Document of The World Bank
FOR OFFICIAL USE ONLY
Public Disclosure Authorized Report No: 60375-AFR
PROJECT APPRAISAL DOCUMENT
ON A PROPOSED GRANT
FROM THE GLOBAL ENVIRONMENT FACILITY TRUST FUND
IN THE AMOUNT OF US$2.28 MILLION TO THE REPUBLIC OF MALAWI Public Disclosure Authorized
AND
IN THE AMOUNT OF US$2.54 MILLION TO THE REPUBLIC OF ZAMBIA
FOR THE
Public Disclosure Authorized SUSTAINABLE MANAGEMENT OF THE NYIKA TRANSFRONTIER CONSERVATION AREA PROJECT
March 22, 2011
Environment and Natural Resource Management Unit Southern Africa 3 – Malawi, Zambia, Zimbabwe Africa Region
Public Disclosure Authorized This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization.
CURRENCY EQUIVALENTS
(Exchange Rate Effective as of January 31, 2011) Currency Unit Malawian Kwacha, Zambian Kwacha US$1 MWK153.5 US$1 ZMK4,850
FISCAL YEAR July 1 – June 30 (Malawi) January 1 – December 31 (Zambia)
ABBREVIATIONS AND ACRONYMS
AAA Analytical and Advisory Activities ACB Anti-Corruption Bureau ADC Area Development Committee AIA Autonomous Implementing Agency AMU Area Management Unit AWF African Wildlife Foundation AWP Annual Work Plan BOP Balance of Payment BP Bank Procedure BZDP Border Zone Development Project CABS Common Approach to Budget Support CAS Country Assistance Strategy CBD Convention of Biological Diversity CBNRM Community-Based Natural Resource Management CBO Community-Based Organization CCA Community Conservation Area CEO Chief Executive Officer CIA Central Intelligence Agency CIPS The Chartered Institute of Purchasing and Supply CNP Chama Nature Park COMACO Community Markets for Conservation COMPASS Community Partnership for Sustainable Resource Management CP Cooperating Partner CQ Consultant‟s Qualification CRB Community Resource Board CSO Civil Society Organization DA Designated Account DC District Commissioner DED Deutscher Entwicklungsdienst DDCC District Development Coordination Committee DEAP District Environmental Action Plan DNPW Department of National Parks and Wildlife DoF Department of Forestry ECF Extended Credit Facility ED Executive Director
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EIA Environmental Impact Assessment ELAMU East Luangwa Area Management Unit EMP Environmental Management Plan ESA Environment and Social Assessment ESAMI The Eastern and Southern African Management Institute ESMF Environment and Social Management Framework ESW Economic and Sector Work EU European Union FAO Food and Agricultural Organization FM Financial Management FMR Financial Monitoring Report FR Forest Reserve FY Fiscal Year GDP Gross Domestic Product GEF Global Environment Facility GEF-M Global Environment Facility - Malawi GEF-Z Global Environment Facility - Zambia GEO Global Environmental Objective GIMPA Ghana Institute of Management and Public Administration GIS Geographical Information System GMA Game Management Area GMP General Management Plan GoM Government of Malawi GoZ Government of Zambia GPN General Procurement Notice GPS Global Positioning System GTZ Gesellschaft für Technische Zusammenarbeit Ha Hectare HPI Human Poverty Index HQ Headquarters HWC Human Wildlife Conflict IA Implementing Agency IBRD International Bank for Reconstruction and Development IBA Important Bird Area ICB International Competitive Bidding IDA International Development Association IDDP Integrated District Development Plan IFMIS Integrated Financial Management Information System IFR Interim Financial Report INT Department of International Integrity IS Implementation Support ISDS Integrated Safeguards Data Sheet IUCN International Union for Conservation of Nature JMP Joint Management Plan JPCC Joint Permanent Commission of Cooperation JSC Joint Steering Committee KfW Kreditanstalt für Wiederaufbau LAB Local Advisory Board MC Ministerial Committee MCC Millennium Challenge Corporation MDG Millennium Development Goal MEET Malawi Environmental Endowment Trust METT Management Effectiveness Tracking Tool
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MGDS Malawi‟s Growth and Development Strategy M&E Monitoring and Evaluation MWK Malawian Kwacha MoU Memorandum of Understanding MP Management Plan MTENR Ministry of Tourism, Environment and Natural Resources MTR Mid-Term Review MTWC Ministry of Tourism, Wildlife and Culture MZ TFCA Malawi Zambia Transfrontier Conservation Area NA Not Applicable NBSAP National Biodiversity Strategy and Action Plan NCB National Competitive Bidding NIA Nyika Implementation Agency NP National Park NGO Non-Governmental Organization NMT Nyika Management Team NRC Natural Resources Committee NRM Natural Resource Management NVANRD Nyika-Vwaza Association for Natural Resource and Development NWT Nyika Vwaza Trust ODPP Office of the Director of Public Procurement OP Operational Policy (WB) OP Operational Program (GEF) ORAF Operational Risk Assessment Framework PA Protected Area PAP People Affected by the Project PDO Project Development Objective PEMFA Public Expenditure Management and Financial Accountability PF Process Framework PFM Public Financial Management PIF Project Identification Form PIM Project Implementation Manual PPF Peace Park Foundation PPG Project Preparation Grant PPP Public-Private Partnership QCBS Quality and Cost-Based Selection PR Project Report PR Public Relations RAP Resettlement Action Plan REMNPAS Reclassification and Effective Management of the National Protected Areas System Project RFP Request for Proposal RPF Resettlement Policy Framework SA Special Account SADC Southern Africa Development Community SAG Sector Advisory Group SBD Standard Bidding Document SEA Strategic Environmental Assessment SEED Support for Economic Expansion and Diversification SO Strategic Objective SOE Statement of Expenditures SP Strategic Program SSS Single Source Selection TA Technical Assistance
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TAC Technical Advisory Committee TBD To Be Defined TFCA Transfrontier Conservation Area TLC Total Land Care TOR Terms of Reference TTL Task Team Leader UK United Kingdom UN United Nations UNDP United Nations Development Program UNOPS United Nations Office for Project Services USAID United States Agency for International Development US$ United States Dollar VC Video Conference VDC Village Development Committee WB World Bank WCS Wildlife Conservation Society WCSZ Wildlife Conservation Society of Zambia WR Wildlife Reserve WTTC World Travel and Tourism Council WWF World Wide Fund for Nature YR Year ZAWA Zambia Wildlife Authority FD Zambia Forestry Department ZMK Zambian Kwacha
Regional Vice President: Obiageli Katryn Ezekwesili Acting Country Director: Olivier Godron Sector Director: Jamal Saghir Sector Manager: Idah Z. Pswarayi-Riddihough Country Manager Zambia: Kapil Kapoor Country Manager Malawi: Sandra Bloemenkamp Task Team Leader: Jean-Michel G. Pavy
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MALAWI, ZAMBIA Sustainable Management of the Nyika Transfrontier Conservation Area Project
Contents
I. Strategic Context ...... 1 A. Country Context ...... 1 B. Sectoral and Institutional Context ...... 1 C. Higher Level Objectives to which the Project Contributes ...... 5 II. Project Development Objectives...... 6 A. Project Beneficiaries ...... 6 B. PDO Level Results Indicators ...... 6 III. Project Description ...... 7 A. Project Components ...... 7 B. Project Financing ...... 9 IV. Implementation...... 12 A. Institutional and Implementation Arrangements ...... 12 B. Results Monitoring and Evaluation ...... 14 C. Sustainability ...... 15 V. Key Risks ...... 16 VI. Appraisal Summary ...... 17 A. Economic and Financial Analysis ...... 17 B. Technical ...... 17 C. Financial Management ...... 18 D. Procurement ...... 18 E. Social ...... 19 F. Environment ...... 20 Annex I: Results Framework and Monitoring...... 22 Annex II: Detailed Project Description...... 25 Annex III: Implementation Arrangements ...... 32 A. Project Institutional and Implementation Arrangements ...... 32 B. Project Implementation ...... 32 C. Financial Management, Disbursement and Procurement ...... 33 D. Environmental and Social (including Safeguards) ...... 45 E. Monitoring and Evaluation ...... 49
F. Role of Partners ...... 50 Annex V: Implementation Support Plan ...... 56 Annex VI: Team Composition ...... 59 Annex VII: Incremental Cost Analysis ...... 60 A. Baseline Scenario ...... 60 B. Alternative Scenario...... 61 Annex VIII: Nyika TFCA Assessment ...... 67 A. Location ...... 67 B. Core Justification ...... 68 C. Positive Contributing Factors ...... 69 D. Management Issues ...... 71 E. Socio-economic Situation...... 71 F. Policy and Legal Framework for Community Involvement ...... 72 G. Agriculture as Main Land Use ...... 73 H. Biodiversity Threats ...... 74 Annex IX: First 18-Months Procurement Plan...... 79 Annex X: Maps of Nyika TFCA and Project Area ...... 85
This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization.
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PAD DATA SHEET
Malawi, Zambia
Sustainable Management of the Nyika Transfrontier Conservation Area Project
PROJECT APPRAISAL DOCUMENT
AFRICA REGION AFTEN
Date: March 22, 2011 Sector(s): General agriculture, fishing and forestry Acting Country Director: Olivier Godron sector (100%) Sector Director: Jamal Saghir Theme(s): Biodiversity (P); Environmental policies and Sector Manager: Idah Z. Pswarayi-Riddihough institutions (S); Other financial and private sector Country Manager Zambia: Kapil Kapoor development (S) Country Manager Malawi: Sandra Bloemenkamp Team Leader: Jean-Michel G. Pavy EA Screening Category: B (Partial Assessment) Project ID: P108879 Lending Instrument: Specific Investment Loan Project Financing Data: Proposed terms: [ ] Loan [ ] Credit [X] Grant [ ] Guarantee [ ] Other: Source Total Amount (US$M) Total Project Cost: 11.09
Total Cofinancing: Norway (Malawi) - Parallel 4.20 PPF - Parallel 0.23 Borrower: Government of Malawi 1.37 Government of Zambia 0.47
Total Bank Financing: GEF (Malawi) 2.28 GEF (Zambia) 2.54 Total GEF 4.82 Recipient: Republic of Malawi and Republic of Zambia through Ministry of Tourism, Wildlife and Culture in Malawi and Ministry of Tourism, Environment and Natural Resources in Zambia Responsible Agencies: Malawi Department of National Parks and Wildlife, Zambian Wildlife Authority, and Zambian Forestry Department Malawi Zambia Contact Person: Leonard Sefu Contact Person: Jack Chulu Telephone No.:+265 885 678 Telephone No.: +260 211 278 366 Email: [email protected] Email: [email protected]
Estimated Disbursements (Bank FY/US$m) MALAWI – FY 2011 2012 2013 2014 2015 2016 Annual 0.10 0.31 0.42 0.52 0.49 0.44 Cumulative 0.10 0.41 0.83 1.35 1.84 2.28 ZAMBIA – FY 2011 2012 2013 2014 2015 2016 Annual 0.11 0.34 0.48 0.59 0.54 0.48 Cumulative 0.11 0.45 0.93 1.52 2.06 2.54 Project Implementation Period: Start: April 2011 End: February 2016 Expected effectiveness date: June 30, 2011 Expected closing date: June 30, 2016 Does the Project depart from the CAS in content or other significant ○ Yes X No respects? If yes, please explain:
Does the Project require any exceptions from Bank policies? ○ Yes X No Have these been approved/endorsed (as appropriate by Bank ○ Yes ○ No management? Is approval for any policy exception sought from the Board? ○ Yes X No If yes, please explain: Does the Project meet the Regional criteria for readiness for X Yes ○ No implementation? If no, please explain: Project Development Objective and Project Global Objective: To establish more effective transfrontier management of biodiversity in the Nyika Transfrontier Conservation Area.
Project description The Project consists of the following parts: Component 1: Institutional and Planning Framework The objective of this component is to establish and operationalize the governance and planning functions for the Nyika TFCA by financing the design of TFCA-wide planning instruments. Component 2: Sustainable Financing The objective of this component is to develop mechanisms for financial sustainability of TFCA management through the institutions responsible for the long term management and financing of the Nyika TFCA. Component 3: Protected Areas Management The objective of this component is to improve management effectiveness of three Nyika TFCA management “blocks”: the Nyika, the Vwaza and the Chama blocks (see maps in Annex X). Safeguard policies triggered?
Environmental Assessment (OP/BP 4.01) X Yes ○ No Natural Habitats (OP/BP 4.04) X Yes ○ No Forests (OP/BP 4.36) X Yes ○ No Pest Management (OP 4.09) ○ Yes X No Physical Cultural Resources (OP/BP 4.11) ○ Yes X No Indigenous Peoples (OP/BP 4.10) ○ Yes X No Involuntary Resettlement (OP/BP 4.12) X Yes ○ No Safety of Dams (OP/BP 4.37) ○ Yes X No Projects on International Waters (OP/BP 7.50) ○ Yes X No Projects in Disputed Areas (OP/BP 7.60) ○ Yes X No
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Conditions and Legal Covenants:
Financing/Project Description of Covenant Date Due Agreement Reference Section 5.01 (a) The Malawi Ministry of Tourism, Wildlife and Culture and the Before effectiveness of Malawi Grant Zambia Ministry of Tourism, Environment and Natural Resources the grants. Agreement have established a Joint Steering Committee (b) The Zambia Grant Agreement has been executed and delivered and all conditions precedent to its effectiveness or to the right of Zambia to make withdrawals under it (other than the effectiveness of the Malawi Grant Agreement) have been fulfilled. (c) The Ministry of Tourism, Wildlife and Culture has adopted a Project Implementation Manual. (d) The Ministry of Tourism, Wildlife and Culture has assigned the financial management staff for the Project, with qualifications, experience and terms of reference satisfactory to the World Bank. Section 5.01 (a) The execution and delivery of the Grant Agreement on behalf of Zambia Grant the Ministry of Tourism Environment and Natural Resources and Agreement the Project Agreement on behalf of the Zambia Wildlife Authority have been duly authorized or ratified by all necessary governmental and corporate action. (b) If the World Bank so requests, the condition of the Zambia Wildlife Authority, as represented or warranted to the World Bank at the date of the Project Agreement, has undergone no material adverse change after the date of effectiveness. (c) The Zambia Wildlife Authority and the Ministry of Tourism, Environment and Natural Resources have signed a subsidiary agreement. (d) The Zambia Ministry of Tourism, Environment and Natural Resources and the Malawi Ministry of Tourism, Wildlife and Culture have established a Joint Steering Committee. (e) The Malawi Grant Agreement has been executed and delivered and all conditions precedent to its effectiveness or to the right of Malawi to make withdrawals under it (other than the effectiveness of the Zambia Grant Agreement) have been fulfilled. (f) The Ministry of Tourism, Environment and Natural Resources has adopted a Project Implementation Manual. (g) The Zambia Wildlife Authority assigned the financial management staff for the Project, with qualifications, experience and terms of reference satisfactory to the World Bank. Schedule 2, Section Withdrawals up to an aggregate amount not to exceed $125,000 Retroactive IV, B1 Malawi may be made for payments made prior to the date of signature of Withdrawal Conditions Grant Agreement the Grant Agreement but on or after January 1, 2011, for Eligible Expenditures under disbursement Categories (1) and (3). Schedule 2, Section Withdrawals up to an aggregate amount not to exceed $100,000 IV, B1 Zambia may be made for payments made prior to the date of signature of Grant Agreement the Grant Agreement but on or after January 1, 2011, for Eligible Expenditures under disbursement Categories (1) and (3).
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I. STRATEGIC CONTEXT
A. Country Context
1. The Nyika Transfrontier Conservation Area (TFCA) traverses Malawian and Zambian territories. It harbors natural ecosystems and biodiversity that are unique to the world but also to the two countries. It also plays a major watershed function as it is upland of large sections of Lake Malawi and of the Luangwa River. The Nyika pictures rolling hills covered with grassland in a misty ambiance that provides tourists with a peaceful or sporting visit that is significantly different from the usual African wildlife experience. The Nyika is however affected by various forces which threaten its biological diversity and natural resources as well as curtails the sustainable and equitable development of its stakeholder communities. The next paragraphs identify some of the issues and the context through which they currently impact the Nyika. Subsequent chapters describe the Governments‟ proposal to address some of these issues and how the World Bank, through a GEF grant to Malawi and Zambia, intends to assist.
B. Sectoral and Institutional Context
Rural Development, in spite of abundant resources, does not successfully dent rural poverty
2. In 2009, Malawi‟s Human Poverty Index (HPI-1) scored 28 % (90th rank among 135 countries) while Zambia scored 35 % (110th rank among 135 countries)1. The percentage of population living under the poverty line in Zambia is 68 and in Malawi 65. In both countries rural poverty is significantly higher than urban poverty. This is worsened in Malawi by the high rural population densities and even fewer economic alternatives at the country level. The Nyika Districts, Rumphi in Malawi and Chama in Zambia, are among the poorest areas in their respective countries. In 2006, 79 % of the population in Zambia‟s Eastern Province lived under the poverty level, classifying this region as the second poorest in Zambia (after Western Province).2
3. Such high poverty, and its underlying human development indicator, creates a context whereby communities have few alternatives but transform natural ecosystems for energy, farm land and food. Both Governments have recognized that a cross-sectoral and integrated rural development approach including biodiversity conservation and promotion of eco-tourism through their protected area network is an opportunity to enhance rural livelihood strategies and options. The challenge is to achieve cost-effective conservation while enhancing livelihoods particularly of adjacent communities around protected areas.
4. Malawi has a mainly rural population of 13 million people resulting in significant human pressure on natural resources. The conservation of the country‟s natural resource base is therefore an important factor that contributes to achieving sustainable national economic growth. Malawi‟s Growth and Development Strategy (MGDS) 2006-2011 aims to reduce poverty through sustained economic growth and infrastructure development. In the strategy, the Government prioritized nine areas to foster its economic growth base including agriculture and
1 UNDP Human Development Report 2009 2 Central Statistical Office, Living Conditions Monitoring Survey 2006
food security, integrated rural development, irrigation and water development, health, youth and enterprise development, energy, education and transport infrastructure development.
5. Zambia is endowed with favorable climate, arable and plentiful land and rich natural resources conducive to a vibrant agriculture sector. About 85 % of the population‟s employment is related to the agricultural sector. Most agricultural producers are asset-poor smallholders, who use simple technologies and cultivation practices to produce rain-fed maize, groundnuts, roots, and tubers, mostly for their own consumption. Low productivity and low return to labor and land lead to chronically low farm income for smallholders. Zambia‟s Fifth National Development Plan (2005/2010), Sixth National Development Plan (2011/2015) and its Vision 2030 focus on broad-based wealth and job creation for its citizens. The conservation of the country‟s natural resource base is also an important factor that contributes to achieving sustainable national economic growth.
Tourism – An emerging growth sector largely based on nature products
6. The biodiversity rich and spectacularly scenic 3,000 km 2 large Nyika conservation area is built by Malawi‟s largest, and Zambia‟s smallest, National Parks. It has the potential to attract significant revenues from nature-based tourism (enriching existing eco-tourism circuits in both countries). Importantly, the area is a significant catchment area (Nyika meaning “where the water comes from”). The 2,500 meter high Nyika Plateau contains leopards, roans, elands and elephants as well as Africa‟s richest orchid communities and a number of endemic plant and bird species.
7. In Malawi, tourism has been identified as one potential new economic growth sector. In 2009, tourism contributed directly and indirectly to about 7 % of Malawi‟s GDP and 5 % of employment (WTTC, 2009). Tourism in Malawi thrives on natural resources and major resource attractions include water bodies, protected areas, mountains and cultural heritage. It is recognized that tourism growth is not necessarily benefitting the poorer population.
8. Malawi‟s geographic position between established tourism destinations such as Tanzania, Zambia and Mozambique is a potential advantage to tap into existing tourism streams. Besides the attractive Lake Malawi, the country possesses other currently less developed areas of interest for tourism products such as in the north the highland Nyika National Park with the adjacent lowland marshland Vwaza Wildlife Reserve.
9. Zambia‟s tourism sector is regarded as one of the three main pillars for economic growth of the country and focuses on the development and expansion of the Northern Tourism Circuit which includes the Nyika National Park in the Eastern Province and North and South Luangwa.
10. In Zambia, a Bank supported report on the Economic and Poverty Impact of Nature Based Tourism in 2007 demonstrated that the economic impact of nature based tourism is higher than previously perceived. According to the study results, nature-based tourism accounts for about 3.1 % of the GDP and 10 % of the formal employment. The challenge is to increase the opportunities for local communities to participate in the tourism economy (shared growth).
11. Zambia‟s Government also focuses on diversifying its economy in expanding its tourism sectors. The country has 19 National Parks and 34 Game Management Areas covering 33 % of
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the country of which approximately 5 % has been developed for tourism. Medium and long term financial sustainability is a critical issue for national parks that needs to be addressed through delegation of management functions, better commercial management and externally generated financial support.
Biodiversity and Watershed – Nyika ranks top in both countries for both functions
12. The Nyika TFCA is centred on the Nyika Plateau, a high undulating montane grassland plateau that rises over 2,000 m above the bushveld and wetlands of the Vwaza Marsh. The Nyika Plateau has been classified as one of Africa's Centers of Plant Diversity (WWF and IUCN 1994) as well as one of “Global 200” WWF priority regions for conservation, namely the Rift Valley Lakes, Zambezi-Miombo. Both the Nyika national parks of Malawi and Zambia have been classified as Important Bird Areas (IBA). The Nyika National Park in Malawi has the highest number of large mammals and the highest concentration of roan antelopes in Africa. It supports the world‟s largest breeding population of blue swallow (Hirundo atrocaerulea) and is an area of high plant biodiversity with about 215 Orchid species. The Vwaza Marsh Wildlife Reserve is listed as IBA due to its biome-restricted birds.
13. Further, the Nyika Plateau is a major water catchment and sponge area for both Lake Malawi and the Luangwa River. The Chire/Luwumba, a major tributary of the Luangwa originate on the Zambian Nyika, and four rivers that are responsible for providing water to a large part of the Northern region of Malawi have their source on the Nyika plateau.
Protected Areas – First class wildlife products managed with difficulties
14. Malawi has 5 National Parks, 4 Wildlife Reserves and 3 sanctuaries. In spite of its high rural population density, Malawi has been able to maintain its significant network of protected areas, some of which, like Liwonde National Park, are spectacular wildlife habitats. However, wildlife is now absent outside protected areas. In recent years, the country has allocated a significantly higher budget to the Department of National Parks and Wildlife (DNPW). However, this budget remains insufficient to manage the parks effectively. As a consequence, DNPW has established partnerships with organizations better endowed and capacitated. Two parks, under such scheme have shown major wildlife recovery; Majete and Liwonde. The National Parks and Wildlife Act 2004 provides for collaborative management schemes with rural communities as managers of wildlife on customary land and for partnerships with all interested parties to effectively manage wildlife resources both inside and outside protected areas.
15. Zambia has 19 National Parks (NPs) and 34 Game Management Areas (GMAs) covering 33 % of the country. Noteworthy, the protected area network in Zambia includes 476 national and local forest reserves. Some parks have a long history of quality management, such as the South Luangwa National Park and are now well branded in the international market. Other parks, like the Kafue National Park, are rapidly developing by attracting partnerships with Non Governmental Organizations (NGOs) and private investors. Wildlife in the Liuwa Plain and Kasanka National Parks is said to have largely recovered as a consequence of such partnerships which have been in existence for some years. In spite of this, the Zambia Wildlife Authority (ZAWA) continues to be insufficiently staffed and receives insufficient budget to effectively
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manage all its protected areas. To improve overall management of forest and wildlife, the MTENR has launched a preparation of new wildlife and forest policy with bills.
16. In both countries, medium and long term financial sustainability is an issue for national parks and wildlife that needs to be addressed through delegation of management functions, better commercial management and externally generated financial support.
Transfrontier Conservation Area3 - Ecosystems management across political boundaries
17. Based on unsatisfactory experiences with management of protected areas located along country borders, the establishment of TFCAs is growing worldwide. In some cases, it can create a political climate and management conditions that facilitates cross-border coordination leading to better biodiversity management and opens additional opportunities for livelihood improvements.
18. In Africa, the Southern Africa Development Community (SADC) member states including the Governments of Malawi and Zambia demonstrated their commitment to the conservation of biodiversity by signing of the TFCA related Protocol on Wildlife Conservation and Law Enforcement in 1999 and ratifying at the end of 2003.4
19. The first step toward establishing the Nyika TFCA was taken by the respective Malawian and Zambian Ministers of Tourism and Environment on August 13, 2004 when they signed a Memorandum of Understanding (MoU) to establish two proposed Malawi-Zambia Transfrontier Conservation Areas. The proposed TFCAs have been endorsed by the Joint Permanent Commission of Cooperation (JPCC). The proposed Nyika TFCA has been prioritized by the two Governments. The MoU mandated the two current management authorities responsible for the parks, the Department of National Parks and Wildlife of Malawi (DNPW) and the Zambia Wildlife Authority (ZAWA) to develop the Nyika TFCA and manage jointly the Nyika TFCA related protected areas.
20. The Nyika TFCA covers a total of 19,280 km2 split into 4,182 km2 on the Malawian and 15,098 km2 on the Zambian side and includes areas under differing conservation regimes.5 The TFCA includes the Nyika National Park and Vwaza Marsh Wildlife Reserve in Malawi and the Nyika National Park, Lundazi, Mitenge and Mikuti Forest Reserves and Musalangu Game Management Area in Zambia. In the next few years, the two countries intend to formally establish the TFCA through an international treaty.
3 TFCA: Zone where formal protected areas and other multiple use areas fall under a common management objective of sustainable development of several countries. It is a politically-grounded instrument to foster biodiversity conservation, livelihood improvements and cross-border coordination. SADC Protocol defines the TFCA as the area or component of a large ecological region that straddles the boundaries of two or more countries encompassing one or more protected areas as well as multiple resource use area. 4 The article 4 (f) of this Protocol commits the SADC member states to “promote the conservation of the shared wildlife resources through the establishment of transfrontier conservation areas”. 5 Nyika NP Malawi 3,200km2, Nyika NP Zambia 106 km2, Lundazi FR (Zambia) 839 km2, Mitenge FR (Zambia) 186 km2, Mikuti FR (Zambia) 388 km2, Vwaza Marsh WR (Malawi) 1,982 km2, Musalangu GMA (Zambia) 17,350 km2.
