Public Disclosure Authorized

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

Public Disclosure Authorized

PROCESS FRAMEWORK

Public Disclosure Authorized

Public Disclosure Authorized

November 2018

1 | P a g e EXECUTIVE SUMMARY The Transforming Landscapes for Resilience and Development in Zambia (TRALARD-Zambia) be implemented in the Northern Region of Zambia(NRZ). The project will build on the programmatic approach agreed upon by stakeholders for the implementation of the PPCR in Western of Zambia and lessons learnt to cover a number of thematic areas including biodiversity, forest, and watershed, among others to support one of the poorest regions in the country by integrating livelihood improvement with natural resource sustainability. The interventions will operationalize landscape approaches to contribute to the national forest landscapes restoration requirements as well as enhance resilience and development in the NRZ and deepen the work in southern region of the country. This Process Framework (PF) has been prepared to contribute to the smooth execution of the Project by providing guidelines to address potential adverse social (particularly, livelihood) impacts. An Environmental and Social Management Framework (ESMF) report and a Resettlement Policy Framework (RPF) have also been prepared as separate documents.

PURPOSE OF PROCESS FRAMEWORK This process framework has been prepared because the TRALARD Project may cause restrictions in access to natural resources in legally designated parks and protected areas. The process framework applies regardless of the number of people affected; whether or not they will benefit from project activities; and whether or not they are fully satisfied with the provisions for compensation, relocation, or rehabilitation, as relevant. The purpose of this process framework is to establish a process by which members of potentially affected communities will participate in the design of Project components, determination of measures necessary to achieve resettlement policy objectives, and implementation and monitoring of relevant Project activities. Specifically, this process framework describes participatory processes by which the following activities will be accomplished: • Project components will be prepared and implemented and briefly describes the Project and components or activities that may involve new or more stringent restrictions on natural resource use. It also describes the process by which potentially displaced persons participate in the Project design; • Criteria for eligibility of affected persons will be determined. It establishes that potentially affected communities will be involved in identifying any adverse impacts, assessing of the significance of impacts, and establishing of the criteria for eligibility for any mitigating or compensating measures necessary; • Measures to assist affected persons in their efforts to improve their livelihoods or restore them, in real terms, to pre-displacement levels, while maintaining the sustainability of the park or protected area will be identified. It describes methods and procedures by which communities will identify and choose potential mitigating or compensating measures to be provided to those adversely affected, and procedures by which adversely affected community members will decide among the options available to them; and • Potential conflicts or grievances within or between affected communities will be resolved. It describes the process for resolving disputes relating to resource use restrictions that may

1 | P a g e arise between or among affected communities, and grievances that may arise from members of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual implementation. Additionally, the process framework describes arrangements relating to Administrative and legal procedures as well as monitoring arrangements.

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

STAKEHOLDER CONSULTATION The PF preparation included stakeholder consultations, and the key Project stakeholders identified for consultations included government ministries, government agencies, NGOs, royal establishments, community leaders and local communities in the study area. Meetings were held with key officials and opinion leaders to gauge the level of awareness and involvement with the proposed Project, concerns of Project implementation, and to obtain relevant documents or baseline information. The consultations also served to gather information on institutional mandates and permitting requirements to inform the development of the project.

ENVIRONMENTAL AND SOCIAL BASELINE The project will be implemented in the Northern region of Zambia (NRZ). This comprises three namely ; Northern; and , and covers a total area of 216, 023 square kilometres with a total population of 2, 809, 408. The NRZ lies in the third ecological zone with annual rainfall of about 1200mm. The region is also endowed with natural resources that include rich biodiversity, natural lakes, rivers and national parks and waterfalls among others. Notwithstanding these resource endowments, the region ranks poorly in socio-economic development. The primary economic activities include subsistence agriculture, fishing and exploitation of forest resource.

PF PROCESSES The PF was developed by carrying out a number of activities including the following: literature review; stakeholder analysis; analysis of baseline environmental and social data; site visits and field assessments; interviews and focus group discussions; and the analysis of WB safeguard policies and Zambian policies, legislation and international agreements. This PF details the processes, procedures and requirements through which the project activities will be implemented to ensure compliance with WB safeguards and Zambian policies and legislation. It also details the measures through which the livelihoods of the affected persons will be restored, in real terms, to pre-displacement levels, while maintaining the sustainability of protected areas.

2 | P a g e ACRONYMS AND ABBREVIATIONS

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

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

4 | P a g e Contents EXECUTIVE SUMMARY ...... 1 ACRONYMS AND ABBREVIATIONS ...... 3 1. INTRODUCTION ...... 7 1.1 PROJECT BACKGROUND ...... 7 1.2 PURPOSE OF PROCESS FRAMEWORK ...... 8 1.3 PROJECT DEVELOPMENT OBJECTIVE ...... 1 1.4 PROJECT DESCRIPTION ...... 2 1.5 INSTITUTIONAL ARRANGEMENTS ...... 5 2. PF METHODOLOGY ...... 7 2.1 LITERATURE REVIEW ...... 7 2.2 STAKEHOLDER ANALYSIS ...... 7 2.3 ANALYSIS OF BASELINE ENVIRONMENTAL AND SOCIAL DATA ...... 7 2.4 SITE VISITS AND FIELD ASSESSMENTS ...... 8 2.5 INTERVIEWS AND FOCUS GROUP DISCUSSIONS ...... 8 2.6 ANALYSIS OF WORLD BANK SAFEGUARD POLICIES AND ZAMBIAN POLICIES, REGULATIONS AND INTERNATIONAL AGREEMENTS ...... 8 3. POLICY AND LEGISLATIVE FRAMEWORK ...... 8 3.1 ZAMBIAN POLICY AND LEGISLATIVE FRAMEWORK ...... 8 3.2 WORLD BANK RESETTLEMENT POLICY FRAMEWORK ...... 11 3.3 COMPLEMENTARITY OF ZAMBIAN LAND LEGISLATION AND THE WORLD BANK RESETTLEMENT POLICY ...... 12 4. SOCIO-ECONOMIC BASELINE OF THE PROJECT AREA ...... 17 4.1 4.1 LOCATION ...... 17 4.2 POPULATION AND DEMOGRAPHIC PROFILE ...... 17 4.3 EMPLOYMENT ...... 18 4.4 ECONOMIC PROFILE ...... 18 4.5 CONSERVATION MANAGEMENT AREAS ...... 20 4.6 LAND TENURE ...... 21 4.7 LAND USE ...... 21 4.8 ENERGY USAGE ...... 22 4.9 KEY ISSUES FROM STAKEHOLDER CONSULTATIONS ...... 22 5. POTENTIAL PROJECT RESTRICTIONS ON ACCESS TO PROTECTED AREAS, IMPACTS AND LIVELIHOODS RESTORATION MEASURES ...... 27 5.1 POTENTIAL CASES OF RESTRICTIONS OF ACCESS TO PROTECTED AREAS ...... 27 5.2 POTENTIAL SOCIAL IMPACTS ...... 27 5.3 POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS ...... 28 6. COMPENSATION ELIGIBILITY CATEGORIES ...... 29 6.1 DEFINITION OF AFFECTED PERSONS ...... 29 6.2 CUT-OFF DATE ...... 30 6.3 ELIGIBILITY CRITERIA ...... 30

