter will be subject to licensing and compliance inspections as provided for under the Environmental Management (Licensing) Regulations of 2013.

Where resettlement is triggered as a result of sub-project activities, a RAP will be prepared as part of the EPB process. Similarly, where the TRALARD results in restrictions of access to natural resources in legally designated parks and protected areas, an LRP will be prepared as part of the EPB process by the MNDP, either internally or through a consultant. Both Plans will be reviewed and approved by the ZEMA, through a decision letter with attached conditions, prior to the implementation of sub-project activities.

The Lands Act Cap 184 The Lands Act controls the alienation of land and will guide any land acquisitions for TRALARD sub-projects and the conversion of land from customary tenure to statutory. The Act empowers the President of the Republic to compulsorily acquire property. The principles of compensation are pivoted on the basis that the value of property for the purpose of compensation shall be the value of the amount which the property might be expected to realize if sold on the open market by a willing seller at the time of the publication of notice to yield possession of the property.

Land Tenure Systems There are two main land tenure systems in Zambia, statutory and customary.

Statutory Tenure

15 | P a g e Statutory tenure involves State Land, which is administered by the Lands Commissioner through Local Authorities on behalf of the President. All land in Zambia is vested in the Republican President who holds it in perpetuity on behalf of the Zambian people. The President has delegated his execution and disposition powers to the Commissioner of Lands, who is supported by Agents who plan and sub-divide the land into plots, and select and recommend suitable candidates to him for issuance of a certificate of title. The Agents are the District, Municipal, and City Councils, who use the provision of the Urban and Regional Planning Act of 2015 for this purpose.

Customary Tenure Customary Tenure is applicable in areas under the jurisdiction of Traditional Authorities (chiefs/chieftainesses). The traditional land tenure system is the most prevalent among the majority of Zambians who live in the rural areas of the country.

Tenure under customary land does not allow for exclusive rights to land. No single person can claim to own land, as usually the whole land belongs to the community members for their own use. In addition, land is considered as a valuable heritage for the whole community. It is the duty of traditional rulers to ensure that every member of his or her community capable of owning land is allocated land. Therefore, the issue of access, as in State Land, is tied to capability. However, being capable is entirely up to the discretion of the Chief, and this has often led to dissatisfaction among community members, the most vulnerable groups being women, youths and the disabled.

Normally, customary land cannot be used as collateral, as in many cases there are no legally defined physical boundaries, as required under the Land Survey Act. Thus, customary lands are prone to encroachments, which often result in land disputes.

Forests Act of 2015 The following issues will be addressed under the provisions of this Act and the Forests (Community Forest Management) Regulations, 2016:

• Recognition of community forest management groups by the Director Forestry Department through a letter; and • Registration of Community Forestry Management Agreements with the Forestry Department.

Zambia Wildlife Act of 2015 Under the provisions of this Act, Park Management Plans will be prepared and approved by the Department of National Parks and Wildlife, prior to sub-project implementation. In addition, where it is deemed that Community Resource Boards need to be formed to allow communities to effectively participate in resource protection and champion conservation awareness campaigns in the communal areas e.g. in the Chikomeni and Mwasemphangwe areas, these could also be formed through the provisions of this Act.

National Heritage Conservation Commission Act, Cap 173 of 1989 Under the Act, any project being implemented is required to disclose any new archaeological, paleontological, or cultural sites it encounters to the National Heritage Conservation Commission

16 | P a g e (NHCC) and to follow their procedures for the investigation and/or removal of material from them prior to continuing construction activities.

Any Project-supported activities that could impact sites of social, sacred, religious, or heritage value will have to be reported to the Commission prior to the activities being carried out. In addition, the "Chance finds" procedures detailed in section 4.8 of this report will be followed during the implementation of the TRALARD.

3.2 World Bank Resettlement Policy Framework The World Bank Operational Policy (OP) 4.12 relates to the administration of resettlement issues in the event of Project activities inducing the displacement of people and disrupting their livelihoods. The policy may apply to some sub-project activities to be implemented on the project

World Bank OP 4.12 According to the World Bank’s OP 4.12, particular attention should be given to the needs of vulnerable groups such as the poverty stricken, the landless, the elderly, widows, child-headed households and other disadvantaged persons. It is also a requirement of the policy that the provision of compensation and other assistance be effected prior to people’s displacement. This implies that the acquisition of land for project activities can only take place after those affected have been compensated. In addition, the policy offers the impacted persons an opportunity to improve their livelihoods and living standards through participation in the planning, preparation and implementation of Resettlement Action Plans (RAPs). The policy states that:

• Resettlement or displacement should be avoided wherever possible or minimized, and all viable alternative project designs should be considered before finally deciding on displacement; • Resettlement or displacement activities should be conceived as sustainable development programs, providing sufficient investment resources to enable the person displaced by the project activities to share in project benefits; and • Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least restore them, in real terms to pre-displacement levels or to those prevailing prior to the beginning of project implementation, whichever is higher.

The policy stipulates that the RPF and RAPs should include measures to ensure that the displaced persons are safeguarded by being:

• Informed about their options and rights pertaining to resettlement or displacement; • Consulted, offered choices and provided with technically and economically feasible resettlement alternatives; • Provided with prompt and effective compensation at full replacement cost for loss of assets attributed directly to the project. The resettlement plan or resettlement policy framework should include measures to assure that the displaced persons are provided with: assistance, such as transport and other allowances during relocation; residential housing or housing sites

17 | P a g e or as required agricultural sites for which a combination of productive potential, location advantages and other factors are at least equivalent to the advantages of the old site; • Offered support after displacement, for a transition period, based on a reasonable estimate of time likely to be needed to restore their livelihood and standards of living; and • Provided with development assistance in addition to compensation measures such as land preparation, credit facilities or job opportunities.

3.3 Complementarity of Zambian Land Legislation and the World Bank Resettlement Policy Similarities There are a number of similarities between the Zambian land legislation (i.e. Zambian Constitution, Lands Act, and the Lands Acquisition Act) and the World Bank’s OP 4.12. These include:

• The requirement to pay compensation in advance where land is compulsorily acquired; • Compensation being based on full market value or through grant of another plot of land or building of equal quality, size and value; • Avoidance, wherever possible, of impacts on forest reserves, national parks and other fragile ecosystems; • The requirement to compensate for losses whether temporary or permanent in production or damage to productive assets and crops; and • Provision for the rights of appeal and other judicial avenues for resolution of disputes.

Gaps Gaps do exist between the World Bank OP 4.12 and Caps 1, 184 and 189, and these are as follows:

• Comprehensive resettlement planning - there is no requirement under the Zambian land legislation for the preparation of a comprehensive formal resettlement action plan (RAP) including carrying out a census, social economic survey, consultations with Project affected people, monitoring, and reporting. The Urban and Regional Planning Act of 2015, which deals with issues of human settlements and development in Zambia does not refer to involuntary settlement, but only to the removal of squatters on state lands needed for urban expansion and development. • Compensation eligibility in Zambia - under Zambian land legislation, only people and entities with title deeds are entitled to compensation, including those with registered third party rights or those who have legally obtained the right to register but have not yet completed registration. However, under the WB’s OP 4.12 illegal land users without title to the land are entitled to compensation for land use and affected structures on it (but not compensated for land). In some cases of illegal development, compensation is provided on discretional basis on case by case basis. • Compensation and resettlement assistance - the current Zambian land legislation provides for the payment of compensation at market value for losses of land, buildings, crops and other damages arising from the acquisition of land for Project activities. Under the Zambian law, moving costs or rehabilitation support to restore previous levels of livelihoods or living standard are not recognized, and there is no government agency charged with that responsibility. • Property measurement - under the Zambian land legislation, compensation is equal to the market value of the property without reference to depreciation. On the contrary, under the 18 | P a g e WB Safeguards, compensation for lost properties is calculated on the basis of full replacement cost i.e. equal to what enables the Project affected people (PAP) to restore their livelihoods at the level prior to resettlement/ displacement. • Income restoration - the current Zambian land legislation does not recognize compensation for lost income contrary to the World Bank’s OP 4.12, which requires that lost income due to Project activity should be compensated. • Livelihood restoration – under the WB OP 4.12, displaced persons are require to be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. However, under the Zambian land legislation only those with legally-binding rights are entitled to compensation/ livelihood restoration.

Measures to Close the Gaps This RPF’s requirements are based on the policies of the World Bank and Zambian national legislation. However, where there are discrepancies between the requirements of World Bank OP 4.12 and the Zambian requirements, the World Bank guidelines and requirements will be followed during the implementation of the sub-projects, as they are normally considered as de facto standards by the Zambia Environmental Management Agency (ZEMA).

19 | P a g e Table 1: Potential Gaps between OP.4.12 Requirements and Zambian Law/Practice - Resettlement Issue OP 4.12 Zambian Law/Practice Provisions in Resettlement Action Plan to Close Gap Avoidance or minimization of Displacement should be Accepted policy is that recourse to No gap displacement minimized land acquisition is avoided wherever possible Eligibility for compensation Comprehensive coverage of No explicit rights for squatters and In line with the banks policies, RAP should make all impacts other than fully informal uses, but actual practice special explicit provisions in entitlement matrix and voluntary transactions, and is closer to the bank policy and implementation to identify and fully compensate all excluding impacts arising does not oppose it informal uses of assets, incomes, and livelihoods after the agreed cut-off date

Effected date of completion of census and Asset inventory Consultations Full consultations and EMA 2011 Full consultations and No gap disclosure required disclosure required Impact on squatters Secure replacement housing Not guaranteed in law. Squatters What is provided for under OP4.12 will take and compensation for lost just given adequate notice (usually precedence to ensure that PAPs are not left worse off assets; assistance with 6 months) to vacate protected area relocation; Avoidance or minimisation of Provides for avoidance or Land Acquisition is last resort Closing the gap depends impacts minimisation of impacts and and only compensates titled on available resources, where inevitable to impact, Property. Other laws and political will and policy provides for adequate policies prefer flexible and Implementing capacity. mitigation of impacts as well consensual approach in line Timely monitoring of the resettlement implementation as provision of adequate with the policy. process is key to closing off the gap compensation so that PAPs

20 | P a g e Issue OP 4.12 Zambian Law/Practice Provisions in Resettlement Action Plan to Close Gap are not left worse off Informal salt miners in the national Eligible for compensation for No provision in law or practice as RAP establishes compensation in case of real loss of park loss of income or business, considered to be illegal even if the income excluding temporary displacement of structures although not clearly stated practice has been tolerated for which are temporal in nature years.

Existence of comprehensive land Lays out comprehensive Environment management Act RPFs and RAPs for all project areas will frame acquisition and resettlement policy policy empowers ZEMA to enforce comprehensive approach consistent with OP4.12. environmental and social standards; regulations in preparation expected to cover resettlement issues in full compliance with international best practices .Restoration of livelihoods OP 4.12 clearly provides for There is no clear piece of The social and Environmental safeguard policies of the that: legislation or official Policy World Bank take precedence. All PAPs should be document that specifically eligible for full Compensation benefits including Section 2(C) - Displaced provides for restoration of lost restoration of all lost sources of livelihood as per persons should be assisted in sources of livelihood for those World Bank Policy requirement. their efforts to improve their evicted from forests and other livelihoods and standards of restricted areas living or at least to restore them, in real terms, to Pre- displacement levels or levels prevailing prior to the beginning of the project implementation, whichever

21 | P a g e Issue OP 4.12 Zambian Law/Practice Provisions in Resettlement Action Plan to Close Gap is higher. Additional support for those OP4.12 provides that where Much as the government usually What is provided for under OP4.12 will take displaced. necessary, compensation provides additional support in precedence to ensure that PAPs are not left worse off. should also include measures form of land preparation, seeds to ensure that displaced and fertilizers for the displaced persons are offered support families, there is no policy after displacement for a compelling the developers or transition period, based on a government to provide support reasonable estimate of the beyond land preparation and time likely to be needed to provision of seed to the affected restore their livelihood and families. standards of living. The displaced persons should also be provided with development assistance such as land preparation, credit facilities, training, or job opportunities, in addition to the other compensation measures stipulated.

22 | P a g e 4. SOCIO-ECONOMIC BASELINE OF THE PROJECT AREA This section of the RPF provides a description of the socio-economic environment in the Northern Region of Zambia. The descriptions are based on the literature review and consultations and observations made during the site visits.

4.1 Location The TRALARD Project will be implemented in the Northern Region of Zambia, and more specifically in the Muchinga, Luapula and Northern Provinces as shown in Figure 1 below.

Figure 2: TRALARD Project Area

4.2 Population And Demographic Profile The graph below shows the human population statistics for the 3(three) TRALARD Provinces. According to the information presented in this table, which is derived from the 2010 population census, the population of the NRZ was 2, 809, 408. Northern Province was the most populated, accounting for 39 percent of the total NRZ population. Luapula Province accounted for 35 percent while Muchinga Province accounted for 25 percent of the population of NRZ. The distribution of the population in the NRZ is shown in the graph below:

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Source: Field findings The population for NRZ has grown steadily overtime. The population grew at an average annual rate of 3.2 percent in Northern Province, 2.5 percent in Luapula Province and 2.3 percent in Muchinga Province during the 2000-2010 inter-censal period. A consequence of this population increase is that due to the communities’ dependence on agriculture, new lands are opened-up to cultivate food and provide income for the increasing population. In addition to agriculture, charcoal production is a key livelihood activity and an increase in population entails an increase in demand. 81.7 percent of the population in Northern Province resides in rural areas and 18.3 percent in urban areas. The province has a population density of 14.2 persons per square kilometre. 83.0 percent of the population Muchinga Province resides in rural areas while 17.0 percent resides in urban areas. 80.4 percent of the population in Luapula Province resides in rural areas while 19.6 percent resides in urban areas.