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21. The draft bilateral Treaty and the implementation protocol developed by the two Governments over the past years refer to the potential establishment of an autonomous agency, the Nyika Implementation Agency (NIA), to implement the Governments‟ strategy for the Nyika TFCA.
Positive context for community livelihoods and buy in
22. Already, outside of the Project areas, two projects are making successful foray into supporting community livelihoods in relation to natural resources management and conservation agriculture. One is the Norway-funded WCS-implemented Community Market for Conservation (COMACO) model in Zambia and the other is the United States Agency for International Development (USAID) funded Total Land Care-implemented Kulera Biodiversity Project in Malawi (see more details in Annex III, F). Currently the bulk of conservation-related benefits to households come in the form of food security and livelihood benefits primarily from crop diversification and conservation farming as a result of the COMACO program. COMACO‟s 2008 mid-term evaluation survey suggests a possible increase of household cash income to as much as an average of US$ 600 per household per year. In Malawi, the Kulera Biodiversity Project began to focus on conservation farming and crop diversification as well as the identification of buyers and markets. It started in late 2009 and its results have not yet been assessed. These projects in Zambia, supplement the positive community livelihood works by the Kambombo Community Resources Board (CRB) in Chama District. The CRB has over time used funds generated from the hunting activities, in Musalangu GMA to promote women clubs, construct community schools and clinics.
23. Over the next five years, the economic impacts of COMACO and Kulera Biodiversity, in their respective communities are expected to be much greater than present Project impact. COMACO intends to reach and improve the livelihoods and trading capacity of 7,500 farmers while the Kulera Biodiversity Project will target 45,000 households (225,000 people) living in rural communities just outside the selected protected areas.
24. The presence of these two substantial livelihood operations around the Project areas enables the GEF and Norway (Malawi) to focus on the other threats to protected areas such as poor management, inadequate infrastructure and unsustainable financing. Still, the approach for the Chama Nature Park in Zambia is very closely anchored in the previous success of COMACO which has helped mobilize the communities and the district stakeholders toward a protected area management where the livelihood dimension is built in from the start. The development of the Chama Nature Park will be supported by the Project (see more details in Sections III, B and Annex II, C 3.2.6).
C. Higher Level Objectives to which the Project Contributes
25. Global biodiversity benefits will stem from consolidating protected areas with globally important biodiversity, supporting ecological connectivity, improving ecosystem resilience to climate change through adaptation and mitigation efforts including enhancing carbon sequestration.
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26. The Project responds to GEF Biodiversity Strategic Objective (SO) #1 “Catalyzing Sustainability of Protected Areas” as it contributes to the national priorities of the Governments of Malawi and Zambia to create a new transboundary protected area system through expansion and consolidation of the Malawian and Zambian Nyika National Parks and other protected areas. The Project supports interventions that address the three aspects of protected area management in order to catalyze the long-term sustainability of the system including: (1) defining and setting up a sustainable cross-boundary financing mechanism to cover recurrent costs of the Nyika Implementation Agency and the protected areas; (2) coverage of ecologically viable ecosystems and habitats; and (3) building institutional and systemic cross-boundary capacity to manage the TFCA to achieve commonly set and agreed objectives. The establishment of the Nyika TFCA is seen as a fully integrated protected area management scheme within the context of broader and country-wide differing landscapes, threats and biodiversity value of Malawi and Zambia.
27. The Project is further fully aligned with the GEF Strategic Program (SP) #3 “Strengthening Terrestrial Protected Area Networks” as it includes in-situ conservation of sites containing globally relevant biodiversity and training and capacity-building/strengthening of governmental and other stakeholders for conservation of the TFCA.
28. The Project is also aligned with the GEF Strategic Program (SP) #1 “Sustainable Financing of Protected Area Systems at the National Level”, as it includes the potential establishment of a sustainable financing institution, the Nyika Implementation Agency, which is expected to be tasked with commercial revenue generation, fund raising and management of endowment accounts.
II. PROJECT DEVELOPMENT OBJECTIVES
29. The combined Project Development Objective (PDO) and Global Environmental Objective (GEO) of the Project is to establish more effective transfrontier management of biodiversity in the Nyika Transfrontier Conservation Area.
A. Project Beneficiaries
30. The Project benefits several groups of beneficiaries: (1) some of the rural peoples‟ livelihoods in the protected areas‟ fringes depend on the natural resources within or around the Nyika TFCA and some will ultimately benefit through alternative employment in tourism and conservation management though in the short term employment creation is expected to be relatively modest; (2) Malawian and Zambian people and the world at large for the maintenance of a biodiversity asset of national and global value; and (3) private tourism investors who will benefit from being able to offer a better nature tourism product and thereby increase tourism related revenues.
B. PDO Level Results Indicators
31. The Project outcome will be measured with three indicators:
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Transfrontier planning instruments adopted by Ministerial Committee (Joint Management Plan, Integrated District Development Plans (IDDP), Business Plans, etc.) Area with signs of illegal land use inside the protected areas of the Nyika TFCA remains 5 % for Nyika, 0 % for Vwaza; and decreases from 10 % to 6 % in Chama Nature Park. Score of Protected Area Management Effectiveness: 38 to 60 for the Nyika block, 44 to 58 for the Vwaza block, and 11 to 48 for the Chama block.
III. PROJECT DESCRIPTION
32. This Project supports transboundary biodiversity conservation through planning, institution building, fundraising and capacity building for protected area management within three blocks belonging to the Nyika TFCA (see Annex X for a map of the Project area). It is implemented through the following 3 components (see Annex II for detailed Project description):
Component 1: Institutional and Planning Framework Component 2: Sustainable Financing Component 3: Protected Areas Management
A. Project Components
Component 1: Institutional and Planning Framework (Total US$1.89m - GEF Zambia US$0.63m, GEF Malawi US$0.71m, Norway US$0.32m, PPF $0.23m)
33. The objective of this component is to establish and operationalize the governance and planning functions for the Nyika TFCA by financing the design of TFCA-wide planning instruments and assisting with the establishment and capacity building of the implementation agencies.
34. The intermediate outcome of this component is measured by the following indicator: Number of training-days attended by (i) Management team from ZAWA, FD, DNPW and Chama Nature Park; and (ii) by the same organization field staff, resource protection staff and community partners (indicator met if 20 % training-days are received by females).
35. The component has two subcomponents: (A) Project management and (B) Strategic planning. The activities proposed under Subcomponent A include: (1) financing for the procurement and financial management technical assistants and short-term TA on planning, monitoring and evaluation to support implementation agencies‟ teams; (2) purchase of vehicles, office and field equipment of the implementation teams in both countries; (3) capacity building for the implementation teams in both countries through hiring of trainers, training courses, planning and consultation workshops; and (4) the annual external audits of all funds. The activities proposed under Subcomponent B include: (1) the transboundary integrated district planning for the Chama District in Zambia and the Rumphi District in Malawi; (2) the review and up-date of the draft Nyika TFCA Management and Tourism Plans; and (3) the diagnostic of national legal barriers for full TFCA operationalization.
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Component 2: Sustainable Financing (Total US$0.27m - GEF Zambia US$0.10m, GEF Malawi US$0.17m)
36. The objective of this component is to develop mechanisms for financial sustainability of TFCA management through the institutions responsible for the long term management and financing of the Nyika TFCA.
37. The intermediate outcome of this component is measured by two indicators: (1) Funds and revenues raised to finance operating expenditures collected by both countries in addition to the GEF/Norway/PPF grants reach more than US$1.0 million; and (2) Financial Sustainability Score Card for TFCA improved (mandatory as per GEF but baseline to be established by MTR).
38. The activities under component 2 include: (1) a feasibility study for the Nyika Implementation Agency including a business plan, fund raising strategy, and an investment strategy; (2) a broker tasked with advertising concessions to attract private investors for tourism, logging of an exotic pine forest or hunting concessions; and (3) promotion material for fund raising, investment promotion, development of partnerships as well as events, trips, workshops, etc.
Component 3: Protected Areas Management (Total US$8.93m - GEF Zambia US$1.81m, GEF Malawi US$1.40m, Norway US$3.88m, GoM US$1.37m, GoZ US$0.47m)
39. The objective is to improve management effectiveness of the agglomerated three Nyika TFCA management “blocks”: the Nyika, the Vwaza and the Chama blocks6. The Project design assures that, by increasing the protection of the blocks the Project does not generate poverty but rather provides alternative livelihoods to poachers and other illegal resource users.
40. The intermediate outcome of this component is measured by two indicators: (1) Abundance index of 2 indicator mammals (Nyika: eland and zebra; Vwaza: elephant and buffalo; Chama: elephant and kudu) trend is > 0; (2) percent area covered by patrols increases as follows: 45 to 70 for Nyika block, 70 to 90 for Vwaza block, 0 to 80 for Chama block; (4) trend in number of signs of illegal activities per patrol-day decreases in all 3 blocks; and (4) increase in tourism-based employment as follows: 47 to 63 for Nyika block, 7 to 12 for Vwaza block, 0 to 10 for Chama block. Number 4 is met if 40 % of new employees are females.
41. The management of the Nyika and Vwaza blocks will be conducted jointly by ZAWA and DNPW. The management of the third block, the proposed Chama Nature Park in Zambia, will be supported by a joint venture between Forest Department (FD), ZAWA, NGO Partner, Community association. In Zambia, the GEF-Zambia will fund all eligible Project activities in the Nyika and Chama blocks. In Malawi, the GEF-Malawi will fund all eligible Project activities in the Vwaza block. Also in Malawi, the Norwegian grant will fund all eligible Project
6 Although the initial project concept envisaged covering the entire TFCA which includes Musalangu GMA (19,280 km2), the Musalangu GMA is not included in the Project Area since GEF funds are insufficient to cover more than the three blocks mentioned. Notably, the proposed “Chama Nature Park” is carved out of the GMA/Lundazi National Forest which will contribute to mainstreaming biodiversity into production systems while also contributing to the livelihood of communities.
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activities in the Nyika block as well as research-related activities in the Vwaza block. The activities proposed in each block include: (1) capacity building for planning, management and reporting; (2) infrastructure development and maintenance such as staff houses, offices, workshops, airstrips, water crossing structures, tracks, fences and firebreaks; (3) habitat management and resource protection and monitoring including patrol operations; (4) research and monitoring such as data collection, aerial surveys and research programs; (5) implementation of an action plan to address community livelihoods around the blocks to be designed on a case by case basis using the Process Framework and which objective is to ensure that the Project provides livelihood alternative to poachers and other illegal users of resources; and (6) establishment of two tourism camps in the Chama Nature Park as well as training and mentoring of its employees issued from the community including illegal users of resources.
B. Project Financing
Lending Instrument
42. This Project will be financed through a US$4.82 million GEF Grant under the biodiversity focal area with US$2.28 million to Malawi and US$2.54 million to Zambia.
Project Financing Table
43. Total Project financing is estimated at US$11.09 million, inclusive of price and physical contingencies and taxes. Total co-financing is US$6.27 million.
44. Parallel Project co-financing in the amount of US$4.43 million has been secured from the Peace Park Foundation (PPF) and the Royal Norwegian Embassy to Malawi. Both organizations will execute their grant agreements with Malawi and Zambia by December 31, 2011. PPF will contract directly suppliers and service providers. Norway will channel its funds to the Ministry of Tourism, Wildlife and Culture (MTWC) of Malawi based on a bilateral financing agreement and procedures similar to the ones of World Bank funded projects. Both, the PPF and the Royal Norwegian Embassy will retain fiduciary accountability for their funding.
45. The Department of National Parks and Wildlife (DNPW) and the Zambia Wildlife Authority (ZAWA) are contributing in kind - staff salaries and all revenues generated within the TFCA which, respectively, amount to US$0.47 million for Zambia and US$1.37 million for Malawi.
46. Details of the GEF financing and co-financing are provided in the cost breakdown and allocation per component in Table 1 and Table 2 below:
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Table 1: Project costs by component and use of financing
Project Cost By Component (US$) Local Foreign Total
Component 1: Institutional and Planning Framework 1,260,000 630,000 1,890,000 Component 2: Sustainable Financing 170,000 100,000 270,000 Component 3: Protected Areas Management 7,130,000 1,800,000 8,930,000 Total Project Costs1 8,560,000 2,530,000 11,090,000 Total Financing Required 8,560,000 2,530,000 11,090,000
Table 2: Project costs by component and source of financing
Project Cost By Component and Financier GEF Financing Co- Total Malawi Zambia Financing US$ US$ % US$ % US$ Component 1: Institutional and Planning Framework 710,000 630,000 71% 550,000 29% 1,890,000 Component 2: Sustainable Financing 170,000 100,000 100% 0 0% 270,000 Component 3: Protected Areas Management 1,400,000 1,810,000 36% 5,720,000 64% 8,930,000 Total Financing Required 2,280,000 2,540,000 43% 6,270,000 57% 11,090,000
Lessons Learned and Reflected in the Project Design
47. The following lessons learned from other Bank and non-Bank supported projects in Sub- Saharan African countries have guided the Project design. Projects which have been reviewed include the two phases of the Bank/GEF Mozambique TFCA and Tourism Development Project; the Bank/GEF Maloti-Drakensberg TFCA Project in South Africa and Lesotho; the Malawi Mulanje Mountain Conservation Trust; the Malawi Environmental Endowment Trust (MEET); the Uganda Bwindi Trust Fund; the Bank/GEF Regional Lake Victoria Project; the Bank/GEF Regional Lake Malawi Project7; World Wide Fund for Nature (WWF) Beyond Boundaries: Transboundary Natural Resources Management in Sub Saharan Africa (2001); and African Wildlife Foundation (AWF) “Impacts of Transboundary Protected Areas on Local Communities” (2003) as well as past support from German cooperation agencies to the Malawi Nyika National Park (Malawi Border Zone Development Project, closed in 2004).
48. The main lessons are:
7 See also the Bank review of Transboundary Reserves and implementation of the Ecosystem approach, 2000.
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Transboundary Natural Resources Management
49. A review of cases has shown the following key elements to success: (1) More effective addressing of cross-border threats and higher derivation of benefits from defined and recognized collaboration by participating countries: (2) a bottom-up approach of participating buy-in and ownership of the process at the local level where the resources are managed is more effective; (3) regular monitoring and evaluation of the effectiveness of the collaboration and adaption is required; (4) TFCA increases the efficiency of PA management; (5) visible synergism (avoiding/reducing duplication of efforts, create economies of scale, enhancing economic opportunities such as increased tourism); and (6) greater collaboration across sectors enhances TFCA effectiveness. Nonetheless TFCA requires additional investments of resources and time and funding; hence the incremental financial approach for the proposed project.
50. The Project design is fully aligned with these principles.
Institutional development
51. The complexity, politics and time-consuming processes for creating, staffing and operationalizing new institutional structures is often under-estimated. The envisaged creation of the Nyika Implementation Agency (NIA) has been challenging, and slow due to limited funding and need to build acceptance and capacity with both Governments. Much remains to be done including a new feasibility study before the NIA establishment can be finalized. There are discussions on its role, its staffing, its legal basis and its operational modalities. The simple design of the Project responds to the currently weak capacity of the Nyika TFCA executing agencies and uncertainties related to the final set-up of the NIA. As such, the set represents: (1) a flexible arrangement; (2) a limited project geographical scope which in this first phase does not cover the entire Nyika TFCA; (3) a strong capacity building program for officers and staff to bring planning, procurement, contract management and financial function to a suitable level; and (4) a focus on protected areas.
Communal participation and collaborative management
52. The participation of local stakeholders in planning and investment processes would contribute to anchor the TFCA into district development but also supplement the incentive framework sought by Kulera Biodiversity and COMACO to decrease the threats to habitat and wildlife. In theory, this would also lead to lower management and protection costs.
53. Complementary to the Project‟s activities to address community livelihood in the Nyika TFCA surrounding areas, the Project preparation team has developed a Process Framework which outlines the principles of community participation and mitigation of loss of livelihoods.
54. The design and management of the proposed new Chama Nature Park will spearhead a Public-Community-(Private)-Partnership arrangement involving NGO Partners (or private sector), a community association, and the Government of Zambia (ZAWA and FD).
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Knowledge for conservation
55. Many protected areas in less rich countries of the world are managed using ad hoc knowledge and incomplete data. In such context, decision making is rarely optimal making scarce conservation finance less effective than it could be. Good information and good data has proven helpful for decision making as well as helping with the documentation of facts when reporting on biodiversity to the national or international arena. To this effect, in continuation of the work started with the National Herbarium and Botanic Gardens of Malawi in the early 2000‟s, Norway will build on this experience to establish a field biodiversity research facility in the Nyika NP Malawi. This center will not only be a forum where Zambian and Malawi institution can establish research programs, but given the high biodiversity and endemism of the Nyika, it is also expected to attract world class research institutions which would be generating both knowledge, revenues and employment.
Sustainable financing
56. One of the greatest challenges of TFCA and protected area managers is the availability of funds for recurrent costs. Lessons from the past indicate that generating such funds for commercial concessions or fund raising is difficult, sometimes unsustainable and often insufficient. As a consequence, financial sustainability requires diversification of sources including annual budget allocation by Government, retention of commercial revenues. Dedicated trust funds can help overcome the shortage of funds and buffer non-steady flow of resources. Noteworthy, the experience from all over the world has shown that trust funds‟ administrative costs are often high due to the need to employ extra staff to provide technical assistance and capacity building.
57. The potentially high administrative costs of independent “single-purpose” institutions will be considered by the two countries when studying options for the design of the NIA, including the potential of an endowment fund. In addition, ZAWA and DNPW will continue funding all park management staff; various partnerships are and will be established, and fund raising and commercial development are built in as essential dimensions of the Project.
IV. IMPLEMENTATION
A. Institutional and Implementation Arrangements
TFCA legal architecture
58. Both countries signed an MoU on the establishment of TFCA in 2004. It is expected that both countries will sign a Treaty and an Implementation Protocol for the management of the TFCA in the next few years. The current draft of the Treaty defines:
the Ministerial Committee (MC) which approves the TFCAs‟ Joint Management Plan (JMP); the Joint Steering Committee (JSC) which reviews and approve AWP and Annual Reports; the Technical Advisory Committee (TAC) mobilized, as needed, to advice on transfrontier issues; and
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the Local Advisory Board (LAB) which includes traditional, administrative and political representatives to provide guidance on land tenure and land use as well as other local and political issues.
Project execution
59. The Project is coordinated and implemented by the country line Ministries‟ respective implementing agencies (DNPW, FD and ZAWA). The ZAWA Warden, the FD Principal Extension Officers (in Chipata) and the DNPW Provincial Director (in Mzuzu) will serve as Project Managers. In the event that the NIA would be established during the life of the project, the countries would have the choice of transferring the Nyika TFCA coordination to the NIA. This will not impact on the achievement of the project's PDO. The transfer of responsibilities to NIA will depend on: (1) the two countries having fully completed the political dialog on the Nyika TFCA and on the role of the NIA; (2) the NIA being registered and its Board having approved the by-laws, the Administration Manual and completed the selection of staff for its Executive Secretariat; and (3) the NIA having been appraised by the World Bank as being sustainable by design and as having sufficient staff, funds and capacity to handle Project funds.
60. The two countries will establish a Joint Steering Committee (JSC) with equal membership from each country. The JSC will physically meet twice a year with one meeting held in each country. Other meetings will be organized using advanced communication technology. The JSC will review and approve the Annual Work Plan (each October) as well as the Annual Report (each March).
61. Project activities funded through Malawi are implemented by the DNPW Regional Office in Mzuzu. Project activities funded through Zambia are jointly implemented by the existing ZAWA and FD staff in Chipata offices. They will be supported by two Technical Assistants to support functions that have been identified by the Bank‟s fiduciary staff in need of support, namely Procurement and Financial Management.
62. Each protected area block will be managed, or co-managed, by its designated agencies under various arrangements (see below). A Project-funded study on legal barriers to transfrontier management will guide the two countries in formalizing practical institutional arrangements for bi-national teams on the ground. Also, during the course of the Project, each executing agency is encouraged to establish Public-Private-Partnerships (PPPs) for the management of protected areas blocks, of tourism or logging concessions or for infrastructure development, research and community development. Partnerships can originate from communities, from NGOs or from the private sector.
63. The proposed pilot Chama Nature Park, which is located in the Lundazi National Forest, will remain under the responsibility of the FD. The Department will delegate the management of the area proposed for the nature park to a consortium/partnership constituted of itself, ZAWA, a NGO partner and a Chama Community Association which will employ a small management team and resource protection staff.
64. Vwaza Marsh Wildlife Reserve and Bambanda-Zaro Sanctuary will continue to be managed by DNPW with assistance from a team of wildlife police officers from ZAWA.
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65. Nyika National Park Malawi, Nyika National Park Zambia and Mitenge National Forest Zambia will be co-managed by DNPW-ZAWA-FD teams. During Project implementation, the three institutions will design an arrangement whereby a clear distribution of roles for the whole block is designed and implemented.
66. After following internal procedures, the three agencies will each prepare in September of each year an Annual Work Program and Budget which they will together consolidate into a Project-wide Annual Work Program and Budget (AWP). The Project Managers from both countries will also meet on a quarterly basis to exchange experience and consolidate quarterly reports. They will report quarterly to the JSC and the Bank and produce and disseminate a comprehensive Project Report (PR) every semester (with one of the two being the Annual Report). The AWP and the PR are subject to the approval of the JSC and no objection from the Bank.
B. Results Monitoring and Evaluation
67. DNPW and ZAWA/FD will each appoint one staff, as M&E Officers, for planning and for monitoring and evaluation and recruit on short term basis M&E backs stoppers to organize the M&E systema dn train the M&E officers. The M&E officer function will consolidate and strengthen overall M&E efforts, ensure alignment and harmonization of data reports from different sources, evaluate overall results and produce consolidated AWP, Quarterly and Annual Reports. The M&E officer will also train staff of the agencies (DNPW, ZAWA, FD) in planning including budgeting and monitoring/reporting of activities, outputs and impacts.
68. Planning and reporting will be guided by an M&E volume, which is Volume III of the Project Implementation Manual (PIM) including all level procedures for preparation of the Annual Work Plan, Quarterly and Annual Reports. It is estimated that all activities related to M&E will cost in the order of estimated US$1.02 million. The manual contains indicator sheets with baseline and target values and defines data needs, sources, collection, quality-control, processing and reporting modalities. The M&E system will link up with on-going M&E efforts from ZAWA, DNPW, FD and other research institutions to ensure cost-effectiveness, consolidation and avoid duplication.
69. The Nyika and Vwaza blocks are regularly monitored jointly by DNPW and ZAWA through patrols (habitat, mammal sightings, illegal resource use and extractions, rainfall, fires, etc). The proposed biodiversity research center that will be established in the Nyika National Park Malawi will develop and carry out during the course of the Project at least two biodiversity conservation scientific research programs (focusing on a spatial study of vegetation and agriculture trends, on the invasive bracken fern in Nyika National Park Malawi and on the status/decline in freshwater species at Lake Kazuni in Vwaza Marsh Wildlife Reserve) filling knowledge gaps for critical management issues. Other M&E efforts for the TFCA include aerial surveys every two years. For the proposed Chama Nature Park in Lundazi Forest Reserve in Zambia, no monitoring has taken place until now. Here, monitoring and evaluation tasks following a baseline assessment will be carried out by the management structure once training has been provided. In addition, the Project will consider and aim at developing a methodology and monitoring scheme by Mid-Term Review (MTR) pending availability of additional funds for
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assessing climate change adaptation and mitigation benefits through preserved natural ecosystem related carbon stores and sinks.
70. The M&E plan also includes the use of the GEF mandatory Management Effectiveness Tracking Tool (METT) for the three management blocks of the Nyika TFCA. Due to lack of baseline data, the use of the financial scorecard will only start around the mid-term and would be evaluated by end of the Project.
C. Sustainability
71. The Project has been designed with a particular focus on long term sustainability. The key elements of sustainability include:
Financial sustainability
72. One of the biggest challenges for conservation worldwide and protected area management is assuring a permanent flow of funds to sustain operation and maintain results. Financial sustainability of the Project outcomes will rest on five pillars: (1) Continuous and same-level, albeit low, funding by the two Governments; (2) commercial revenues from concessions in tourism, hunting, or logging of an exotic pine forest; (3) fund raising both from private charities and benefactors but also to regular cooperating partners supporting Zambia and Malawi; (4) partnerships with organizations which have technical and fundraising capacity and can alleviate the financial burden on the TFCA; and (5) design and possibly establishment of an endowment or sinking fund to secure core NIA funding (when and if it is established) and increasingly funding the financial gap of operations towards the end of the Project. The Project targets to have at least one functional partnership (the Chama Nature Park), to ensure that all executing agency staff remain funded by Government, that commercial revenue reach about US$200,000 per year which would cover the cost of patrols in the two blocks not under partnership and raise US$1 million to operations within the TFCA. This target is not unrealistic when compared to the funds obtained from GEF, Norway and PPF for the upcoming five years.
Environmental sustainability
73. The core Project objective relates to improving the environment and reversing its degradation. Sustaining this will depend on funds raised, capacity built and incentives for better resources stewardship by communities. To help with the above, the Project has several strategies. The main one is to help both countries‟ institutions increase the development level of the three Nyika TFCA management blocks, build management and resource protection capacity, leverage investment, stimulate research and partnerships. To assist with community support, the two main districts will, together, undergo an Integrated District Development Planning process using strategic environment assessment as the key approach. The plan issued from this process will be synchronized with the TFCA Joint Management Plan to harmonize development goals and activities. Sustainability will also be influenced by the success of other community livelihood projects around the Nyika in creating the incentive framework for stakeholder community buy-in to modify behavior and adopt new farming technologies such as conservation farming and for district planners to implement district plans that account for environment plans.
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Institutional sustainability
74. The Project is implemented by three existing Government institutions which constitute the main state apparel for forest and biodiversity management in each country. Other institutional partners have also demonstrated their support and commitment to these districts and to the Nyika TFCA: The Peace Park Foundation (PPF)8 which has orchestrated and supported the process leading to current results, the COMACO9 which is an increasingly successful Zambian enterprise working outside the Project area, and the Malawian Nyika-Vwaza Trust (NWT)10 which has been able to maintain its support throughout the past 10 years.