5 | P a g e 7. PARTICIPATORY INSTITUTIONAL ARRANGEMENTS FOR THE IMPLEMENTATION OF PROPOSED MEASURES TO ASSIST AFFECTED PERSONS AND COMMUNITIES ...... 30 8. PARTICIPATORY MONITORING INCLUDING DESCRIPTION OF INDICATORS ...... 31 8.1 SEQUENCE OF IMPLEMENTATION AND RESPONSIBILITY ...... 31 8.2 PROCEDURES FOR IMPLEMENTATION OF ALTERNATIVE LIVELIHOOD SCHEMES ...... 32 9. MONITORING AND EVALUATION...... 34 9.1 RPF MONITORING ...... 34 9.2 INTERNAL MONITORING ...... 35 9.3 IMPACT MONITORING ...... 35 9.4 EXTERNAL COMPLETION AUDIT ...... 35 9.5 DEVELOPMENT OF VERIFIABLE INDICATORS...... 36 10. STAKEHOLDER CONSULTATIONS ...... 37 10.1 STAKEHOLDER ENGAGEMENT PROCESS ...... 37 10.2 DISCLOSURE REQUIREMENTS ...... 38 11. REFERENCES/ BIBLIOGRAPHY ...... 39 12. ANNEXES: ...... 41 12.1 ANNEX 1: LIST OF STAKEHOLDERS CONSULTED ...... 41 12.2 ANNEX 2: LESSON LEARNT ...... 55 12.3 ANNEX 3: KEY ISSUES FROM CONSULTATIONS ...... 58 12.4 ANNEX 4: PROPOSED CENSUS FORM FOR RAP ...... 71

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1. INTRODUCTION

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

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

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

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

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The government of Zambia has embraced an integrated approach to development investments at landscape level. To respond to the challenges of sustainable livelihoods by restoring degraded forest lands and through multi-dimension renewable natural resource sustainable use and restoration, will require a demand for a large scale, landscape approach that could impact thousands of rural level communities. To achieve this, it will be imperative to have a better understanding of the complex pathways of transforming landscapes for resilience and development. Therefore, this project will carry out analytics, diagnostics, vulnerability risk assessment and feasibility studies to inform mapping of potential opportunities for Zambia in terms of resilience landscape investment in the three Provinces in the Northern Region.

Given that some of the TRALARD activities related to restriction of access to natural resources, this Process Framework (PF) has been prepared to address such risks. The Process Framework (PF) will contribute to the smooth execution of the Project by providing guidelines to address potential adverse social (particularly, livelihood) impacts. An Environmental and Social Management Framework (ESMF) report and a Resettlement Policy Framework (RPF) have also been prepared as separate documents.

1.2 PURPOSE OF PROCESS FRAMEWORK This process framework has been prepared because the TRALARD may cause restrictions in access to natural resources in legally designated parks and protected areas. The process framework applies regardless of the number of people affected; whether or not they will benefit from program activities; and whether or not they are fully satisfied with the provisions for compensation, relocation, or rehabilitation, as relevant.

The purpose of this process framework is to establish a process by which members of potentially affected communities will participate in the design of Project components, determination of measures necessary to achieve resettlement policy objectives, and implementation and monitoring of relevant Project activities. Specifically, this process framework describes participatory processes by which the following activities will be accomplished:

• Project components will be prepared and implemented and briefly describes the Project and components or activities that may involve new or more stringent restrictions on natural resource use. It also describes the process by which potentially displaced persons participate in the Project design; • Criteria for eligibility of affected persons will be determined. It establishes that potentially affected communities will be involved in identifying any adverse

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• impacts, assessing of the significance of impacts, and establishing of the criteria for eligibility for any mitigating or compensating measures necessary; • Measures to assist affected persons in their efforts to improve their livelihoods or restore them, in real terms, to pre-displacement levels, while maintaining the sustainability of the park or protected area will be identified. It describes methods and procedures by which communities will identify and choose potential mitigating or compensating measures to be provided to those adversely affected, and procedures by which adversely affected community members will decide among the options available to them; and • Potential conflicts or grievances within or between affected communities will be resolved. It describes the process for resolving disputes relating to resource use restrictions that may arise between or among affected communities, and grievances that may arise from members of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual implementation.

Additionally, the process framework describes arrangements relating to Administrative and legal procedures as well as monitoring arrangements.

1.3 PROJECT DEVELOPMENT OBJECTIVE The development objective of TRALARD is to increase the ecosystem resilience and land productivity within vulnerable landscapes in the Northern Region of Zambia and, in the event of an eligible crisis or emergency, to provide immediate and effective response to the eligible crisis or emergency. The PDO will be achieved through:

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

1 | P a g e 1.4 PROJECT DESCRIPTION

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

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

1.1 Policy and institutional strengthening: It will support capacity-building and plans for strengthening managerial skills and technical knowledge required for natural resource management.