4.3 Employment There are high levels of unemployment in the Project area, with a large portion of the population being engaged in informal economic activities such as subsistence farming practices, fishing (in the rainy season), production and selling of charcoal, casual work (particularly in the agricultural sector), informal trading activities (such as vending foodstuffs) and the production of handcrafted items.

4.4 Economic Profile Most of the livelihoods in the NRZ are in agriculture and related activities. The primary economic activities in the NRZ include subsistence agriculture, fishing and exploitation of forest resource. Subsistence farming, subsistence and commercial fishing and trading are the mainstay of the majority of the population in Northern Province. According to the 2015 Living Conditions Monitoring Survey, 81.7 % of households in Northern Province were involved in agriculture in the 2013/2014 farming season (CSO: 2015). The major crops grown include cassava, millet, sorghum, groundnuts, beans, and .

Commercial fishing is done on Lake Tanganyika and Lake Bangweulu; whose fisheries are among the largest in Zambia. This accounts for the highest population densities of mainly commercial fishermen that have settled around the lakes. Lake Tanganyika has over three hundred species of 24 | P a g e fish most of which are endemic. Species of particular interest include the Giant Nile Perch and Small Nile Perch which are important commercial and sports fishing species. Others are Goliath Tiger and the English Fish or Lake Tanganyika yellow-belly, the Kapenta, and the rare Bichir. Fishing is also done by small-scale fishermen who sell their small catches to local traders. Commercial fishing activities are limited to Lake Tanganyika and are associated with production of kapenta.

The main economic activity of the people in Muchinga Province is subsistence farming. 78.2 % of households were involved in the 2013/2014 farming season (CSO: 2015). Major crops grown include cassava, maize, groundnuts, sweet potatoes, millet, mixed beans and tobacco. The province is also traditional livestock area and has a number of poultry, beef, and pork and dairy farmers at smallholder level. Fish farming is also practiced on a small scale in the province with development programmes focused on conservation and research in order to improve yields, marketing and distribution (Zambia Review, 2011).

Fish and crop farming are the main economic activities in Luapula Province. 73.1 % of households were involved in agriculture in the 2013/2014 farming season (CSO: 2015) while about 60 percent of the people in the province are directly or indirectly involved in the fishing industry. Despite cassava being the main food crop grown, the province also has maize, groundnuts and sweet potatoes cultivated. Notable industries in the province include Kawambwa Tea and Mununshi Banana Scheme. The province has a lot of potential for tourism development and mining.

Rainfed agriculture is the main economic mainstay of the NRZ and remains vulnerable to weather shocks related to climate change currently manifesting in increased variability and change in the seasonality and length of the rain season(CSO:2018). Irrigation which is promoted to reduce dependence on rain fed agriculture continues to be susceptible to weather shocks as well. Adaptive research and promotion of climate smart agriculture may substantially contribute to increased crop production and yields. This is currently being promoted. Forests are very important for rural livelihoods in the Project area as forest goods and services provide food, medicine, shelter, fuel and cash income for the rural population. Forest-based activities such as carpentry, beekeeping and timber and rattan sales provide more than 50 percent of the average household income in some parts of the province. Mushrooms, fruits, leafy vegetables, tubers and insects collected from the province’s miombo woodlands are widely consumed by rural households and enrich their starch-based diets with important vitamins and minerals. These foods are often available at the start of the rainy season and thereby serve as an important source of nutrition when food stocks are low. Most forest product harvesting and sale is seasonal, providing cash income at different times of the year. However, the province’s increasing deforestation rates pose threats to the forest economy (World Bank, 2016a).

The majority of people in the NRZ live in poverty, exacerbated by the effects of climate change. Results from the 2015 Living Condition Monitoring Surveys (LCMS) show that 81.1 percent of people in Luapula province are poor, 69.3 percent in Muchinga are poor and 79.7 percent in Northern Province live in poverty are poor.

25 | P a g e 4.5 Conservation Management Areas NRZ encompasses over 35% of managed lands which strongly contribute to protecting and maintaining large intact natural landscapes. This also includes half of the wetlands of international importance listed under the Ramsar Convention. These wetlands contain habitats for several important fauna and flora species including some endemic and endangered species. For instance, Bangweulu Swamps provides a breeding ground for birds, fish and wildlife (e.g., the African Elephant Loxodonta africaca, the buffalo Syncerus caffer, and Sitatunga Tragelaphus spekei, and Black Lechwe Kobus leche). It is home to the threatened Wattled Crane (Grus carunculatus), and the threatened Shoebill (Balaeniceps rex). Furthermore, the Bangweulu swamp and other wetlands are a natural flood controller and important for groundwater recharge. Northern Province is home to some of the biggest game reserves and rich wildlife resources in the country. These include the Nsumbu National Park covering an area of over 2000 square and the Kasanka National Park. The Nsumbu National Park provides a strong wild life habitat for hippo, crocodile, flamingo and other water birds while the Kasanka National Park provides habitat to a great variety of unusual birds and mammals.

Muchinga Province has both natural and plantation forests. The province is in the high rainfall zone, with average annual rainfall of above 1200 mm. The province is home to the South Luangwa national parks which are rich in wildlife. There are natural landmarks such as the Muchinga escarpment which is the second largest escarpment in Zambia.

Luapula province is endowed with a lot of natural resources and has approximately 60 percent of Zambia’s water resources. It has one main river, Luapula, and two big lakes namely Mweru and Bangweuru. It has 8 waterfalls namely Lumangwe, Ntumbacushi, Kabwelume, Chilongo, Finkula, Kundabwika, Mumbuluma and Mubotuta falls. The sandy beaches of Lakes Mweru and Bangweulu are a tourist attraction. The province has wildlife and birds.

Conservation management areas in NRZ are vulnerable to the impacts of climate variability and other human influence-related activities. The sectors most affected are forestry, fisheries, wildlife and water. Economic drivers form a larger share of factors that affect biodiversity loss in Zambia, with agricultural expansion alone accounting for 90% of forest cover loss due to subsistence and commercial agriculture production (Joshua Mabeta, Bruno Mweemba & Jacob Mwitwa, 2018). Extensive clearing of forests and woodlands for agriculture, use of wood in tobacco curing. The annual deforestation rate in Zambia is in the range of 79,000 to 270,000 ha of the total forest cover largely due to an increase in the urbanization rate of 3.2% per annum which is likely to compound the deforestation rates as the need to develop infrastructure in such areas such as housing, energy, transport and irrigation increases (Joshua Mabeta, Bruno Mweemba & Jacob Mwitwa, 2018). Stakeholder consultations in the NRZ confirmed that the climate variability and other human influence-related drivers of deforestation and degradation of landscapes includes unsustainable utilisation of natural resources, delayed implementation of policies and inadequate service provision.

High demand for charcoal is leading to excessive and unsustainable production of charcoal and wood fuel use for energy consumption and for brick kilns. Charcoal production is often considered a quick and easy business for obtaining income that has a ready market, mostly in the respective

26 | P a g e district centres and the major towns across Zambia (DFNRMP: 2014). Most of the charcoal is sold at the roadside.

Deforestation from fuelwood harvesting and smallholder agriculture expansion have also reduced the suitable habitat area for effective wildlife management. Human encroachment is extending toward national parks from major roads as fast as 2 km/year. This is threatening protected buffer zones, decreasing wildlife connectivity, eliminating viable TFCAs and driving accelerated deforestation and associated GHG emissions (World Bank, 2016a).

4.6 Land Tenure Like the rest of Zambia, the land tenure system in Zambia consists of two systems: Customary tenure applying to Customary Land and the Leasehold tenure applying to State Land. Customary Land is held under the traditional leadership (Chief) as regulator of the acquisition and use of the land. The traditional leadership is however, required to act with the consent of the people. The land under leasehold tenure is under the control of the Republican President and can only be acquired by a direct grant from him through the commissioner of lands. State Land is generally leased for a 14 year or a 99-year renewable period. However, the lack of clear land tenure is a major underlying driver of agriculture expansion into forest land. According to the Integrated Land Use Assessment (ILUA) survey, forest ownership in Zambia is divided amongst the following entities: customary authorities, i.e., forests on communal land or “customary forests” – about 63% of total forestlands in the country; state, i.e., forests on state land or “state forests” – about 24%; private land, i.e., “private forests” – about 10%); and the rest (3%) has undefined/ unknown ownership (Mukosha and Siampale, 2008).

4.7 Land Use Another underlying driver of agriculture expansion into forest land is the lack of land use planning as there are no proper processes for the allocation of land for different uses at various jurisdictional levels. In addition, there are no enforcement provisions for dealing with illegal allocations. This leads to inconsistencies in managing land use activities within districts and chiefdoms. As a result, forests are easily converted to agricultural land use including through government channels, especially when they are degrading or degraded. Customary forests often do not have management plans or guidelines. This also applies to the Forest Reserves that are managed by the District FD officers. Therefore, forests are generally very vulnerable to encroachment for agriculture and charcoal burning as there is no planning or any structured management processes. However, an exception to this is that some communities in the Project area have received external support from the non-profit company Community Markets for Conservation (COMACO), and conservation management plans have been developed for Community Conservation Areas (CCAs) in a some of the chiefdoms.

4.8 Energy Usage 80% of the Zambian population is still reliant on wood biomass for energy (MNDP, 2016), and in terms of contribution to direct cash income for rural communities, fuelwood is the most important forest product obtained from the forests, followed by Non- Wood Forest Products (NWFPs) such as

27 | P a g e wild meat, honey, mushroom and caterpillars. This is due to the fact that it is fairly easy to enter into the fuelwood business for short-term income or as a long-term income generating activity because most fuelwood producers (both firewood and charcoal) operate without any license, especially those who sell fuelwood that is harvested when clearing land for agriculture, and if required a license can be obtained at short notice from the FD district offices (Gumbo et al., 2013). However, most charcoal producers opt not to get one, therefore, produce charcoal illegally. Generally, there are relatively minimal entry barriers into the fuelwood business. In addition, the business of producing and selling charcoal itself requires minimal monetary and technical inputs. Therefore, producers are often opportunistic, and begin to produce when extra cash is needed, or when no alternate employment opportunities exist. Migrant or landless families are also responsible for significant charcoal production, as it is considered as an easy-to-get income activity. Whilst this may be beneficial in terms of providing a quick poverty mitigation solution, it means a large population is involved in unregulated extraction of wood from the forests, thus, driving forest degradation.

4.9 Key Issues From Stakeholder Consultations This section of the baseline summarizes the key issues from the stakeholder consultations that are given in Annex 5, and review of lessons learnt in Annex 6 that have been incorporated in the various aspect of this ESMF.

Various stakeholders were involved during consultations in all 3 Provinces, in selected districts as well as at community level. The consultation meetings further enhanced the engagement with the stakeholders. Based on the submissions from the participants, the following are the issues needing attention and forms the basis of the probable activities to be undertaken should funds be secured.

• Reduced fish stocks • Restrictions on access to the river(s). • Loss of sources of livelihood • Reduced agriculture production • Charcoal production in the national park • Impact on wildlife • Forest encroachment • Impact on subsistence agriculture production

In addition, there is overwhelming evidence from lessons learnt and supported by stakeholder consultation that devolved sustainable natural resource management implemented through integrated multisectoral approach provides sustainable solutions to the sustainable management of vulnerable landscapes in Zambia. Similar projects such as the recently implemented Decentralised Forest and Other Natural Resource Management (DFNRMP) and the USAID funded Community Forests Program (CFP) in and Eastern Provinces of Zambia offers valuable lessons learned.

The DFNRMP Introduction Project was a three-year collaboration between the Government of Finland and Government of Zambia, with an overall goal to contribute to the reduction of poverty and inequality and improvement of environmental conditions through devolved integrated

28 | P a g e sustainable forest and other natural resources management. The project was implemented in Chinsali, Shiwangandu and Nakonde districts of Muchinga Province and , Ikelenge and of North-Western Province from February 2015 to December 2017, targeting forest dependent individuals and households including women, vulnerable groups and households living in extreme poverty.

The DFNRMP in brief demonstrated that a devolved sustainable forest and other natural resources management (FNRM) model can help conserve sensitive but vulnerable ecosystems and help communities derive sustainable benefits.

The CFP is a 5 year USAID funded Cooperative Agreement jointly implemented by the Forestry Department (FD), Department of National Parks and Wildlife (DNPW) and Biocarbon Partners (BCP) Ltd in Lusaka and Eastern Provinces. The CFP began on February 1st 2014, and is anticipated to run until January 31st, 2019. The CFP is designed to exemplify and support the Government of Zambia’s (GRZ) Reducing Emission from Deforestation and Degradation (REDD+) strategy by establishing the largest REDD+ program to-date in Zambia. The CFP aims to establish REDD+ project areas across a minimum of 700,000 hectares within the Zambezi and Luangwa Valley ecosystems, and in so doing, to support deforestation mitigation activities taking place on a total of up to 2 million hectares, involving up to 10,000 households.

The main objectives of the CFP are to reduce emissions from deforestation through participatory natural resource management of globally biodiversity significant forested landscapes; reduce poverty through improvements in smallholder farmer agricultural productivity, development of non- timber forest products and expansion of markets and value chains; and support the Government of the Republic of Zambia(GRZ)to develop a legal framework and pilot project to demonstrate the viability of REDD+ as a replicable forest management strategy.