Replicability – Other TFCAs are awaiting Nyika results
75. The approach taken is pioneering in terms of designing a single institution to ultimately manage a TFCA. There are few examples of transfrontier organizations that take such an active role in the coordination of field actors. Replicability will largely depend on its level of success which will largely depend on the political commitment to make it happen. The design is relatively straight forward and should be exportable to other areas of both countries and to other countries. There are other potential TFCAs in southern Africa which are observing the development of the Nyika and will likely adopt it if the model works.
76. The first and logical candidate for the Project‟s replication would be the second Malawi/Zambia TFCA: the Kasungu/Lukusuzi TFCA. This TFCA is created under the same Treaty as the Nyika. The long-term “big picture” scenario also assumes that the Lundazi FR could provide a protected area link between the Nyika TFCA and the Kasungu/Lukusuzi TFCA.
77. To enable replication of the Project approach for the Nyika TFCA, it will be essential to not only monitor activities and outcomes but also watch for unintended consequences and carry out in depth evaluations (see also IV. Implementation, B. Results Monitoring and Evaluation).
V. KEY RISKS
78. Potential risks and mitigation measures have been identified and are summarized in the Operational Risk Assessment Framework (ORAF; see Annex IV) and will be given special attention during the course of Project implementation. The overall risk rating of the proposed intervention is estimated as “High”, largely because: (1) the political discussions between Malawi and Zambia on the institutional arrangement for the TFCA have not been concluded; and (2) the Project would be entrusted to Government agencies with modest implementation capacity which will need to be supplemented by technical assistance in procurement and financial management.
8 http://www.peaceparks.org/Home.htm 9 http://www.itswild.org/who-is-comaco 10 http://www.nyika-vwaza-trust.org/
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VI. APPRAISAL SUMMARY
A. Economic and Financial Analysis
79. An incremental cost analysis, mandatory for GEF financed projects, of the Nyika Program (meaning all projects operating in the general area of the TFCA) has been prepared (see additional Annex VII). It concludes that the difference between the cost of the baseline scenario (US$7.40 million) and the cost of the Project (US$16.82 million) is US$9.42 million which represents the incremental cost to achieve the global environmental objective of which US$4.82 million is provided by GEF. For the interventions selected the focus has been on cost-effective solutions mainly emerging from joint and more effective management of the Nyika TFCA.
80. At the local level, the main economic benefit would originate from some improvement of the livelihood of some of the villagers who would be employed in tourism operations or in protected area management. At the national level, there would be very modest increase in foreign exchange and fiscal revenues from tourism. At the global level, the benefit would be related to conservation of biodiversity of global value and a contribution to climate change mitigation.
81. While no formal economic analysis was computed, the Project is expected to have a small-scale positive economic impact. During the Project life it is not expected that the additional number of tourists visiting the area will have a large economic impact. Using economic figures (averages) from the Zambia report on the Economic Impact of Nature Tourism (2007), it could be inferred that the expected additional 6,000 tourism-days11 per year in Nyika TFCA would generate US$1.14 million12 as a direct contribution to GDP and establish about 315 permanent tourism jobs13.
82. An initial assessment of the projected tourism revenues of the three “blocks” over a five year period concluded that commercial revenues would be between US$0.2 million to US$0.4 million per year after five years of the Project.
B. Technical
83. The management of protected areas is a “low tech” activity that mostly follows the same standards. Infrastructure and equipment requirements are simple (vehicles and gravel tracks) and technological applications more dependent on good organization (e.g. for procurement and maintenance) than technical knowledge.
11 Increase of length of stay for a day. 12 US$190 was identified as a nature tourist‟s average expenditure per person per day (without airfare) on a local package tour (ESW of World Bank: “Zambia Economic and Poverty Impact of Nature-based Tourism”, 2007). So 6,000 tourists times US$190 per tourists equals US$1.14 million. 13 Every three nature tourists, or 19 tourism-days, generate one full-time equivalent job in the formal sector (World Bank report: “Zambia Economic and Poverty Impact of Nature-based Tourism”, 2007) so 6,000 tourism/day divided by 19 tourism-days equals 315 employees.
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C. Financial Management
84. The management of the Project funds from Norway and the GEF will be entrusted through the Ministry of Tourism, Wildlife and Culture (MTWC) in Malawi and the Ministry of Tourism, Environment and Natural Resources (MTENR) in Zambia to the Implementing Agencies (IAs) which are the Department of National Parks and Wildlife (DNPW) in Malawi and the Zambia Wildlife Authority (ZAWA) in Zambia, respectively.
85. A financial management assessment of the IAs at Chipata for Zambia and at Mzuzu for Malawi, was carried out in accordance with the Financial Management Manual for World Bank- Financed Investment Operations, issued by the Financial Management Board on March 1, 2010 and the ORAF Financial Management Draft Interim Guidance Note issued by the AFTFM unit on September 30, 2010. The overall financial management residual risk for the project is assessed as Medium-Low. The details of the project financial management arrangements are included in Annex III-B.
86. A financial management specialist will be recruited as a Consultant to be based in Chipata, Zambia. The consultant will provide technical assistance and work with the executing agencies‟ Project accounting staff at Chipata (Zambia) and Mzuzu (Malawi). The accounting staff and the consultant will have written Terms of References (ToRs). All agencies will be guided in their operations by a single Project Implementation Manual (PIM) which in volume 2 describes the financial management procedures. The financial management systems at Mzuzu and Chipata will be computerized by installing two off-the-shelf accounting software once the financial management staff and the necessary office equipment is in place.
87. The assessment has taken note of the lack of experience by the IAs in the implementation of a Bank or donor assisted project. Consequently, training will be provided to the key staff, in financial management and disbursements in World Bank procedures, to make them familiar with the Bank‟s requirements. An independent audit firm will be selected through competitive bidding to audit the Project accounts and operations on an annual basis using International Standards on Auditing and audit ToR acceptable to the Bank. Furthermore, in Zambia the operations will also be subject to internal audit oversight from the ZAWA headquarters and the Permanent Secretary‟s provincial office. ‟Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants‟, dated October 15, 2006 and updated January 2011, shall apply to the Project.
88. The overall conclusion of the financial management assessments of the two proposed IAs is that the Bank‟s OP/BP 10.02 minimum requirements will be satisfied provided the agreed financial management actions in Annex III-B are fully implemented.
D. Procurement
89. Procurement will be entrusted to the IAs: DNPW (Malawi) and ZAWA (Zambia). Each has identified a procurement focal point. An additional procurement specialist will be recruited as a consultant for technical support to the procurement officers of all IAs. The procurement staff will be guided by the Procurement section of the Finance and Administration volume of the
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PIM. A detailed procurement plan for the first eighteen months of implementation has been prepared (see Annex IX).
90. An analysis of the procurement plan and expected future procurement for GEF and Norway‟s financing, indicates that there will be no complex procurement, except the building contract for the research center estimated at US$602,000 (funded by Norway). All other civil work will be implemented through small works contracts, community-based civil work, or force account. There are less than five contracts for consulting firms each of which is less than US$100,000. There is one single source service contract estimated at US$175,000. Vehicles will be purchased through UNOPS. There will be less than 10 National Competitive Bidding (NCB) contracts for lorries, motorbikes, office equipments, field equipments, the largest of which would be less than US$200,000.
91. A procurement assessment has been carried out and has concluded that the proposed set- up of the Project will be adequate to carry out procurement activities related to the Project. However, capacity of staff assigned to procurement is low. As a result, procurement risk is assessed as Substantial. Risk mitigation measures, e.g. provision of training and selection of a procurement TA, have been discussed with the recipients and agreed and will bring the residual risk to Moderate. The procurement plan for the Project has been received by the Bank and found to be acceptable. It will be updated at least annually to reflect project implementation needs. A brief summary of the procurement capacity assessment and procurement arrangements are provided in Annex III. More details are available in the Project files.
92. Procurement would be carried out in accordance with the World Bank‟s „Guidelines: Procurement under IBRD Loans and IDA Credits‟ dated May 2004, revised in May 2010; and „Guidelines: Selection and Employment of Consultants by World Bank Borrowers‟ dated May 2004, revised in May 2010.
93. ‟Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants‟, dated October 15, 2006 and updated January 2011, shall apply to the Project.
E. Social
94. The Project is rated as a Category B project because the environmental and social impacts are expected to be minimal, site-specific and manageable to an accepted level. Two World Bank safeguard policies (Operational Policies, OPs, and Bank Procedures, BPs) with social dimensions are triggered: OP/BP 4.01 on Environment Assessment and OP/BP 4.12 on Involuntary Resettlement. The parallel cofinanciers, Norway and PPF, are committed to comply with these safeguards.
95. A social assessment was undertaken as part of the safeguard activities during Project preparation. In addition, a baseline assessment of the socio-economic situation in the Rumphi District in Malawi has been carried out. The results are reflected in the safeguard documents and the project design.
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96. OP 4.12 on Involuntary Resettlement is triggered as the project, as many conservation projects with an element of improved resource protection and law enforcement, may restrict access to wildlife and natural resources from people who were using it before, albeit illegally.
97. Also, in the Lundazi Forest Reserve on the Zambian side, the Project will facilitate the creation of a new protected area with a different conservation status: the pilot Chama Nature Park. The design process so far has been fully participatory. Still this process may lead to increased limitation in access to natural resources and agricultural land from some of the community members. As a consequence, community engagement needs to follow a process that is in accordance with the Bank resettlement policy.
98. A Process Framework (PF) proposes a process to assist in better identifying all protected area stakeholders, who, even though they reside outside the Project area, illegally enter to use natural resources. As such, they stand to lose access to natural resources as a result of the Project. These are considered People Affected by the Project (PAP). The PF proposes a process whereby PAP would become eligible for support through PAP Action Plans. The Project has set aside a budget of about US$390,000 to implement the PAP Action Plans. Because such PAP reside outside the Project area, where other projects operate, it may be that one of them is already providing such PAP with support toward alternative livelihoods. If and when this is the case, the Project would assess whether or not the PAP requires additional livelihood support from the Project.
99. No resettlement is anticipated under this Project. Still, since there are a few households inside the proposed boundary of the Chama Nature Park. A Resettlement Policy Framework (RPF) has been developed just in case the unlikely situation that resettlement is unavoidable arises. If that were to become the case, the Government of Malawi and the Government of Zambia would use the RPF to prepare Resettlement Action Plans (RAPs) and be responsible in full to leverage financing for these RAPs which would require World Bank clearance if within the footprint of the Nyika TFCA Project. Already, current parallel cofinanciers - the Royal Norwegian Embassy in Malawi and Peace Parks Foundation - have agreed to abide by the RPF.
100. The PF and the RPF have been disclosed in both countries and in the World Bank‟s InfoShop.
F. Environment
101. As a Category B Project, OP 4.01 on Environmental Assessment is triggered but no significant adverse impact on the environment was identified for the type of project activities being considered. Rather, anticipated impacts will be positive. Small infrastructure investments and activities such as anti-poaching can affect locally the environment as well as the local communities. The impacts of specific investments could not be identified during preparation but may materialize only during implementation. As a consequence, an Environmental and Social Management Framework (ESMF) proposes a process to detect and mitigate environment and social impacts when small infrastructures are designed.
102. OP 4.04 on Natural Habitats is triggered as a large part of the TFCA is a natural habitat such as miombo, mopane and Nyika grassland. The Project aims to enhance its conservation but
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there is a possibility that new tracks through sensitive areas locally increase the ecosystem ‟s disturbance. A portion of about 3,000 hectare of the Lundazi National Forest that is already occupied by agriculture and habitations has been identified to be formally excised during the Project period. That land has been settled and little natural habitat remains. This will be largely compensated by the increased conservation status of another 100,000 hectare of that national forest land. OP 4.36 on Forests is triggered since a concession for logging of an exotic pine forest is currently implemented and might continue during implementation in the Nyika National Park Malawi as part of a program for the eradication of species that now have become invasive.
103. In the ESMF, mitigation measures have been designed to reduce any potential negative impacts. An assessment of the IAs‟ (DNPW, ZAWA, FD) capacity concluded that they have reasonable capacity to carry out the simple activities necessary to comply with the countries‟ and Bank‟s safeguards requirements. Additional training is necessary and has been budgeted for.
104. An appraisal ISDS has been prepared and disclosed at the Infoshop following appraisal. The ESMF has been disclosed locally in both countries and in the InfoShop.
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ANNEX I: RESULTS FRAMEWORK AND MONITORING MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
Results Framework14
Project Development Objective (PDO) and Global Environment Objective (GEO):
To establish more effective transfrontier management of biodiversity in the Nyika Transfrontier Conservation Area. Responsibility Description (indicator Data Source/ Cumulative Target Values** Frequency for Data definition etc.) Unit of Methodology PDO Level Results Indicators Baseline Measure Collection
YR 1 YR 2 YR3 YR 4 YR 5 Core Indicator 1: # 0 1 2 4 6 8 Annually Monitoring M&E Officer Point system score Reports with each instrument
Transfrontier planning instruments adopted by scoring 2 points (1
Ministerial Committee (Joint Management Plan, when ready, 1 when IDDPs, Business Plans, etc.) adopted) Indicator 2: Ha Nyika: 5% 5% 5% 5% 5% Every two Monitoring M&E Officers Foot print of illegal 5%15 years Reports of and GIS use is calculated using Area with signs of illegal land use inside the Vwaza: 0% 0% 0% 0% 0% each PA block Specialist at satellite images protected areas of the Nyika TFCA (illegal land based on GIS partner 0% use being defined as settlement, cultivation, and satellite organization mining, logging, etc.) Chama: 10% 10% 10% 8% 6% images 10%
Indicator 3: Score Nyika: 38 40 48 52 58 60 Annually PA mgt office M&E Officers GEF-mandatory score staff report and Project (0-3) based on 32 Score of Protected Area Management Vwaza: 46 48 54 56 58 using METT leaders criteria of protected
Effectiveness 44 area management Chama: 13 20 35 43 48 11
14The outcomes and intermediary outcomes that are delivered through GEF financing are indicated in bold letters in the Results Framework. The division of results follows this rule: (1) In the Nyika National Park Malawi the Project outcome and intermediary outcomes are the results of Norway financing; and (2) all outcomes and intermediary outcomes from activities in Component 1 and 2 as well as in protected areas others than Nyika National Park Malawi are the result of GEF financing. 15 Estimated baseline value to be revised after baseline survey is completed (expected March 2012 when satellite images are acquired and analyzed).
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INTERMEDIATE RESULTS Responsibility Description (indicator Data Source/ Cumulative Target Values** Frequency for Data definition etc.) Unit of Methodology
PDO Level Results Indicators Baseline Measure Collection YR 1 YR 2 YR3 YR 4 YR 5 Core Component 1 : Institutional and Planning Framework Intermediate Result: Improved capacity of ZAWA, FD and DNPW for management and planning of the Nyika TFCA. Intermediate Result indicator 1: # Mgt: 95 75 50 30 30 30 Annually Monitoring M&E Officer Year 1 focused on Reports fiduciary functions for Number of training-day attended by (1) management team and
Management team from ZAWA, FD, DNPW and gradually evolving # Field: 450 600 600 600 600 Chama Nature Park and (2) by same organization 300 after to protected area field staff and partners (indicator met if 20% management skills for training-days are received by females). field staff Component 2: Sustainable Financing Intermediate Result: Improved revenue collection and fund-raising supports biodiversity conservation in the Nyika TFCA. Intermediate Result indicator 2: US$m 0 0 0.1 0.4 0.8 1.0 Annually Monitoring M&E Officer Accounting of fund Reports raised and revenues Funds and revenues raised to finance operating expenditures and that are additional to the start-up GEF-Norway-PPF grants Intermediate Result indicator 3: Score TBD at TBD TBD TBD TBD TBD Starting Progress Financial GEF-mandatory MTR by MTR, Reports Managers and indicator based on
Financial Sustainability Score Card for TFCA then accountants sustainable financing improved annually criteria Component 3: Protected Areas Management Intermediate Result: Improved management effectiveness of the three Nyika TFCA management blocks. Intermediate Result indicator 4: Index Nyika: E: Same as Same as E: 682 E: 695 E:702 Annually Monitoring M&E Officers Abundance index is 656 baseline baseline Z:117 Z:119 Z:120 Reports of and ZAWA calculated from aerial Abundance index of 2 indicator mammals Z: 112 each PA block Ecologists survey observations (Nyika: eland and zebra; Vwaza: elephant and Vwaza: Same as Same as E:156 E:156 E:157 DNPW and/or vehicle or foot buffalo; Chama: elephant and kudu) E: 151 baseline baseline B:104 B:104 B:105 Research transect B:99 Officer Chama: Same as Same as E: 55 E: 60 E: 65 E: 50 baseline baseline B:110 B: 115 B:120 K: 10016 Intermediate Result indicator 5: % Nyika: 45 50 55 60 65 70 Annually Monitoring M&E Officer/ Monthly patrol reports based PA rangers monitoring reports Area covered by patrols increased on analysis of based on GPS record Vwaza: 75 80 85 90 90 70 patrol from patrol report logbooks/ projected on 2x2 km Chama: 20 40 60 70 80 GPS grid over park area. 0
16 Estimated baseline value to be revised after baseline survey is completed (expected October 2011).
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Intermediate Result indicator 6: # Nyika: <0 <0 <0 <0 <0 Monthly/ Monthly PA rangers Monthly patrol annually consolidated monitoring reports Trend in # of signs of illegal activities per patrol Vwaza: <0 <0 <0 <0 <0 reports based day decreased on law Chama: <0 <0 <0 <0 <0 enforcement monitoring Intermediate Result indicator 7: Days./ Nyika: 47 47 50 55 60 63 Annually Monthly M&E Officer. Annual survey of year report of each Commercial tourism operation Employment in tourism and conservation funded Vwaza: 7 7 9 11 12 12 operator and officiers conservation pay roll by TFCA revenues or commercial operations agency increased (indicator is met if 40% new employees Chama: 0 0 5 5 10 are females). 0 Intermediate Result indicator 8: Days./ Nyika: 0 0 2 (0) 8 (2)17 16 (4) 24 (6) Annually Monthly M&E Officer. Annual report year report of each Cumulated number of direct Project beneficiary of Vwaza: 0 0 2 (0) 8 (2) 16 (4) 24 (6) operator and livelihood alternative support, of which female. agency Chama: 0 2 (0) 8 (2) 16 (4) 24 (6) 0
17 The proportion of female is low since most people who will be benefiting from alternative livelihoods are poachers who are likely to be male.
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ANNEX II: DETAILED PROJECT DESCRIPTION MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
1. The Nyika Project supports the two countries within the limit of three protected area blocks included in the Nyika TFCA (see Map in Annex X) and with a focus on biodiversity conservation in natural ecosystems.
2. The Nyika Project (the Project) is implemented in 3 components:
Component 1: Institutional and Planning Framework Component 2: Sustainable Financing Component 3: Protected Areas Management
3. This annex describes also activities funded by: (1) Norway even though these are implemented in parallel through a separate legal agreement between the Embassy of Norway and the Government of Malawi; and (2) PPF even though these are implemented as a parallel activity.
Component 1: Institutional and Planning Framework (Total US$1.89m - GEF Zambia US$0.63m, GEF Malawi US$0.71m, Norway US$0.32m, PPF US$0.23m)
4. Sub-component 1.1 pertains to the management of the Project. Sub-component 1.2 pertains to the establishment and operation of the governance functions of the Nyika TFCA as well as planning conservation and development at the TFCA level.
Sub-component 1.1.
GEF Zambia financing
C1.1.1. GEF-Z will finance (1) a financial management technical assistant for the Project implementing agencies and a short term consultant to support the M&E and planning functions and law enforcement; (2) vehicles, office equipment such as computers, office furniture, and minimal field equipment such as tents, GPS, etc.; (3) operating expenditure for the ZAWA and FD teams to assure its functions such as Project-related national and international travel for implementing agency staff, the JSC, utilities, vehicle insurance, operation and maintenance, office building maintenance, etc.
C1.1.2. GEF-Z will finance training sessions and training workshops for the ZAWA and FD staff as well as joint steering committee members. Envisaged training include: (a) functioning of a steering committee; (b) team building; (c) fundraising; (d) procurement; (e) financial management and operation of software; and (f) monitoring and evaluation.
C1.1.3. GEF-Z will co-finance with GEF-M the external auditors who will be auditing not only the funds provided by GEF-Z and GEF-M, but also those of Norway, the revenues collected
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from concessions and any other funds that transit through the Project or implementing agencies channeled to the Nyika TFCA. They will also carry out procurement audits and asset verifications.
GEF Malawi financing
C1.1.1. GEF-M will finance (1) a procurement technical assistant for the Project implementing agencies and a short term consultant to support the M&E and planning functions and law enforcement; (2) vehicles, office equipment such as computers, office furniture, and minimal field equipment such as tents, GPS, etc.; and (3) operating expenditure for the DNPW teams to assure its functions such as Project-related national and international travel for implementing agency staff, the JSC, utilities, vehicle insurance, operation and maintenance, office building maintenance, etc.
C1.1.2. GEF-M will finance training sessions and training workshops for the DNPW staff as well as joint steering committee. Envisaged training include (a) functioning of a steering committee; (b) team building; (c) fundraising; (d) procurement; (e) Project financial management and operation of software; and (f) monitoring and evaluation.
C1.1.3. GEF-M will co-finance with GEF-Z the external auditors who will be auditing not only the funds provided by GEF-Z and GEF-M, but also those of Norway, the revenues collected from concessions and any other funds that transit through the Project or implementing agencies channeled to the Nyika TFCA. They will also carry procurement audits and asset verifications.
Norway financing
C1.1.1. Norway will finance a law enforcement advisor for a period of three years.
PPF financing
C1.1.1. PPF will finance (1) the annual ministerial meetings; (2) the Technical Committee meetings; (3) a full program stock-taking in year 5; and (4) the regional coordinator.
Sub-component 1.2.
GEF Zambia financing
C1.2.1. GEF-Z will finance two studies: (1) the review of the Nyika TFCA Joint Management Plan; (2) the diagnostic of national legal barriers to TFCA full operationalization; and (3) a lawyer, in retainer, for legal advice and contract reviews. This is particularly important when the implementing agencies will enter into concession contracts and when establishing a long term financial mechanism.
GEF Malawi financing
C1.2.1. GEF-M will finance (1) the cross border integrated district planning using strategic environment assessment which will be carried out by a consultant facilitator, and include the
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production of maps, workshops in both countries and will require operating expenditures for stakeholders meetings, travel, etc.; and (2) a lawyer, in retainer, for legal advice and contract reviews. This is particularly important when the implementing agencies will start entering into concession contracts and when establishing a long term financial mechanism.
Norway financing
C1.2.2. Norway will finance an annual cross-frontier “knowledge sharing week” bringing together the cumulated knowledge and experience of all different projects in the area.
Component 2: Sustainable Financing (Total US$0.27m - GEF Zambia US$0.10m, GEF Malawi US$0.17m)
5. Component 2 pertains to fund-raising activities, establishment and monitoring commercial ventures (tendering and managing tourism or logging concessions) as well as design and possibly establishment of endowment and/or sinking fund accounts.
6. Specific activities supported under the Project include:
GEF Zambia financing
C2.1. GEF-Z will co-finance with GEF–M consultations on: (1) the design of a feasibility study for the NIA including a business plan, a fund raising strategy, and investment strategy; and (2) the services, on retainer, of a broker tasked with advertizing concessions to attract private investors for lodge development, safari operators, logging of exotic pines, etc.
C2.2. GEF-Z will finance operational expenditures for fund raising and monitoring of concession contracts. This entails vehicle operation and maintenance, travel to Project sites, to travel shows (e.g. Indaba), to potential investors and benefactor, organization of fund raising events (art show, ceremonies, conference, etc.), fund raising material (posters, pamphlets, etc.) and preparation/tracking of financial proposals with various cooperating partners and sponsors.
GEF Malawi financing
C2.1. GEF-M will co-finance with GEF-Z consultations on: (1) the design of a feasibility study for the NIA including a business plan, a fund raising strategy, and investment strategy; and (2) the services, on retainer, of a broker tasked with advertizing concessions to attract private investors for lodge development, safari operators, logging of exotic pines, etc.
C2.2. GEF-M will finance operational expenditures for fund raising and monitoring of concession contracts. This entails vehicle operation and maintenance, travel to Project sites, to travel shows (e.g. Indaba), to potential investors and benefactor, organization of fund raising events (art show, ceremonies, conference, etc.), fund raising material (posters, pamphlets, etc.) and preparation/tracking of financial proposals with various cooperating partners and sponsors.
Component 3: Protected Areas Management
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(Total US$8.93m - GEF Zambia US$1.81m, GEF Malawi US$1.40m, Norway US$3.88m, GoM US$1.37m, GoZ US$0.47m)
7. The Project will focus on three protected area management blocks: The Nyika Block, the Vwaza Block and the Chama Block. Although the second and third blocks are one ecological unit it was agreed that during the Project they would be managed as two blocks until the capacity of the Chama partnership is compatible with that of the Vwaza team.
8. The Nyika TFCA includes two other “blocks”, the Musalangu GMA and the Mikuti Forest. It is hoped that Zambia will be able to raise additional funds to initiate their development. However, these areas are not considered to be included in this Project.
9. In each block, financing will cover the standards protected area management activities to various degrees of depth and scale through three main functions: (1) Capacity building for planning, management and reporting which includes staffing, training, design of management plans etc.; (2) habitat management, infrastructure development and maintenance of housing, offices, airstrip, tracks, firebreaks, small water retention structures, etc.; (3) resource protection which includes staffing, equipment, and patrol operations; (4) resource and biodiversity monitoring which includes data collection, aerial surveys, and several research programs; and (5) implementation of an action plan to be designed on a case by case basis using the Process Framework to ensure that the Project provides livelihood alternative to poachers and other illegal users of resources.
10. Specific activities defined per each block are as follows:
Nyika Block (Total US$5.22m - GEF Zambia US0.30m, Norway US$3.59m, GoZ US$0.36m, GoM US$0.97m)
11. The Nyika block, which comprises the Nyika National Parks, the Mitenge Forest and the northern “lip” of the Lundazi National Forest will remain the flagship block in terms of size, biodiversity, landscape and tourism. DNPW and ZAWA will work with the Nyika Vwaza Trust in scaling up the current management and ensuring that it can respond effectively to transfrontier management needs.