2 | P a g e The activities will align with government priorities in the forest, wildlife and protected areas sectors to enhance integrated approach to natural resource management and coordinated land use planning and management. This will also enhance the ability of the government to scale up interventions in key sectors that hold greater promise to transforming landscapes for resilience and development.

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

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

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

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

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

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

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

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

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

4 | P a g e of Zambia (GRZ) may trigger activation of CERC according to national law and subject to the World Bank’s activation policy.

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

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

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

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

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

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

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

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

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

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

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

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

2.1 LITERATURE REVIEW A literature review was undertaken with a view to gathering relevant secondary data, and the key sources of secondary data are listed under the References/ Bibliography section of the RPF. This process was crucial in the development of the RPF as it informed the stakeholder analysis, analysis of baseline environmental and social data, site visits and field assessments, interviews and focus group discussions, and the analysis of WB safeguard policies and Zambian policies, legislation and international agreements.

2.2 STAKEHOLDER ANALYSIS A stakeholder analysis was carried out at the commencement of the assignment with a view to informing the stakeholder consultations, and the key stakeholders identified and consulted are listed in Annex 1.

2.3 ANALYSIS OF BASELINE ENVIRONMENTAL AND SOCIAL DATA Secondary baseline environmental and socio-economic data was gathered through the literature review, whilst primary data was obtained from the stakeholder consultations and field work. The purpose of the baseline data collection was to: • Scope the study area from a framework point of view, rather than obtain detailed quantitative data that would normally be associated with a site specific assessment; and

7 | P a g e • Provide information on host environment conditions to be able to analyze and predict the nature and significance of potential Project-related environmental and socio-economic impacts.

2.4 SITE VISITS AND FIELD ASSESSMENTS Site visits and field assessments to the study area, Luapula, Muchinga and Northern Provinces were carried out in order to undertake stakeholder consultations and fill gaps identified during the literature review.

2.5 INTERVIEWS AND FOCUS GROUP DISCUSSIONS Stakeholder consultations included engagement with the key stakeholders listed in Annex 1. Interviews and focus group discussions were conducted in Luapula, Muchinga and Northern Provinces. The key issues discussed are also given in Annex 2.

2.6 ANALYSIS OF WORLD BANK SAFEGUARD POLICIES AND ZAMBIAN POLICIES, REGULATIONS AND INTERNATIONAL AGREEMENTS The PROJECT is required to comply with the WB Safeguard Policies and relevant Zambian policies and legal framework. An assessment of the WB Safeguard Policies and Zambian policies, legislation and international agreements was, therefore, undertaken so as to determine the safeguards and legal frameworks that would guide the implementation of the PROJECT. The assessment results are given Section 3 of this RPF.

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

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

• The Constitution of the Republic of Zambia • National Resettlement Policy; • Cap 1; • Environmental Management Act of 2011; • Lands Act Cap 184; • Lands Acquisition Act Cap 189; • Local Government Act, Cap 281; • Urban and Regional Planning Act of 2015; • Arbitration Act No. 19 of 2000; • Forests Act of 2015;

8 | P a g e • Zambia Wildlife Act of 2015; • National Heritage Conservation Commission Act, Cap 173 of 1989; • Agricultural Lands Act Cap 187 of 2006; • Land Survey Act Cap 188; and • Valuation Surveyors Act Cap 207.

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

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

National Resettlement Policy The National Resettlement Policy (NRP) sets out the Government objectives, principles and measures for dealing with resettlement as a strategy for rural development and as a response to internal population displacements. In addition, it provides a mechanism for dealing with both voluntary and involuntary resettlements. The policy focuses on employment creation, access to public social services, increased food security, security of land tenure, stimulating economic growth in rural areas and compensation and resettlement assistance for internally displaced persons. The Department of Resettlement in the Vice President’s Office is in charge of implementing the NRP. However, the policy is not legally binding.

Environmental Management Act of 2011 This is the principal legislation on environmental and social protection and management in Zambia. Under the provisions of this Act, a strategic environmental assessment report will be prepared and submitted to the ZEMA for approval prior to the implementation of the TRALARD. Environmental Project Briefs (EPBs) will also be prepared for all TRALARD Category B sub-projects in accordance with the provisions of the Environmental Protection and Pollution Control (Environmental Impact Assessment) Regulations of 1997. An EPB corresponds with the requirements of a WB Category “B” EA and will serve to identify and evaluate any sub-project's potential environmental and social risks and impacts in its area of influence, and to outline measures for preventing, minimizing, or mitigating any adverse environmental impacts identified. The MNDP will be responsible for the preparation of the EPBs, either internally or through a consultant. The EPBs will be approved by the ZEMA, through a decision letter with attached conditions, prior to the sub-project activities being implemented.

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

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

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

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

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

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

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

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

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

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

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

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

National Heritage Conservation Commission Act, Cap 173 of 1989 Under the Act, any project being implemented is required to disclose any new archaeological, paleontological, or cultural sites it encounters to the National Heritage Conservation Commission (NHCC) and to follow their procedures for the investigation and/or removal of material from them prior to continuing construction activities.

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

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

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

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

The policy stipulates that the RPF and RAPs should include measures to ensure that the displaced persons are safeguarded by being: • Informed about their options and rights pertaining to resettlement or displacement; • Consulted, offered choices and provided with technically and economically feasible resettlement alternatives; • Provided with prompt and effective compensation at full replacement cost for loss of assets attributed directly to the project. The resettlement plan or resettlement policy framework should include measures to assure that the displaced persons are provided with: assistance, such as transport and other allowances during relocation; residential housing or housing sites or as required agricultural sites for which a combination of productive potential, location advantages and other factors are at least equivalent to the advantages of the old site; • Offered support after displacement, for a transition period, based on a reasonable estimate of time likely to be needed to restore their livelihood and standards of living; and • Provided with development assistance in addition to compensation measures such as land preparation, credit facilities or job opportunities.