The CFP has demonstrated that conservation fees from Carbon offsets provides an incentive for conservation of forests through supporting community livelihood activities and infrastructure development for social service delivery which results in improved standard of living of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces the value of forest in improving rural livelihood. Below is a detailed summary that sets pace for the implementation of the proposed mitigation measures: • The drivers of deforestation and land degradation are multifaceted and interlinked. The impact of one action or land use can have a significant effect on other land areas and environmental resources and therefore livelihoods of a much larger number of people. Therefore, an integrated landscape planning approach to operationalize devolved sustainable natural resource management, concentrating planning for scale and impact at landscape level is key to addressing landscape development issues.

• A landscape approach entails viewing and managing multiple land uses in an integrated manner, considering both the natural environment and the human systems that depend on it. 29 | P a g e Mobilizing district stakeholders into multi-stakeholder platforms and strengthening their capacity for integrated sustainable natural resource planning, coordination and implementation is fundamental in adopting a district integrated landscape approach

• Using the district multistakeholder teams is key to implementation of integrated landscape planning, addresses weak district level coordination among the institutions with oversight responsibilities on forests, other natural resources and livelihoods. The integrated multi- sector approach has the advantage of drawing on the wide ranging experience and skill sets of officials from different sectors.

• Devolving the governance functions of forest and other natural resources to local communities who are highly dependent on these resources for their livelihoods increase local people’s access to and control over forest benefits. It encourages transparent and participatory local governance of forest and other natural resources, ensure that community priorities regarding forests and other natural resources are accounted for in district planning and returns from forest products accrue to the communities. The local communities themselves who are close to these resources oversee access, conservation and sustainable utilization of the forests and other natural resources which coexist with their communities in accordance with the principles of sustainable management.

• Market-oriented natural resource-based enterprise development that has a direct link to forests and natural resources, involving and benefiting local communities provides an incentive for conserving natural resources. Promoting sustainable market linkages for community level producer groups to markets is key in assisting people in achieving sustainable livelihood systems so that their households and community economic assets could be increased and natural resource management improved.

• The integrated, multi-sector approach and service delivery mechanism which includes working with officials from the Ministry of Community Development and Social Welfare, ensures gender mainstreaming, tracking, focus on inclusion of marginalised groups in participatory process, as well as reinforces national policies and processes relative to equality.

• The decentralised integrated approach helps build understanding of the policy and legal framework for different sectors across the planning and implementation team. This evidenced by non-foresters advocating for implementation of the new National Forestry Policy and Forests Act.

• Conservation fees from Carbon offsets can support infrastructure development and social service delivery which results in improved living conditions of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces the value of forest in improved rural livelihood.

• The Decentralisation Policy, the revised Forests Act of 2015, the National Forestry Policy of 2014, Community Forestry Regulation of 2018 and Wildlife Act of 2015 provides a legal basis for greater community involvement in sustainable management of vulnerable 30 | P a g e landscapes. These therefore provides a conducive legal framework for implementing decentralised and sustainable FNRM providing the policy and. Through these policies, the Government of Zambia seeks to manage productive landscapes to enhance forest products and services for improved income generation, poverty reduction, job creation and protection and maintenance of biodiversity, and contribute to mitigation of climate change. This therefore, forms basis for a firm socio-economic and legal engagement in the collective management, including the private sector to transform landscapes for resilience and development in Zambia.

• Most of the rural population lives on customary lands, comprising 60% of total land ownership, and are highly dependent on forest resources for food security and livelihoods, including non-wood forest products (NWFPs), such as nuts, fruit, mushrooms, caterpillars, medicines, grass, and other products as well as wood resources for construction and energy (DFNRMP, 2017). However, poverty is also a major underlying driver of deforestation and of degradation of natural resources through unsustainable natural resource utilization.

• Sustainable livelihoods and enterprise development based on natural resource utilization requires secure and exclusive access to natural resources. The investment in secure rights provided by the new Forests Act through provides the incentive to communities to manage natural resources sustainably and thereby result in improved livelihoods and poverty reduction.

• Trying to replace this massive livelihood contribution with alternatives (to natural resources) may not be realistic and also may not be desirable as has been experienced in other similar projects in Zambia and neighbouring countries. In the consultation conducted in all the communities during the community engagement exercise, they stated that with control of the forest, sustaining a high level of benefits was key to motivating communities to maintain the forest and not convert it. Recommendations Based on the analysis of the lessons learned, implementing the model for devolved sustainable natural resource management will therefore help conserve the 23 percent of land in the Northern Region that needs prioritization for conservation and a total area of 51 percent of land that is vulnerable to land degradation. This will entail:

• Adopting an integrated landscape planning approach to operationalize devolved sustainable natural resource management, concentrating planning for scale and impact at landscape level is key to addressing landscape development issues.

• Mobilizing district stakeholders into multi-stakeholder platforms and strengthening their capacity for integrated sustainable natural resource planning, coordination and implementation is fundamental in adopting a district integrated landscape approach

• Using the district multistakeholder teams is key to implementation of integrated landscape planning to addresses weak district level coordination among the institutions with oversight

31 | P a g e responsibilities on forests, other natural resources and livelihoods, drawing on the wide ranging experience and skill sets of officials from different sectors.

• Devolving the governance functions of forest and other natural resources to local communities who are highly dependent on these resources for their livelihoods to increase local people’s access to and control over forest resources and benefits. The local communities themselves who are close to these resources should be empowered to oversee access, conservation and sustainable utilization of the forests and other natural resources which coexist with their communities in accordance with the principles of sustainable management.

• Adopting a market-oriented natural resource-based enterprise development that has a direct link to forests and natural resources, involving and benefiting local communities to provide an incentive for conserving natural resources. Promoting sustainable market linkages for community level producer groups to markets is key in assisting people in achieving sustainable livelihood systems so that their households and community economic assets could be increased and natural resource management improved.

• Relocation of households should be done within the framework of implementing devolved sustainable natural resource management. This entails engaging the traditional leaderships and governance structures to find alternative land and relocate the affected households. Livelihood restoration programmes should be linked to incentivizing natural resource management. Livelihood restoration for communities that have encroached on forests should be based on forest-based resources. Defined and sustainable access and utilisation of forest resources should be promoted with the engagement of stakeholders

32 | P a g e 5. POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS

5.1 Overview The WB Policy on Involuntary Resettlement (OP 4.12) is triggered in anticipation that project activities may have some impacts on assets and livelihoods and may result in either economic or physical displacement. This RPF makes provisions to minimize impacts through the involvement of landowners, traditional authorities, farmers and communities as a whole, where practical, in order to minimize land acquisition cases. However, as the project sub-projects are not known in sufficient detail at this stage of preparing this RPF, provisions are made in the RPF to accommodate all potential situations, including cases that may entail actual displacement and livelihood restoration assistance in accordance with the WB OP 4.12.

5.2 Potential Social Impacts

The implementation of project activities may result in the following potential adverse impacts:

• Illegal encroachment into the protected areas may present asset and livelihood claims; • Illegal farmers may be displaced and food/ cash crops as well as farm structures or farm settlements may be affected; • Income from Illegal activities inside protected areas may be affected; • Land acquisition for climate-smart agricultural activities may lead to compensation claims. • Land acquisition for community-based forestry management may lead to compensation claims.

5.3 Potential Impacts on Assets and Livelihoods Given the types of activities envisioned under the project, the following generic impacts/ issues on assets (land, crops, and structures) and livelihoods can be expected:

• Land acquisition; • Crops may be affected; • Depending upon land use of selected sites, the existence of family/ community cultural sites such as cemeteries could be affected; • Damage to existing structures • Removal of community trees • Structures that exist in protected areas/ customary land (depending on the sites selected) may be affected; • Farmers’ livelihoods may be affected, if farms exist on selected lands; • Encroachers or affected illegal farmers’ livelihoods may be affected; and • Illegal miners’ livelihoods may be affected in protected areas.

33 | P a g e 6. COMPENSATION ELIGIBILITY CATEGORIES

6.1 Definition Of Affected Persons

Affected persons are those persons who, as a direct consequence of an activity or sub-project would, without their informed consent or power of choice either: (a) physically relocate or lose their shelter, (b) lose their assets or access to assets, or (c) lose a source of income or means of livelihood, whether or not they physically relocate to another place.

6.2 Cut-Off Date

Upon identification of the need for involuntary resettlement in a sub-project, the MNDP will be responsible, in collaboration with relevant local authorities, to carry out a census to identify the persons who will be affected by the sub-project. This will help the sub-project proponent to determine who will be eligible for assistance early enough in the Project cycle. It will also help to prevent an inflow of ineligible people living outside the sub-project area of impact but who might want to take advantage and claim for assistance. The form to be completed to conduct the survey is included in Annex 3. The completion of the census will mark the cut off-date for eligibility for compensation. Those who will come into the area after the cut-off date will not be eligible for compensation.

6.3 Eligibility Criteria

For purposes of determining eligibility criteria, displaced persons will be classified in one of the following three groups, depending on the type of right they have to the land they occupy:

• Any person(s) with formal legal rights to land. According to Zambia's land tenure system, this group consists of two types of people: those with title deeds and a 99-year renewable leasehold of state land, and the land they own has legally recognizable commercial value; and those who occupy land under the customary land tenure system, and the land is controlled and allocated to them by traditional authorities (chiefs) - the owners do not have title deeds but they have a 'customary' legal claim to it, and they may not involve themselves in land transactions without the consent of the chief;

• Any person(s) who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets. This group of people mostly comprises those who have bought land or other immovable property, but have not yet completed the process of acquiring title deeds. The other group consists of those in legally established voluntary relocation areas who have not yet reached the retirement age, at which point they become eligible for title deeds; and

• Those who have no recognizable legal right or claim to the land they are occupying prior to the cut-off date - these are mostly encroachers into state land or those who may or

34 | P a g e may not occupy customary land without permission or recognition by the local authority (chief).

6.4 Principles for Developing Eligibility Criteria

Where displacement occurs as a result of sub-project activities, a RAP is required to be developed, including detailed criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. In developing such a RAP, the following principles should be considered:

• The process of developing the RAP must include meaningful consultations with affected persons and communities, local authorities, and, as appropriate, non-governmental organizations (NGOs), and stakeholders. A continuous stakeholder consultation process must also be established to guide the RAP preparation and implementation stages;

• Those who have formal legal rights (including customary rights) to land and those who do not have formal legal rights to land at the time the census begins, but have a claim to such land or assets must be provided compensation for the land they lose, and other assistance, where necessary, such as: support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living and; development assistance such as land preparation, credit facilities, training, or job opportunities in addition to compensation measures;

• Those who have no recognizable legal right or claim to the land they are occupying, or where their assets such as shelter or crops are located, should be provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, if they occupy the Project area prior to a cut-off date Resettlement assistance may consist of land, other assets, cash, and employment;

• All persons included who qualify for compensation must be provided compensation for loss of assets other than land, such as shelter and crops;

• Project affected persons should be: offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be taken to restore their livelihood and standards of living. Such support could take the form of short-term jobs, subsistence support, salary maintenance or similar arrangements; and provided with development assistance in addition to the compensation measures described above, such as land preparation, credit facilities, training, or job opportunities.

• Special attention should be paid to vulnerable groups and persons, and they should receive tailored support, adapted to their specific needs.

35 | P a g e 7. VALUATION OF AFFECTED ASSETS

7.1 Asset Valuation Principles

In this RPF, the term asset is being used in the sense of an advantage or resource that is available to an individual or household. As such, assets can be divided into five categories: natural assets such as land and water; material assets like household assets, including trees, crops, and grazing areas; financial/ business assets, such as main income, peripheral income and informal and formal credit and business enterprise; human assets such as labour availability, and access to education and skills; and social asset, which include informal support networks, support and interest groups and the ability to participate in grassroots democracy.

7.2 Asset Inventorying Inventorying is the listing of assets in order to determine the value of each asset item and, consequently, the total value of assets. This requires that each asset item is expressed in an appropriate unit of measure. Examples of unit of measure include hectare for agricultural land, acre or square meter for residential plots and item count (each) for buildings and structures. The requirement to express assets in appropriate units for valuation purposes also entails that compound assets are separated and counted or added using appropriate units. An example of a compound asset is a piece of land on which a crop, such as maize, is still standing on it un-harvested. Proper inventorying requires that, for instance, the quantity of land is counted and expressed in its appropriate unit (i.e. hectare) and similarly the quantity of maize crop (expected to be harvested) is also expressed in an appropriated unit (e.g. 50-kilogram bag). Once the asset listing has been produced, which is done as part of the census, the replacement cost of each unit of asset category is then determined. The unit replacement cost for each asset category is the one that is multiplied by the quantity of asset holding in each category.

7.3 Zambian Asset Valuation Methods There are four main valuation methods used in Zambia: the investment method; direct comparison method; replacement cost approach; and residual method. However, these four methods do not meet the requirements of the WB OP 4.12. Therefore, the guidelines given in the WB OP 4.12 will be used in the project.

7.4 World Bank Asset Valuation Method The World Bank Operational Policy 4.12 requires the use of the replacement cost method for the valuation of assets. With regard to land and structures, "replacement cost" is defined as follows:

• For agricultural land, it is the pre-project or pre-displacement market value of land, whichever is higher, of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes;

36 | P a g e • For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes; and

• For houses and other structures, it is the market cost of the materials to build a replacement structure within an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors' fees, plus the cost of any registration and transfer taxes.

The policy states that "in determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the Project deducted from the valuation of an affected asset and where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard.

7.5 Comparison between the Zambian and World Bank Asset Valuation Methods

A comparison between the Zambian valuation methods and the WB’s method shows that the: • World Bank’s replacement cost method does not take into account the depreciation of the asset, whilst the replacement cost method used in Zambia takes depreciation into account; and • Zambian methods do not take into account transaction costs, whilst the WB method does.