12. One of the central pieces will be the construction of a Research Center and establishment of partnerships with universities of Malawi and Zambia including the Malawi National Herbarium.
Norway Financing
C3.1.1. Norway will finance the purchase of minimal equipment to replace the current derelict equipment. This will include vehicles, tractor/trailers, uniforms and field equipment. It will also include some office furniture and equipment such as desks, computers, radios, etc.
C3.1.2. Norway will fund the design and construction of a Research Center complete with laboratory and staff/guest housing. It will help with the annual grading and opening of firebreaks
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and gravel roads and the airstrip. Given the importance of housing and offices in staff morale and capacity, there will be a major effort to rehabilitate existing houses, the workshop, patrol room, offices, etc. and build several small offices and gates. This includes substantial work on water provision and electrification as well as rehabilitation and maintenance of the airstrip and hangars.
C3.1.3. Norway will finance a number of research projects with a strong focus on biodiversity status/trends plus. Already some themes have been identified as essential and as a priority: (1) a time-based analysis of the spatial condition of vegetation types of the whole Nyika TFCA, including agriculture encroachment, and comparison with existing records so as to establish trends and update status; (2) given their impact on biodiversity, a study on an invasive exotic plant, the bracken fern, to assess its impact on biodiversity and to explore options for controlling it; and (3) Aerial Wildlife Survey every other year which will also cover the Vwaza aerial survey and cover also the Chama Nature Park.
C3.1.4. Norway will also finance one consultancy: updating and upgrading to transfrontier dimension the General Management Plan to include the entire block as single management entity.
C3.1.5. Norway will finance part of the Nyika block operating costs with a focus on patrol operations (fuel and rations), office stationary, equipment operation and maintenance including assurances as well as various habitat management activities such as early burning.
C3.1.6. Norway will finance the implementation of action plans geared at assisting illegal users usually coming from outside the Project area to provide incentives to engage those into a legal and more productive livelihood for PAP likely to originate from the area adjacent to Nyika National Park in Rumphi District in Malawi.
GEF Zambia financing
C3.1.1. GEF-Z will finance the purchase of minimal equipment to replace the current derelict equipment of ZAWA. This will include one vehicle, uniforms and field equipment. It will also include some office furniture and equipment such as desk, computers, radios, etc.
C3.1.2. GEF-Z will finance the rehabilitation of existing staff houses, offices and a rest camp in the Nyika.
C3.1.4. GEF-Z will finance part of the Nyika block operating costs with a focus on patrol operations (fuel and rations), office stationary, equipment operation and maintenance including assurances as well as various habitat management activities such as early burning.
C3.1.5. GEF-Z will finance the implementation of action plans geared at assisting illegal users usually coming from outside the Project area to provide incentives to engage those into a legal and more productive livelihood in Nyika NP and Mitenge Forest Reserve (Zambia) for PAP likely to originate from the Isoka District in Zambia.
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Vwaza Block (Total US$2.09m - GEF Malawi US$1.40m, Norway US$0.29m, GoM US$0.40m)
13. The Vwaza block includes the Vwaza Marsh Wildlife Reserve and the Bambanda-Zaro Sanctuary. The objective here is to secure this important reserve with a focus on understanding better and resolving water issues facing this reserve as well as scaling up the development of tourism. The Bambanda-Zaro Sanctuary which lies across Malawi and Zambia already provides a test-area where both countries are experimenting with transfrontier management.
GEF Malawi financing
C3.2.1. GEF-M will finance the purchase of minimal equipment to replace the current derelict equipment. This will include vehicles, tractor, truck, motorbikes, uniforms and field equipment. It will also include some office furniture and equipment such as desk, computer, radios, etc.
C3.2.2. GEF-M will finance the annual grading and opening of firebreaks and gravel roads and the airstrip. Given the importance of housing and offices in staff morale and capacity, there will be a major effort to rehabilitate existing houses (46), build new houses as well as rehabilitate the workshop, patrol room, offices, etc. This includes work on water provision and electrification. The GEF will also fund the annual maintenance, and partial upgrade the fence which limits the park on three sides as well as on dredging the lake until a solution is found to control upstream erosion.
C3.2.3. GEF-M will finance two assignments: (1) updating and upgrading to transfrontier dimension the General Management Plan; and (2) Aerial Wildlife Survey every other year which will actually be consolidated with the Nyika aerial survey and cover also the Chama Nature Park.
C3.2.4. GEF-M will finance part of this Reserve‟s operating costs with a focus on patrol operations (fuel, rations, incentives), office stationary, equipment operation and maintenance including assurances as well as various habitat management activities such as early burning, tse tse fly control and trypanosomes.
C3.2.5. GEF-M will finance the implementation of action plans geared at assisting illegal users usually coming from outside the Project area to provide incentives to engage those into a legal and more productive livelihood. These activities will be eligible for PAP likely to originate from the area adjacent to Vwaza Marsh Reserve in Rumphi District in Malawi.
Norway financing
C3.2.6. Norway will finance two research projects including one on fresh water fish collapse in Vwaza Lake (or Lake Kazuni) and one to be identified.
Chama Block (Total US$1.62m - GEF Zambia US$1.51m, GoZ US$0.11m)
14. The Chama Nature Park is still on the drawing board and has no staff at Project start. It will take reality with the Project and with the establishment of a joint venture between Forest Department (FD), a District stakeholder association and an NGO partner to be identified. The
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goal is to establish a protected area where local people are fully in charge and owners of the outcome. Over the first five years, the protected area status will be formalized and its development will start including various forms of tourism, both consumptive and non consumptive.
15. Specific activities supported by the GEF Zambia include:
C3.3.1. GEF-Z will therefore finance (1) legal counseling to assist the FD-Community-NGO gradually establish a joint venture; (2) 15 to 25 community resource protection staff as well as their training and the training of their managers and their board as well as of the small community enterprise which will manage the bush camps; and (3) training of up to 200 volunteer “reservists” who could be called upon for temporary interventions such as extinguishing fires, addressing a specific poaching threat, etc.
C3.3.2. GEF-Z will finance the purchase of minimal equipment. This will include one vehicle, one motorbike, bicycles, uniforms and field equipment. It will also include some office furniture and equipment such as desks, computers, radios, etc.
C3.3.3. GEF-Z will finance the annual opening of tracks and firebreaks using local labor instead of machinery and the establishment of a bush airstrip. Given the importance of housing and offices in staff morale and capacity, there will be a major effort to rehabilitate existing houses and a school in an abandoned village as well as construct a rudimentary workshop, patrol room, offices, etc. This includes some work on water provision and electrification.
C3.3.4. GEF-Z will finance two consultancies: (1) The design of the first Chama Nature Park General Management Plan; and (2) Technical assistance to the joint venture.
C3.3.5. GEF-Z will finance part of this park‟s operating costs with a focus on baseline studies by stakeholders, patrol operations (fuel and rations), office stationary, equipment operation and maintenance including assurances as well as various habitat management activities such as early burning, control of tse tse flies and prevention of tripanosomiasis.
C3.3.6. GEF-Z will finance the implementation of action plans geared at assisting illegal users to provide incentives to engage those into a legal and more productive livelihood. These activities will be eligible for PAP likely to originate from the areas adjacent to Chama Nature Park in Chama and Isoka Districts.
C3.3.7. GEF-Z will also finance the construction of a modest tourism camp in Chama Nature Park (Zambia) as well as the training and mentoring of staff and the initial marketing and/or linkage with private partners.
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ANNEX III: IMPLEMENTATION ARRANGEMENTS MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
A. Project Institutional and Implementation Arrangements
1. The existing Government agencies will handle the day to day management of the parks. For that reason the Project will be implemented by each country‟s respective line agencies, as implementing agencies, to oversee the project implementation. If and when the Nyika Implementation Agency (NIA) is established implementation responsibilities could be transferred if so desired.
B. Project Implementation
2. The Project is coordinated and implemented by the countries line Ministries‟ respective implementing agencies (DNPW, FD and ZAWA). If the NIA is established during the life of the project, the countries will have the choice to transfer Nyika TFCA coordination to the NIA. This will not impact on the achievement of the project's PDO. The transfer to NIA will be dependent upon when (1) the two countries have fully completed the political dialog on the Nyika TFCA and on the role of the NIA; (2) the NIA is registered and its Board has approved the by-laws, the Administration Manual and completed the selection of staff for its Executive Secretariat; and (3) the NIA has been appraised by the World Bank as being sustainable by design and as having sufficient staff, fund and capacity to handle Project funds.
3. To ensure that the Project is fully coordinated between the two countries, the two Governments will establish a Joint Steering Committee (JSC) with equal country membership. The JSC will physically meet once a year. Other meetings will be organized using advanced communication technology. The JSC will provide policy guidance to implementation agencies, review and approve the Annual Work Plan (each October) as well as the Annual Report (each March).
4. In each country the Project will be implemented by each Ministry‟s implementing agencies guided by a set of instruments: The Project Implementation Manual (PIM) including a Finance and Administration volume (vol. 2) and an M&E volume (vol. 3).
5. On behalf of each Government, the agencies will manage and account for GEF funds and Embassy of Norway (Malawi) funds.
Malawi: The Project will be lead by the Provincial Director of DNPW who will provide office space in Mzuzu (Malawi) which is the closest location to the Nyika TFCA that has banking facilities, suitable utilities and access to markets.
Zambia: The Project will be jointly led by the ZAWA Warden and the FD Principal Extension Officer. They will operate from their respective offices in Chipata (Zambia) which also is the closest location to the Nyika TFCA that has banking facilities, suitable utilities and access to markets.
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6. In each country, the line ministries will nominate their staff (4) to carry out specific project functions: Coordination, M&E, accounting, procurement. Because of the expected low staff capacity in World Bank procurement procedures and financial management, two technical assistants, one in procurement and one in financial management, will be contracted and funded by the Project to support these functions in both countries.
7. The agencies will each prepare and together consolidate an Annual Work Plan (AWP). The JSC will carry out arbitration. Once approved by the JSC as well as by the World Bank, the AWP will be eligible for implementation. The Project will have the possibility to revise the AWP once during the year.
Field implementation in the protected area blocks
8. ZAWA, DNPW and FD will operate according to the Project‟s instruments, and according to the various master plans which will be updated during the Project: (1) the Nyika TFCA Management and Tourism Plan; and (2) the Block‟s Management Plans as available.
9. Each block will be managed by their respective agencies:
10. Proposed Chama Nature Park, which is located in the Lundazi National Forest, will remain under the responsibility of the FD. FD will delegate the management of the area proposed for the partnership park to a consortium constituted of itself, ZAWA, an NGO Partner and a Chama Community Association.
11. Vwaza Marsh Wildlife Reserve and Bambanda-Zaro Sanctuary will continue to be managed by DNPW with assistance from a team of wildlife police officers from ZAWA.
12. Nyika National Park Malawi, Nyika National Park Zambia and Mitenge National Forest Zambia will be co-managed by DNPW-ZAWA-FD teams, staff, like the Bambanda-Zaro Sanctuary. During Project implementation, the three institutions will design an arrangement whereby a clear leadership for the whole block is designed and implemented.
C. Financial Management, Disbursement and Procurement
C.1. Financial Management
13. A financial management capacity assessment of ZAWA at Chipata (Zambia) and DNPW at Mzuzu (Malawi) was carried out in accordance with the Financial Management Manual for World Bank-Financed Investment Operations, issued by the Financial Management Board on March 1, 2010 and the ORAF Financial Management Draft Interim Guidance Note issued by the AFTFM unit on September 30, 2010. The overall financial management residual risk for the project is assessed as Medium-Low. The objective of the assessment was to determine whether the IAs have adequate minimum financial management arrangements to ensure that: (a) the funds are properly accounted for and used only for the purposes intended, in an efficient and economical way; (b) capacity exists for the preparation of accurate, reliable and timely periodic financial reports; (c) internal controls exist which allow early detection of errors or unusual
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practices as a deterrent to fraud and corruption, (d) the project‟s assets are safeguarded; and (e) the project is subject to external audit oversight.
14. The key FM risks under the ORAF matrix for environment, design and capacity have been assessed as high. This is mainly due to the poor control environment and fiduciary management arrangements at the country and implementing levels and the lack of experience by the IAs with the implementation of World Bank or Donor assisted projects. Some risk mitigation measures have been proposed and the overall financial management residual risk for the project is assessed as Moderate (Medium-Low). The following is the detailed risk assessment:
Financial Management Risk Assessment Risk Risk Rating Risk Mitigation measures incorporated into Risk after Development Programs or Grant design Mitigation Inherent Risk Country Level18
Malawi High Government is strengthening systems at all Substantial Lack of capacity to implement, account levels including roll out of IFMIS and for and report on expenditures at all recruitment of key fiduciary staff. levels. To date International Accounting and International Auditing standards are yet to be adopted fully.
Zambia High The Bank and other donors are supporting Substantial Lack of a robust financial management capacity building in Government through the information system coupled with a weak public sector management and Public control environment arising from lack of Expenditure Management and Financial compliance and enforcement of existing Accountability reform programs (PEMFA). rules and financial regulations; poor Partners are also implementing reforms with internal audit functions; lack of and oversight institutions such as the Office of the inadequate remedial actions on Auditor General and the Parliament. The internal/external audit findings. Government under PEMFA has introduced IFMIS at the Ministry of Finance on a test basis which will shortly be rolled out to Ministries and other spending agencies. Entity Level High Both countries signed an MoU on the Substantial establishment of the TFCA in 2004 and are The fact that the Project will be expected to sign a Treaty and an implemented by two Governments Implementation Protocol that are expected to presents logistical challenges and address these challenges. For the Project, the complexities in coordinating activities two countries will establish a Joint Steering and timeliness of decisions. Committee (JSC) that will meet regularly to resolve contentious issues. Program Level High The two Governments are working at Moderate The main challenge is that the Project appointing their staff to the various function teams at Mzuzu and Chipata have not required by the project including accountants. yet been fully set up. In Zambia the IAs, MTENR and ZAWA have The Malawi Government has released a agreed to an establishment of a Project team circular where the establishment of at Chipata and have identified the staff Project Implementation Units is halted. categories to man the unit. Documentary evidence that the Malawi Government has approved the formation is required. Overall Inherent Risk High Substantial
18 General assessment from various Bank fiduciary reviews and included in all PAD to describe the overall financial management environment in which the Project will operate.
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Risk Risk Rating Risk Mitigation measures incorporated into Risk after Development Programs or Grant design Mitigation
Control Risk Budgeting: Moderate Budgeting will be guided by the already Low There is no major risk to budgeting prepared Budget Framework for the except potential lack of adherence to Project. The JSC will review and budget. approve the Annual Work Plan with related budget every November as well as the Project Report every Semester. The quarterly IFRs will compare actual expenditures with budgets and significant variances will be investigated, explained and reported on a quarterly basis. Accounting Substantial The Project has a draft financial Moderate The Accounting consultant has not been management procedures manual recruited yet, the existing accountants covering all accounting aspects and have no experience in Bank-funded related administrative activities to guide projects and the accounting software staff in the execution of their functions. packages have not been installed in The two governments and the IAs have Chipata or Mzuzu. agreed in principle to recruit a qualified and experienced consultant and appoint dedicated accountants. The Bank will be involved in the recruitment process by clearing the TORs and ensuring that the agreed procurement process is followed. Start the FM consultant recruitment process and staff appointment process. The accounting software packages are off-the-shelf and have been identified; FINPRO TOMPRO for Malawi which has been ordered and an existing SUN Accounting package at ZAWA, Zambia requiring an extra license for the Chipata office. The Bank will provide training to the IAs and Project teams in financial management and disbursements requirements in World Bank assisted projects. Internal Controls Substantial The Project has adopted a common Moderate DNPW or ZAWA may not institute Finance and Administration Manual appropriate internal control systems (Volume II of PIM) which documents resulting in a weak control environment. accounting & reporting procedures, approvals and authorization controls, segregation of duties, procedures for safeguarding project assets and external audit oversight. The accounting staff to strictly adhere to and enforce the manual. Financial Reporting Moderate The Financial and Administration Low The project may not be able to produce Manual has documented the financial acceptable reports with the required reporting responsibilities that specify the frequency in a timely manner. formats, contents, frequency and the submission dates. The reports will compare actual and budgeted expenditures and program allocations. The IAs will employ qualified and experienced accounting staff who will be
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Risk Risk Rating Risk Mitigation measures incorporated into Risk after Development Programs or Grant design Mitigation up to the job. Funds Flow Substantial The Financial and Administration Moderate Manual includes a section on Risk of delayed disbursement largely disbursements and the flow of funds due to delays in accounting for funds by listing common problems that cause the IAs and the lack of experience with delays and how these can be avoided. the Bank‟s disbursement procedures. Train the IAs and Project staff in financial management and Disbursement Guidelines based on practical country (Malawi & Zambia) specific examples and experiences. Make available sources of additional information such as Disbursements Guidelines, Disbursement Handbook. Introduce the Project team to Client Connection website and get the Project to open accounts to have access to online information and monitor disbursements for the project. External Audit Malawi: The procurement process for the external Failure to get the project financial Substantial auditor will be in accordance with the Moderate statements audited, annually as they fall requirements of section I and IV of the due, by a technically competent and “Guidelines: Selection and Employment of independent auditor, in accordance with Zambia: Consultants by World Bank Borrowers” Low acceptable auditing standards Moderate published by the World Bank in May 2004 and revised in October 2006 and May 2010 (“Consultant Guidelines”) which will afford the Bank the chance to review and clear the audit TORs; and clearing the shortlist. Overall Control Risk Substantial Moderate
Overall Project Risk Rating Substantial Moderate
Strengths
15. The Project has already developed a Finance and Administration Manual (volume II of the PIM) that will guide the operations of the IAs. In addition, the Malawi DNPW and ZAWA have had some experience of World Bank assisted project requirements gained albeit limited for over a year of managing the Project Preparation Grant (PPG) in Malawi and for 6 years in implementing part of the Support for Economic Expansion and Diversification (SEED) Project in Zambia. The two Ministries responsible for parks and wildlife in Malawi and Zambia will provide oversight.
Weaknesses
16. There are two main weaknesses identified: (1) The IAs (except ZAWA at headquarters) experience in implementing Bank-funded projects is modest, and (2) the envisaged project teams at Mzuzu and Chipata have not yet been fully constituted. However, the Governments are making all the preparations for a smooth take off.
Financial Management Action Plan
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17. As a result of the foregoing risks and weaknesses, an action plan has been developed. As can be seen critical actions are effectiveness conditions.
Actions Target date Conditionality Responsibility
Agree IFR formats and contents 31 January 2011 Yes, During Negotiations MTENR/ZAWA DNPW Adoption of the Finance and 31 January 2011 Yes, Before Effectiveness MTENR/ZAWA Administration Manual (volume II of DNPW Project Implementation Manual) Appoint Government accounting staff to 31 April 2011 Yes, Before Effectiveness MTENR/ZAWA all key project functions and select the DNPW FM technical assistant Provide FM and disbursements training Within two months No World Bank to the IAs staff. of project effectiveness Install and operationalize the FINPRO Within three No MTENR/ZAWA and SUN Accounting Software at Mzuzu months of project DNPW and Chipata effectiveness Open designated accounts and operating 31 July 2011 No Malawi Government, accounts in Malawi and Zambia Zambia Government Agree external audit Terms of Reference Within two months No MTENR/ZAWA of project DNPW effectiveness
Budgeting Arrangements
18. The budgeting operations of the Nyika TFCA will be guided by an already prepared Budget Framework for the 5 years of implementation. Annually, the Project will prepare an Annual Work Plan (AWP) detailing the planned activities and including a consolidated budget. The AWP will require the approval by the JSC and the World Bank. The M&E Officer will be responsible for collecting and collating information from the Project teams to draft the AWP. The Project accountants, assisted by the financial management technical assistant, will be responsible for translating the work plan into a budget in the AWP. The whole process including approval by both Governments will be completed in October of every year.
Staffing
19. The Finance Departments of both Ministries are headed by a qualified and experienced accounting staff. In addition, each agency possesses accountants in their respective Mzuzu and Chipata office. A Financial Management Officer will be recruited as a technical assistant to provide support and mentoring. It is recommended that there be at least one account clerk each in Malawi (Mzuzu and in Nyika Park HQ) and Zambia (Chipata office). It is anticipated that the Project will maintain adequate FM staffing levels throughout the Project period.
Accounting Arrangements
20. The Project will use two accounting software packages to record and report on the transactions. In Malawi FINPRO TOMPRO accounting software will be used, while in Zambia the SUN accounting software currently available at ZAWA will be used. The accounting basis will be a cash basis. The Ministries will adopt appropriate accounting standards. However, as
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the systems will take a few months to be put in place and tested, it is expected that the first few months of the project accounts would be prepared manually using excel based spreadsheets. It is reasonably estimated that this transition should take no more than six months. All accounting staff will need to be trained in the FINPRO TOMPRO and SUN Accounting systems. The Project will be expected to keep accounting records in line with best practice and maintain a sound filing system.
Internal Control and Internal Audit
21. The Internal Controls as described in the Finance and Administration volume of the PIM will be used. The manual covers such controls as authorizations, accounts reconciliations, segregation of duties and procurement controls. These will be under continuous review by management. To a great extent the success of the FM system will depend on the Project‟s compliance with the manual.
22. Given the amount of funds involved, an Internal Auditor for the Project is not recommended. It is expected that the FM system of the Project, FM reviews by the Bank, independent external audit should cover the risk. However, this is subject to review at the end of the first year of operations. Depending on the issues emanating from the reviews and external audit management letter an Internal Auditor might become a priority.
External Audit Arrangements
23. The Project will prepare annual Financial Statements at the end of each fiscal year for all sources of funds (GEF Malawi, GEF Zambia and Norway Malawi). The Financial Statements will be audited by an independent external auditor acceptable to the Bank. The audit Terms of Reference will be prepared by the Project for the first audit and every year thereafter before the audit. The auditors will produce an audit report with a single and clear audit opinion and complete with a Management Letter highlighting issues which will require addressing. The Project will be required to submit the audit report (together with the Management Letter) to the Bank and to the Royal Norwegian Embassy no later than six months after the end of the financial year. The Project funds will meet the cost of the audit.
Reporting and Monitoring
24. Each implementing agency will submit Interim unaudited Financial Reports (IFR) in a format and quality acceptable to the Bank covering each calendar quarter. The IFR will be submitted no later than 45 days after the end of each quarter. The IFR format was agreed on at negotiations. The IFR should as a minimum consist of the following:
Sources and Uses of Funds by Funding Source Uses of Funds by Project Activity/Component
Annual Financial Statements
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25. In addition to the monthly reconciliations and quarterly IFRs, the Project will produce annual Project Financial Statements for analytical and audit purposes.
26. These Financial Statements will comprise of: A Statement of Sources and Uses of Funds / Cash Receipts and Payments which recognizes all cash receipts, cash payments and cash balances controlled by the entity; and separately identifies payments by third parties on behalf of the entity. The Accounting Policies Adopted and Explanatory Notes. The explanatory notes should be presented in a systematic manner with items on the Statement of Cash Receipts and Payments being cross referenced to any related information in the notes. Examples of this information include: o a summary of fixed assets by category of assets; o a summary of Statements of Expenditure (SOE) Withdrawal Schedule, listing individual withdrawal applications; o a Management Assertion that Bank funds have been expended in accordance with the intended purposes as specified in the relevant World Bank legal agreement.
Disbursement Arrangements
27. The schematic diagram below depicts the flow of funds for both GEF and Norwegian financing. PPF financing Is not represented since PPF will execute its own grant.
28. Two Designated Accounts (DA) in United States dollars will be opened in Lusaka and Lilongwe to receive funds from the GEF Grant to be operated by the IAs ZAWA and DNPW for Zambia and Malawi respectively. Operating accounts linked to the above DA in local currency, the Kwacha, will be opened at, and operated by, the IAs teams at Chipata and Mzuzu respectively. All these bank accounts will be opened at commercial banks acceptable to the World Bank. Periodic transfers from the DA, based on planned activities and obligations will be made to the operating accounts.
29. The Project will report eligible expenditures paid from the DA using the SOE. The SOE will fall into two categories: Statement with supporting documentation and statement without supporting documentation. All expenditure replenishment applications must be supported by documentation evidencing the expenditure, exceptions will be made for: (a) services of individual consultants costing less than US$50,000 equivalent per contract; (b) services of consulting firms costing less than US$100,000 per contract; (c) goods costing less than US$200,000 per contract; (d) works costing less than US $500,000 per contract; and (e) training and operating costs.
30. There will be a Disbursement Letter as part of the Financing Agreement with the Project. The Disbursement Letter sets out and summarizes all the disbursement arrangements and procedures under the Project.
31. The disbursement methods for the Project will include Designated Account advance; direct payments by the Bank to the suppliers; and reimbursement. Disbursements to the DA will be based on statements of expenditure. Except for the DA replenishments, the other methods are
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subject to the minimum withdrawal application size of US$70,000 or 20 % of the amount advanced to the DA. Applications for direct payment and reimbursement shall be supported by records of such expenditures and evidence of payments made in the case of reimbursements. All expenditure documentation for the project shall be retained by IAs and shall be made available for audit, and to the Bank and its representatives upon request.
FLOW OF FUNDS CHART19
Allocation of Grant
32. The proceeds of the GEF Grant will be disbursed over a period of five years under the following expenditure categories, representing 100 % expenditures to be financed inclusive of taxes.
Disbursement Schedule GEF Malawi Category Amount (in US$) 1 Goods 520,000 2 Works 430,000 3 Consultant services and Training 580,000 4 Operating Costs 750,000 Total Amount 2,280,000
19 The flow of fund does not include PPF funds since PPF will execute its own grant.
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Disbursement schedule GEF Zambia Category Amount (in USS)
1 Goods 350,000 2 Works 530,000 3 Consultant services and Training 750,000 4 Operating Costs 910,000 Total Amount 2,540,000
C.2. Procurement
33. Procurement would be carried out in accordance with the World Bank‟s „Guidelines: Procurement under IBRD Loans and IDA Credits‟ dated May 2004, revised in May 2010; and „Guidelines: Selection and Employment of Consultants by World Bank Borrowers‟ dated May 2004, revised in May 2010 as stipulated in the Legal Agreement. The various items under different expenditure categories are described in general below. For each contract to be financed by the Loan/Credit, the different procurement methods or consultant selection methods, the need for pre-qualification, estimated costs, prior review requirements, and time frame are agreed between the Borrower and the Bank in the Procurement Plan. The Procurement Plan will be updated at least annually or as required to reflect the actual Project implementation needs and improvements in institutional capacity.