3.3 COMPLEMENTARITY OF ZAMBIAN LAND LEGISLATION AND THE WORLD BANK RESETTLEMENT POLICY Similarities There are a number of similarities between the Zambian land legislation (i.e. Zambian Constitution, Lands Act, and the Lands Acquisition Act) and the World Bank’s OP 4.12. These include:

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

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

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

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

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

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

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

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

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

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

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

Figure 1: TRALARD Project Area

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

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Province accounted for 25 percent of the population of NRZ. The distribution of the population in the NRZ is shown in the graph below:

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

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

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

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

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

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

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

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

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

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

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

Conservation management areas in NRZ are vulnerable to the impacts of climate variability and other human influence-related activities. The sectors most affected are forestry, fisheries, wildlife and water. Economic drivers form a larger share of factors that affect biodiversity loss in Zambia, with agricultural expansion alone accounting for 90% of forest cover loss due to subsistence and commercial agriculture production (Joshua Mabeta, Bruno Mweemba & Jacob Mwitwa, 2018). Extensive clearing of forests and woodlands for agriculture, use of wood in tobacco curing. The annual deforestation rate in Zambia is in the range of 79,000 to 270,000 ha of the total forest cover largely due to an increase in the urbanization rate of 3.2% per annum which is likely to compound the deforestation rates as the need to develop infrastructure in such areas such as housing, energy, transport and irrigation increases (Joshua Mabeta, Bruno Mweemba & Jacob Mwitwa, 2018). Stakeholder consultations in the NRZ confirmed that the 20

climate variability and other human influence-related drivers of deforestation and degradation of landscapes includes unsustainable utilisation of natural resources, delayed implementation of policies and inadequate service provision.

High demand for charcoal is leading to excessive and unsustainable production of charcoal and wood fuel use for energy consumption and for brick kilns. Charcoal production is often considered a quick and easy business for obtaining income that has a ready market, mostly in the respective district centres and the major towns across Zambia (DFNRMP: 2014). Most of the charcoal is sold at the roadside.

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

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

4.7 LAND USE Another underlying driver of agriculture expansion into forest land is the lack of land use planning as there are no proper processes for the allocation of land for different uses at various jurisdictional levels. In addition, there are no enforcement provisions for dealing with illegal allocations. This leads to inconsistencies in managing land use activities within districts and chiefdoms. As a result, forests are easily converted to agricultural land use including through government channels, especially when they are degrading or degraded. Customary forests often do not have management plans or guidelines. This also applies to the Forest Reserves that are managed by the District FD officers. Therefore, forests are generally very vulnerable to encroachment for agriculture and charcoal burning as there is no planning or any structured management processes. However, an exception to this is that some communities in the Project area have 21

received external support from the non-profit company Community Markets for Conservation (COMACO), and conservation management plans have been developed for Community Conservation Areas (CCAs) in a some of the chiefdoms.

4.8 ENERGY USAGE 80% of the Zambian population is still reliant on wood biomass for energy (MNDP, 2016), and in terms of contribution to direct cash income for rural communities, fuelwood is the most important forest product obtained from the forests, followed by Non- Wood Forest Products (NWFPs) such as wild meat, honey, mushroom and caterpillars. This is due to the fact that it is fairly easy to enter into the fuelwood business for short-term income or as a long-term income generating activity because most fuelwood producers (both firewood and charcoal) operate without any license, especially those who sell fuelwood that is harvested when clearing land for agriculture, and if required a license can be obtained at short notice from the FD district offices (Gumbo et al., 2013). However, most charcoal producers opt not to get one, therefore, produce charcoal illegally. Generally, there are relatively minimal entry barriers into the fuelwood business. In addition, the business of producing and selling charcoal itself requires minimal monetary and technical inputs. Therefore, producers are often opportunistic, and begin to produce when extra cash is needed, or when no alternate employment opportunities exist. Migrant or landless families are also responsible for significant charcoal production, as it is considered as an easy-to-get income activity. Whilst this may be beneficial in terms of providing a quick poverty mitigation solution, it means a large population is involved in unregulated extraction of wood from the forests, thus, driving forest degradation.

4.9 KEY ISSUES FROM STAKEHOLDER CONSULTATIONS This section of the baseline summarizes the key issues from the stakeholder consultations that are given in Annex 1, and review of lessons learnt that have been incorporated in the various aspect of this ESMF.

Various stakeholders were involved during consultations in all 3 Provinces, in selected districts as well as at community level. The consultation meetings further enhanced the engagement with the stakeholders. Based on the submissions from the participants, the following are the issues needing attention and forms the basis of the probable activities to be undertaken should funds be secured. • Reduced fish stocks • Restrictions on access to the river(s). • Loss of sources of livelihood • Reduced agriculture production • Charcoal production in the national park • Impact on wildlife • Forest encroachment • Impact on subsistence agriculture production

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In addition, there is overwhelming evidence from lessons learnt and supported by stakeholder consultation that devolved sustainable natural resource management implemented through integrated multisectoral approach provides sustainable solutions to the sustainable management of vulnerable landscapes in Zambia. Similar projects such as the recently implemented Decentralised Forest and Other Natural Resource Management (DFNRMP) and the USAID funded Community Forests Program (CFP) in and Eastern offers valuable lessons learned. The DFNRMP Introduction Project was a three-year collaboration between the Government of Finland and Government of Zambia, with an overall goal to contribute to the reduction of poverty and inequality and improvement of environmental conditions through devolved integrated sustainable forest and other natural resources management. The project was implemented in , Shiwangandu and districts of Muchinga Province and , Ikelenge and of North-Western Province from February 2015 to December 2017, targeting forest dependent individuals and households including women, vulnerable groups and households living in extreme poverty. The DFNRMP in brief demonstrated that a devolved sustainable forest and other natural resources management (FNRM) model can help conserve sensitive but vulnerable ecosystems and help communities derive sustainable benefits. The CFP is a 5 year USAID funded Cooperative Agreement jointly implemented by the Forestry Department (FD), Department of National Parks and Wildlife (DNPW) and Biocarbon Partners (BCP) Ltd in Lusaka and Eastern Provinces. The CFP began on February 1st 2014, and is anticipated to run until January 31st, 2019. The CFP is designed to exemplify and support the Government of Zambia’s (GRZ) Reducing Emission from Deforestation and Degradation (REDD+) strategy by establishing the largest REDD+ program to-date in Zambia. The CFP aims to establish REDD+ project areas across a minimum of 700,000 hectares within the and Luangwa Valley ecosystems, and in so doing, to support deforestation mitigation activities taking place on a total of up to 2 million hectares, involving up to 10,000 households. The main objectives of the CFP are to reduce emissions from deforestation through participatory natural resource management of globally biodiversity significant forested landscapes; reduce poverty through improvements in smallholder farmer agricultural productivity, development of non-timber forest products and expansion of markets and value chains; and support the Government of the Republic of Zambia(GRZ)to develop a legal framework and pilot project to demonstrate the viability of REDD+ as a replicable forest management strategy. The CFP has demonstrated that conservation fees from Carbon offsets provides an incentive for conservation of forests through supporting community livelihood activities and infrastructure development for social service delivery which results in improved standard of living of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces the value of forest in improving rural livelihood. Below is a detailed summary that sets pace for the implementation of the proposed mitigation measures: • The drivers of deforestation and land degradation are multifaceted and interlinked. The impact of one action or land use can have a significant effect on other land areas and environmental