The World Bank approach to valuation will, therefore, be used in this Project.

37 | P a g e 8. ARRANGEMENTS FOR FUNDING RESETTLEMENT COMPENSATION

8.1 Compensation Committee The Compensation Committee will be responsible for the oversight and implementation of the compensation process. The committee will be convened by the implementing agency, in and when resettlement cases arise, and will comprise expert representatives from local government and relevant line ministries e.g. Ministry of Agriculture, and the area chief. The Compensation Committee will have the following membership: at least 30% women members; and 30% members from vulnerable groups. The Compensation Committee will be supported by Task Teams and Sub- Committees as required for defined tasks. These groups will be specifically mandated by the Committee, with a clear brief and reporting structure. In addition, discussions about compensation will include both the husband and wife, when a male-headed household is impacted.

The Compensation Committee members will consider the allocation of portfolios and ensure clear management and reporting lines - monitoring could be one of the portfolios. The Compensation Committee will receive operational support from the MNDP.

8.2 Sources of Funding There is no determination on the number of PAPs at this stage. Therefore, it is not possible to provide an estimated budget for the total costs of resettlement that may be associated with the implementation of the project. Therefore, activities for individual RAPs for sub-projects will be funded like any other project activity eligible under the project. Funding will be processed and effected through the projects financial processing arrangements. Funds for implementing inventory assessments and resettlement action plans will be provided by the implementing agency. In general, the cost burden of compensation will be borne by the Government of the Republic of Zambia.

The RAP for a sub-project would include an itemized, indicative budget and the implementing agency will finance this budget through the administrative and financial management rules and manuals like any other activity eligible for payment under the project. This budget will be subject to the approval by the implementing agency. The implementing agency will have to finance the resettlement compensation because they will be impacting on the people’s livelihoods. Disbursements based on budgetary requirements, established by the RAPs in consultation with PAPs and local leaders, will be made through the agreed project financing channels.

38 | P a g e 9. COMPENSATION PAYMENTS In the Zambian legal framework, the basic principle with respect to compensation is that the sum awarded should, as far as possible, place the claimant in the same financial position as they would have been, had there been no question of the land being compulsorily acquired. In addition to assessing the value of the land acquired, assessments for severance, injurious affection and disturbance should be made, where applicable. Severance refers to the reduced value of the land used by the owner in the event that part of it is taken away. Injurious affection refers to the depreciation caused by what is done on the land taken by the acquiring authority. The amount of disturbance payment is equal to: • The reasonable expense of the person entitled to the payment in removing them from the land from which they are displaced; • Compensation for land and all immovable assets valued at market value or full replacement value, whichever is the higher rate; • Replacement cost shall be considered. The market rate for the lost asset may not permit replacement of similar land if the market rate is higher for the available replacement property and; • If they were carrying out trade or business on the land the loss they will incur by reason of the disturbance of that trade or business consequent upon their having to quit the land.

9.1 Compensation Guidelines Compensation Rates Compensation rates will be at market rates as at the date and time that the replacement is to be provided. The current prices of cash crops would have to be determined.

Homesteads Homesteads will be taken to include family residences and outbuildings as the bush part, which is not cleared, is considered community property. Therefore, only structures on the site belong to individuals/ families. The permanent loss of any bush will be covered by community compensation, which will be in-kind only. However, all persons losing land as a direct consequence of the Project or sub-projects will be entitled to land of equal amount and of similar standard, which will be located as close to the current site as possible.

Compensation for land is intended to provide the affected person whose land is acquired and used for sub-project purposes with compensation for land, labor and crops loss. Where land acquired has a standing crop, the farmer will be compensated in full for the expected market value of the crop plus the loss of investment of labor and purchased inputs for the relevant production year/ season.

Types of Compensation The types of Compensation recommended for use in the implementation of RAPs include cash payment, in-kind compensation, and livelihood replacement. Cash payment compensation will be calculated and paid in Zambian (ZMK). Rates will be based on the market value of land when known or estimated when unknown plus compensation of the value of standing crops. The cash payment will be equal to, or greater than the replacement value for the impacted asset. In-kind compensation may include items such as land, houses, and other buildings, building materials, seedlings, agricultural inputs and financial credit for equipment, whilst assistance to affected persons could include moving allowances, transportation and labor.

39 | P a g e It is recommended that cash payments to beneficiaries be provided through financial institutions like banks in order to reduce chances of theft and loss of livelihoods. The project implementation unit and the compensation and resettlement committees at Ward and District level and the beneficiaries will decide upon the time and place for in-kind compensation payments.

9.2 Compensation Computation This section of the RPF makes recommendations for the compensation rates for land, crops, labor, buildings and structures, vegetables, horticultural, floricultural and fruit trees. Distinction in compensation will be made between: a land owner and a land user; a land owner and owner of the crop, who may not be the head of the household. If the land owner differs from the user, then compensation must be calculated and provided to each person separately. For each payment, compensation will be calculated in Zambian Kwacha currency adjusted for inflation.

Compensation for Land Compensation for land is aimed at providing for loss of land or crops and the labor used to cultivate the crops, and will cover the market value of the land, the cost of the labor invested as well as the replacement cost of crops lost.

Crop Compensation Rates Prevailing prices for cash crops and fodder will have to be determined. Each type of crop is to be paid for, using the same rate, incorporating the value of the crop and that of the labor to be invested in preparing new land.

Labour Cost Compensation Rates The value of labour invested in preparing agricultural land will be compensated for at the average wage in the community for the same period of time. The calculation of labor cost for preparing replacement land will be based on what it would cost a farmer to develop replacement farm land.

Compensation Rates for Buildings and Structures Compensation for structures and buildings will be paid at replacement cost of labor and construction materials including fences and water and sanitation facilities. The applicable replacement cost of construction materials, taking into account market values for the structures and materials, will be used to calculate compensation value, where part of the compensation is to be paid in cash. Alternatively, compensation will be paid in-kind at replacement cost without depreciation of the structure.

Compensation Rates for Vegetables Affected families will be compensated at the purchase prices of these items in the local market.

Fruit Trees Fruit trees will be compensated at replacement value based on historical production statistics given their significance to the local economy.

40 | P a g e 9.3 Compensation Payment Principles Payment of compensation and other entitlements and assistance will be made to PAPs according to the following principles:

• Compensation shall be paid prior to being impacted by Project activities; • Compensation will be at least full replacement value and the compensation policy and its processes will be perceived by the PAPs as being full, fair and prompt; • Preference will be given to persons whose livelihoods are land-based; • Where sufficient land is not available at reasonable price, non-land based options centered on opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost; • Taking of land and related assets may take place only after compensation has been paid and resettlement sites, new houses, related infrastructure, public services and moving allowances have been provided to impacted persons; • In addition to these entitlements, households who are found to be in difficult situations, and are at greater risk of impoverishment such as widow/ widower-headed households, households without employment, and single parent households, as identified by the census, will be provided with appropriate assistance by the Project; • Assistance may be in the form of food, temporary accommodation, medical assistance, employment referrals or priority employment in Project activities. This assistance is meant to help PAPs cope with the displacement caused by the Project; and • Compensation and other assistance should be provided prior to displacement, and preparation and provision of resettlement sites with adequate facilities.

9.4 Entitlements and Compensation Matrix For ease of reference, a matrix of entitlements and compensation showing a summary of assets, the loss of which a PAP is entitled to be compensated for, will be prepared, and, as a minimum, will meet the standards of this RPF. The entitlements and compensation matrix will follow the eligibility criteria outlined in this RPF for compensation and/ or resettlement/ rehabilitation assistance and for losses of different types of assets and for various categories of PAPs as shown in Table below.

Table 2: Entitlement Matrix 41 | P a g e Types of Loss Definition of Entitled Person Compensation Policy Recommendations ✓ Occupants of lands that are under ✓ All current occupants of lands that are under active active cultivation cultivation in all protected areas should be relocated to ✓ Occupants that have proof of open areas. Permanent loss Compensation should cover purchase of the land ✓ Project proponent to facilitate alternative land with the of land for the market value of the land, ✓ Customary land occupants who traditional authorities in the province agriculture the cost of the labour invested can demonstrate their rights ✓ Project proponents to liaise with the Disaster produce as well as the replacement cost ✓ squatter of crops lost Management and Mitigation Unit in Muchinga Province which has set aside more than 100,000 Hectares for such purposes ✓ Traders and squatters ✓ Relocation out of game management area, with security of tenure provided for Permanent loss to avoid future risks of ✓ Project proponent to ensure construction of a trading of land for eviction shade prior to relocation. New trading facility should trading –in a ✓ Loss of sources of livelihood have adequate for water and sanitation facilities restricted area to be restored especially for women who are the majority. ✓ Business inconvenience to be suffered during the transition period to be considered Loss of main Owner-occupier; Widow / Widower ✓ Cash compensation at full ✓ Vulnerable people will need to be assisted in the structures such with or without letters of replacement costs with no construction of their structures by the project as residences administration or in occupation — deduction for depreciation or proponent and such structures should not be located under the Inheritance Act. state of existing structure or far away from schools, clinics and portable water location sources ✓ In kind compensation ✓ If married, compensation should be in both names of ✓ Replacement of alternative wife and husband homes Allowances: ✓ Administrative and Transaction ✓ Loss of Land

42 | P a g e ✓ Transportation to Bank (if applicable) for those areas that are closer to the district centers that have banks

Loss of all Owner-occupier; Widow / Widower Replacement cost for • Ensure no disruption of services. VIPs should be ancillary with or without letters of impacted portion of structure improved version to extent possible structures and administration or in occupation — – or entire structure, if no other buildings under the Inheritance Act. longer viable such as OR latrines, Replacement in-kind of all latrines wells/borehole and wells s, including Allowances: incomplete Land Use Restriction structures. Transportation to Bank *Note: The proposal to have all latrines reinstated in kind in the new location is to ensure that the service provided by the latrines and wells is restored by the project with no interruption in service in line with the aspirations of the UNICEF/GRZ’s Poor Water, Sanitation and Hygiene (WASH) programme. Loss of ✓ Cash compensation at full ✓ Legal owner of the structure Church/Mosqu replacement costs with no To avoid losing membership, it is recommended that the ✓ Community Leaders for the e/Temple/religi deduction for depreciation Church/Mosque/Temple/religious structures is relocated affected point of presence. ous structures or state of existing within the new resettlement area

43 | P a g e structure or location Allowances: ✓ Administrative and Transaction ✓ Loss of Land ✓ Transportation to Bank

Loss of access ✓ Construction of access to social roads and bridges where To avoid loss of access to social amenities (schools, ✓ Relocated PAP amenities due possible clinics, etc), the project should consider constructing to relocation feeder roads and bridges where possible.

44 | P a g e Operational budgeting will be part of the overall budgeting process for sub-projects. Once calculated, The RAP budget will be ring-fenced to ensure transparency and reporting. The budget may be divided into various cost centers.

9.5 Compensation Principles The Zambian legislation and WB OP 4.12 clearly establish the right to compensation for property that is acquired in public interest. Although the GRZ recognizes both statutory and customary land tenure, and people who lose their assets receive the same indemnification as those who have formal title, the specific procedures for valuing assets are not detailed in the Zambian legal framework. Therefore, the following valuation and compensation procedures will be followed for any resettlement related operations that will take place under the proposed Project activities.

• Land - house or business Plots - same size in nearby location, replaced in-kind. The Project will pay all the administrative fees. While all public utilities will be provided to all PAPs as appropriate. For businesses, particular attention should be paid to the type of clientele of the business. Agricultural fields will be replaced in kind by the Project.

• Agricultural Fields - same size and with same soil type and water availability - all administrative fees and costs will be paid by the Project. In the case of new agricultural lands, the costs of preparing the land for production will also be compensated for. If no unoccupied land is available, the search for suitable replacement must be carefully documented, and, if accepted, compensation will be at the current rate for informal land sales over the past three years. The Project will monitor that the PAP actually replaces the land.

• Residential Structures - the valuation of losses will be determined at their new or the un-depreciated or replacement cost will be the determinant factor in the compensation of the loss. Either replacement in-kind or, at the option of the PAP, compensation will be in and calculated at the new cost of a building of the same size made of similar or better materials. Any administrative fees will be paid by the Project. All public utilities will be provided as appropriate for the locality. The cost of physical transfer to new residence will be covered by the Project.

• Businesses Structures - As above (residential structures). In addition to land and structures, reimburse lost employee wages and business profit for the period of the relocation.

• Infrastructure (e.g., fences, latrines, wells) - replacement in-kind or compensation at current cost of replacing infrastructure.

• Crops - value of amount of production lost, priced at local market price at mid-point between harvests.

• Trees - timber trees: Value of lumber where tree is to be sold and sawn, if not salvaged.

45 | P a g e • Fruit trees - value of production lost during period while seedling comes into production. Provide replacement seedlings.

A description of the proposed types and levels of compensation under the law or customary practice, and such supplementary measures as are necessary to achieve replacement cost for lost assets, will be provided in each RAP.

In order to ensure that during the Project implementation any person impacted by land acquisition will be provided full replacement cost of lost structures and is able to rebuild or replace his or her house without difficulty, the Ward Development Committee (WDC) or Camp Agriculture Committee (CAC) will ensure that estimated building compensation rates are based on full replacement cost without depreciation. The WD/ CAC will also be responsible for ensuring that alternative residential plots are provided to the displaced persons. Once individual Project impacts are identified and valuation of individual structures is completed, detailed compensation rates for different structures will be included in the resettlement plan, and the plan will be submitted to, and reviewed for a no-objection by the WB or its designated representative prior to the start of any physical works.