Procurement of Works
34. Works procured under the Project would include the construction and rehabilitation of a research center, staff houses, offices, workshop as well as airstrips, gravel roads, crossing structures such as culverts, firebreaks, etc. Most are small structures. The procurement will be done using the Bank‟s Standard Bidding Documents (SBD) for all ICB and National SBD agreed with or satisfactory to the Bank. Because most work contracts will be small and because of the extreme remote location, most of the infrastructure will be carried out as small work by local contractors, community enterprises or by the executing agencies themselves using force account. The procedures for such are described in the Procurement section of the Finance and Administration volume of the PIM.
Procurement of Goods
35. Goods procured under the Project would include the purchase of transport equipment (vehicles and motorcycles), office equipment and furniture as well as filed equipment such as uniforms, camping equipment, GPSs, solar power equipment, etc. Some of the material for construction will be purchased using good procurement procedure; this could include small tools, fence products, cement, aggregates, etc. The procurement will be done using the Bank‟s SBD for all ICB and National SBD agreed with or satisfactory to the Bank. Because of the specific requirements of protected areas, the executing agency must optimize their fleet. Vehicles will be purchased using UNOPS. In addition, most purchases will be less than US$50,000 and will follow shopping procedures.
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Procurement of non-consulting services
36. Non-consulting services to be procured under the Project include aerial surveys and management of investment portfolio. Each will be procured using bidding documents normally used for Goods.
Selection of Consultants
37. Consulting services under the Project will be rendered by individuals, such as the technical assistant to the Project and such as consultants recruited to update the management plans of TFCA and its blocks, to render legal advisory services or technical assistance. Firms will be recruited for more complex tasks requiring teams such as engineering design and work supervision of the construction of the research center, integrated district development planning, technical assistance to the Chama Nature Park partnership, etc. The GEF-Z grant will finance a SSS for the NGO WCS to provide advisory services to the Chama Nature Park. In addition, the Norway grant is likely to transfer funds through the National Herbarium or other university-like institutions in Malawi for the implementation of some of the research programs.
Operating Costs
38. The GEF and Norwegian grants will finance operating expenditures such as utilities, equipment operation, maintenance and assurances, office supplies, patrol supplies, travel costs such as airfare and subsistence to the executing agency staff as well as stakeholders travelling to events organized in the framework of the Project. Most will be procured using shopping which will usually be carried out on an annual basis and contracted through agreement on unit prices.
Others
39. The Project will finance a series of training and fund raising events as well as a few international travel to international fairs or study tours.
40. The procurement procedures and SBDs to be used for each procurement method, as well as model contracts for works and goods procured, are presented in the Procurement Section of the Finance and Administration volume of the PIM and in the Procurement Plan.
Assessment of the agency’s capacity to implement procurement
41. The assessment provided here is limited to the two Ministries and their executing agencies.
42. Procurement activities will be carried out by the Project. In each country, the Project procurement function will be carried out by a Procurement officer appointed by DNPW in Malawi and ZAWA/FD in Zambia and mentored by a technical assistant as well as by the central procurement services of each ministry and ZAWA headquarter.
43. An assessment of the capacity of the Ministries/agencies to implement procurement actions for the Project has been carried out. The assessment reviewed the organizational
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structure for implementing the Project and the interaction between the staff responsible for procurement and the Ministries‟ relevant central units for administration and finance in Malawi and Zambia.
44. The key issues and risks concerning procurement for implementation of the Project have been identified. Beyond the main issue which is lack of staff capacity, other risks include: (1) lack of official system of control and accountability; (2) insufficient dissemination of Finance and Administration volume of the PIM to procurement staff; (3) insufficient protection of records; (4) inadequate procurement planning; (5) insufficient due-diligence procedure or practice at contract award; and (6) lack of capacity to handle complaint. Given the observed staff capacity inadequacies which indicate competence primarily in non competitive procurement and insufficient experience in carrying out competitive selection and procurement, the procurement risk is deemed to be Substantial (S).
45. The corrective measures which have been agreed are as follows:
Recruitment of Procurement Technical assistant in Malawi, but shared with Zambia, which assistance and mentoring role under TORs acceptable to the World Bank. Updating the staff capacity through training both long term (e.g. CIPS which is done while working) and short term, such as “basic procurement and selection of consultant under Bank funded project” at ESAMI or GIMPA. Procure a computer, printer and a fax to improve the data management, communication and facilities for the procurement staff. Procure at least 2 lockable cupboards, for each Project office, for safety of procurement documents for which access may require to be limited. Establish separate procurement files to document all prior steps and including contract stage. The contract management stage and the corresponding documents should be kept by the client staff / department with all payment copies being kept on the procurement files for completeness of records and cross verification purposes. As appropriate the AO Procurement will also keep electronic copies in addition to the hard copies. To avoid the practice in the Kasungu–Lukusuzi TFCA Project funded by Peace Park Foundation, where procurement had been carried out by the law enforcement advisor, for all activities under the Project, the services of the AO Procurement will be utilized in interest of (a) enhancing accountability and transparency, (b) of building capacity of the ELAMU and (c) maintaining full documentation on such activities for record and post review and audit purposes. Given that the proposed project will include minor civil / building works, ensure the services of the ZAWA Mfuwe-based civil engineer to assist with processing procurement. The engineer should form part of the implementation team to provide technical support.
46. The overall Residual Project risk for procurement is rated as Moderate (M).
Procurement Plan
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47. The recipients, before appraisal, developed an eighteen months procurement plan for Project implementation which provides the basis for the procurement methods (see Annex IX). This plan has been agreed between the Recipients and the Project Team on February 2, 2011 and is available at DNPW office in Lilongwe and ZAWA office in Lusaka. It will also be available in the Project‟s database and in the Bank‟s external website. The Procurement Plan will be updated in agreement with the World Bank annually or as required to reflect the actual Project implementation needs and improvements in institutional capacity.
Frequency of Procurement Supervision
48. In addition to the one 15%-sampling prior review supervision to be carried out from Bank offices, the capacity assessment of the Implementing Agency has recommended two supervision missions to visit the field to carry out post review of procurement actions until the Procurement rating is rated Satisfactory for two consecutive missions.
Details of the Procurement Arrangements Involving International Competition
Goods, Works, and Non Consulting Services
(a) List of contract packages to be procured following ICB and direct contracting:
49. Even though a prior review threshold for ICB is set below, there is no ICB contract planned under this project and no Single Source Selection contract has been identified as necessary. If the situation appears during the Project implementation where direct contract is requested, it will be reviewed on a case by case basis and registered in the revised Procurement Plan.
1 2 3 4 5 6 7 8 9
Ref. Contract Estimated Procurement P- Domestic Review Expected Comments No. (Description) Cost Method Q Preference by Bank Bid- and source of (yes/no) (Prior / Opening financing Post) Date NA NA NA NA NA NA NA NA NA
(b) ICB contracts estimated to cost above US$3,000,000 per contract, all direct contracting, and the first contract under each method, and each source of fund, will be subject to prior review by the Bank.
Consulting Services
(a) List of consulting assignments with short-list of international firms.
1 2 3 4 5 6 7 N Ref. Description of Estimated Selection Review Expected Comments & No. Assignment Cost Method by Bank Proposals source of (Prior / Submission financing Post) Date
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1. TA to Chama Nature 142,000 SSS to WCS Prior June 2011 GEF Zambia Park 2 Feasibility NIA 103,000 CQ Prior Dec. 2012 GEF Malawi Business Plan NIA and GEF Zambia 3. Broker concessions 57,000 CQ Post Dec. 2012 GEF Malawi and GEF Zambia 4 Engineering design/spn 110,000 QCBS Prior Dec. 2011 Norway research center 5. Facilitation Integrated 65,000 CQ Post Dec. 2011 GEF Malawi Development Planning 2 districts
(b) The first consultancy services contract under each method and each source of funds as well as contracts estimated to cost above US$200,000 per contract and single source selection of consultants (firms) for assignments estimated to cost above US$100,000 will be subject to prior review by the Bank.
(c) Short lists composed entirely of national consultants: Short lists of consultants for services estimated to cost less than US$100,000 equivalent per contract may be composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines.
D. Environmental and Social (including Safeguards)
50. The Project is rated as a Category B project because the environmental and social impacts are expected to be minimal, site-specific and manageable to an accepted level. All parallel co- financiers - Embassy of Norway in Malawi and Peace Park Foundation - are committed to comply with World Bank Safeguards.
51. The following WB safeguard policies have been triggered with all Project activities, irrespective of their funding, subjected to compliance:
OP/BP 4.01 Environmental Assessment OP/BP 4.04 Natural Habitats OP/BP 4.36 Forests OP/BP 4.12 Involuntary Resettlement
Environmental and Social Management Framework (ESMF)
52. It defines the criteria and procedures for mitigating potential environmental and social impacts due to Project activities (see table 3 below). In meeting this compliance, the ESMF lays out a forward looking, transparent and fully participatory process through which Project stakeholders and beneficiaries can address and minimize potentially negative impacts the Project may have.
Table 3: Project Activities with Potential Adverse Environmental or Social Impacts
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Environmental Project Target Areas, Potential Adverse Adverse Habitat Adverse Social Screening Activities Environmental Impacts Impacts Impacts
Environmental Linear Infrastructure construction Potential erosion, Increased wildlife Increased undesired Impact soil/water loss. disturbance near human immigration Assessment (EIA) Chama Block Increased access water hole and into area. including Opening 100km bush tracks/firebreaks for illegal use feeding grounds. Restricted access Environmental each year activities. Silting Potential increases tension Management 2 small culverts/bridges/weir of streams, etc. destruction of with park staff. Plan (EMP) will 1 bush airstrip natural vegetation Increased exposure be prepared and and habitat during to illegal markets approved before construction. and people who works begin. Increased human may exploit local impact on residents vegetation and wildlife movements.
Fencing Increased Disturb wildlife Block traditional availability of movement to usual use of land. Limit Chama Nature Park wires for snares habitat or feeding access to wild 20 km of elephant restraining fence areas resources and income Vwaza Block opportunities Build 150 km of game fence (unfunded for now) Construction of facilities (camps, centre) Attracts human disturb wildlife Restricted areas, disturbances, loss access to important could cause Nyika Block of trees and resource antagonism with EMP will be Construct 12 guard houses, 1 gate, 6 habitat in affected requirements park authorities prepared and offices, 3 pickets area although these approved before Construct research center facilities are within works begin. existing camps Vwaza Block Construct 10 guard houses, 1 gate, 3 pickets, 1 operation room No environmental Linear Infrastructure rehabilitation Potential erosion, Increased wildlife Increased undesired analysis beyond soil/water loss. disturbance near human immigration initial screening. Nyika Block Increased access water hole and into area. Opening 1,000 km fire break per year for illegal use feeding grounds. Restricted access Rehabilitate 250 km of existing bush activities. Silting Potential increases tension tracks of streams, etc. destruction of with park staff. Maintain airstrip annually. natural vegetation Increased exposure and habitat during to illegal markets Vwaza Block construction. and people who Open 200 km firebreak per year Increased human may exploit local Rehabilittae150 km of existing bush tracks impact on residents Maintain airstrip annually. vegetation and wildlife movements. Rehabilitation of facilities (camps, centre) Increase human None identified None identified disturbances, loss Chama Nature Park of trees and Rehabilitate 10 buildings for habitat in affected housing/workshop and office area
Nyika Block Rehabilitate/maintain 97 staff houses, 3 offices, 1 camp, 2 workshops, 2 gates, 1 clinic, 1 hangar, 1 operation room,
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Vwaza Block Rehabilitate/maintain 46 staff houses, 1 offices, 1 workshops, 2 gates, 1 hangar No environmental Increased law enforcement Nil Nil Reduced income analysis. from illegal use activities
Increased fire management control Nil Nil Ppossible fines, added cost
Increased controls on tree cutting in park Nil Nil Possible fines, added cost, reduced access to natural resources
Controlled or prohibited settlements in the Nil Nil Reduced access to park land
Potentially more wildlife conflicts Nil Nil Crop damage, threats to human safety
Controlled access to natural resources Nil Nil Loss of income and food
Environmental Logging of exotic pine in the Nyika Park Increase the May decrease the Creates jobs during Impact (Chelinda) biodiversity value habitat of species the logging period Assessment (EIA) of the park. which have come but will ultimately including to be used to the (after > 10 years) Environmental existence of a pine decrease Management forest availability of fire Plan (EMP) wood. Decreases the wind break effect that enhances lodging conditions.
53. The Project will implement the guidelines contained in this framework to promote a participatory process of community involvement, as well as other relevant stakeholders, to support an accurate assessment of such impact before the Project activities commence. The ESMF provides a management framework for how the Project will ensure compliance with defined national and World Bank safeguard policies to avoid undesirable Project impacts as well as a required process for monitoring the effectiveness of these safeguards.
54. The ESMF proposes procedures that are not unduly complicated or time-consuming. This concern relates to the larger purpose of the Project, which is to maintain a clear and committed focus on building district, community and stakeholder commitment to the needs of improved environmental management and social welfare within the TFCA. This ESMF is therefore a methodology designed to streamline appropriate steps that enhance environmental and social planning and impacts in the TFCA: Participatory and technical environmental and social assessments for each activity.
55. Most especially, the ESMF seeks to incorporate underlying principles of land and natural resource management, as well as lessons and experiences from work currently in practice in the
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Project area that will enhance the level of cooperation among community stakeholders to support improved protected area management.
56. The ESMF is completed by two additional tools: The Process Framework and the Resettlement Policy Framework.
The Process Framework (PF)
57. It is a “sister” document to the ESMF that the Nyika TFCA Project will use to provide a clear process by which communities (or Persons affected by the Project, the PAPs), participate in the design, implementation, and monitoring of relevant Project activities and potential benefits accrued from such activities. The PF also recognizes the existence of existing projects which although not part of the Nyika Project may help reinforce its success by establishing a context whereby closer collaboration with community partners and stronger community buy-in are possible. The ESMF and PF work together as framework papers to ensure a clear pathway of guidelines and participatory procedures that will promote positive environmental and social impact by the Project.
58. The PF proposes a process to assist in better identifying all protected area stakeholders, who, even though they reside outside the Project area, illegally enter it to use natural resources. As such, they stand to lose access to natural resources as a result of the Project. These are considered PAPs. The PAPs will be identified through a participatory process similar to the process already used by other projects which involves existing community structures and traditional leaders and as a result of better law enforcement. It proposes a process whereby PAPs would become eligible for Project support through an Action Plan. The Project has set aside a reserve fund of about US$390,000 to implement PAP Action Plans. In some cases, this fund will not be accessed if it is found that other projects are already providing suitable livelihood support to PAPs as part of their normal operations.
The Resettlement Policy Framework (RPF)
59. The RPF is activated because there are several families that live within the area currently proposed for the Chama Nature Park and in case, after the Integrated District Development Plan is completed, and through implementation of the PF, there is a clear consensus that there is no option but to displace one or several households. If this becomes the case, the RPF outlines the detailed steps that must be followed to prepare a Resettlement Action Plan (RAP). A RAP would be prepared only after the GoZ or GoM have provided the proof that they have secured sufficient financing to fully implement it. Irrespective of the funding, any RAP to be carried out within the boundary of the Project area, and irrespectively of the source of financing, will require clearance by the World Bank.
60. In each country, the M&E Officer will be the focal point for safeguard compliance and monitoring. Also, in each country, the ZAWA and DNPW extension officers will be tasked to coordinate implementation of the Process Framework.
61. To facilitate outreach, it is envisaged that the Project will rely on, and strengthen when necessary as part of the Process Framework implementation, existing community structures. In
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both countries these are numerous and based on a wide network of Community Based Organizations such as Community Resource Board, for GMA or the Chama Stakeholder Association, both in Zambia. In Malawi, the direct participation by local communities in protected area management is through Natural Resources Committees (NRCs). An umbrella organization known as the Nyika-Vwaza Association for Natural Resource Management and Rural Development oversees the work of the NRCs and forms a unified link with DNPW.
62. In Zambia the Provincial and District-level authorities have established a Provincial Land Management Authority loosely known as the Luangwa Valley Partnership Initiative. This Authority involves partnerships between Government and Non-Government Organizations (NGOs) and CBOs. The Authority meets periodically during the year and brings together the heads of key Government departments and maintains an important mechanism for monitoring management results. The Authority also recognizes the role that District Governments play with regard to assessing the needs and views of resident communities as well as the formal link with Traditional Leaders, who maintain an important degree of influence over land use practices on customary land.
63. In Malawi the Government has decentralized environmental management to local structures which consists of Village Development Committees (VDCs), Area Development Committees (ADCs) and then District Assemblies.
E. Monitoring and Evaluation
Current TFCA M&E
64. The Nyika and Vwaza “ecosystem management blocks” are monitored by DNPW and ZAWA through patrols (reporting mainly on mammal sightings, illegal resource use, and fires). During the preparation phase, these efforts were strengthened through the development of a law enforcement support database for the Nyika National Park Malawi, the Vwaza Marsh Wildlife Reserve and the Bambanda-Zaro Sanctuary. This helped regular reporting to park managers and central level authorities. In the proposed Chama Nature Park20 in Lundazi Forest Reserve in Zambia, no monitoring has been taken place until now. Zambia has attempted to use the Management Effectiveness Tracking Tool (METT) for all its National Parks and Game Management Areas while Malawi has not yet formally introduced the METT as a protected area monitoring tool.
Project M&E
65. The agencies will appoints M&E officers. He/she will be guided by an M&E which is Volume III of the PIM. The M&E officers will train executing agencies (DNPW, ZAWA, etc.) with planning including budgeting and monitoring/reporting of activities, outputs and impacts.
66. The M&E volume describes monitoring and evaluation of input, output and outcomes. For each, it includes indicator sheets with baseline and target values. It defines data needs,
20 Chama Nature Park: This term is aligned with the proposed reclassification of protected areas in the Forest Sector in Zambia. The proposed “Chama Nature Park” is expected to be managed as a joint venture among Forest Department, Chama Local Association and an appropriate “facilitator” partner.
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sources, collection, quality control, processing and reporting modalities. It also describes the role of the M&E officer and its interaction with “monitors” from national agencies. The M&E plan does include the METT for the three “management blocks” of the Nyika TFCA for which baseline and target are available for two (Chama Nature Park is not yet assessed). However, the use of the financial scorecard will start only by mid-term, when a baseline is available a business plan outline the path to sustainability. It will then be evaluated by end of Project.
67. The M&E system will link up, but also help significantly improve and harmonize the on- going M&E by ZAWA, DNPW and FD. These national agencies will continue carrying out operational M&E tasks for each management block related to data collection, basic monitoring and evaluation as well as reporting to their HQ. This function will consolidate and strengthen overall M&E efforts for the Nyika TFCA, support alignment and harmonization of data reports, evaluate overall results and produce consolidated annual work plans, quarterly and annual reports.
68. The estimated M&E budget for five-years is US$1.02 million of which GEF funds US$0.61 million under component 1 Institutional and Planning Framework and under component 3 Protected Areas Management. The M&E function includes planning, monitoring, reporting and evaluation. Its intended output include: (1) Annual plans with outcome targets, budget, activity, training and procurement plans; (2) annual and quarterly reports; (3) various specific “scoring” reports such as PA management effectiveness, NIA development effectiveness, etc.; (4) for each block annual report consolidating and analyzing wildlife trends; (5) maps production; and (6) various supervision reports. This budget includes the fee of a short term consultant to mentor the M&E officers as well as equipment and operation of the M&E officer as well as a share of the patrol time (for data collection), training workshops (data collection and reporting), aerial survey (every two years), etc.
Additional TFCA M&E capacity
69. Funded by Norway Malawi, a biodiversity research center will be established in the Nyika National Park. Staff of the center will develop and carry out during the course of the Project at least two biodiversity management orientated research programs (focusing on establishing a status of biodiversity, on the invasive bracken fern in Nyika National Park Malawi and on the status/decline in freshwater species in Lake Kazuni in Vwaza Marsh Wildlife Reserve) filling knowledge gaps for critical management and monitoring issues.
F. Role of Partners
70. In both countries, the Nyika TFCA is solidly anchored in district development. District development is itself largely influenced by traditional chiefdom. The District Council and chiefs are therefore important partners. Largely linked to traditional establishment and districts, two community associations are emerging as key partners for the Project: the Nyika-Vwaza Association and the Chama Community Association. In addition, working for now only in Malawi, the Nyika-Vwaza Trust has been a steady and constructive presence in the Nyika system. In each country there are other ongoing major initiatives such as the COMACO and Kulera Biodiversity projects.
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Districts
71. The Nyika TFCA is surrounded by four districts in Malawi: Rumphi (Nyika NP and Vwaza Marsh WR), Karonga and Chitipa (Nyika NP) as well as Mzimba (Vwaza Marsh WR) and two districts in Zambia: Chama and Muyombe. Between two districts, Chama and Rumphi, more than 80% of the fringe communities are covered.
72. The Project will therefore largely work with these two districts and will seek to formalize relations between the implementing agencies and the two councils. District Government authorities provide a formal link with Traditional Leaders, who maintain an important degree of influence over land use practices on customary lands and are essential in developing and implementing successful land use plans. In both countries, environmental management by local stakeholders is an important component to Government‟s effort to decentralize its leadership. Under this arrangement, communities are supposed to take the lead in the management of natural resources through their local governance structures. The local structures are very similar in Zambia and Malawi. There are Village Development Committees (VDCs), Area Development Committees (ADCs) and District Assemblies. Traditional Leaders are influential members of these structures. Each district is supposed to produce a District Environmental Action Plan (DEAP) as a guide in environmental management for the district (as defined in Malawi, in the Malawi Environmental Management Act). This goes along with the District Development Plans emanating from the socio-economic profiles and state of environmental reports. Biodiversity is one component in the DEAPs and protected areas are covered under this aspect, though this aspect of land management is still regarded as a DNPW‟s affair, with communities only participating in issues of education and awareness.
Community Associations: Nyika-Vwaza Association and Chama Association
73. In Malawi, the direct participation by local communities in protected area management is through Natural Resources Committees (NRCs), as is the case for Nyika and Vwaza Marsh Protected Areas. An umbrella organization known as the Nyika-Vwaza Association for Natural Resource and Development (NVANRD) oversees the work of NRCs and forms a unified link with DNPW. The NVANRD Trustees include two chiefs and a Divisional Wildlife Manager. In Zambia, there is no legal provision for community management of national park or national forests. The role of communities is restricted to game management areas. Still, the Government of Zambia is testing new approaches prior to crystallizing them as policy. One is that of partnership protected area or joint management concession whereby a portion of public or community land is entrusted to a community enterprise. The Chama community has organized itself in an association (exact name not yet available) to ultimately manage the Chama Nature Park.
Nyika-Vwaza Trust
74. The Nyika-Vwaza Trust is a small NGO registered in Malawi and in the UK as a charity under the leadership of private operators and various concerned individuals. Over the past years, its modest but very steady efforts have helped significantly protect the Nyika Park, propose staff training, maintain some of the tracks and river crossings and manage fires. They will take active
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part in the Project, particularly through their great experience in small infrastructure development and maintenance.
Community Markets for Conservation (COMACO)
75. COMACO is a rural enterprise that operates throughout much of Luangwa Valley under the auspices of the Wildlife Conservation Society (WCS). Its activities are ongoing. They target communities that reside outside the Project area on the Zambian side. COMACO works to provide commercial incentives for farmers to adopt improved farming practices that lessen the risk of environmental or habitat degradation, while enhancing both food and income security at the household-level. It does this by passing on a portion of the commercial margin from both value-added processed products and commodity markets to participating producers and by offering increased access to inputs and extension services in exchange for increased compliance to conservation guidelines. COMACO maintains an organization of producer groups, producer group cooperatives and regional management committees for helping producers meet conservation compliances and gain improved market benefits for their support of conservation objectives. COMACO is well established in the Chama and Isoka Districts.
Total Land Care (TLC)
76. Total Land Care is a Malawian NGO which has acquired very significant experience in sustainable rural development, natural resources management and conservation farming. Through a competitive process they were selected by USAID to implement the Kulera Biodiversity Project on the Malawi fringe community in selected areas, among those the Nyika and Vwaza area. The Kulera Biodiversity Project is an active, stand alone project outside the project area. The Project through its national agencies will formalize relations with TLC in order to ensure that they work together with similar goals and consistent messages to communities.
Need for Memorandum of Understanding
77. Some of the partners will establish an MoU with the Project‟s agencies. This includes the district councils but also some of the organizations or Government entities working with the communities just outside the Project area or even within the Project Area. Some MoUs will authorize the partner to undertake activities, which would then be reimbursed by the Project‟s national agencies if they were agreed in advance, if they were approved by the World Bank in the Annual Work Plans and Budget (AWP) and if the purchased items, works or services were procured according to the procurement section of the Finance and Administration volume of the PIM. It is expected that this will be the case for the Nyika-Vwaza Trust (to implement small infrastructure and maintenance work). In addition, it is expected that various NGOs or projects active in the area would sign MoUs that outline cooperation and coordination engagements such as annual meetings to avoid duplication and align approaches
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Annex IV: Operational Risk Assessment Framework (ORAF) MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
The Project Development (PDO) and Global Environmental Objective (GEO) is to establish more effective transfrontier management of biodiversity in the Nyika Transfrontier Conservation Area.
PDO Level Results Transfrontier planning instruments adopted by Ministerial Committee (Joint Management Plan, IDDPs, 1. Abundance index of 2 indicator mammals (elephant, kudu for Chama block, elephant, buffalo for Indicators: Business Plans, etc.) Vwaza block and eland, zebra for Nyika block) trend is > 0. Area with signs of illegal land use inside the protected areas of the Nyika TFCA (illegal land use being 2. Area with signs of illegal land use inside the protected areas of the Nyika TFCA remains = 0 for Nyika defined as settlement, cultivation, mining, logging, etc.) remains = 5% for Nyika block, 0% for Vwaza & Vwaza & to be verified for Chama Nature Park after boundaries are completed. block & decreases from 10 % to 6 % for Chama Nature Park. Score of Management Effectiveness: 38 to 60 for Nyika block, 44 to 58 for Vwaza block, 11 to 48 for 3. Score of Management Effectiveness: 38 to 64 for Nyika block, 44 to 66 for Vwaza block, 11 to 59 for Chama block. Chama block.