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resources and therefore livelihoods of a much larger number of people. Therefore, an integrated landscape planning approach to operationalize devolved sustainable natural resource management, concentrating planning for scale and impact at landscape level is key to addressing landscape development issues.

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

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

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

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

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

• The decentralised integrated approach helps build understanding of the policy and legal framework for different sectors across the planning and implementation team. This evidenced by

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non-foresters advocating for implementation of the new National Forestry Policy and Forests Act.

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

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

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

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

• Trying to replace this massive livelihood contribution with alternatives (to natural resources) may not be realistic and also may not be desirable as has been experienced in other similar projects in Zambia and neighbouring countries. In the consultation conducted in all the communities during the community engagement exercise, they stated that with control of the forest, sustaining a high level of benefits was key to motivating communities to maintain the forest and not convert it.

Recommendations

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Based on the analysis of the lessons learned, implementing the model for devolved sustainable natural resource management will therefore help conserve the 23 percent of land in the Northern Region that needs prioritization for conservation and a total area of 51 percent of land that is vulnerable to land degradation. This will entail:

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

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

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

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

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

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

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5. POTENTIAL PROJECT RESTRICTIONS ON ACCESS TO PROTECTED AREAS, IMPACTS AND LIVELIHOODS RESTORATION MEASURES WB OP 4.12 is triggered in anticipation of the sub-project activities impacting on assets and livelihoods and resulting in economic restrictions. This PF makes provisions to minimize impacts through the involvement of landowners, traditional authorities, farmers and communities as a whole, where practical, in order to minimize livelihood impact concerns. The PF outlines the means by which the affected communities will participate in the further planning and implementation of the sub-projects that are deemed to have impact on restriction of access. The PF approach is consistent with the overall Project approach of involving communities in identification and management of activities, which will reduce forest degradation.

5.1 POTENTIAL CASES OF RESTRICTIONS OF ACCESS TO PROTECTED AREAS The development of the Process Framework is a requirement for Projects that may entail restricted access to legally designated parks and protected areas that result in adverse impacts on the livelihoods of affected persons. Some activities to be undertaken under the project may restrict access of communities to legally protected areas which could result in adverse impacts on their livelihoods. Sub-component 2.3: Improved Management of Protected Areas and Reserves will specifically support some activities that might restrict access.

5.2 POTENTIAL SOCIAL IMPACTS As part of the Project preparatory activities, there has been extensive consultation with Project institutions and communities, and some of the significant potential social impact issues from community consultations and subsequent analysis are as follows: • Lack of job opportunities; • Poverty and dependence on agriculture; • Low productivity on existing agricultural lands; Weak tenure and land use planning; • Inadequate agricultural support; • Fuelwood dependency; Inefficient fuelwood use; • Ease of entry into the fuelwood production; • Weak regulatory and institutional structures; Forest fires; • A breakdown in the authority of traditional leaders; • Inadequate capacity of fire control programs; • Inadequate knowledge and appreciation of fire impacts on forest; and Weak tenure. • The implementation of project activities may result in the following potential adverse impacts: • Illegal encroachment into the protected areas may present asset and livelihood claims;

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• Illegal farmers may be displaced and food/ cash crops as well as farm structures or farm settlements may be affected; • Income from Illegal activities inside protected areas may be affected; • Land acquisition for climate-smart agricultural activities may lead to compensation claims.

5.3 POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS Livelihoods-related support during project implementation will be provided to people affected by project-induced restrictions of access to natural resources within protected areas. As part of this process, project implementation will include the preparation and subsequent implementation of Livelihood Restoration Plans, which will provide tailored livelihood support and benefit sharing for nearby communities. In cases where well-organized communities have produced their own investment plans (e.g. CRBs), this livelihood support will be channelled through the appropriate community mechanisms. Communities and households around the project-supported protected areas will be provided with opportunities to restore their livelihoods to at least pre-project levels. The LRPs prepared under this project will take into account any ongoing livelihoods-related support from other sources, and partner’s active in NRZ including those projects under implementation by GoZ. This preliminary analysis provides guidance on eligible activities and recipients for the livelihood restoration assistance. These criteria may be refined further through site-specific community consultations through which the affected persons will identify adverse impacts, establish mitigation measures, eligibility criteria and choose eligible mitigation measures, and procedures for specific activities and their phasing for particular areas. • An LRP will be prepared and the restoration activities may include: • Provision of agricultural inputs and extension to improve productivity of legally • held lands /non encroachment areas; Alternative land allocation; • Assistance with land preparation; • Assistance with alternative livelihood schemes; and Assistance to access alternative resources. Through Sub-component 2.4: Sustainable and Diversified Resilient Livelihoods, the project will support community-based and culturally responsive sustainable activities for income generation to reduce heavy reliance on natural resources that leads to landscape degradation. The alternative livelihood activities will also be gender sensitive so that they contribute to lifting up the socio-economic situation of particularly women who are more heavily using natural resources with inferior financial value compared to men. Small-scale climate resilient irrigation and aquaculture techniques, improvement of food and seed storage capacities and developing feeds, among others will be promoted as sustainable and resilient livelihood sources.