46 | P a g e 10. RESETTLEMENT ACTION PLAN GUIDELINES AND REPARATION, REVIEW AND APPROVAL PROCESS

10.1 Resettlement and Compensation Guidelines

Whilst all persons affected by the sub-projects are to be treated equally, the WB OP4.12 recognizes that the vulnerable groups such as the elderly and women-headed households should be entitled to a special benefit package in addition to compensation entitlement.

RPF The RPF aims to provide a guideline for the preparation and implementation of a Resettlement Action Plan. This RPF establishes resettlement and compensation guidelines and design criteria to be applied to the sub-projects, which will be prepared during Project implementation in compliance with the Zambian and WB involuntary resettlement requirements. The following are some guidelines which should be followed in the implementation of this RPF and the Resettlement Action Plans:

• The RPF is applicable to all Project components, whether or not they are funded in whole or part by the WB; • The RPF policy applies to impacted persons regardless of the total number involved, severity of the impact, ethnicity, race or color, legal title to the land and those who may not be protected through the Zambian compensation legislation; • Where feasible, involuntary resettlement and land acquisition should be avoided or minimized by exploring all viable alternatives.

• Where relocation or loss of shelter occurs, measures to assist displaced persons should be implemented in accordance with a plan of action for resettlement and compensation. • The planning and implementation of the resettlement process will be conducted in a consultative manner with those to be displaced. • Absence of legal title to land should not be a basis for lack of compensation and resettlement assistance. • Displacement or restriction to access should not occur before necessary measures for resettlement and compensation are in place. Apart from compensation, these measures should include provision of other assistance required for relocation, prior to displacement, and preparation and provision of settlement sites with adequate basic facilities. • The displaced must be relocated to areas with basic amenities like schools, potable water and health facilities and all affected persons and entrepreneurs or institutions should be assisted to restore their incomes and livelihood sources to at least pre- resettlement levels. Particular attention will be paid to the needs of the elderly, women and children, child-headed households, the physically or mentally challenged, and the landless, and other vulnerable groups. • Wherever possible, those impacted by involuntary resettlement should be considered for employment in various Project activities including construction works and provision of other services. • The total cost of the Project should include the full costs of resettlement activities which are necessary to the achievement of the Project’s objectives.

47 | P a g e • The PAPS improvements in their living standards resulting from resettlement should also apply to the host communities.

RAP The scope and level of detail of the resettlement action plan, to be prepared by the MNDP, will vary with the magnitude and complexity of resettlement. However, the plan will be based on up-to-date and reliable information about: the proposed resettlement and its impacts on the displaced persons and other adversely affected groups; and the legal issues involved in resettlement.

RAPs will describe all measures aimed at restoring/ improving the livelihoods of affected persons and will include an annual budget for implementation of resettlement and other related activities. In addition, resettlement activities will be anchored on a participatory process guided by informed participation.

The resettlement action plans will include the following aspects:

• General description of the Project and identification of the Project area; • Potential impacts, including the Project component or activities that give rise to resettlement, the zone of impact of such component or activities, the alternatives considered to avoid or minimize resettlement; and the mechanisms established to minimize resettlement, to the extent possible, during Project implementation; • The main objectives of the resettlement program; • The findings of socioeconomic studies to be conducted in the early stages of Project preparation and with the involvement of potentially displaced people, including the results of a census survey covering current occupants of the affected area, standard characteristics of displaced households, including a description of production systems, labor, and household organization; and baseline information on livelihoods of the displaced population, the magnitude of the expected loss, and information on vulnerable groups; • Other studies describing land tenure and transfer systems, the patterns of social interaction in the affected communities, including social networks and social support systems, public infrastructure and social services that will be affected, and social and cultural characteristics of displaced communities; • The legal framework; • The institutional framework; • A definition of displaced persons and criteria for determining their eligibility for compensation and other resettlement assistance; • The methodology to be used in valuing losses; • A description of the packages of compensation and other resettlement measures; • Alternative relocation sites considered and explanation of those selected; • Plans to provide housing, infrastructure, and social services (e.g. schools, health services); • A description of the boundaries of the relocation area and an assessment of the environmental impacts of the proposed resettlement and mitigation measures; • Community participation mechanisms; • Measures to mitigate the impact of resettlement on any host communities; • Implementation schedule; 48 | P a g e • Cost and budget; and • Monitoring and evaluation arrangements.

RAPs will be produced and published in the National language (English) and local languages. The RAP documents will be made available by the MNDP at the Provincial, District, and Council Offices involved in the Project activities upon request. All affected people will be entitled to compensation for land and lost assets. They will be paid a replacement cost agreed between themselves and the Ministry of National Development Planning. The compensation will be based on the valuation done by the Government Valuator from the Ministry of Local Government and Housing or a Registered Valuation Firm, and will be equal to, or greater than, the replacement value. Compensation will also be provided for loss of access rights and livelihoods.

Whenever possible, land for land, as close as possible to the homestead should be provided as part of compensation. Ownership of the compensated land/ or property will be transferred to the state or sub-project beneficiaries by agreement. If the affected land is under tenancy, both the landowners and tenants as affected persons will be eligible for compensation and entitlements. Compensation for loss or potential loss of crops and trees should be calculated as annual net product value multiplied by the number of years for a new crop to start producing at the same level as when impacted.

The Project affected people should at least be better off than they were before the Project. Particular mechanisms will be developed to protect the economically and socially vulnerable. Priority for employment arising from Project activities will be given to affected persons losing assets. RAPs will be first reviewed and cleared by the World Bank, and implemented, prior to causing impact on affected persons, and a functional mechanism for resolving conflict arising out of the resettlement process will be established.

10.2 RAP Types

If the preliminary assessments (scoping and screening exercises) indicate the need for involuntary resettlement, then a RAP will be prepared in accordance with this Resettlement Policy Framework, World Bank Safeguard Policy and the relevant Zambian legal requirements. The preparation of the RAP may be outsourced to a specialist by the MNDP, who should in that case prepare the terms of reference for the preparation of the RAP.

Where impacts on the entire displaced population are minor, or fewer than 200 people are displaced, an abbreviated resettlement action plan (ARAP) may be prepared. If two hundred or more people are affected and Project activities result in involuntary resettlement then a Comprehensive RAP will be prepared

A comprehensive Resettlement Action Plan will include the contents given in Annex 4.

10.3 RAP Preparation

According to the WB OP on involuntary resettlement, the preparation of a resettlement instrument is a condition for appraising projects involving involuntary resettlement. In case of programs/ projects with sub-projects, the Bank requires that a satisfactory resettlement plan or an abbreviated resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the sub-project is accepted for Bank 49 | P a g e financing (OP/BP 4.12). Therefore, people who are affected and are eligible will have to be compensated before causing impact on affected persons.

The acquisition of land and the related assets may take place only after the impacted persons have been provided compensation; and resettlement sites and moving allowances, where applicable, provided. It is also a requirement of the WB OP/BP 4.12 and guidelines that measures to assist the displaced persons be implemented in accordance with the sub-project’s RAP, where there is loss of shelter and need for relocation.

Screening Mechanism for Resettlement Action Plans RAPs, which will be prepared for each sub-project involving the taking of land and/ or assets (involuntary resettlement) will include measures to ensure compliance with the involuntary resettlement policy directives. Furthermore, the implementation schedule should ensure that no land and/ or assets are taken for the Project before compensation is provided, and no individual or affected household is physically displaced by sub-project activities before compensation is paid and resettlement sites with adequate facilities prepared and provided to them. Figure 5 below shows the steps in the screening mechanism.

Scope of Resettlement Action Plans Overall responsibility for preparing a RAP for each sub-project will lie with the MNDP. They will ensure that a RAP that conforms to this RPF and to the requirements of the WB OP 4.12 is prepared. The RAP is a detailed time bound plan of action plan outlining the following among others: resettlement objectives; strategic options; responsibilities; approvals; entitlements; actions; and monitoring and evaluation. The process to be followed in preparing a RAP will involve several steps as outlined in the following sections.

Preliminary Assessments of a Sub-Project The proponent of a sub-project shall examine whether any environmental and social study is required for the type of sub-project being proposed. The initial assessments and surveys at this stage should include (i) potential social impacts, (ii) direct consultations with individuals and groups who are expected to be directly affected by the sub-project activities; and (iii) identification of the major population groups that may be affected by the proposed project. These surveys and assessments at this preliminary stage would form the basis for preparing the terms of reference for the RAP’s Social Assessment Component.

10.4 RAP Consultation

Consultations with the stakeholders including the affected people will be an integral part in the RAPs preparation, implementation and monitoring processes at all stages.

Consultation Mechanisms Consultation will be a continuous process from the earlier stages of the RAP activities and throughout its implementation. After the approval of a RAP the community, landholders and other PAPs will be informed of their involvement in resettlement, compensation, appropriation of land and other aspects of the RAP’s implementation and monitoring activities.

50 | P a g e The Provincial Program Implementation Unit (PPIU), Provincial Administration and District Officials, in which the sub-projects are being implemented, will notify the PAPs and other stakeholders like Villagers or Village Headmen and the Chiefs through verbal and written notices about land acquisition matters in the sub-project areas.

There are various structures that are to be utilized for facilitating consultation and relaying information, including communications through headmen and government extension staff (e.g. camp/ block officers) who often use a range of interest groups and women’s groups. Examples of such groups include:

• Village meetings under headmen; • Agricultural Cooperatives (including marketing associations, producer associations); • Joint Forestry Management Committees; • Community Resources Boards; • Resource User Groups (e.g. beekeeping groups, crafts associations); • Water Users Associations; • Ward Development Committees; • Youth groups; • Women’s clubs; and • Other special interest groups, with a focus on reaching vulnerable people.

Some of these interest groups may be organized through NGOs, CBOs and Faith-based Organizations (FBOs).

The means of communication will include the following:

• Verbal announcements/ messages (including use of mobile phones) through face-to- face interactions; • Community radio/ TV (where available); and • Written notification.

Regardless of the mechanism through which consultations will take place, affected people will be notified two weeks in advance of the meeting, and will also be provided with a summary of their entitlements in the local language two weeks in advance of the meeting. During the meeting, the draft RAP will be presented in the local language, and sufficient time will be given to hearing the concerns of the affected people, who will subsequently be notified on how their comments were taken into account. Such meetings will be documented, with the meeting reports annexed to the final version of the RAPs, including evidence of how the feedback received was taken into account (and if not, why not).

10.5 RAP Approval

The MNDP through its delegated agency will ensure that the draft RAP is made available at a place accessible to displaced persons, local NGOs, and other interested parties in a form, manner and language that are understandable to them once a draft RAP has been prepared.

51 | P a g e The draft RAP will be transmitted to the WB for appraisal and review at the same time. The WB will also make the RAP available to the public through its Info-Shop. The World Bank and MNDP will disclose the RAP again in the same manner following revision and feedback from the consultation process. RAP implementation will commence once the WB is satisfied with the public disclosures and has deemed the RAP to be acceptable.

10.6 Implementation Arrangements

The overall responsibility of monitoring and evaluating the RAP activities will lie with the MNDP , while the WB will periodically supervise the RAP activities to ensure compliance with the RAP provisions. The MNDP has the overall responsibility for preparing and implementing the RPF with World Bank approval. It will ensure that all compensation, restoration and rehabilitation activities are carried out satisfactorily.

The PPU will organize the regional and district orientation and training for the PPIU, DPIU and the various government departments likely to be involved in the process, to be ready to implement resettlement and alternative livelihood schemes, and the payment of compensation, and other activities in a timely manner. The PPU will ensure that progress reports reach the MNDP regularly. The Project administration and restoration planning will run concurrently.

Most of the work will be done at the district level. The PPU (through the DPIU), will ensure that:

• Communities are properly and adequately informed (timely, and also their rights and options relating to their properties that may be affected by the Project); • Coordinate activities between different communities implementing the restoration or compensation plans; • Ensure timely implementation of plans and provision of compensation, in cash and/ or kind; and • Attend to any grievances submitted by the affected persons/ communities.

The DPIU through the CAC and community leaders will engage and involve all sections of the community in discussions on the Plan. They will:

• Schedule open meetings to ensure that all community members are informed and fully aware of their rights and options regarding the restoration activity; and • Identify impacts on lands and assets and the members of the community to be affected and to what extent they will be affected.

10.7 Implementation Schedule

RAPs will have their time-frames aligned to those of the overall Project in order to ensure that resettlement sites are provided with adequate facilities and compensation prior to impacting PAPs. For successful implementation and as agreed between the Resettlement and

52 | P a g e Compensation Committee, the DDCC, the relevant Council and the Project Management Team, each RAP schedule should include the following:

• Time-frames for transfer of completed activities to relevant agencies; • Target dates for starting and completion of activities; • Dates for possession of land which the PAPs are using, after payment of compensation and other necessary assistance and before any resettlement activity commences; and • Linkages between RAPs and the sub-projects, overall activities and implementation.

10.8 Monitoring

There will be both internal and external monitoring of the RAP activities. Internal monitoring of the day-to-day operations of the resettlement program will be done by the implementing agency whilst external monitoring will be done by the monitoring agency designated to carry out external monitoring of RAP activities. The implementing agency will be responsible for providing progress reports to the WB on the implementation of the RAP including the achievement of key milestones such as the following:

• Completion of consultation (with notification material and meeting reports used as evidence); • Completion of impact assessment (with draft RAPs as evidence); • Number of households with land title and access to services such as schools, clinics and water. When titles are given the name of both the man and woman in a couple must be on the title; • Completion of disclosure (with web-links, and press notifications as evidence); • Completion of negotiation (with signed compensation agreements as evidence); and • Completion of resettlement (with the preparation of a resettlement implementation report, which includes feedback from the affected people, as evidence).