Risk Category Risk Risk Description Proposed Mitigation Measures Rating Project Stakeholder Risks L The long term design of the Nyika TFCA The project will be implemented by each calls for a Treaty and the creation of a joint ministry‟s line agencies strengthened with institutional arrangement. Both countries technical assistance irrespectively of the are committed to the Treaty, but signing is signing of a Treaty. regularly postponed and could continue being postponed throughout the project The Peace Park Foundation (PPF), an NGO period. which has worked with both countries on Nyika TFCA development since 2004, will There is a risk that two other community continue its advisory role to both projects, Kulera and COMACO, fail to Governments throughout implementation. stimulate communities‟ incentive or buy-in towards better stewardship of park The Bank continues to advise the two resources which then threatens the Governments and share good practices on outcome of increased wildlife and no TFCA development and implementation encroachment. matters.
The Project has allocated US$390,000 for support to livelihood as part of the Process Framework which will also contribute to building community incentives.
The Project will also support cross-border annual knowledge exchange weeks to exchange knowledge and lessons learnt.
Community consultation during project preparation, especially on the Chama Nature Park, is encouraging and will continue throughout implementation. Implementing Agency ML The project is implemented by the line In phase 1, the ministries will recruit Risks agencies of MTENR (Zambia) and MTWC technical assistance to help the implementing (Malawi). These agencies are understaffed agencies. The TA selection process will and have difficulties managing their own follow WB procurement guidelines and be program, mobilizing budgets and carrying subject to performance evaluation. procurement. The risk is that the Nyika
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project implementation suffers from The project has allocated significant training unreasonable delays and inadequate resources to assist the agency‟s staff in monitoring. developing planning, M&E, procurement, financial management and budgeting skills. Possibly at the request of the Governments, the Project may be The design of the NIA in the draft Treaty transferred to NIA which will be a new provides for volunteer board members and institution. A risk is that the Board of the allocates significant resources to their NIA does not provide leadership and training. The performance of the Board, vision or is influenced by issues not which is essential for project success, will be relevant to Nyika TFCA. This would largely independent on the individual quality undermine the NIA credibility, field results of its members for which little can be done and successful fund raising. Another risk is others than point to good practices. that the staff of the NIA Secretariat does not perform at the very high level required When/if the Governments request a transfer for credibility, field results and successful to NIA, the institution will be appraised and fund raising. residual risk assessed and the transfer will be submitted to World Bank management The risk is that the logging and tourism decision. concessions awarded in the project areas do not follow transparent procedures when The concessioning process is improving in awarded or supervised and therefore do not both countries (at least in tourism) as deliver credible operators capable of demonstrated by the corrective measures that attracting tourists and generating the anticorruption commission in Malawi employment. was able to trigger in the case of the Chelinda Lodge. Lack of accountability and poor compliance with existing regulations and The forest sector has a draft new policy in procedures may result in funds not being Zambia and soon a new law, which would used for intended purposes in an efficient lead to better processes for concessioning. and economic way which lessens the Finland is supporting this sector. probability to achieve intended results. In Nyika, all new concessioning (less than 5 are expected) will be monitored by the Bank.
The project financial management and procurement are ring fenced with WB procedures, maintenance of separate accounts for GEF funds, need to report quarterly, external audits, etc. Project Risks MI See below. See below.
Design MI The difficulties of the Ministries dialog The experience of Bambanda- Zaro could impact ZAWA, FD and DNPW sanctuary (which saddles the border and has ability to work together across borders been jointly managed for the past 3 years) and make this Project a true TFCA demonstrates the ability of DNPW and operation. This could be worsened by ZAWA to work well together at site-level. incompatibility between national legislation in Zambia and Malawi. Lack The current legal framework is adequate to of on-the-ground cooperation would enable the first steps towards joint decrease the likelihood of conservation management of the Nyika TFCA. The outcomes. project will also support a diagnostic of legal barriers to fully implement the Treaty. It The MTENR may reverse during will also establish technical committees to implementation, its decision to support review and facilitate resolutions of issues the establishment of the Chama Nature such as border crossing, immigration, Park as pilot in advance of the veterinary, etc. legislation. The Chama Nature Park is Finally, the project is overseen by a Joint 54
the main conservation block supported Steering Committee comprised of 50 % by the project on Zambia side. The Zambian and 50 % Malawian Members. MTENR and FD may prevent its establishment or could fail to empower The WB has received written assurance from a suitable community-based partnership the MTENR Zambia that the pilot character for its management. of the Chama Nature Park would be respected because it fits the policy and legislative evolutions that are already undergoing.
The WB is maintain a close dialog with the MTENR and will require a formal position as documented in the minutes of negotiations. The pilot character should not be an issue as similar other pilots have been launched by the Ministry elsewhere in the country. Social and Environmental L No negative environmental impacts An ESMF, a Process and Resettlement expected. Modest negative social impacts Policy Framework has been designed, due to increased resource protection in the disclosed and adopted before end of TFCA blocks. Environment and social appraisal. safeguards are triggered with project being categorized as B. Program and Donor L NA Norway has asked the WB to assist in monitoring its own financing in support of the project. Project IAs will sign an MoU with all partners working on Nyika TFCA. Delivery Quality H Contractors and service providers will Additional training and TA is provided to have difficulties reaching the site and organize the new systems. The project‟s delivering quality civil works and/or geographical scope was reduced by technical assistance. Meanwhile, FD, excluding the very large Musalangu GMA ZAWA and DNPW are likely not to have and Mikuni National Forest. strong skills in contract management. Without proper supervision from the The project itself includes “classic” Ministries or NIA, it is likely that some of protected area management activities, none the funded activities may be realized with of which are implemented with large delay or poor quality. contract and complex systems.
Using lessons from similar such projects, for small works, for which no serious contractor would bid, the use of force account is authorized.
Overall Risk Overall Risk Rating at Rating During Comments Preparation Implementation ML H The overall risk rating of the proposed intervention is estimated as High because (1) the political discussion between Malawi and Zambia on the institutional arrangement for the joint management of the Nyika TFCA have not been concluded and neither countries are planning to increase their budget to the Nyika TFCA, and (2) the project would be entrusted first to teams staffed and assembled by Government agencies with, particularly in the case of Malawi, modest implementation capacity principally in procurement and financial management.
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ANNEX V: IMPLEMENTATION SUPPORT PLAN MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
The strategy for Implementation Support (IS) has been developed based on the nature of the Project and its risk profile. It will aim at making implementation support to the client more flexible and efficient, and will focus on implementation of the risk mitigation measures defined in the ORAF.
Procurement. Implementation support will include: (a) providing training to the agencies and other team members as well as staff from the ministries and executing agencies; (b) reviewing procurement documents and providing timely feedback; and (c) providing detailed guidance on the Bank‟s Procurement Guidelines; and (d) monitoring procurement progress of GEF funded contracts against the detailed Procurement Plan.
Financial management. Supervision will review the Project‟s financial management system, including but not limited to, accounting, reporting and internal controls. Supervision will also cover a review of GEF-funded transactions on a random sample basis. The Bank team will also work with the Project financial controller to assist in improving coordination among different departments and units for financial management and reporting.
Environmental and Social Safeguards. The Bank team will supervise the implementation of the ESMF, PF, and RPF and provide guidance to Project implementation teams to address any issues. They will review compliance of all activities under this project.
Anti-Corruption. The Bank team will supervise the implementation of the agreed Governance and Accountability Framework, and provide guidance in resolving any issues identified.
Other Issues. Sector level risks, such weak capacity of wildlife and forest management institutions in both countries will be addressed at the portfolio level through policy dialogue with the Government and DNPW, ZAWA and FD.
Implementation Support Plan
Most of the Bank team members will be based in the Malawian and Zambian country office and other country offices in the region to ensure timely, efficient and effective implementation support to the client. Formal supervision and field visits will be carried out semi-annually. Detailed inputs from the Bank team are outlined below:
Technical inputs. The TTL is a protected area management specialist with solid experience in institution building and legal framework. He will supervise directly those dimensions through very regular communication with the team and possibly frequent site visits in the Project early years.
Fiduciary requirements and inputs. Training will be provided by the Bank‟s financial management specialist and procurement specialist before the commencement of Project implementation. The team will also help the Project identify capacity building needs to strengthen its financial management capacity and to improve procurement management efficiency. Both financial management
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and the procurement specialists are based in each country offices to provide timely support. Formal supervision of financial management and procurement will be carried out semi-annually.
Safeguards. Inputs from an environment specialist are mainly provided from the team leader with back up from a safeguard specialist based at HQ. A social specialist will provide ad-hoc support as needed, though the Project‟s social and environmental impacts are limited. Training is required on environment monitoring and reporting. On the social side, supervision will focus on the implementation of the agreed ESMF, PF and RPF. Field visits are required on an annual basis.
Financial review of executing agencies. Input is required from a financial specialist for semi- annual review of the Project financial status to verify compliance of financial covenants.
Operation. The TTL, based in the Zambian office will provide day to day supervision of all operational aspects, as well as coordination with the client and among Bank team members. The main focus of implementation support per fiscal year is summarized below.
Partner Time Focus Resource Estimate Role First NA Technical and procurement review of the twelve Procurement specialist(s) 2 SWs bidding documents months
Procurement training
FM training and supervision FM specialist 2 SWs
Environmental training and supervision Environmental specialist(s) 1 SWs
Institutional arrangement and Project Operations officer 6 SWs supervision coordination (Consultant)
Team leadership TTL 6 SWs
Environment and social monitoring and Environmental specialist(s) 2 SWs reporting Social specialist 4 SWs Financial management FM specialist 2 SWs disbursement and reporting Operations officer 0 SWs Tourism specialist 4 SWs Technical input (DED Secondee) Note: SW – Staff-Week
Staff skill mix required is summarized below. ` Skills Needed Number of Staff Weeks Number of Trips Comments Operations Officer 6 SWs annually Fields trips as required. Consultant Procurement specialist 2 SWs annually Fields trips as required. Country office based Social specialist 2 SWs annually Fields trips as required. HQ based Environment specialist 2 SWs annually Fields trips as required. Country office based Financial management 2 SWs annually Fields trips as required. Country office based specialist Task team leader 4 SWs annually Two per year Country office based
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Partners
Name Institution/Country Role Norway Norway Malawi Co-financier (parallel) Country Office WCS NGO/Zambia Implementer of COMACO in periphery of Nyika NP Zambia Total Land Care Ngo/Malawi Implementer of USAID Kulera in periphery of Nyika NP Malawi Nyika Vwaza Trust NGO/NWT Malawi Implementer of some Project activities in Malawi Nyika NP PPF NGO/South Africa Co-financier (parallel)
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ANNEX VI: TEAM COMPOSITION MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
World Bank staff and consultants who worked on the Project: Name Title Unit
Jean-Michel Pavy TTL/Sr. Environment Specialist AFTEN Gabriele Rechbauer Consultant AFTEN Hardwick Tchale Agricultural Economist AFTAR Iris Dueker Tourism Specialist AFTEN Kristine Schwebach Social Specialist/Safeguards AFTEN George Ledec Senior Environment Specialist AFTEN Fenwick B. Chitalu Financial Management Specialist ZM AFTFM Wedex Ilunga Procurement Specialist ZM AFTPC Steven Mhone Procurement Specialist MW AFTPS Trust Chimaliro Financial Management Specialist MW AFTFM Francis Mkandawire Financial Management Specialist MW AFTFM Suzanne F. Morris Finance Officer CTRFC José Janeiro Finance Officer CTRFC Christiaan J. Nieuwoudt Financial Analyst CTRDM Marjory Mpundu Senior Council LEGAF Greg Wolf Peer Reviewer ENV Juan Pablo Ruiz Peer Reviewer LCSEN Nathalie Johnson Peer Reviewer ECSS3 Sipiwe Chihame Team Assistant ZM AFMZM Grace Ingrid Chilambo Team Assistant MW AFMMW
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ANNEX VII: INCREMENTAL COST ANALYSIS MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
A. Baseline Scenario
Both countries have shown strong commitment to the Nyika TFCA over the past years and a good political and technical dialogue related to the TFCA development is ongoing. It is likely that under the business-as-usual scenario the Zambia-Malawi TFCA Treaty and its Implementation Protocol that includes the Nyika TFCA will be signed during project implementation. However, without GEF, it is unlikely that over the next years sustainable institutional and financial mechanisms, essential for joint Nyika TFCA planning and management will be developed, approved and operationalized (related to component 1 and 2).
Noteworthy, under the business-as-usual scenario, TFCA related tourism is expected to either remain at its current level and even slightly increase over time due to the recent granting of (1) a 15-year concession in the Nyika NP Malawi to an experienced eco-tourism and conservation orientated company, (2) a newly granted concession for the Vwaza Marsh camp and (3) the discussed re-launch of a non-operational concession of the old rest camp on the Zambian side of the Nyika NP. The existing retention schemes for DNPW and ZAWA for revenues generated in protected areas (gate entrance fees, permits, concessions) are expected to be maintained and thereby continue to contribute marginally to the operating costs of DNPW and ZAWA in the TFCA (of relevance for component 1 and 2).
The TFCA joint DNPW and ZAWA pilot resource protection program at the transboundary Bambando- Zaro restocking sanctuary adjacent to the Vwaza Marsh Wildlife Reserve is expected to be continued although with very limited funds and impact since it was largely supported by PPF/WWF during Project preparation. This will imply that under the business-as-usual scenario, joint training of DNPW and ZAWA law enforcement staff as well as joint monitoring and evaluation efforts remain principally in place but would diminish realistically in the future. Isolated research efforts including biotic surveys and limited training through the Museum of Malawi/National Herbarium of Malawi in partnership with international research organizations (e.g. for small mammals and birds for the Nyika NP) are also expected to continue but remain most likely restricted to the Nyika NP Malawi. And the current but mostly disconnected efforts to manage the protected areas within the TFCA will be carried out with most likely little change in terms of capacity of staff for planning, management, monitoring, as well as for infrastructure development and maintenance. Lastly, without the Project, it is unlikely that the establishment and operationalization of the proposed Zambian Chama Nature Park will take place (all related to component 3).
Without GEF resources, community livelihood support measures in areas adjacent to the protected areas of the Nyika TFCA would be implemented in both countries by CRBs with its own resources and through two other projects: In Zambia the Norway funded and COMACO executed project in the Chama District and in Malawi the USAID funded and Total Land Care executed Kulera Biodiversity Project in the Rumphi, Chitipa and Karonga Districts. COMACO supports trade centers and community extension for conservation farming and compliance. Member farmers receive a premium price for commodities produced in compliance with conservation criteria. The Kulera Biodiversity Project supports farmers with a full range of activities from awareness raising, conservation farming to alternative livelihoods. In each intervention area, COMACO and TLC attempt to access carbon financing. Therefore the baseline scenario will contribute through promotion of conservation farming practices to an improvement of 60
livelihoods of TFCA fringe communities as well as supporting mitigation of biodiversity conservation threats such as deforestation, human encroachment, illegal resource harvesting (poaching, logging etc.), land and water degradation. However, without GEF resources, these activities will be carried out independently and without any direct link to the Nyika TFCA management framework and their immediate impact on the Nyika TFCA biodiversity will be difficult to assess.
B. Alternative Scenario
GEF will add incremental value through (1) establishing and implementing governance and planning functions needed for the Nyika TFCA, planning, management and monitoring instruments such as a Nyika TFCA Joint Management Plan (including fire management), a Joint Tourism Plan, transboundary Integrated Development Planning at district level, etc. as well as supporting capacity of national agencies and the proposed Nyika Implementation Agency involved in Nyika TFCA; (2) initiating Nyika TFCA related fund-raising activities, establishing commercial ventures (tendering and managing tourism or logging concessions); (3) creating a new protected area on the Zambian side of the TFCA (the Chama Nature Park, adjacent to the Vwaza Marsh Wildlife Reserve) to improve connectivity within the TFCA and to the Luangwa Valley, support local livelihoods and built capacity for protected area and tourism planning, management and monitoring, and (4) leveraging funds from Norway Malawi to establish a biodiversity research center in the Nyika National Park Malawi aimed at developing and implementing key biodiversity management research programs (addressing for example the causes and management options of bracken fern as invasive species in the Nyika National Park Malawi or the decline in freshwater species in the Kazuni Lake in Vwaza Marsh Wildlife Reserve and other scientific research gaps within the Nyika TFCA).
The rational for spending a relatively large proportion of GEF resources (about 35 %) on institution building and governance under component 1 relates to leveraging: (1) it establishes instruments for long term sustainable institutional and financial TFCA management, (2) it operationalises formal transfrontier coordination of protected area management with improved accountability and credibility, (3) it enables funding from other partners who usually prefer to finance field investment that more easily show direct results. Under component 1, GEF funds will be used to fund the salary of two technical assistants for the Project (procurement and financial management) as well as, the equipment of the implementation teams as well as operating expenditures (travel, utilities, vehicle operation and maintenance, office building maintenance, etc.) to facilitate implementation. Under component 2, GEF incremental resources are used to initiate the development of mechanisms for financial sustainability of TFCA management including a fund-raising strategy and related activities, a feasibility study for the Nyika Implementation Agency and its Business Plan, services of a broker tasked with promoting concessions to attract private investors for lodge development and other commercial ventures. GEF will further fund operational expenditures to monitor concession contracts including site visits, participation to travel shows, organization of fund-raising events and preparation/tracking of commercial proposals. Under component 3, GEF funding supports mostly activities in the Vwaza and Chama blocks and modestly to the Zambia side of the most biodiversity-rich Nyika Block as (1) Norway Malawi prefers to allocate most of its financing to the Nyika block, and (2) the establishment of the Chama Nature Park in Zambia - along with the gradual capacity build up of the Vwaza Reserve management in cooperation with Zambia - are the most innovative features of this Project; if they succeed they have the potential to influence further the country policies on partnerships. Therefore, GEF resources under component 3 will be used to fund capacity building for planning, management and reporting, infrastructure development and maintenance, habitat management, resource protection and monitoring including patrol operations and research and monitoring such as data collection etc.
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GEF incremental funds are used for the implementation of a Process Framework based action plan providing livelihood alternatives and incentives to illegal resource users living in fringe communities around the protected areas. This is expected to ensure that the Project, by increasing the protection of the block does not generate poverty but rather provides alternative livelihoods to poachers and other illegal resource users from adjacent communities to the Nyika TFCA and thereby increases the biodiversity conservation status of the protected areas. GEF funds will be used to fund the construction of a modest tourism camp in Chama Nature Park (Zambia) as well as in Vwaza Marsh Wildlife Reserve (Malawi) including training and mentoring of staff, and initial marketing of the sites.
Global Benefits/Incremental Value Added
The Nyika TFCA Project is expected to deliver global environmental benefits in form of better organized transboundary biodiversity conservation and sustainable use of natural resources for these critical ecosystems as well as watershed protection through improving connectivity of bordering protected areas, increasing management effectiveness and efficiency of protected areas within the TFCA and reducing illegal resource use and degradation of natural resources. This will be achieved through all three components but particularly through the establishment of a financial and institutional sustainable framework (including the potential establishment of a Nyika Implementation Agency). The GEF support is expected to bring credibility to the process by making the TFCA initiative a truly integrated approach, both between the two countries and within. By strengthening the capacity of the current national agencies operating in the Nyika TFCA and possibly supporting in the future the transition to a new accountable bi-national TFCA institution together with a joint TFCA planning and financing framework, it will pave the path to further fund raising and long-term sustainability.
Further, the Project is expected to deliver some climate change related mitigation and adaptation benefits within the TFCA through enhanced carbon storage and capture due to avoided deforestation, reforestation in degraded corridors as well as through maintaining ecosystem services and integrity and buffer local climates.
Incremental Cost Calculations
Some co-financiers that will support the Program - Norway Malawi, PPF - have indicated that their funding would only be mobilized if GEF funding becomes available. Therefore, their funding is considered as “incremental”.
Program Baseline (US$5,600,000) Parallel co-funding from Norway Zambia and Wildlife Conservation Society for COMACO in Chama District (altogether US$1,450,000) and TLC (USAID, US$3,498,000) cover all fringe communities around the Nyika TFCA enhancing incentives for biodiversity conservation and community engagement through livelihood improvement. Nyika Vwaza Trust will continue parallel funding for infrastructure development/rehabilitation and maintenance in Nyika National Park Malawi and Vwaza Marsh Wildlife Reserve (total US$300,000). Nyika TFCA revenues amount to US$200,000 would also contribute to the baseline as well as additional TFCA revenues resulting from the Project but counted as baseline US$185,000. WCS contribution to the Chama Nature Park estimated at US$200,000.
Project baseline (US$1,540,000)
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DNPW and ZAWA will continue funding their staff to existing levels (DNPW total US$1,370,000, ZAWA total US$470,000).
Alternative scenario (Total US$16,920,000 with US$9,250,000) GEF allocation for Malawi and Zambia (total US$4,820,000). Peace Park Foundation will mobilize funds for the overarching activities relating to inter-country coordination both at the Ministerial level and at the level of the technical committees, ZAWA and DNPW (total US$230,000). Norway Malawi will provide funds for establishing and running a biodiversity research center in the Nyika NP Malawi as well as for managing and conservation of the Nyika block (total US$4,200,000).
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Table 4 - Allocation of funds per source of financing
Component and key activities/results GEF Financing Incremental Baseline Total Non Project Total cofinancing cofinacing Project Baseline $‟000 % $’000 % $’000 % $’000 $‟000 $‟000 C1. Institutional and planning framework: 1.34 71% 0.55 29 - - 1.89 - 1.89 Improved capacity of ZAWA, FD and DNPW for management and planning of the TFCA GEF M 0.71 PPF 0.23 GEF Z 0.63 Norway 0.32 Two technical assistants to support ZAWA and DNPW teams (procurement/financial management) Vehicles, office and field equipment for implementation teams in both countries Training in team building, fundraising, procurement, financial management, monitoring and evaluation etc. for DNPW, FD, ZAWA implementation teams in both countries( including planning and consultation workshops Review 5-year TFCA Joint Management Plan Annual work plans and budget for three protected area blocks Transboundary district planning for the Chama District in Zambia and the Rumphi District in Malawi including maps, workshops, travel costs. Diagnostic of legal barriers in both countries to TFCA full operationalization and legal assistance for harmonizing legislative amendments between Malawi and Zambia Annual external audits of all funds including revenues collected from public concessions. Annual cross-frontier knowledge sharing week. Stocktaking of TFCA results and lessons for replication elsewhere C2. Sustainable Financing 0.27 100 - 0% - % 0.27 - 0.27 Improved revenue collection and fund raising support % biodiversity conservation in the Nyika TFCA GEF M 0.17 Design of feasibility study for NIA including business plan, GEF Z 0.10 fundraising strategy, and investment strategy and consultations Broker tasked with advertising concessions Promotion material for fund raising, partnerships and investment promotion as well as trips, workshops. Operating expenditures related to monitoring concessions contracts and fund raising activities
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C3. Protected Area Management 3.21 36% 3.88 43% 1.84 21% 8.93 0.88 9.81 Improve management effectiveness of 3 protected area management blocks in Nyika TFCA (i) Chama Nature Park GEF M 1.40 Norway 3.88 GoM 1.37 Revenues (GEF), (ii) Vwaza Marsh Wildlife Reserve and Bambanda- GEF Z 1.81 GoZ 0.47 0.38 Zaro Sanctuary (GEF) and (iii) Nyika National Parks and WCS 0.20 Mitenge Forest NWT 0.30
Development of human resources and capacity for planning, management, monitoring of protected areas (including staffing, training, design of management plans, etc.) Field equipment and infrastructure development/ rehabilitation/maintenance for resource protection and management (tracks, fire breaks, staff housing, offices, bikes, vehicles, uniforms) Biodiversity management orientated scientific research programs (biodiversity baseline, bracken fern in Nyika NP Malawi, freshwater decline in Vwaza Marsh) Biodiversity monitoring (bi-annual aerial surveys) and evaluation including staffing, data collection, baseline assessment, aerial surveys Habitat and species management including protection and monitoring through patrol operations. Nyika Block: (1) Construction of biodiversity research GEF Z 0.30 6% Norway 3.59 69% GoM 0.97 25% 5.22 0.56 5.78 center; (2) Establishment of partnership with universities; GoZ 0.36 (3) Equipment (vehicles, tractors, uniforms, field NWT 0.30 equipment and office equipment); (4) Annual grading and Revenues opening of firebreaks, gravel roads and airstrip; (5) 0.26 Rehabilitation of staff houses, offices, gates, water and electricity provision; (6) Up-grade of Nyika General Management Plan, (7)Every second year aerial survey; (8) Research program: bracken fern and biodiversity baseline; and (9) Patrol operations and other operational expenditures Vwaza Block: (1) Equipment (vehicles, truck, motorbikes, GEF M 1. 40 67% Norway 0.29 14% GoM 0.40 19% 2.09 0.10 2.19 uniforms and field equipment as well as office equipment), (2) Annual grading and opening of firebreaks, gravel Revenues roads and airstrip; (3) Rehabilitation of staff houses, 0.10 offices, gates, water and electricity provision; (4) Up- grade of General Management Plan; (5) Every second year aerial survey; (6) Research programs: fresh water fish collapse in Lake Kazuni; and (7) Patrol operations and other operational expenditures Patrol operations and other operational expenditures 65
Chama Block: (1) Initial staffing of 15 – 20 community GEF Z 1.51 93% GoZ 0.11 7% 1.62 0.22 1.84 resource protection staff as well as training; (2) Training of 200 volunteer reservists for temporary park Revenues interventions; (3) Equipment including vehicle, 0.02 motorbike, bikes, uniforms, field and office equipment; WCS 0.20 (4) Construction of two bush camps; (5) Design of General Management Plan; (6) Technical assistance to Joint Venture by WCS; and (7) Patrol operating costs including habitat management such as early burning, tse tse fly control etc. Community livelihood (this is not a Project component but it - - - - - 4.95 4.95 is a part of the incremental reasoning whereby conservation also relies on community by in which it is largely stimulated COMACO by the community livelihoods activities in border areas, 1.45 which are funded by separate projects) USAID 3.50 Total 4.820 43% 6.27 57% 11.09 5.83 16.92 %
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ANNEX VIII: NYIKA TFCA ASSESSMENT MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
A. Location
The Nyika TFCA is situated in northern Malawi and northeastern Zambia. It is about 115 km from north to south and 100 km from west to east, extending from about latitude 10 o 10‟S to 11o 15‟S, and from about longitude 32o 05‟E to 34o 06‟ E. The seven protected areas under consideration together cover about 19,280km2. The boundary between the Northern Province and Eastern Province of Zambia runs through the area but most of the Zambian part of the TFCA falls within the Chama District of the Eastern Province. On the Malawi side the TFCA lies in the districts of Mzimba, Chitipa, Karonga and Rumphi entirely within the Northern Region.