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The project will include the preparation and subsequent implementation of Livelihood Restoration Plans, which will provide tailored livelihood support and benefit sharing for nearby communities. In cases where well-organized communities have produced their own investment plans (e.g. CRBs), this livelihood support will be channelled through the appropriate community mechanisms. Communities and households around the project-supported protected areas will be provided with opportunities to restore their livelihoods to at least pre-project levels. The LRPs prepared under this project will take into account any ongoing livelihoods-related support from other sources.

The assets that could be considered are physical and non-physical assets such as productive lands, farm lands, communal resources, income earning opportunities, social and cultural networks and activities, and the categories of affected persons or communities may include: • National Forest fringe communities; • National Park fringe communities; • Communities with no legal rights to resource (squatters); • Persons without formal legal rights to resource but have claims to property recognized by community leaders; and • Persons with no recognizable legal right or claim to resources.

Persons or communities encroaching on forest resources after the notification of boundaries will not be eligible for compensation or any form of assistance.

Funding of Livelihood Restoration Plans Funding of PF related activities including Livelihood Restoration Plans will be derived from the project, as well as other related projects under implementation in NRZ. Other active players in NRZ should be consulted to enhance coordination of these livelihood activities. The LRP for a sub-project would include an itemized, indicative budget and the implementing agency will finance this budget through the administrative and financial management rules and manuals like any other activity eligible for payment under the TRALARD. This budget will be subject to the approval by the implementing agency. The implementing agency will have to finance the LRP because they will be impacting on the people’s livelihoods.

6. COMPENSATION ELIGIBILITY CATEGORIES

6.1 DEFINITION OF AFFECTED PERSONS

Affected persons are those persons who, as a direct consequence of an activity or sub-project would, without their informed consent or power of choice either: (a) physically relocate or lose their shelter, (b)

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lose their assets or access to assets, or (c) lose a source of income or means of livelihood, whether or not they physically relocate to another place.

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

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

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

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

• Those who have no recognizable legal right or claim to the land they are occupying prior to the cut-off date - these are mostly encroachers into state land or those who may or may not occupy customary land without permission or recognition by the local authority (chief).

7. PARTICIPATORY INSTITUTIONAL ARRANGEMENTS FOR THE IMPLEMENTATION OF PROPOSED MEASURES TO ASSIST AFFECTED PERSONS AND COMMUNITIES The MNDP has the overall responsibility for preparing and implementing the PF with World Bank approval. It will ensure that all compensation, restoration and rehabilitation activities are carried out satisfactorily. 30

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

Most of the work will be done at the district level. The PPU (through the DPIU), will ensure that: • Communities are properly and adequately informed (timely, and also their rights and options relating to their properties that may be affected by the Project); • Coordinate activities between different communities implementing the restoration or compensation plans; • Ensure timely implementation of plans and provision of compensation, in cash and/ or kind; and • Attend to any grievances submitted by the affected persons/ communities.

The DPIU through the CAC and community leaders will engage and involve all sections of the community in discussions on the Plan. They will: • Schedule open meetings to ensure that all community members are informed and fully aware of their rights and options regarding the restoration activity; and • Identify impacts on lands and assets and the members of the community to be affected and to what extent they will be affected.

To boost the capacity of MNDP, safeguards and stakeholder engagement specialists should be hired.

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

8. PARTICIPATORY MONITORING INCLUDING DESCRIPTION OF INDICATORS

8.1 SEQUENCE OF IMPLEMENTATION AND RESPONSIBILITY

The sequence of implementation activities and responsibilities is summarized in the table below:

Sequence of Implementation Tasks and Institution REF. TASK INSTITUTION Identification of sub-projects and 1. preparation of plans Communities (through CAC) 31

Preliminary assessment of restoration 2. issues DPIU Assessment of the need to re-design sub- 3. project PPIU/ DPIU/ Communities(through CAC) MNDP/ PPU/PPIU/ DPIU/ Communities 4. Re- design of sub- project (through CAC) Confirm need for restoration/ 5. compensation actions PPIU/ DPIU/ Communities(through CAC) PPIU/ DPIU/ Communities(through CAC)/ Land Valuation Officers(Department of Government Valuation or Independent 6. Assess the restoration options private sector practitioners) 7. Assess the number of affected persons DPIU/ Communities (through CAC) Prepare Livelihood Restoration/ Compensation Plan for World Bank 8. approval MNDP/ PPU/ Consultant Land acquisition and compensation 9. payments MNDP/ PPU 10. Review Plans ZEMA/ MNDP/ PPU/ PPIU/ DPIU 11. Budgeting of costs MNDP/ PPU/ PPIU Confirm arrangements for managing 12. funds MNDP/ PPU/ PPIU 13. Implement Plans DPIU/ Communities (through CAC)

8.2 PROCEDURES FOR IMPLEMENTATION OF ALTERNATIVE LIVELIHOOD SCHEMES Participatory plans for mitigation of restriction of community access to resources by provision of alternative livelihoods will consist of the mechanisms discussed below.

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

The Committee members will be able to consider the allocation of portfolios, ensuring clear management and reporting lines. Monitoring could be one of the portfolios, and the Committee will receive operational support from the MNDP. 32

Consultations The affected persons/ community should be engaged in active consultations at the beginning of the Project and any planned or proposed access restriction should be well explained in advance. Their input to the process is essential and their cooperation will be forthcoming when the Project objective is adequately explained to them. They should have access to the LRP and be encouraged to provide input. Notification Affected persons will be notified through both formal (in writing) and informal (verbal) manner, for example at community meetings called by various stakeholders. Documentation The names and addresses of affected persons in the community will be compiled and kept in a database including claims and assets. The DPIU, PPIU, PPU and MNDP will maintain records of these persons. The records are also important especially for future monitoring activities. Time Provisions Compensation will be paid/ livelihood restoration activities undertaken prior to communities being impacted by Project activities.