53 | P a g e 11. GRIEVANCE REDRESS MECHANISMS

11.1 Potential Grievances and Disputes

For resettlement-related issues in this project including involuntary expropriation, physical and economic displacement, impacts to livelihoods caused by the Project implementation, addressing social and gender resettlement-related impacts, as well as the remedies (full and timely compensation in-kind or cash, livelihood restoration), the Grievance Redress Mechanism (GRM) provides an institutional mechanism within the Project that maximizes opportunities for sustainable and amicable resolution of resettlement related grievances and complaints. The project however, should not be limited to adopt RAP related principles of grievances for the whole project

Potential grievances and disputes that arise during the course of the implementation of the sub-projects and resettlement and compensation program may, for instance, be related to the following issues:

• Inventory mistakes made during census survey as well as inadequate valuation of properties; • Disagreements on plot/ asset valuation; • Divorces, successor and family issues resulting into ownership disputes or disputes shared between heirs or family; • Disputed ownership of a given asset (two or more affected individual(s) claim the same); • Where affected individual(s) opt for a settlement-based option and there is disagreement on the resettlement package (the location of the resettlement site does not suit them); • Dispute of alleged voluntary donation of land; • Delayed disbursement of Project funds; • Long procurement procedures; and • Delayed commencement of sub-project activities.

11.2 Principles of the Resettlement Grievance Redress Mechanism The GRM shall adhere to the principles of: • Cultural appropriateness in handling community concerns • Social and gender equity • Availability of key messages and documents in local languages • Accessibility at no cost to affected community members • Proportionality to the scale of the impacts anticipated • Equity and non-discrimination on any grounds (gender, religious affiliation, language, economic status, etc.) • Assurance of confidentiality where complainants require it • Assurance against victimization for raising complaints • Timely, efficient, relevant and transparent handling of grievances and complaints on matters within the remit of the RAP 54 | P a g e 11.3 Procedure

Despite best efforts with regard to the public consultation and community relations, there will be times when the Project sponsor and stakeholders disagree. All Project affected persons will be informed of their rights to raise grievances pertaining to the project.

Mechanisms will be put in place to ensure that grievances are recorded and considered fairly and appropriately. These include:

• A register of grievances which will be held by the Community Liaison Officer or any other appointed person by the MNDP ; • Receipt of grievances will be acknowledged as soon as possible, by letter or verbal means; • The grievance will be reviewed by the Compensation Committee and appropriate action will be implemented. The preferred course of action will be discussed with the person bringing the grievance. Wherever possible, grievances will be resolved at this level; • Relevant details of grievances, with outcomes, will be made available to the affected parties through the MNDP , who will develop a communication strategy for the grievance redress mechanism for the Project, which should include an explanation of the methods used to carry out the Project’s activities and compensation payments.

11.4 Unresolved Grievances and Disputes

Unresolved issues will be referred to a credible and independent person or body for arbitration. Where disagreements are severe, disputes could be resolved through community- recognized local institutions such as senior church officials, or other respected civil society figures.

There are three main ways in which grievances will be resolved, and these are discussed below.

Arbitration The Arbitration Act makes provisions for aggrieved parties to agree to settle disputes out of court through arbitration. In order to use arbitration in the settlement of disputes, the parties ought to make a written agreement to submit a present dispute, or future disputes to arbitration. The parties are at liberty whether or not to name an arbitrator in the agreement. Where an arbitrator is not named in the agreement, the agreement should designate a person who would appoint an arbitrator.

Courts of Law It should be noted that arbitration only works where the parties to a dispute agree to resolve a difference through arbitration. Where there is no consent, then a court of jurisdiction may be used to resolve a dispute.

Grievance Redress Committee The Project will set up a grievance redress mechanism (GRM) building on both traditional conflict-resolution flows as well as administrative and Project based steps to ensure 55 | P a g e community members or any stakeholders have an opportunity and means to raise their concerns or to provide suggestions regarding Project-related activities. From the community to the national level, there will be focal persons to receive, record and address grievances, queries and suggestions.

A reporting line of received (and addressed) grievances will also be clearly defined, so that the MNDP (national level project unit) will have a full set of data. Complaints will be categorized and recorded at each level of the structure, and consolidated periodically in a national-level grievance database. The database will also be an effective management tool to monitor progress and detect potential obstacles in the Project implementation. During the participatory assessment process for sub-project preparation and sensitization sessions, the Project's GRM ("communication steps" for beneficiaries) will be explained so that all stakeholders are aware and encouraged to use the mechanism for transparency and better Project implementation. To better inform stakeholders, the Project will prepare materials (e.g., posters, leaflets) in a widely spoken local language and displayed in public accessed areas as part of the communication activities. More detailed plans on the GRM will be explained in the Project Implementation Manual (PIM).

The illustration in the table below summarizes the procedure for grievances redress and outlines the entry points and decision-making at respective levels.

56 | P a g e TABLE 1: FEEDBACK GRIEVANCE REDRESS MECHANISM LEVEL FOCAL POINT FOCAL PERSONS ACTION RECORDING COMPLAINTS UNIT/ORGANISATION (Grievance Committee) 1. Record the complaint submitted in the NATIONAL Grievance Committee • Independent Auditor The National Project national level grievance data base • Focal Persons (Forestry, Implementation Unit or an 2. Review monthly monitoring submitted by Wildlife, Agriculture & independent Auditor will try to the district/provincial level and enter all Lands) address the complaint: complaints with the status and record in the • Independent Legal • When resolved the person who national level grievance data base personnel from the raised the issue will be 3. Periodically review the grievance data base project implementing informed Ministry and follow up with focal point persons to • If not resolved the complaint ensure all cases are addressed will be reported to the World Bank within 2 weeks

1. Record the complaint • Provincial Planning Sub • Provincial Planner The Planner and Project • Provincial Planning Sub Committee submitted in the provincial Committee • Provincial Project Manager will discuss the • Provincial Project Implementation Unit level grievance data base • Provincial Project Manager issue and try to address 2. Record the complaint Implementation Unit it at the provincial level: submitted in the monitoring • When resolved the form person who raised the 3. Submit the monthly issue will be informed monitoring form including a • If not resolved the record of complaints to the complaint will be National level PIU reported to the National Project Manager (or if the complaint regards the National Project Manager) submit to the independent Auditor

57 | P a g e 1. Record the complaint submitted in the DISTRICT District Planning Sub District Planner The Planner will try to address District level grievance data base/Register Committee it at the district level: 2. Record the complaint submitted in a • When resolved the person who monitoring form raised the issue will be 3. Submit the monthly monitoring form informed including a record on complaints to the • If not resolved the complaint Provincial PIU will be reported to the Provincial Planner 1. Record the complaint submitted in the WARD Ward Development Ward Development The WDC Chairperson will try Ward level grievance Register Committee Committee Chairperson to address it at the ward level: 2. Record the complaint submitted in a simple • When resolved the person who monitoring form raised the issue will be 3. Submit the record of complaints to the informed District Planning Subcommittee • If not resolved the complaint will be reported to the District Planner

1. Record the complaint submitted in the ZONAL/COMMUNITY • Project Committee • Project Committee The focal persons at the community level grievance Register • Maintenance Chairperson community level will discuss 2. Record the complaint submitted in a simple Committee • Village Secretary and try to address the complaint form • Traditional Structure • Facilitator within the community: 3. Submit the record of complaints to the • Facilitator • When resolved the person who WDC Chairperson raised the issue will be informed • If not resolved the complaint will be reported to the WDC Chairperson Source: Adapted from ZIFLP,2018

58 | P a g e 12. MONITORING AND EVALUATION

12.1 RPF Monitoring

The MNDP will carry out the monitoring of the RPF to ensure compliance with its provisions by stakeholders. In addition, the MNDP will design and put in place the monitoring mechanism, which will include the monitoring of resettlement activities such as compensation valuation and compliance with the WB involuntary resettlement policy.

12.2 Internal Monitoring

To enable the sub-project proponents to measure progress against set targets, performance monitoring will be carried out as an internal function by the organization(s) responsible for the implementation of the RAPs. In this regard performance monitoring reports will be prepared at monthly, quarterly, half yearly and yearly intervals depending on the issues to be monitored. Performance targets will include:

• Public meetings held; • Compensation disbursed; • Census surveys completed; • Assets inventories and socio-economic studies completed; • Compensation agreements signed; • Number of people impacted; • Number of people with land title, amount of land available for crops; • Proportion of displaced people relocated; • Income restoration and development activities initiated; and • Feedback from affected people (presented in the resettlement implementation report).

If the volume of work involved in performance monitoring is beyond the capacity of the RAP’s implementing organization to carry out, then the monitoring function will be sub- contracted to a consultant.

12.3 Impact Monitoring

The impact monitoring to be undertaken by the sub-project proponent, or an independent agency, will provide an assessments of the effectiveness of the RAP strategies in meeting the affected population’s needs. Quantitative and qualitative indicators will be used to compare the effects of the RAPs activities with the baseline conditions of the affected populations before and after the resettlement exercises. The satisfaction of the affected population with the resettlement initiatives will be assessed for their adequacy or deficiency, while the census asset inventories and socio-economic studies will constitute the baseline for the affected population, for the purpose of evaluating impacts.

59 | P a g e 12.4 External Completion Audit

Completion audit(s) will be carried out after the completion of all RAP inputs. The main aim of the completion audit or external monitoring will be to assess: how far the sub-project proponents’ efforts have gone in the restoration of the living standards of the affected population; and whether the strategies for the restoration of the living standards of the affected people have been properly conceived and implemented.

The issues that need to be verified in the external monitoring will include:

• Physical inputs committed in the RAPs; • Delivery of services provided in the RAPs; • The effects of mitigation measures prescribed in the RAPs; • The affected populations and host populations social economic status; and • Plan for any mitigation that may be required to comply with requirements.

12.5 Development of Verifiable Indicators

In order to ensure that the monitoring of the impacts of the compensation and resettlement activities for the Project are done successfully, a number of objectively verifiable indicators (OVI’s) will be used. These indicators will be targeted at quantitatively measuring the physical and socioeconomic status of the PAPs, to determine and guide improvements in their social well-being. Therefore, monitoring indicators to be used for the RAP will have to be developed to respond to specific site conditions. As a general guide, Table 4 provides a set of indicators that can be used.

Table 3: Types of Variable Indicators

REF. MONITORING EVALUATION

1. Outstanding compensation or resettlement Outstanding individual

contracts not completed before next agricultural compensation or resettlement

season contracts 2. Communities unable to set village-level Outstanding village compensation

compensation after two years contracts 3. Grievances recognized as legitimate out of all All legitimate grievances rectified

complaints lodged 4. Pre-Project production versus present production Equal or improved production per

(crop for crop, land for land) household

Source: Adapted from ZIFLP, 2018

Indicators to Determine the Status of Affected People

A number of indicators will be used in order to determine the status of affected people (land being used compared to before, standard of house compared to before, level of participation in Project activities compared to before, how many kids in school compared to before, health 60 | P a g e standards, etc.). Therefore, the resettlement and compensation plans will set two major socio- economic goals for the evaluation of their successes:

• Affected individuals, households, and communities are able to maintain their pre- Project standard of living, and even improve on it; and • The local communities remain supportive of the Project.

Indicators to Measure RAP Performance In order to assess whether the goals have been met, the resettlement and compensation plans will indicate parameters to be monitored, institute monitoring milestones and provide the resources necessary to carry out the monitoring activities. The following parameters and verifiable indicators will be used to measure the resettlement and compensation plans performance:

• The Local Governments, with support from the PIU, will maintain a complete database on every individual impacted by the sub-project land use requirements including relocation/ resettlement and compensation, land impacts or damages; • Number of individuals receiving cash or a combination of cash and in-kind compensation; • Number of payments made in a month/ year; • The number of contentious cases out of the total cases; • The number of grievances and time and quality of resolution; • Ability of individuals and families to re-establish their livelihood (activities, land and crops or other alternative incomes) to the same level as prior to pre-Project level or better; • Mining and agricultural productivity of new lands; and • Number of impacted locals employed by the Project activities.

Indicators to Monitor and Evaluate Implementation of RAPs

Financial records will be maintained by the Local Governments and the executing agencies to permit calculation of the final cost of resettlement and compensation per individual or household. Each individual receiving compensation will have a dossier containing:

• Individual bio-data information; • Number of people s/he claims as household dependents; and • Amount of land available to the individual or household when the dossier is opened.

Additional information will be acquired for individuals eligible for resettlement/ compensation such as: level of income and production; and inventory of material assets and improvements in land and debts.