The initial proposals dealt only with a TFCA consisting of the two Nyika National Parks that occupy the Nyika Plateau.21 The two Nyika NPs lie adjacent to one another on either side of the international border. After further investigation it was accepted that the TFCA could be made ecologically more complete by linking four adjacent protected areas to the core national parks of the Nyika Plateau. Two of these areas, the Vwaza Marsh WR and Lundazi FR were originally regarded as a potential TFCA on their own (Hall-Martin & Modise 2002). The current proposal therefore is to create the Nyika TFCA, an area of 19,280 km2 consisting of:
Nyika NP (Malawi) - 3,200 km2 Nyika NP (Zambia) - 106 km2 Lundazi FR (Zambia) - 839 km2 (This is only the northern section of the forest reserve that is situated to the east of the town of Chama. The total size of the Lundazi FR is 2,899 km2. The FR enjoys dual status and is included both in the FR and Musalangu GMA. This reserve could provide a physical link between the Nyika TFCA and the Kasungu/Lukusuzi TFCA). Mitenge FR (Zambia) - 186 km2 Vwaza Marsh WR (Malawi) – 1,982 km2 Mikuti FR (Zambia) - 388 km2
21 The first formal protection of the Nyika Plateau in Malawi was the proclamation of a Forest Reserve in 1948 to protect the southernmost population of juniper Juniperus procera trees in Africa. In 1951 the grasslands of the high plateau were protected under the Natural Resources Rules and hunting was prohibited. In the 1950‟s the Colonial Development Corporation established a plantation of 542 ha of pines, blue gums and wattle at Chelinda. The plantations were handed over to the Department of Forestry in 1958. In 1965 (after independence) the Malawi National Park, covering an area of 940 km 2 of the Nyika Plateau, was proclaimed as Malawi’s first national park. The name was changed to Nyika National Park in 1969. In 1978 the park was considerably enlarged to its present size of 3,134 km2 by including the foothills lying south and north of the high plateau. This expansion was due to the critical role of the Nyika Plateau as a water catchment area on which much of northern Malawi depends for domestic consumption, irrigation and hydro- electric power generation. The expansion of the park boundaries also took account of the winter migration of large mammals, particularly roan antelope, eland and zebra, from the plateau to the adjacent woodlands and their return to the grasslands in the spring. The Kazuni Lake Game Reserve was proclaimed in 1941 and included the lake as well as all land within a radius of 5 miles (8 km) around it. The legislation of that time prohibited hunting, but not settlement. In 1956 the Vwaza Marsh Controlled Area was proclaimed. This included the marsh and an area around it in which hunting was restricted to residents of the area and special licence holders . No restriction was placed on settlement. In 1963 the traditional authority under Chief Katumbi requested the development of the area for tourism. The Chief‟s request led to the proclamation of Vwaza Marsh Game Reserve on 10 April 1977. All game reserves were later changed to wildlife reserves. The Lundazi Protected Forest Area was proclaimed in 1938, under Colonial legislation. Its purpose was to protect the escarpment woodlands east of the Luangwa Valley, along the international border, and the important water catchment on the western side of the Nyika plateau which gives rise to the Chire/Luwumba River. In 1972 the northern sector of the Lundazi Forest Reserve that extended from the Chire or Luwumba Valley up the escarpment on to the Nyika Plateau was proclaimed as Nyika National Park. It was described as being 80 km2 in extent. 67
Musalangu Game Management Area – 17,350km2
The Nyika TFCA lies in northern Malawi and the extreme northeast of Zambia. The Lundazi FR is the responsibility of the Forestry Department of Zambia. It is situated adjacent to the Nyika NP (Zambia) and provides a physical link to the Vwaza Marsh WR that lies to the south of the Nyika Plateau. The Lundazi FR and Vwaza Marsh share a common boundary along the international border. The two other Nyika TFCA forest reserves in Zambia are the Mitenge FR that lies adjacent to and to the west of the Nyika NP (Zambia) and the Mikuti FR that is a northwestern extension of Lundazi FR that lies between the Matendo and Lusangani Rivers that are tributaries of the Chire River (also sometimes referred to as the Luwumba) that is itself a tributary of the Luangwa River. The largest component, by far, of the Nyika TFCA is the Musalangu GMA of Zambia. This area extends from the eastern escarpment of the Luangwa Valley to the Mpika escarpment on the western side. The Luangwa River flows through Musalangu from north to south.
B. Core Justification
The natural features, including the biodiversity of the Nyika Plateau and adjoining areas: The Nyika is a relatively large highland massif located on the international boundary between Malawi and Zambia. Above 1,800m altitude the vegetation is predominantly montane grassland with scattered evergreen forest. The foothills of the Nyika and surrounding slopes and lowlands are covered in miombo woodland (dominated by Brachystegia spp) of various kinds. The western and eastern higher lying areas of Musalangu also support miombo woodland, as well as wooded grassland. The central Luangwa Valley supports extensive areas of mopane woodland, dominated by Colophospermum mopane. By most measures the biodiversity of the TFCA is high. There are about 3,000 plant species, 102 mammals, 462 birds, 47 reptiles, 34 amphibians and 31 fish species and an unknown number of invertebrates including 287 species of butterflies in the highlands alone. Many of the plant and animal species of the Nyika are rare, endemic or of limited distribution within Malawi and Zambia.
The Nyika TFCA covers a large area (19,280 km2) that is potentially ecologically viable in the long term. The core areas are legally proclaimed as national park, wildlife reserve, game management area or forest reserve and all are adjacent and to a large degree ecologically interdependent. The Nyika Plateau is a significant water catchment for surrounding areas of Malawi and Zambia. Rivers flowing to the east are important for sustaining agriculture, and in the maintenance of viable fish stocks for Lake Malawi that in turn is critically important to the welfare of large numbers of people. The westward flowing Chire River is an important tributary of the Luangwa that in turn is important to large numbers of people in eastern Zambia.
There is significant wildlife movement across the international boundary of wide-ranging species like elephant, and other large mammals like Lichtenstein‟s hartebeest, roan antelope, sable antelope, and eland. These populations can only be sustained in the face of increasing poaching pressure if protection efforts across the international boundary are coordinated and enhanced through collaboration of the law enforcement and conservation agencies of the two countries.
There is a long history of socio-political and economic interaction and contact across the international boundary. There are ancient ethnic and historical bonds that transcend the modern political boundaries. All the constituent protected areas of the TFCA are in dire need of additional financial support, improved management capacity and conservation infrastructure. It is envisaged that the promotion of a biologically significant TFCA will attract funding and assistance that might not otherwise flow to this area. 68
C. Positive Contributing Factors
The Nyika TFCA has a range of natural, cultural and scientific attributes that will undoubtedly contribute positively towards its successful establishment. In this regard the support of local communities and other stakeholders is of fundamental importance.
Institutional and community support
There has historically been a positive and co-operative relationship between the political leadership and people of Malawi and eastern Zambia based on the ethnic and language ties of people settled on either side of the Luangwa/Lake Malawi watershed; shared traditional structures such as Chieftaincies, and shared colonial era experiences.
Government structures, inter-governmental structures, Ministers and senior functionaries of Government support the principles of TFCA establishment, and recognize the value of cooperating in managing the broader Nyika ecosystem. The heads of DNPW and ZAWA and their senior staff have worked through a series of formal, well-regulated, and documented meetings during which all facets of the TFCA development process have been discussed, planned and action taken.
During pre-appraisal the Forestry Department confirmed its commitment to the proposed arrangement and Project design.
Under the guidance of ZAWA, meetings and workshops have been held during which stakeholders from other national Government agencies of Zambia, local Government, traditional authorities, NGOs and stakeholders from civil society have been sensitized, informed and consulted. For its part the DNPW of Malawi has undertaken similar processes of consultation with a wide range of stakeholders to ensure a similar level of full institutional and community support for proceeding with the TFCA development process.
In both, Malawi and Zambia there are established structures at community level that deal with natural resource utilization issues, community policing, and other elements that will provide partners from the community for the efforts of the official conservation agencies in developing the TFCA.
The DNPW and ZAWA appointed a fulltime Malawi-Zambia TFCA Regional Coordinator.
Achievements to date
One of the first Nyika TFCA pilot projects was a joint law-enforcement project operating as a single unit across international borders to combat commercial poaching. A second pilot project was the wildlife restocking program for the Lundazi Forest Reserve and the Vwaza Marsh Wildlife Reserve which commenced in 2007, the Bambanda-Zaro Sanctuary. The restocking of game species is an important element in the successful development as viable wildlife populations form the basic elements of tourism attractions which in turn contributes to sustainability and to community benefits. In May 2008, the Ministerial Committee approved the first Nyika TFCA investment framework, joint management, integrated tourism development and restocking plans.
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Natural attractions and tourism infrastructure of the Nyika TFCA
The Nyika area has great aesthetic appeal as it showcases evocative African scenery in the lowland woodlands, especially of the Luangwa Valley, contrasted with the mist-shrouded highland grasslands and forests of the Nyika Plateau. It is blessed with an enormous, and internationally important, diversity of plants, mammals, birds and butterflies that enhances its appeal to visitors.
In addition to the endemic and rare species, the basic stock of wildlife of the Nyika area includes the iconic species like elephants, leopards, buffalo and zebras, as well as lions in the Luangwa Valley. With proper management the return of lions to the Nyika Plateau and Vwaza Marsh as a regular feature of the fauna is assured. Core populations of all species of large mammals are still present, and with protection these could be nurtured into much larger numbers.
The highlands of the Nyika Plateau have a cool and comfortable climate with relatively low malaria risk that stands in sharp contrast to the lowlands and the rest of Malawi and Zambia. The tourism infrastructure in the Malawi Nyika NP is well established with roads, airfield and an up market lodge and other accommodation at Chilinda. The Malawi Nyika product is branded, has efficient booking, is accessible and has a high market profile. The Zambian Nyika and Vwaza Marsh also have facilities that are currently less developed than those at Chilinda, but they have good potential for development. Tourism infrastructure in the Luangwa Valley is well developed, but concentrated to the south of the Musalangu GMA. The introduction of minimum infrastructure, mainly roads, would promote tourism developments throughout the Luangwa Valley. The frontier road between Vwaza Marsh and Lundazi FR is accessible and could be used for tourist traffic.
There are also marketing opportunities to link the Nyika with other nearby tourist attractions such as the South Luangwa NP in Zambia that has well developed and diverse tourism infrastructure as well as the island and beach destinations of Lake Malawi.
Cultural heritage resources
There are widespread and important cultural heritage resources and artifacts on the Nyika Plateau. These include ancient dwelling sites with rock paintings such as at Fingira Rock, iron ore mines, iron smelting kilns and complex traditional and mystical iron working traditions that have as yet been little exploited for visitors.
Scientific fundamentals
There is a good basic knowledge of the biodiversity and natural systems of the Nyika National Park in Malawi that is sufficient to make it worthy of exploration by, for example, bird and orchid enthusiasts. The scientific literature on the forest flora, bird and butterfly communities of the Nyika National Park in Malawi, three groups of organisms that have been particularly well studied, is broad and accessible. The availability of this scientific baseline data is particularly conducive to long-term scientific research and monitoring and to demonstrating the commitment of both Malawi and Zambia to fulfilling their obligations under the Convention of Biological Diversity (CBD) treaty that both countries have signed.
The Musalangu GMA is largely unexplored scientifically, but its sheer size and heterogeneous vegetation implies significant biodiversity potential.
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D. Management Issues
Institutions
The administrative set up of the Malawi-Zambia TFCA is rather complex. Three different institutions are involved in the management of various components of the TFCA. At present, the Malawi components are managed independently of the Zambia components except law enforcement in the Bambanda-Zaro Sanctuary.
In Zambia, the Nyika National Park and Musalangu Game Management Area fall under the jurisdiction of the Zambia Wildlife Authority (ZAWA), a parastatal institution under the Ministry of Tourism, Environment and Natural Resources (MTENR). Direct management is carried out by the East Luangwa Area Management Unit (ELAMU) based at Chipata under the supervision of the Division office based at Mfuwe, which is in turn supervised by ZAWA HQ based at Chilanga. Musalangu Game Management Area has no resident ZAWA staff but there are a number of wildlife police officers, resource protection staff based outside the GMA.
The national forests and forest reserves fall under the administration of the Forestry Department under the MTENR. In the case of Lundazi Forest Reserve this is the Provincial Office for the Eastern Province in Chipata as well as the Lundazi and Chama District Offices. The Mitenge Forest Reserve, Makutu Forest Reserve and several other smaller forest reserves that are within the Musalangu GMA fall under the jurisdiction of the Northern Province office of the Department of Forestry based in Isoka. There is no resident departmental staff in any of the forest reserves.
In Malawi, the Department of National Parks and Wildlife (DNPW) is responsible for the management of the Nyika National Park and Vwaza Marsh Wildlife Reserve. Direct management is carried out by senior staff based within the protected areas under the supervision of the divisional office at Thazima in the Nyika NP.
E. Socio-economic Situation
The prevailing social and economic situation in Malawi also generally applies to the Nyika TFCA . The zones have poorly developed social and economic infrastructure and structural food production, constraints resulting in seasonal food insecurity. Initially, the term designated a narrow strip of land about five kilometers from the boundary of a protected area. This definition has recently been revised to take into account Traditional Authority boundaries, topographic features and resettlement patterns.
The creation and expansion of Nyika and Vwaza in the mid 1970‟s was accompanied by the eviction of several communities. Over 5,000 people were re-settled in the vicinity of park boundaries, most of them without proper compensation for their property (Malawi Government, 2004). Apart from denying people access to natural resources in the protected areas, the eviction meant that people were settled in marginal lands surrounding the protected areas that were already populated, resulting in high pressure on livelihood resources such as water, arable land and basic social amenities. The population in the border zones was estimated at 75 people/km2 in 1995, well above the average for the northern region estimated a total of 250,000 people for the entire border zone. The eviction of people, their settlement in already populated areas and the subsequent livelihood pressures, set the stage for a hostile attitude towards protected areas. The hostility manifests itself in the high levels of poaching and other illegal activities, which pose a serious threat to conservation efforts and integrity of the protected areas.
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However, recent efforts to involve border zone communities through the collaborative management and border zone development processes has improved communities relations with parks, although poaching remains high. The Malawi collaborative management approach in the Wildlife Policy (2000) marked a fundamental shift from a “fines” and “fences” policy with state dominance to a more inclusive policy where stakeholders share the rights obligations, costs and benefits associated with protected areas and wildlife management. Evidence of improved relations include voluntary surrender of poaching weapons by communities to park authorities, provision of information about poaching and poachers, and contribution to park management activities. The concept of a border zone, first formally introduced around Nyika and Vwaza under the GTZ-supported Border Zone Development Project (BZDP, 1996- 2004), was developed to give resettled communities access to certain park resources and to redress some of the hardships evicted communities and other affected communities that had suffered. The BZDP as a project and through co-funding arrangements provided funds and expertise for social infrastructure, aquaculture, sustainable agriculture and IGAs among other incentives. However, sustainability of BZDP achievements, including maintenance of infrastructure, endurance of institutions and activities very much depended on the viability of the revenue-sharing schemes. It has long been recognized that the concepts of Collaborative Management, Community-based Natural Resource Management and border zone like development efforts can significantly contribute to biological diversity and eco-tourism of border parks if applied particularly across international boundaries. The introduction of TFCAs between Malawi and Zambia will facilitate the application of these concepts and processes across the Malawi-Zambia border.
In Zambia the customary law has enabled people to develop management systems that acted as controls in exploitation of natural resources, e.g. vegetation should be preserved around traditional burial grounds and seasonal bans existed. The modern community participation principles are that there is a common ownership based on community membership, which are the primary stakeholders to natural resources and therefore benefits arising from NR should go to producer communities and planning to local communities. The Forestry Policy 1998 and Forest Act 1999 invite participation of local communities‟ traditional institutions, NGOs and other stakeholders in sustainable forest management. Wildlife Policy 1993 provides for establishment, control and management of NP. Wildlife Act 1998 provides for sharing with local communities the responsibilities of management through preparation and implementation of management plans for NPs and GMAs. Assisting and advising the Community Resource Boards in the human and natural resources in GMAs.
F. Policy and Legal Framework for Community Involvement
Major reforms in natural resources management policies and legislation have taken place in Malawi supported by the USAID initiative community-partnership for sustainable resource management (COMPASS). Policies and legislation in the Forestry, Fisheries and Wildlife sector have been revised to promote devolution to communities of responsibilities in natural resources management. NRM, Decentralization, under the Local Government Act 1998 and current Land Reforms will have profound consequences for CBNRM. The Community Conservation Area (CCA) in Malawi are addressed in the Wildlife Policy that talks about Multiple Use Wildlife Areas on customary land and the National Parks and Wildlife Amendment Act 2004 “A conservation area in respect of which authority and responsibility to manage and utilize certain wildlife resources therein is vested in the local community.” Each district is meant to produce a District Environmental Plan (DEAP) as requested by the Malawi Environmental Management Act. This goes along with the District Development Plans. Biodiversity is one component in the DEAP. Direct participation in PA management, however, is through Natural Resource Committees (NRC) in the case of Nyika and Vwaza the Nyika-Vwaza Association for NR and Development links with DNPW. 72
G. Agriculture as Main Land Use
Land outside the Nyika TFCA is mostly used for agriculture for smallholder farmers on land occupied according to customary tenure. Of the land available, 40 % is suitable for agriculture and by 1998, 20 % of this was already occupied by estates. The remaining land is either marginal or unsustainable for agriculture because of poor soils. The majority of landholdings are in the region of 0.7 hectares. The principal crops grown are maize, tobacco, groundnuts and beans. Cattle have an important role in the traditional economy but numbers have declined due to a breakdown in veterinary services and an increased prevalence of East Coast Fever. Generally, agricultural diversification is limited. The establishment of tobacco estates around the Nyika TFCA has created a serious land shortage problem, resulting in increasing pressure on protected areas. These circumstances leave border zone communities as extremely resource poor communities, heavily dependent on protected area resources. All of the protected areas that constitute the Malawi component of the Malawi-Zambia TFCAs are under severe pressure from surrounding tobacco farmers, due to the demand for more land on which to farm and to obtain wood to cure their tobacco.
Many small-scale farmers are unable to produce sufficient food to maintain their families due to increasing human population, insufficient land, declining soil fertility, rising farm inputs, poor storage facilities and periodic drought. Farmers also report continued depredation of their crops by wildlife, particularly monkeys, baboons, wild pigs, buffalos and elephants.
In view of the above constraints, the majority of farmers living in the border zones lie below the poverty line of US$40/annum. The most vulnerable groups consist of resettled and women headed households, the latter often-constituting 40 % of the total number of households.
Impact of tobacco farming on Malawi
Tobacco is Malawi's largest industry and currently accounts for nearly 80 % of the nation's export earnings. Strong Government support for the tobacco industry, including subsidies and tax breaks, has led to tobacco's domination of Malawi's export market. The tobacco industry was intended to increase economic growth and promote development in Malawi. The price of tobacco on international markets continues to fall, with no sign of abating. Further, the environmental resources of this nation are at risk. Deforestation, in particular, is a major problem in Malawi. The threat of deforestation can be largely attributed to the tobacco industry. The primary way in which tobacco contributes to deforestation is through the curing of the tobacco leaf, a process that requires the burning of fuel wood. It is difficult to assess exactly how much wood is needed for curing tobacco, but some argue that it takes as much as three hectares of trees to cure one hectare of tobacco in some countries (Madeley, 1993). In Malawi, it has been estimated that tobacco growers account for as much as 25 % of household wood consumption (Tobin, 1998). The diminishing forests will not be able to withstand current pressure from the tobacco industry and population growth for much longer. If forest loss continues, there will be many negative environmental and social costs. The productive capacity of the land, in addition to the well being of the people, depends on the protection of Malawi's forests and woodlands.
The effects of this over-dependence on tobacco has contributed to a growing set of land use concerns that increasingly threaten the viability of Vwaza Marsh WR and to a lesser degree, Nyika NP. They include:
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Severe tree loss on steep hillsides adjacent to both PAs from the annual cutting of poles for tobacco sheds Severe soil erosion and down river floods resulting from this practice Extensive tree cutting in Vwaza Marsh WR for tobacco shed poles Reliance on game meat to support migrant farm workers at large tobacco estates adjacent to Vwaza WR Reliance on water resources used by wildlife to irrigate tobacco seedling nurseries Reduce crop diversity and over-reliance on a non-food crop by families whose food needs may not be secure Increased reliance on increasingly expensive fertilizers to sustain tobacco yields, requiring financial inputs which are sometimes supported from the sale of wildlife meat
The tobacco industry in Malawi works largely through the Tobacco Association of Malawi, w hich coordinates the auctioning of tobacco at regional auction houses where the actual buying of tobacco for export takes place. Tobacco companies do not buy tobacco directly from farmers and thus are not physically present to witness or respond to the ecological consequences of their tobacco crop. The disconnection between the industry and the environmental cost is one of the great tragedies of the tobacco industry in Malawi, particularly in areas adjacent to protected areas. As a result, mitigating efforts to reduce the costs are negligible.
H. Biodiversity Threats
The major constraints and threats for the sustainable development of the Nyika TFCA have been identified as follows:
The management capacity of the staff on either side of the border is constrained by the inherent shortage or absence of experience, professional skills, infrastructure, equipment, funding and manpower. There are significant shortcomings in knowledge of the presence and distribution of plants, mammals, birds, reptiles, amphibians, fishes and invertebrates in the Nyika TFCA component areas. At the same time the importance to the national and international conservation of biodiversity in Zambia and Malawi of the known taxa has been stressed. Clearly, therefore, a more concerted effort at collecting material of the various plant and animal groups is likely to yield a great deal of valuable information.
There is growing damage to forest patches on the high Nyika brought about by fires that enter the grasslands during the dry season mainly as a consequence of human activity. Fire occurs naturally on the Nyika Plateau when grassland is ignited by lightning strikes. It must, therefore, be regarded as a natural dynamic of the Nyika ecosystem. The difficulty arises when fires are the result of human activity such as the smoking out of bees, or are deliberately set by poachers to attract game to the green flush of new grass that follows the burns. Controlled burning is, however, an important management tool in the Nyika grassland environment. Not only does the protection and rehabilitation of forests depend on fire control, but there is also a need to mediate the impact of fire intensity on grassland. Fire is also needed to stimulate the growth and flowering of numerous geophyte herbs and forbs that are an integral part of the grassland flora. It has also been suggested that there is a causal link between the intensity and frequency of fires and the supposed spread of the bracken fern Pteridium acquilinum. The spread of this fern renders large areas of limited use to grazing and browsing game animals, though it is used by some birds for shelter and nest sites. Management has followed policies aimed at protecting at least some of the forest patches from further degradation and destruction by fire. To achieve this several of the larger complexes of forest patches are protected by firebreaks, and a policy of early burning sections of the grasslands to forestall destructive late hot season fires is in force. 74
The most serious constraint on the viability of the Nyika TFCA as a tourism destination and overall biodiversity integrity is the depletion of the wildlife resources that are the prime attraction of all African protected areas. This has been due to the inability of the law enforcement staff to counter the plague of poaching that has decimated animal populations, the sheer size of the area and inadequate access and logistical support/capacity. The law enforcement effort has not been sufficient to prevent or deter these activities, usually by people from local communities. As a consequence wildlife numbers are low, and many species have been reduced to remnant populations or have been eliminated from areas where they were previously abundant. The depletion of wildlife has serious ecological, political and economic consequences for the Nyika TFCA, and in particular for the objective of achieving sustainability through tourism and resource use. The establishment of an efficient law enforcement operation has correctly been identified as “the highest priority action for the successful implementation of the proposed Nyika Transfrontier Conservation Area”. There is insufficient and inadequately trained staff and material capacity to enforce the existing laws including logistical support, some basic equipment, funding for incentives, rewards for performance and information gathering, professional supervision and management of the process.
The invasive species bracken fern Pteridium aquilinum is distributed worldwide from the Arctic to the Tropics. It is a common species on the Nyika Plateau occurring in open grassland habitats, and thicket habitats between montane evergreen forest and grassland. Bracken is a pioneer species that grows abundantly as a weed after fire. It is, therefore, a particularly prominent component of the vegetation of the long-established firebreaks that have been established on the perimeter of the Chilinda plantations and various fire-protected patches of evergreen forest. Some observers have expressed concern that bracken fern is expanding its range in the open grasslands of the Nyika to the detriment of grazing value. This is because where bracken shades out grasses and other plants it develops pure, dense stands that grow to about 1.5 m in height. These pure bracken stands provide nesting sites and cover for some birds and cover for Common duiker. Bushpigs eat its rhizomes, but the leaves and stems are of no value for large mammals like roan antelope, eland, zebra and reedbuck. There is clearly a need to monitor the situation and establish whether bracken fern is spreading, and if so what the consequences might be. It has been suggested that the preliminary studies on the distribution, local density and rate of spread of the species first undertaken by Mill (1979) be repeated, and carried out for a longer period. One of the problems experienced by Mill, that led to inconclusive results was that the measured plots could not be accurately relocated in subsequent surveys. Clearly this difficulty needs to be remedied by permanent markers of some kind to indicate where plots have been sampled. A provisional study involving the marking and monitoring of selected plots of three years duration is suggested. During the Project the spread or otherwise of the bracken relative to burnt areas will be monitored.