Redress of Grievances 1. Procedure

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

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

2. Unresolved Grievances Unresolved issues will be referred to a credible and independent person or body for arbitration. Where disagreements are severe, disputes could be resolved through community-recognized local institutions 33

such as senior church officials, or other respected civil society figures. There are three main ways in which grievances will be resolved, and these are discussed below.

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

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

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

A reporting line of received (and addressed) grievances will also be clearly defined, so that the MNDP (national level project unit) will have a full set of data. Complaints will be categorized and recorded at each level of the structure, and consolidated periodically in a national-level grievance database. The database will also be an effective management tool to monitor progress and detect potential obstacles in the Project implementation.

During the participatory assessment process for sub-project preparation and sensitization sessions, the Project's GRM ("communication steps" for beneficiaries) will be explained so that all stakeholders are aware and encouraged to use the mechanism for transparency and better Project implementation. To better inform stakeholders, the Project will prepare materials (e.g., posters, leaflets) in a widely spoken local language and displayed in public accessed areas as part of the communication activities. More detailed plans on the GRM will be explained in the Project Implementation Manual (PIM).

9. MONITORING AND EVALUATION

9.1 RPF MONITORING

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

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9.2 INTERNAL MONITORING

To enable the sub-project proponents to measure progress against set targets, performance monitoring will be carried out as an internal function by the organization(s) responsible for the implementation of the RAPs. In this regard performance monitoring reports will be prepared at monthly, quarterly, half yearly and yearly intervals depending on the issues to be monitored. Performance targets will include: • Public meetings held; • Compensation disbursed; • Census surveys completed; • Assets inventories and socio-economic studies completed; • Compensation agreements signed; • Number of people impacted; • Number of people with land title, amount of land available for crops; • Proportion of displaced people relocated; • Income restoration and development activities initiated; and • Feedback from affected people (presented in the resettlement implementation report).

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

9.3 IMPACT MONITORING

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

9.4 EXTERNAL COMPLETION AUDIT

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

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

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

9.5 DEVELOPMENT OF VERIFIABLE INDICATORS

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

Table 4: Types of Variable Indicators

REF. MONITORING EVALUATION

1. Outstanding compensation or resettlement Outstanding individual

contracts not completed before next agricultural compensation or resettlement

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

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

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

(crop for crop, land for land) household

Indicators to Determine the Status of Affected People

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

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

Indicators to Measure RAP Performance In order to assess whether the goals have been met, the resettlement and compensation plans will indicate parameters to be monitored, institute monitoring milestones and provide the resources necessary to carry out the monitoring activities. The following parameters and verifiable indicators will be used to measure the resettlement and compensation plans performance: • The Local Governments, with support from the PIU, will maintain a complete database on every individual impacted by the sub-project land use requirements including relocation/ resettlement and compensation, land impacts or damages; • Number of individuals receiving cash or a combination of cash and in-kind compensation; • Number of payments made in a month/ year; • The number of contentious cases out of the total cases; • The number of grievances and time and quality of resolution; • Ability of individuals and families to re-establish their livelihood (activities, land and crops or other alternative incomes) to the same level as prior to pre-Project level or better; • Mining and agricultural productivity of new lands; and • Number of impacted locals employed by the Project activities.

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

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

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

10. STAKEHOLDER CONSULTATIONS

10.1 STAKEHOLDER ENGAGEMENT PROCESS A stakeholder engagement process was followed during PF preparation, which included interactions with communities in the NRZ. The methodology included desk studies to determine the types of stakeholders and qualitative surveys in the Project areas. The field work was based on focus groups and in-depth interviews with communities of the Project areas, local NGOs, representatives of local

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commercial enterprises, government officials and representatives of local government. A list of the stakeholders consulted is given in Annex 3.

The objective of the meetings was to: • Assess the existing social conditions; • Determine the potential negative impacts of the proposed Project; • Serve as a vehicle for community consultations and participation on the Project; and • Inform the ongoing Project design.

10.2 DISCLOSURE REQUIREMENTS

Copies of the PF will be made available to the public at selected District Council Offices of NRZ. The LRPs will also be disclosed to various stakeholders in a similar manner.

To meet the consultation and disclosure requirements of the WB, the implementing agency will issue a disclosure letter to inform the general public and key stakeholders of the approval of relevant environmental assessment reports. This stage of disclosure will also serve as Government’s authorization to the World Bank to disclose such documents in its Info shop in Washington D.C. The steps towards disclosure of the safeguard documents have to be completed prior to appraisal of the project as required by the Bank’s Disclosure Policy OP 17.50.

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11. REFERENCES/ BIBLIOGRAPHY

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Ministry of National Development Planning, 2016, Zambia Integrated Forest Landscapes Project, Vision Document

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

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

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

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

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

Republic of Zambia, 2006, Vision 2030

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

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

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

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

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

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

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

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

Zambia Environmental Management Agency, 2014, Fire Management Assessment of Eastern Province, Zambia

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12. ANNEXES:

12.1 ANNEX 1: LIST OF STAKEHOLDERS CONSULTED

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12.2 ANNEX 2: LESSON LEARNT LESSONS LEARNT FROM SUSTAINABLE NATURAL RESOURCE MANAGEMENT PROJECTS: DFNRMP & CFP Overview of DFNRMP & CFP The DFNRMP Introduction Project was a three-year collaboration between the Government of Finland and Government of Zambia, with an overall goal to contribute to the reduction of poverty and inequality and improvement of environmental conditions through devolved integrated sustainable forest and other natural resources management. The project was implemented in Chinsali, Shiwangandu and Nakonde districts of Muchinga Province and Kasempa, Ikelenge and Mwinilunga of North-Western Province from February 2015 to December 2017, targeting forest dependent individuals and households including women, vulnerable groups and households living in extreme poverty.