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13. REFERENCES/ BIBLIOGRAPHY

Central Statistical Office, 2012, 2010 Census of Population and Housing, Population Summary Report

Gumbo, D. J., Moombe, K. B., Kandulu, M. M., , G., Ojanen, M., Ndhlovu, E. and Sunderland, T.C.H., 2013, Dynamics of the charcoal and indigenous timber trade in Zambia: A scoping study in Eastern, Northern and Northwestern provinces, Occasional Paper 86, CIFOR, Bogor, Indonesia

IAPRI (2016) Rural Agricultural Livelihoods Survey. 2015 Survey Report

Interim Climate Change Secretariat (Ministry of Finance), 2016a, Environmental and Social Management Framework, Displaced Persons and Border Communities Project – Zambia Component (P152821)

Interim Climate Change Secretariat (Ministry of Finance), 2016b, Resettlement Policy Framework, Displaced Persons and Border Communities Project – Zambia Component (P152821)

Interim Climate Change Secretariat (Ministry of National Development Planning), 2016c, Zambia Integrated Forest Landscapes Project, Safeguards Consultancy Inception Report

Interim Climate Change Secretariat (Ministry of National Development Planning), 2016d, Zambia Integrated Forest Landscapes Project, Safeguards Consultancy Terms of Reference

Ministry of Agriculture and Cooperatives, 2011, The National Agriculture Policy

Ministry of Energy and Water Development, 2008, National Energy Policy

Ministry of Finance, 2013, Environmental and Social Management Framework, Investment Projects for the Barotse & Sub-Basins under the Strategic Program for Climate Resilience in Zambia

Ministry of Finance, 2014, Revised Sixth National Plan 2013-2016

Ministry of Lands and Natural Resources, 2014, Process Framework, Forest Investment Program (FIP) - Enhancing Carbon Stocks in Natural Forests and Agro-forest Landscapes, Republic of Ghana

Ministry of Lands, Natural Resources and Environmental Protection, 2014, National Forestry Policy

Ministry of Lands, Natural Resources and Environmental Protection, 2016, Final REDD+ Strategy

Ministry of Local Government, 2011, Decentralization Implementation Plan (DIP) 2011- 2015

Ministry of Mines and Minerals Development, 2016, Environmental and Social Management Framework, Zambia Mining Environment Remediation and Improvement Project

Ministry of Mines and Minerals Development, 2016, Resettlement Policy Framework, Zambia Mining Environment Remediation and Improvement Project

62 | P a g e Ministry of National Development Planning, 2016, Zambia Integrated Forest Landscapes Project, Vision Document

Ministry of Tourism, Environment and Natural, 2007, Formulation of the National Adaptation Program of Action on Climate Change

Ministry of Tourism, Environment and Natural, 2007, The National Policy on Environment

Mukosha and Siampale, 2008, Integrated Land Use Assessment 2005-2008, Forestry Department, Ministry of Tourism, Environment and Natural Resource, Zambia

National Assembly of Zambia, 2016, Acts of Parliament at parliament.gov.zm/acts/volume

Office of the President, Cabinet Office, 2002, The National Decentralization Policy

Republic of Zambia, 2006, Vision 2030

Sitko, N., Chapoto, A., Kabwe, S., Tembo, S., Hichaambwa, M., Lubinda, R., Chiwawa, H., Mataa, M., Heck, S., and Nthani, D., 2011, Technical Compendium: Descriptive Agricultural Statistics and Analysis for Zambia in Support of the USAID Mission’s Feed the Future Strategic Review, Food Security Research Project, USAID, Lusaka

Tembo, S., and Sitko, N., 2013, Technical Compendium: Descriptive Agricultural Statistics and Analysis for Zambia, Working Paper 76, INDABA Agriculture Policy Research Institute, Lusaka, Zambia

The Federal Democratic Republic of Ethiopia, 2013, Environmental and Social Management Framework, Sustainable Land Management Project II

USAID (2016) Impact Evaluation of the Community-Based Forest Management Program. Report on Baseline Findings

Vinya, R., Syampungani, S., Kasumu, E.C., Monde, C. and Kasubika, R., 2011, Preliminary Study on the Drivers of Deforestation and Potential for REDD+ in Zambia. A consultancy report prepared for Forestry Department and FAO under the national UN-REDD+ Program, Ministry of Lands & Natural Resources, Lusaka, Zambia.

World Bank, 2016a, Zambia Integrated Forest Landscapes Project, Project Information Document

World Bank, 2016b, Safeguard Policies, at worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL

Zambia Environmental Management Agency, 2012, Zambia Atlas of our Moving Environment

Zambia Environmental Management Agency, 2014, Fire Management Assessment of NRZ, Zambia

63 | P a g e 14. ANNEXES

14.1 Annex 1: Grievance Registration Form

Date: ______Grievance Number: ______

Complainant: ______

Cell Phone: ______Village: ______

Chiefdom: ______District: ______

Province: ______

Grievance Category (e.g. land, house, etc.): ______

______

Grievance location (Village, Ward, District): ______

______

Description of grievance: ______

______

______

______

______

Signature of Recording Officer: ______

GRIEVANCE INVESTIGATION REPORT

PARTICULARS OF THE GRIEVANCE Name of Complainant: Grievance Reference Number: Grievance Category : Grievance Description:

Grievance location (District, Ward, Village): TYPE OF INVESTIGATION CONDUCTED Field or Site Visit: Desk Review: Date Conducted: 64 | P a g e Yes. ( ) No. ( ) Yes. ( ) No. ( ) Key people consulted/interviewed:

Description of the scope of the investigation:

Summary of the findings:

Recommendations

Responsible/Investigation Officer Name:

Signature:

Designation:

Date:

District:

Province:

65 | P a g e 14.2 Annex 2: Field Maps- Tuta Bridge, Trading place in the GMA

66 | P a g e 14.3 Annex 3: List of stakeholders identified & consulted

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80 | P a g e 14.4 Annex 4: Proposed RAP Format/Table of contents

Table of Contents

EXECUTIVE SUMMARY DESCRIPTION OF THE PROJECT ...... PROJECT BACKGROUND ...... SUMMARY PROJECT DESCRIPTION ...... PROJECT RATIONALE ...... PROJECT DESCRIPTION & POTENTIAL DISPLACEMENT AND RESETTLEMENT IMPACTS ...... DEFINITION OF DISPLACEMENT AND DISPLACED PERSONS ...... PROJECT JUSTIFICATION ...... AIMS AND OBJECTIVES THE PROJECT COMPONENTS THAT GIVE RISE TO RESETTLEMENT ...... OBJECTIVES AND STUDIES UNDERTAKEN ...... REGULATORY FRAMEWORK ...... INSTITUTIONAL FRAMEWORK ...... STAKEHOLDER ENGAGEMENT ...... SOCIOECONOMIC CHARACTERISTICS OF AFFECTED POPULATION ...... ELIGIBILITY ...... VALUATION AND COMPENSATION FOR LOSSES ...... MAGNITUDE OF DISPLACEMENT...... ENTITLEMENT FRAMEWORK ...... RESETTLEMENT SITES ...... IMPLEMENTATION PROCEDURE GRIEVANCE REDRESS MECHANISM ...... MONITORING AND EVALUATION ...... IMPLEMENTATION SCHEDULE ...... COSTS AND BUDGET ...... MONITORING AND EVALUATION ......

Annex 5

81 | P a g e 14.5 Annex 5: Key issues from consultations

Emerging Key Issues proposed mitigation measure(s) Remarks themes Northern Province Reduced fish ✓ Reduction in rainfal pattern and high temperatue and the ✓ Given the background of the stocks (fishing) subsequent drying up of rivers and lakes especially the community, promotion of fish Mweruwantipa has affected the fish population and farming (e.g. the introduction of fish

livelihoods. ponds) would help in improving adherence levels of the community ✓ High poverty levels contributes as most people are extreme to the fish ban. Implimentation of poor in the rural communities of Kaputa District and are this measure will, however depend caught up in a vicious circle of poverty. Their main source on the availability of funds. of livelihood is fishing which is now depleted.

✓ Illegal fising taking place even in breeding areas which has

affected the fish stocks. The reduced fish stock has gone down forcing people to resort to alternative sources of livelihood such charcoal burning, poaching etc..

82 | P a g e Reduced ✓ Unpredictability of rainfall pattern due to climate change ✓ Promote conservation farming. ▪ agriculture has affected agricultural production. ✓ Government to ensure timely production ✓ Drought has resulted in recurring food shortages and delivery of inputs famines. ✓ Reduced production among peasant farmers has contributed to the depletion of natural resources such as wildlife in a protected areas ✓ High cost of chemical fertilizers has posed a challenge to farming in Kaputa District. The high cost of fertilizers coupled with late input delivery, by government through the Farm Input Support Program (FISP) contributes to decreasing production.

83 | P a g e Charcoal ✓ Demographic changes and high demand for land for ✓ Promote conservation of resources. Cutting down of production in human settlement and farming. trees in the national ✓ Introduction of alternative sources of the national ✓ Significant portion of forest resources have been park in Kaputa livelihood (e.g. goat keeping park encroached for wood fuel and charcoal burning to support District is done by program) to ensure that the livelihood. women and not communities around Game ✓ Extension of village boundaries towards national parks for men. Management Areas stay away from human development and farming possing a great risky to game parks During the wildlife. consultative ✓ Delayment in disbursement of Social Cash Transfer meeting with payments to vulnerrable households making them resort women involved in to other sources of livelihood such as, charcoal burning, charcoal production cutting down trees for firewood and fish preservation. in the national park, ✓ Flooding of rice fields in the basin of the lake which left it was confirmed women with no choice but to resort to charcoal burning in that only women the national park, thereby depleting forest resources. and not men have ventured into

cutting down of trees for charcoal production and the reasons given are that,-firstly, women provide for their families more than men and agreed to take the risk on behalf their families.

The second reason cited by women themselves is that, the Department of Wildlife and National Parks has been considerate

84 | P a g e and lenient on women caught cutting trees in the national park than men. The punishment given to women is lighter and only involves sweeping government offices while men are sentenced to prison.

85 | P a g e Impact on ✓ Increased human activities in the Game Management ✓ Relocate those who have settled in wildlife Areas has impacted negatively on wildlife. Notable the national park. activities include salt mining,peasant farming ✓ The game management area has rich deposit of salt. ✓ Provide alternative source of income People have encroached the Game Management Area to to those mining salt in the national mine salt as an alternative source of livelihood. park ✓ Poaching.

Muchinga province

86 | P a g e Forest encroachment ✓ Increased demand for land in the new Muchinga ✓ Sensitise communities on importance ▪ province which has led to increased demand for of conservation of forests. land for human development and farming, and ✓ Promotion of good forest this has resulted in the encroachment of forest management practices. reserves and other protected areas. ✓ Through the Department of Forest, ✓ Increased deforestation activities due to shifting engage politicians and traditional cultivation activities within and outside the forest leaders through workshops and area. conferences with signed dedications ✓ Increase in the demand for forest products and and commitment to respect land use population increase has posed a challenge on plans and integrity of the forests. forest areas. ✓ Increasing forest protection and ✓ Political interference in the allocation of land management of regeneration mainly in gazetted and other protected areas. ✓ Increase forest patrols and involve ✓ Demographic changes which has put pressure on community members in carrying out local authorities to allocate land to meet the patrol measures as provided for in growing demand. the decentralisation policy. ✓ Lack of proper demarcation of boundaries of ✓ Immediate development and forest reserve areas which has made people to formalization of land use plans for encroach in forest areas. forests. ✓ Weak laws to enforce proper measures of land ✓ Expand on what Muchinga Provincial use and management Forest Officer embarked on with ✓ Lack of land use plans regard to sustainable management of ✓ Increasing practise of cutting down of trees by forest resources. So far, the encroachers in the forest has caused changes in provincial office has signed two climate affecting the rainfall partners. agreements with the communities for pilot purposes and agreed that whatever the community collects from the forest they can use to support their livelihoods provided sustainable forest management and utilization principles are adhered to. ✓ Hold national indaba with all the key stakeholder on land use, planning and conservation management of natural resource. ✓ Encourage community participation in management of forest resources. ✓ Promotion of alternative sources of livelihood based on available natural resources. 87 | P a g e

Impact on subsistence ✓ Subsistence farming is affected by poor rainfall ✓ Government to build permanent ▪ agriculture production patterns which has made communities resort to structures for the affected families using farming land near streams in protected areas who are still in tents. Government such as, forest and game reserve areas. with help from cooperating partners, ✓ Flooding of certain areas affecting houses along to resettle the affected families on the the banks of the river and livelihood. A case in land set aside by the Disaster point is the flooding in disaster of the houses and Management and Mitigation Unit fields for the in for the people who (DMMU) for victims of flooding and settled on the river banks) other effects of climate change. ✓ Ensure that environmental matters are part of the conditions governing issuance of title deeds. ✓ Development of a framework for land administration at customary tenure which should be inclusive of all (because land degradation starts at customary level).

Luapula Forest encroachment ✓ High population density (leading to encroachment ✓ Develop a legal framework and of forest). institutional structures to ensure that ✓ The provincial ✓ Political interference behind the allocation of land all the relevant institutions are made stakeholders in forests to work together to develop and complained that all ✓ High poverty Levels (leading people to degrade improve the forestry sector protected forest natural resources to sustain livelihood). ✓ Engage Traditional leaders and reserves in the ✓ High demand for forestry products politicians to support Department of province are either ✓ Loss of trees due to shifting cultivation due Forest in forest management. heavily encroached poverty as families are unable to afford the high ✓ Supports the establishment of Joint or threatened. The cost of buy chemical fertilizers Forest Management (JFM) with local problem is being ✓ Over dependency on charcoal production as an communities escalated by lack of alternative source of livelihood. ✓ Engagement of Local Traditional well-defined forest ✓ Negative attitudes and practises towards forest Leaders and Politician in the use and boundaries, poor by the local communities management of forest resources. inter-institutional ✓ Encourage sustainable use of forest cooperation by

88 | P a g e products (harvesting, regeneration), institutions such as Forest conservation and restoration, Ministry of packaging, processing and storage Agriculture and techniques. traditional leaders who have been issuing farms for agriculture purposes and human settlement in forest reserves. Other factors that are contributing to the degradation of the forests include illegal exploitation of forest resources especially the famous Mukula tree and other suitable timber species for construction, increased demand for energy (charcoal and fuel wood production). Forest foods are also particularly important to the poor during the most intense food deficit periods. Communities gather fruits, mushrooms, edible insects, small animals and birds.