A growing problem is the extent of resource utilization in the protected areas of Malawi that exceeds the limits specified in the collaborative management model. The Nyika TFCA is an important area for honey production by local groups and the DNPW actively encourages the practice. It may be possible to expand honey production in the greater TFCA area. Other natural resources that are currently used are caterpillars and mushrooms, sedges, thatch grass and other natural products. The procedures and practices whereby these natural products are harvested are not always efficiently implemented or controlled and there is a need to re-assess current practices with a view to improving harvesting rates in defined areas and therefore greater benefits for local people. In addition to poaching this includes cultivation on the South Rukuru floodplain of crops that, unlike tobacco seedlings, have not been sanctioned. Control of plant resource harvesting such as thatching grass and firewood is apparently inadequate.
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Traditional legal boundaries have been violated by settlements, encroachments and cultivation within the protected areas in both Malawi and Zambia. In some situations such as in the Chire Valley this encroachment effectively blocks animal movement corridors. Encroachment also includes the illegal grazing of livestock within the protected areas such as in the Kasaramba area of the Malawi Nyika.
There are situations where there is conflict between wildlife and people. This is particularly evident along the southern and eastern boundaries of the Vwaza Marsh WR that are densely populated and cultivated and where crop raiding by elephant, bushpig, hippo and occasionally buffalo are reported to be a problem. The areas to the south and east of the reserve are particularly important for tobacco. Although tobacco plants are not eaten by game, crop damage is caused by animals trampling through the fields. This is especially true for elephants in search of food crops. Experience shows that where the boundaries of protected areas abut onto settlements and cultivation, especially in a densely populated country like Malawi, then human/wildlife conflict is inevitable. The alignment of boundaries, as with the South Rukuru River and floodplain forming the southern boundary of Vwaza Marsh, with an inadequate buffer zone between prime wildlife habitat in the park, and cultivation outside, complicates the issue enormously. The Project team will tap into lessons emerging from innovative approaches currently used under the Human-Wildlife Coexistence Management Project in Botswana and disseminate key findings amongst Project stakeholders.
As these circumstances characterize all protected areas in Malawi the DNPW has been dealing with these problems for a long time, and came to the realization almost two decades ago that fencing providing the only long term solution. There is, therefore, an electrified fence along the southern boundary (30 km) and part of the eastern boundary (9 km) of Vwaza Marsh WR. Electrified fencing, however, requires ongoing maintenance, and where this fails, and then the fence exacerbates the problems, rather than resolves them. This fence is, however, not always effective. To eliminate the existing animal/human conflicts the fence will require upgrading, and those sections of the boundary not yet fenced will require fencing. The deployment of a law enforcement specialist is expected to lead to an increase in animal populations in the Vwaza area, and in the absence of fencing will result in more conflicts. The area along the northern boundary in the vicinity of Katumbi and Mowa are considered to be particularly vulnerable due to the high density of food crops, and a high density of mango and banana plantations. It has been proposed that initially only the Malawi boundaries of the Vwaza Marsh Wildlife Reserve will be fenced, that is the northern, southern and eastern boundaries. This will require 105 km of new fencing, or upgraded fencing. There are as yet no fences of any kind within the Zambian components of the Nyika TFCA. It should be noted, however, that recent proposals for the establishment of a game restocking area adjoining the Zambian Nyika NP would require fencing. The boundaries of the TFCA on the Zambian side i.e. the western boundary of the Lundazi Forest Reserve will remain unfenced for some time into the future. This is to ensure that the TFCA will benefit from the unrestricted movement of game into the Lundazi Forest Reserve from the Musalangu GMA, and areas further to the west such as North Luangwa National Park. In time, however, these western boundaries may also require fencing where human/wildlife conflicts develop in neighboring areas of Zambia.
Up until very recently access roads to the Malawi Nyika for tourists, and game viewing roads, were in poor condition. There are no tarmac roads within, or serving, the Nyika TFCA and all roads are gravelled or ungravelled tracks.
The infrastructure within the Nyika TFCA is unevenly distributed, with fairly intensive infrastructure in some areas, mostly in Malawi and little infrastructure in the Zambian areas. There is no main power
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in any of the TFCA facilities. There also are inadequate and old vehicles, field equipment for patrol staff and computers.
Some tourism infrastructure has been developed on the Nyika on both sides of the border, and in the Vwaza Marsh Wildlife Reserve. At Chilinda on the Malawi side of the Nyika there is a tourist lodge built as part of a KfW-funded development project, a conventional rest camp with chalets and a small restaurant, and a camping site, now under a new concession with an experienced eco-safari company. On the Zambian Nyika near Zovochipolo there is a Government rest house that dates back to the 1960s. This facility is under a concession but not operational and it is anticipated that the private operator will use it for tourist accommodation once the TFCA is running. At Lake Kazuni in the Vwaza Marsh there is a small rustic camp as well as a camping site for visitors that have been recently given out for concession. There is, however, a clear need to investigate the scope of the total tourism attractions that the TFCA can provide and sustain. The access to these areas (especially from Zambia where the infrastructure is not as well developed as in Malawi) also requires investigation. Proposals also need to be developed concerning the amenities required for tourism and how these attractions will be marketed within the TFCA context. As tourism is likely to be the main provider of employment, and consumer of services, the socio-economic impact that the TFCA can potentially make will largely be determined by how vibrant the tourism development becomes.
The utilization of wildlife in Malawi for trophy hunting is not yet established, but is provided for in legislation and policy. Several attempts have been made in the past to establish commercial trophy hunting operations in the Vwaza Marsh WR, but none became permanent practice. The reasons for the difficulties appear to have largely been related to logistics, policy, and the integrity and professionalism of the operations. There is no reason why the levels of revenue generation achieved, and sustained, in Zambian hunting operations cannot also be achieved in Malawi if the wildlife resource base is adequate. It is anticipated that a significant component of the revenues generated within the TFCA will come from tourism. Likewise most of the permanent job opportunities for local people, the prime source of benefits, will be created by tourism operations. Tourism is also important at a national level for both countries because of the demand for facilities and services outside of the TFCA by visitors to the TFCA. This plan includes proposals for specific tourism facilities and identifies a number of suitable sites based on the natural attractions of the Nyika Plateau in both Zambia and Malawi and Vwaza Marsh WR. Because of the importance of maximizing the value of the tourism product for the entire TFCA it will be necessary to look at all management and development plans through the prism of tourism requirements. So for example the alignment of roads, firebreaks, fences, entrance gates, border posts could all have an impact on the tourism product. Restocking projects should also give due consideration to the potential value that could be added to the tourism attractions of the TFCA.
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Summary table of tourism opportunities and constraints
OPPORTUNITIES AND CONSTRAINTS FEATURE Opportunities / strengths Constraints / weaknesses Attractions A vast array of diverse attractions: Fauna/Flora, Unique Linkage of attractions Montane vegetation, Cultural attractions. Poaching and encroachment Cool, Malaria free climate Access Primary Road access: From South via Rumphi or Kazuni. Far from major tourism hubs 500km from Lilongwe. From West (Zambia) via Chitipa Park roads generally suitable for 4x4 vehicle only Possible access from Isoka Lundazi Road Poor access to TFCA from domestic tourism nodes Entrance through Thazima and Chitipa. Road upgraded. Isoka Lundazi Road requires upgrading to all weather Functional Airstrips at Muyombe, Chilinda, Kazuni and status Chilumba. Chilinda airport doesn‟t have immigration facilities, Border post at Chitipa. Proposed border post at Katumbi although these are recommended Activities A diverse array of activities. Game viewing, horse and Game product not well established walking safaris, birding, unique sights. Lack of trained guides Niche market for adventure type activities exists. Facilities Existing tourism facility at Chilinda largely successful. Underdeveloped. High Value Tourism facility at Opportunity to upgrade and diversify across various Chilinda only. habitat types and attractions. Guest House poorly positioned, not suitable for high value tourism. Awareness Opportunity to create awareness through TFCA. General lack of awareness amongst travelers and tour operators. Market Existing Domestic tourism market Primarily accessible to top market segments due to Growing foreign tourist arrivals. remoteness. Well positioned between Game circuits of Luangwa and Product not on tourism routes. Lake Malawi. Source: Draft Nyika TFCA Tourism Plan 2007/2008
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ANNEX IX: FIRST 18-MONTHS PROCUREMENT PLAN MALAWI, ZAMBIA: Sustainable Management of the Nyika Transfrontier Conservation Area Project
GOODS
Expected Estimated Domestic GEF GEF Start up Procurement Pre-or Post Review Bid Expected Amount in Norway Preference Comments Ref. ZM MW date Method Qualification by Bank Opening Completion US $ (Yes/No) No Contract Description Date Date 30-May- G1 4x4 vehicles (ZM3 MW11) 588,000 126,000 210,000 252,000 15-Jan-11 UNOPS Post Post No 2011 15-Jun-11 30-Aug- G2 Lorries 71,000 - 71,000 - 15-Mar-11 NCB/UNOPS Post Post No 11 15-Sep-11 30-Aug- G3 Tractors and trailers 232,000 - 116,000 116,000 15-Mar-11 NCB/UNOPS Post Post No 11 15-Sep-11 15-May- G4 Motorcycles 25,300 4,300 21,000 - 15-Mar-11 NS/UNOPS Post Post No 11 15-Jul-11 15-May- Bicycle G5 30,400 21,400 9,000 - 15-Mar-11 Shopping Post Post Yes 11 15-Jul-11 Shopping allowed on 15-May- exception G6 Uniforms 52,700 4,200 10,500 38,000 15-Mar-11 Shopping Post Post Yes 11 15-Jul-11 basis 15-May- G7 Field equipment Yr 1 38,150 12,600 10,550 15,000 15-Mar-11 Shopping Post Post Yes 11 15-Jul-11 15-May- G8 Field equipment Yr 2 46,950 7,950 7,000 32,000 15-Mar-12 Shopping Post Post Yes 11 15-Jun-12 15-May- G9 Radio 27,900 9,400 - 18,500 15-Mar-12 Shopping Post Post No 11 20-May-11 Vehicle maintenance 15-Dec- G10 equipment and parts 2,400 - 2,400 - 15-Mar-11 Shopping Post Post Yes 11 15-May- G11 Computer equipment Yr 1 39,850 13,650 15,700 10,500 15-Jan-11 Shopping Post Post Yes 11 20-May-11 15-May- G12 Computer equipment Yr 2 6,300 5,300 1,000 - 15-Oct-11 Shopping Post Post Yes 11 15-May- G13 Office furniture 21,100 2,200 8,400 10,500 15-Mar-11 Shopping Post Post Yes 11 20-May-11 15-May- G14 Office supplies - Yr 1 3,100 500 500 2,100 15-Jan-11 Shopping Post Post Yes 11 15-May- G15 Insurance - Yr 1 2,100 300 300 1,500 15-Jun-11 Shopping Post Post Yes 11
G16 Tse tse traps - Yr 1 2,300 1,000 1,300 - 15-Sep-11 Shopping Post Post No 15-Jan-12
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CIVIL WORKS
Expected Estimated Domestic Review by Ref, GEF GEF Start up Procurement Prequalificati Bid Contract (Description) Amount in Norway Preference Bank Comments No Malawi Zambia specifications Method on (yes/no) Opening US $ (Yes/No) (Prior/Post) Date CHAMA BLOCK Miscellaneous works (tracks, firebreaks, CW, LS or W1 crossings) - yr 1 25,000 - 25,000 - 15-Apr-11 NS/A No Yes Post 15-May-11 Miscellaneous works (tracks, firebreaks, CW, LS or W2 crossings) - yr 2 29,000 - 29,000 - 15-Mar-12 NS/A No Yes Post 15-Apr-12
Airstrip W3 60,000 - 60,000 - 30-Sep-11 LS or NS/A No Yes Post 15-Mar-12
Building rehabilitation W4 120,000 - 120,000 - 30-Sep-11 LS or NS/A No Yes Post 15-Mar-12
Elephant restraining fence W5 71,000 - 71,000 - 30-Sep-12 LS or NS/A Yes Yes Post 15-Nov-12 Fence ZAWA Office W6 Chipata 32,000 - 32,000 - 30-Jun-11 LS or NS/A No Yes Post 15-Aug-11
Community tourism camp W7 22,700 - 22,700 - 30-Sep-11 LS or NS/A No Yes Post 24-Dec-11
NYIKA BLOCK Miscellaneous works (roads, firebreaks, airstrips 17- and early burning) Yr 1 CW, LS or May- W8 32,000 32,000 15-Apr-11 NS/A No Yes Post 11 Miscellaneous works (roads, firebreaks, airstrips and early burning) Yr 2 CW, LS or 25- W9 43,000 43,000 15-Mar-12 NS/A No No Post Apr-12 Rehabilitate airstrip hangars and houses (2 small lots) Yr 1 25- W10 10,000 10,000 15-Mar-11 LS or NS/A No No Post Apr-11 Rehabilitation or building of gate, office and housing (divided in small lots) Yr 2 25- W11 239,500 103,500 136,000 15-Mar-12 LS or NS/A No No Post Apr-12 Maintain water supply systems (borehole and gravity water system) 25- W12 47,000 47,000 15-Mar-11 LS or NS/A No No Post Apr-11
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Construction research center Yr 2 16-Jul- W13 602,000 602,000 15-Mar-12 LS or NS/A Yes No Prior 12
VWAZA BLOCK Miscellaneous works Possibly with (roads, firebreaks, airstrips CW, LS or 17- MoU with W14 and early burning) Yr 1 35,600 35,600 0 15-Mar-11 NS/A No No Post Mar-11 NWT Miscellaneous works Possibly with (roads, firebreaks, airstrips CW, LS or 17- MoU with W15 and early burning) Yr 2 36,100 36,100 0 15-Mar-12 NS/A No No Post Mar-12 NWT Rehabilitation or building of gate, hangars, office and Possibly with housing (divided in small 17- MoU with W16 lots) Yr 1 6,200 6,200 0 15-Mar-11 LS or NS/A No No Post Mar-11 NWT Rehabilitation or building of gate, hangars, office and Possibly with housing (divided in small 15- MoU with W17 lots) Yr 2 134,150 134,150 0 15-Mar-12 LS or NS/A No No Post Apr-11 NWT Maintain water supply systems (borehole and 16-Jul- W18 gravity water system) 4,200 4,200 0 15-Mar-11 LS or NS/A No No Post 11 A/ Based on approved budget for work management, labor, material, operation of equipment, equipment rental and purchase of small equipment all through shopping CW: Community Work; LS: Local Shopping; NS: National Shopping
CONSULTANT SERVICES
Ref. Description of Estimated GEF GEF Norway Start up date Selection Review by Expected Proposals Comments No. Assignment Cost Malawi Zambia Method Bank Submission Date (Prior/Post) Whole TFCA
C1 Financial Management TA 138,000 138,000 IC Prior 15-Feb-11 TORs submitted to WB C2 Procurement Specialist TA 138,000 138,000 IC Prior Completed TORs submitted to WB C3 M&E Back stopper 82,000 41,000 41,000 IC Post 15-Feb-11 C4 Law enforcement advisor 196,000 0 0 196,000 0 IC Prior 2/15/2011 Review of Joint Management Plan for C5 Nyika TFCA 26,000 - 26,000 - 15-May-11 IC Post 30-Sep-11 Review of relevant legislation C6 27,500 - 27,500 - IC Post 30-Sep-12
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Facilitate IDP and LUP To be carried out by PPF, as a firm; processes justification to be provided with C7 65,000 65,000 - 15-Mar-11 SS/Firm Prior 15-Jun-11 TORs. NIA Feasibility including business plan C8 104,000 78,000 26,000 - 15-Dec-11 CQS Prior 15-May-12 Broker to generate tourism concessions C9 58,000 29,000 29,000 - 15-Dec-11 IC Post 15-May-12 Audit done quarter following each External Audits 3 first yrs implementation year ; Single C10 48,000 24,000 24,000 - 15-Nov-10 LCS/Firm Prior 15-Feb-11 contract for all three grants Legal Assistance (1st 2 years on retainer) C11 17,000 8,500 8,500 - IC Post 25-Feb-12 On retainer for year 1 and 2
CHAMA BLOCK Reserve manager - 3 yr C12 contract 77,000 77,000 0 0 IC Post 25-Feb-11 C13 Senior WPO - 3 yr contract 42,000 42,000 0 0 IC Post 25-Feb-11
Community guards & C14 support staff - 2 yr contract 40,000 40,000 0 0 IC/NS Post 15-Apr-11 Fiduciary assistance to To be carried out by WCS (perhaps C15 CMP 142,000 - 142,000 - 15-May-11 SS/Firm Prior 15-Jul-11 an MoU is better) Design Management and Tourism Plan for Chama C16 Park 27,000 - 27,000 - 15-Feb-12 IC Post 15-May-12
NYIKA BLOCK Engineering design & Engineering designs for Research construction Spn research Centre and Lodge put under one C17 Centre at Nyika 110,000 - - 110,000 15-Sep-11 QCBS/Firm Prior 25-Feb-12 contract
New management plan for Nyika Block Nyika and Vwaza block surveys put C18 40,000 - - 40,000 15-Sep-11 IC Post 25-Feb-12 under one contract
VWAZA BLOCK Engineering designs for Research Update Management Plan Centre and Lodge put under one C19 39,000 39,000 - - 15-Sep-12 IC Post 15-Mar-13 contract
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NON CONSULTANT SERVICES
Expected Estimated Domestic GEF Procurement Pre-or Post Bid Expected Amount in GEF ZM Norway Start up date Preference Comments Ref. MW Method Qualification Opening Completion US $ (Yes/No) No Contract Description Date Date Conduct Aerial Wildlife Surveys in Nyika dn 15-Jun- Probably under NC1 Vwaza blocks/B 47,500 - 21,000 26,500 15-Mar-11 Shopping Post NO 2011 30-Nov-11 MoU with WCS
TRAINING
Start Estimated Request World Bank Description of Estimated GEF GEF Prepare Start End Ref Norway up Respons. Duration for No No Comments Training Cost US$ Malawi Zambia Training Date Date date (weeks) Objection Objection WHOLE TFCA AND PROJECT Training for project FD/ members Yr 1 (Mgt, 15- Training at Established T1 18,000 9,000 9,000 - ZAWA/ tbd N/A N/A N/A Jun-12 Jul-12 procurement, FM, Feb-11 Institutions DNPW Planning, M&E) Training for project FD/ members Yr 2 (Mgt, 15-Oct- Training at Established T2 5,000 2,500 2,500 - ZAWA/ tbd N/A N/A N/A Jun-12 Jul-12 procurement, FM, 11 Institutions DNPW Planning, M&E) Training workshop FD/ Yr 1 (Mgt, 15- T3 5,200 2,600 2,600 - ZAWA/ tbd N/A N/A N/A Jun-12 Jul-12 Group training procurement, FM, Feb-11 DNPW Planning, M&E) Training workshop FD/ Yr 2 (Mgt, 15-Oct- T4 5,400 2,700 2,700 - ZAWA/ tbd N/A N/A N/A Jun-12 Jul-12 Group training procurement, FM, 11 DNPW Planning, M&E) Safeguard training FD/ 15- Training at Established T5 project members Yr 10,000 5,000 5,000 - ZAWA/ tbd N/A N/A N/A Jun-12 Jul-12 Feb-11 Institutions 1 DNPW Safeguard training FD/ 15-Oct- Training at Established T6 project members Yr 10,000 5,000 5,000 - ZAWA/ tbd N/A N/A N/A Jun-12 Jul-12 11 Institutions 2 DNPW Event to take place for Annual Conservation 15- COMAC Set- T7 5,400 - - 5,400 1 N/A N/A N/A Sep-11 a week in 2011 & Week - Yr 1 Feb-11 O/TLC 2012 2012 Event to take place for Annual Conservation 15-Oct- COMAC Set- T8 28,000 - - 28,000 1 N/A N/A N/A Sep-11 a week in 2011 & Week - Yr 2 11 O/TLC 2012 2012 CHAMA BLOCK
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Training Board 15- May- T7 5,000 - 5,000 - WCS 15-Mar-11 Tbd members CNP Yr 1 Feb-11 11 Law Training ranger/ In-house Training. 15-Oct- Enforcem T8 resource protection 5,300 - 5,300 - 15-May-11 Jul-11 Training in groups of 11 ent staffCNP Yr 1 30 Advisor Training employee of 15- T9 community camp 5,700 - 5,700 - WCS N/A 30-Mar-12 Jun-12 Tbd Feb-11 CNP Yr 2
NYIKA BLOCK
15- Manager & Ranger Consultan T10 11,000 - - 11,000 May- 32 N/A N/A N/A Mar-12 Oct-12 Training Yr 1 & 2 t trainer 11 15- Training planning, Consultan T11 3,200 - - 3,200 May- M&E t trainer 11 Law 15- In-house Training. Training recruit Enforcem T12 13,600 - - 13,600 May- Training in groups of ranger/WPO ent 11 30 Advisor Law Refresher 15- In-house Training. Enforcem May- T13 Ranger/WPO 10,500 - - 10,500 May- 16 N/A N/A N/A Aug-11 Training in groups of ent 11 Training 11 30 Advisor Law In-house Training. Additional resource 15- Enforcem May- T14 10,500 - - 10,500 16 N/A N/A N/A Aug-11 Training in groups of protection training Sep-11 ent 11 30 Advisor
WVAZA BLOCK
Manager & Ranger Consultan T16 11,000 - - 11,000 32 N/A N/A N/A Mar-12 Oct-12 Training Yr 1 & 2 t trainer Training planning, Consultan T17 3,200 - - 3,200 M&E t trainer Law In-house Training. Training recruit Enforcem T18 13,600 - - 13,600 Training in groups of ranger/WPO ent 32 Advisor Law Refresher In-house Training. Enforcem May- T19 Ranger/WPO 10,500 - - 10,500 16 N/A N/A N/A Aug-11 Training in groups of ent 11 Training 30 Advisor Law In-house Training. Additional resource Enforcem May- T20 10,500 - - 10,500 16 N/A N/A N/A Aug-11 Training in groups of protection training ent 11 30 Advisor
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IBRD 38355 So 31°E 32°E 33°E ngw 34°E MALAWI / ZAMBIA e TANZANIA SUSTAINABLE MANAGEMENT OF NYIKA Chitipa TRANSFRONTIER CONSERVATION AREA See IBRD 38356 for detail TRANSFRONTIER CONSERVATION AREAS MAFINGA Karonga TRANSFRONTIER CONSERVATION AREAS MAFINGAHILLS 10°S HILLSNFR 10°S FOREST RESERVES (FR)/NATIONAL FOREST RESERVES (NFR) Chisenga MUSISI FR GAME MANAGEMENT AREAS (GMA) PANDO Kasama HILLS GAME RESERVE (GR)/WILDLIFE RESERVE (WR) Isoka NFR NATIONAL PARKS (NP) REGIONAL/PROVINCE CAPITALS Chilumba INTERNATIONAL BOUNDARIES NYIKA NP MITENGE (MALAWI) Chinsali MIKUTI NFR Mkondowe NFR Chelinda NYIKA NP Livingstonia (ZAMBIA) Katumbe
VWAZA Rumphi 11°S Chambeshi MARSH 11°S Nyika TFCA WR Ruarwe MUSALANGU Chama Chisoso GMA BUNGANYA FR KARING’INA Kafukule FR No. 34 Euthini Mzuzu NFR Nkhata ZAMBIA LUNDAZI Bay NFR NORTH
Mpika LUANGWA a
Chinteche L
NP w Mzimba MTANGATANGA g a n FR
12°S a PEREKEZI k 12°S u FR SOUTH VIPHYA
L e Luwawa FR LAVUSHI MANDA LUMIMBA NP LUANGWA GMA NFR DWAMBAZI MUNYAMADZI FR LUMIMBA M GMA NFR CHIMALIRO NFR CHIMALIRO Nkhunga Mwanya a FR l LUAMBE a Kasungu- Kaluluma w i
Lukusuzi NKHOTAKOTA SOUTH GR LUANGWA LUKUSUZI No.43 NP KASUNGU MALAWI NP NFR TFCA NP Nkhotakota 13°S Mfuwe Kasungu 13°S
Kamolo Mission LUPANDE GMA Ntchisi
Chipata Dowa Area of a map u ZAMBIA Mchinji B MALAWI SANDWE GMA Salima
Namitete 14°S LILONGWE 0 20 40 60 80 100Katete Kilometers MOZAMBIQUE 0 20 40 60 Miles 33°E
FEBRUARY 2011 IBRD 38356
33°E MALAWI / ZAMBIA 34°E SUSTAINABLE MANAGEMENT OF NYIKA Karonga TRANSFRONTIER CONSERVATION AREA MAFINGAMAFINGANYIKA TFCA HILLSHILLS PROJECT AREA BOUNDARY 10°S Chisenga MUSISIMUSIISII TRANSFRONTIER CONSERVATION AREAS FORESTFOREST Lake FOREST RESERVES RESERVERESERVE GAME MANAGEMENT AREAS Malawi WILDLIFE RESERVE NATIONAL PARKS REGIONAL/PROVINCE CAPITALS INTERNATIONAL BOUNDARIES
NYIKANYIKA Chilumba ZAMBIA MITENGEMITENGE NATIONALNATIONAL PARKPARK NATIONALNATIONAL (MALAWI)(MALAWI) MIKUTIMIKUTI FORESTFOREST RRESERVEESERVE NATIONALNATIONAL Chelinda FORESTFOREST Mkondowe RESERVERESERVE NYIKANYIKA NATIONALNATIONAL PARKPARK Livingstonia LUNDAZILUNDAZI NATIONALNATIONAL (ZAMBIA)(ZAMBIA) FORESTFOREST RRESERVEESERVE (Northern(Northern Lip)Lip) NyikaNyika TTFCAFCA
Katumbe
NyikaNyika VWAZAVWAZA MARSHMARSH CHAMACHAMA WILDLIFEWILDLIFE RRESERVEESERVE Rumphi 11°S NATURENATURE 11°S TFCATFCA PARKPARK (proposed)(proposed) MUSALANGUMUSALANGU Bambanda-Zaro Ruarwe GAMEGAME MGMT.MGMT. Area of ZAMBIA map AREAAREA MALAWI Chama MALAWI
BUNGANYA BUNGANYABUNGANYA FOREST LLUNDAZIUNDAZI RESERVE KARING’INAKARING’INA Kasungu-Kasungu- NNATIONALATIONAL Kafukule LukusuziLukusuzi FORESTFOREST 0203010 40 Kilometers RESERVERESERVE Euthini Mzuzu 33°E TFCATFCA 0 10 20 Miles FEBRUARY 2011