89 | P a g e The Forest also provides fuel and fodder supplements to the farm enterprise, and raw materials (timber and fuel) for small- scale rural enterprises. Fuel wood and charcoal from both the Customary Land and Protected Forest Reserves are the principal energy source.

✓ The Lubufita National Forest in Kawambwa is the most encroached forest in Luapula province for human development and settlement, followed by Mentapala forest where the government has even set up a refugee camp. The least encroached are Mbereshi Forest, Samfya and

90 | P a g e Kapweshi National forests. Impact on subsistence ✓ Reduced productivity due to unpredictable rainfall ✓ Promote Conservation Agriculture (CA) ✓ Poor market agriculture production pattern ✓ Promote agro-forestry with Faidherbia linkages or absence ✓ Drought and general dry spells taking longer than Albida (Musangu tree) to address the of it and how usual affecting the farming calendar primary concern of soil infertility (e.g. mitigating this gap ✓ Desertification due to overgrazing and the making , the farmers are been can help address area is susceptive to run off and subsequently, soil trained to employ environmentally effects of climate erosion. Vulnerable farmers can not affort to buy and friendly agricultural practices) change was highly suppliment forage for animals ✓ Creation of infrastructure to support discussed and ✓ Absence of an organised market system for small alternative sources of livelihood (e.g. emphasised by scale farmers livestock arraying. stakeholders. ✓ Unavailability of infrastructure to support alternative Vulnerable Small livelihoods scale farmers who ✓ manifestation of pests such as army worms Presence are the majority in of pests the province have no voice, therefore lack capacity to bargain for better prices

✓ The main losers when there is an emergence of army worms are small scale farmers who depend on fertilizer and seeds from the government through Fertilizer Input Support Program (FISP).They have no capacity to buy pesticides.

91 | P a g e Reduced fish stocks ✓ Rainfall variability characterised by excessive storms Because permanent restriction to the ✓ It was reported that (fishing) and and prolonged dry spells has affected the fish stocks river will negatively affect people’s the major constraint in the main water bodies. livelihoods, it is proposed that: to effective Restrictions on access to ✓ Increased household demand for fish (for income and ✓ Sensitization of the surrounding monitoring and fishing grounds for home consumption). communities, enforcement of fish ✓ Overfishing ✓ Facilitate alternative livelihood strategies ban and control ✓ Increase in use of illegal fishing gears catching even and programmes which are in line with illegal fishing in juvenile fish. and appropriate to the local tradition, restricted areas has ✓ Fishing in restricted areas such as breeding area. culture, resources, capacity and interest. been and still is ✓ Community disregard of the official fish ban ✓ Establishing local production systems for inadequate funding high quality fingerlings to effectively ✓ Promote and support alternative sources enforce the ban. of livelihood. What provincial and ✓ Strengthening the capacity for district stakeholders aquaculture extension services. said to have helped ✓ Confiscate illegal fishing gears, intensify in controlling the sensitisation of dangers and legal situation is the implication of using illegal fishing gears. coordination and suppport from the ✓ Improve staffing levels in the Department Marine Unit (a in order to enhance monitoring and Marine division of surveillance of fish breeding grounds. the Zambian military ✓ Relocate and resettle those who have wing). To mitigate settled and are trading in fish breeding the situation, areas. government has ✓ Intensify patrols during fish ban on the undeniably main water bodies, and prosecute introduced the use anyone found fishing. of force in order to restore order. ✓ Intensify road patrols and increase the

number of road blocks and check points ✓ The need to in selected transit points. relocate the trading ✓ Construction of an alternative market for community from the affected community atlest 10km from Tuta Bridge which is the Tuta bridge. a breeding ground for fish was widely expressed by all provincial and stakeholders. Senior Provincial district government officials have 92 | P a g e confirmed holding meetings with the Impact on wildlife (due ✓ Poverty and demographic changes ✓ Improve staffing levels in the Department ✓ The department to poaching) ✓ Belief that wildlife is God given and the community in order to enhance their capacity to submitted that has the right to kill conduct patrols. much as people are ✓ Disregard for laws ✓ Government to increase funding to the allowed to settle in Department in order to enable them Game Management preserve wildlife resources. Areas by law, the ✓ Relocate and resettle those who have problem is that they settled in the Game Management areas. indulge in ✓ Intensify road patrols and increase the poaching,which is number of road blocks and check points illegal and in selected transit points. punishable by law. ✓ Engage traditional authorities in the ✓ The department management of protected areas. further submitted that areas for fishing have also reduced in number, and those fishing resort to killing hippos and other wildlife due to failure in production upland. Failure in production upland is caused by changes in climate. ✓ Settling in a GMA is allowed but what warrants relocation is indulgence in poaching.

93 | P a g e 14.6 Annex 6: Lesson learnt LESSONS LEARNT FROM SUSTAINABLE NATURAL RESOURCE MANAGEMENT PROJECTS: DFNRMP & CFP Overview of DFNRMP & CFP The DFNRMP Introduction Project was a three-year collaboration between the Government of Finland and Government of Zambia, with an overall goal to contribute to the reduction of poverty and inequality and improvement of environmental conditions through devolved integrated sustainable forest and other natural resources management. The project was implemented in Chinsali, Shiwangandu and Nakonde districts of Muchinga Province and Kasempa, Ikelenge and Mwinilunga of North-Western Province from February 2015 to December 2017, targeting forest dependent individuals and households including women, vulnerable groups and households living in extreme poverty.

The CFP is a 5 year USAID funded Cooperative Agreement jointly implemented by the Forestry Department (FD), Department of National Parks and Wildlife (DNPW) and Biocarbon Partners (BCP) Ltd in Lusaka and Eastern Provinces. The CFP began on February 1st 2014, and is anticipated to run until January 31st, 2019. The CFP is designed to exemplify and support the Government of Zambia’s (GRZ) Reducing Emission from Deforestation and Degradation (REDD+) strategy by establishing the largest REDD+ program to-date in Zambia. The CFP aims to establish REDD+ project areas across a minimum of 700,000 hectares within the Zambezi and Luangwa Valley ecosystems, and in so doing, to support deforestation mitigation activities taking place on a total of up to 2 million hectares, involving up to 10,000 households. The main objectives of the CFP are to reduce emissions from deforestation through participatory natural resource management of globally biodiversity significant forested landscapes; reduce poverty through improvements in smallholder farmer agricultural productivity, development of non-timber forest products and expansion of markets and value chains; and support the Government of the Republic of Zambia(GRZ)to develop a legal framework and pilot project to demonstrate the viability of REDD+ as a replicable forest management strategy.

Findings The DFNRMP in brief demonstrated that a devolved sustainable forest and other natural resources management (FNRM) model can help conserve sensitive but vulnerable ecosystems and help communities derive sustainable benefits. The CFP has demonstrated that conservation fees from Carbon offsets provides an incentive for conservation of forests through supporting community livelihood activities and infrastructure development for social service delivery which results in improved standard of living of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces the value of forest in improving rural livelihood. Below is a detailed summary that sets pace for the implementation of the proposed mitigation measures: • The drivers of deforestation and land degradation are multifaceted and interlinked. The impact of one action or land use can have a significant effect on other land areas and environmental resources and therefore livelihoods of a much larger number of people. Therefore, an integrated landscape planning approach to operationalize devolved sustainable natural resource

94 | P a g e management, concentrating planning for scale and impact at landscape level is key to addressing landscape development issues. • A landscape approach entails viewing and managing multiple land uses in an integrated manner, considering both the natural environment and the human systems that depend on it. Mobilizing district stakeholders into multi-stakeholder platforms and strengthening their capacity for integrated sustainable natural resource planning, coordination and implementation is fundamental in adopting a district integrated landscape approach • Using the district multistakeholder teams is key to implementation of integrated landscape planning, addresses weak district level coordination among the institutions with oversight responsibilities on forests, other natural resources and livelihoods. The integrated multi-sector approach has the advantage of drawing on the wide ranging experience and skill sets of officials from different sectors. • Devolving the governance functions of forest and other natural resources to local communities who are highly dependent on these resources for their livelihoods increase local people’s access to and control over forest benefits. It encourages transparent and participatory local governance of forest and other natural resources, ensure that community priorities regarding forests and other natural resources are accounted for in district planning and returns from forest products accrue to the communities. The local communities themselves who are close to these resources oversee access, conservation and sustainable utilization of the forests and other natural resources which coexist with their communities in accordance with the principles of sustainable management. • Market-oriented natural resource-based enterprise development that has a direct link to forests and natural resources, involving and benefiting local communities provides an incentive for conserving natural resources. Promoting sustainable market linkages for community level producer groups to markets is key in assisting people in achieving sustainable livelihood systems so that their households and community economic assets could be increased and natural resource management improved. • The integrated, multi-sector approach and service delivery mechanism which includes working with officials from the Ministry of Community Development and Social Welfare, ensures gender mainstreaming, tracking, focus on inclusion of marginalised groups in participatory process, as well as reinforces national policies and processes relative to equality. • The decentralised integrated approach helps build understanding of the policy and legal framework for different sectors across the planning and implementation team. This evidenced by non-foresters advocating for implementation of the new National Forestry Policy and Forests Act. • Conservation fees from Carbon offsets can support infrastructure development and social service delivery which results in improved living conditions of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces the value of forest in improved rural livelihood. • The Decentralisation Policy, the revised Forests Act of 2015, the National Forestry Policy of 2014, Community Forestry Regulation of 2018 and Wildlife Act of 2015 provides a legal basis for greater community involvement in sustainable management of vulnerable landscapes. These therefore provides a conducive legal framework for implementing decentralised and sustainable FNRM providing the policy and. Through these policies, the Government of Zambia seeks to manage productive landscapes to enhance forest products and services for improved income generation, poverty reduction, job creation and protection and maintenance of biodiversity, and contribute to mitigation of climate change. This therefore, forms basis for a firm socio-economic

95 | P a g e and legal engagement in the collective management, including the private sector to transform landscapes for resilience and development in Zambia. • Most of the rural population lives on customary lands, comprising 60% of total land ownership, and are highly dependent on forest resources for food security and livelihoods, including non- wood forest products (NWFPs), such as nuts, fruit, mushrooms, caterpillars, medicines, grass, and other products as well as wood resources for construction and energy (DFNRMP, 2017). However, poverty is also a major underlying driver of deforestation and of degradation of natural resources through unsustainable natural resource utilization. • Sustainable livelihoods and enterprise development based on natural resource utilization requires secure and exclusive access to natural resources. The investment in secure rights provided by the new Forests Act through provides the incentive to communities to manage natural resources sustainably and thereby result in improved livelihoods and poverty reduction. • Trying to replace this massive livelihood contribution with alternatives (to natural resources) may not be realistic and also may not be desirable as has been experienced in other similar projects in Zambia and neighbouring countries. In the consultation conducted in all the communities during the community engagement exercise, they stated that with control of the forest, sustaining a high level of benefits was key to motivating communities to maintain the forest and not convert it.

96 | P a g e 14.7 Annex 7: Reinstatement Cost

Dwelling House : Residence Impact: Full Asset Quantity Unit Unit Price Cost

Roofing: Longitudinal purlins 5.00 No. 80.00 400.00

5.00 No. 55.00 275.00

Roofing: (corrugated iron sheets) 14.00 No. 110.00 1,540.00

Roofing: Wall plate (mono-pitched) 2.00 No. 120.00 240.00

Roofing Accessories 0.10 Item 2,455.00 245.50

Walls: (burnt/raw brick) 34.00 m² 15.00 510.00

Walls: (mortar) 34.00 m² 16.80 571.20

Foundation: (anti termites) 0.16 ltrs 140.00 21.84

Foundation: (Structural Blinding) 0.31 m³ 54.75 16.75

Foundation: (Cement) 2.45 m³ 450.00 1,101.60

Foundation: (River Sand) 2.45 m³ 167.50 410.04

Foundation: (Stone) 2.45 m³ 280.00 685.44

Foundation: (Block Work) 16.32 m² 15.00 244.80

Foundation: (Mortar) 16.32 m² 19.25 314.16

Foundation: (Sand Blinding) 0.11 m³ 100.00 10.92

Floor: (concrete slab) 1.09 m³ 450.00 491.40

Floor: (river sand slab) 1.09 m³ 167.50 182.91

Floor: (stone slab) 1.09 m³ 280.00 305.76

Floor: (conforced wire) 0.22 No 850.00 185.64

Floor: (polyethylene plastic membrane) 0.09 No 150.00 13.65

Floor: (concrete sand screed finish) 10.92 m² 22.45 245.15

Typical Fittings (Windows, Doors, etc.) 0.10 Item 8,011.77 801.18

Fitting Accessories 0.05 Item 801.18 40.06

Main Structure Total Material Cost: 8,853.00

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AH001

Names of Owner : Dwelling House Quantity Unit Unit Price Cost

Material Replacement Cost: Total Material Replacement Cost (See Page 2): 8,853.00

Total Material Replacement Cost : 8,853.00

Additional Compensation: Professional Fees 5% 442.65

Labor Cost 30% 2,655.90

Total Material, Labor Cost 11,951.55

Contractors Profit + Overhead 15% 1,792.73

Transportation of Materials 20% 1,770.60

Structure Sub Total 15,514.89

Contingency 10% 1,551.49

Structure Sub Total+ Contingency 17,066.38

Total Compensation 17,066.38

14.8 Annex 8: Tentative Compensation Budget Estimated Impact Type impact count Amount (ZMW) Ornamental plants 1266 2,084,000.00 Business disturbance 555 1,180,000.00 Minor impacts on residences 326 6,876,000.00 Commercial Impacts 61 2,250,000.00 Full Impacts 27 6,080,000.00 Total 2235 18,470,000.00

98 | P a g e