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

Findings The DFNRMP in brief demonstrated that a devolved sustainable forest and other natural resources management (FNRM) model can help conserve sensitive but vulnerable ecosystems and help communities derive sustainable benefits. The CFP has demonstrated that conservation fees from Carbon offsets provides an incentive for conservation of forests through supporting community livelihood activities and infrastructure development for social service delivery which results in improved standard of living of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces

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the value of forest in improving rural livelihood. Below is a detailed summary that sets pace for the implementation of the proposed mitigation measures: • The drivers of deforestation and land degradation are multifaceted and interlinked. The impact of one action or land use can have a significant effect on other land areas and environmental resources and therefore livelihoods of a much larger number of people. Therefore, an integrated landscape planning approach to operationalize devolved sustainable natural resource management, concentrating planning for scale and impact at landscape level is key to addressing landscape development issues. • A landscape approach entails viewing and managing multiple land uses in an integrated manner, considering both the natural environment and the human systems that depend on it. Mobilizing district stakeholders into multi-stakeholder platforms and strengthening their capacity for integrated sustainable natural resource planning, coordination and implementation is fundamental in adopting a district integrated landscape approach • Using the district multistakeholder teams is key to implementation of integrated landscape planning, addresses weak district level coordination among the institutions with oversight responsibilities on forests, other natural resources and livelihoods. The integrated multi-sector approach has the advantage of drawing on the wide ranging experience and skill sets of officials from different sectors. • Devolving the governance functions of forest and other natural resources to local communities who are highly dependent on these resources for their livelihoods increase local people’s access to and control over forest benefits. It encourages transparent and participatory local governance of forest and other natural resources, ensure that community priorities regarding forests and other natural resources are accounted for in district planning and returns from forest products accrue to the communities. The local communities themselves who are close to these resources oversee access, conservation and sustainable utilization of the forests and other natural resources which coexist with their communities in accordance with the principles of sustainable management. • Market-oriented natural resource-based enterprise development that has a direct link to forests and natural resources, involving and benefiting local communities provides an incentive for conserving natural resources. Promoting sustainable market linkages for community level producer groups to markets is key in assisting people in achieving sustainable livelihood systems so that their households and community economic assets could be increased and natural resource management improved. • The integrated, multi-sector approach and service delivery mechanism which includes working with officials from the Ministry of Community Development and Social Welfare, ensures gender mainstreaming, tracking, focus on inclusion of marginalised groups in participatory process, as well as reinforces national policies and processes relative to equality. • The decentralised integrated approach helps build understanding of the policy and legal framework for different sectors across the planning and implementation team. This evidenced by non-foresters advocating for implementation of the new National Forestry Policy and Forests Act.

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• Conservation fees from Carbon offsets can support infrastructure development and social service delivery which results in improved living conditions of the rural people through improved access to education, health, water and sanitation; reduced child mortality and disease transmission. This reinforces the value of forest in improved rural livelihood. • The Decentralisation Policy, the revised Forests Act of 2015, the National Forestry Policy of 2014, Community Forestry Regulation of 2018 and Wildlife Act of 2015 provides a legal basis for greater community involvement in sustainable management of vulnerable landscapes. These therefore provides a conducive legal framework for implementing decentralised and sustainable FNRM providing the policy and. Through these policies, the Government of Zambia seeks to manage productive landscapes to enhance forest products and services for improved income generation, poverty reduction, job creation and protection and maintenance of biodiversity, and contribute to mitigation of climate change. This therefore, forms basis for a firm socio-economic and legal engagement in the collective management, including the private sector to transform landscapes for resilience and development in Zambia. • Most of the rural population lives on customary lands, comprising 60% of total land ownership, and are highly dependent on forest resources for food security and livelihoods, including non- wood forest products (NWFPs), such as nuts, fruit, mushrooms, caterpillars, medicines, grass, and other products as well as wood resources for construction and energy (DFNRMP, 2017). However, poverty is also a major underlying driver of deforestation and of degradation of natural resources through unsustainable natural resource utilization. • Sustainable livelihoods and enterprise development based on natural resource utilization requires secure and exclusive access to natural resources. The investment in secure rights provided by the new Forests Act through provides the incentive to communities to manage natural resources sustainably and thereby result in improved livelihoods and poverty reduction. • Trying to replace this massive livelihood contribution with alternatives (to natural resources) may not be realistic and also may not be desirable as has been experienced in other similar projects in Zambia and neighbouring countries. In the consultation conducted in all the communities during the community engagement exercise, they stated that with control of the forest, sustaining a high level of benefits was key to motivating communities to maintain the forest and not convert it.

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12.3 ANNEX 3: KEY ISSUES FROM CONSULTATIONS

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

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

✓ Illegal fising taking place even in breeding areas

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

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

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

that,-firstly, women provide for their families more than men and agreed to take the risk on behalf their families.

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

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in the national park than men. The punishment given to women is lighter and only involves sweeping government offices while men are sentenced to prison.

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

Muchinga province

62 Forest encroachment ✓ Increased demand for land in the new ✓ Sensitise communities on ▪ Muchinga province which has led to importance of conservation of increased demand for land for human forests. development and farming, and this has ✓ Promotion of good forest resulted in the encroachment of forest management practices. reserves and other protected areas. ✓ Through the Department of Forest, ✓ Increased deforestation activities due engage politicians and traditional to shifting cultivation activities within leaders through workshops and and outside the forest area. conferences with signed ✓ Increase in the demand for forest dedications and commitment to products and population increase has respect land use plans and posed a challenge on forest areas. integrity of the forests. ✓ Political interference in the allocation ✓ Increasing forest protection and of land mainly in gazetted and other management of regeneration protected areas. ✓ Increase forest patrols and involve ✓ Demographic changes which has put community members in carrying pressure on local authorities to out patrol measures as provided allocate land to meet the growing for in the decentralisation policy. demand. ✓ Immediate development and ✓ Lack of proper demarcation of formalization of land use plans for boundaries of forest reserve areas forests. which has made people to encroach in ✓ Expand on what Muchinga forest areas. Provincial Forest Officer embarked ✓ Weak laws to enforce proper on with regard to sustainable measures of land use and management of forest resources. management So far, the provincial office has ✓ Lack of land use plans signed two agreements with the ✓ Increasing practise of cutting down of communities for pilot purposes trees by encroachers in the forest has and agreed that whatever the caused changes in climate affecting community collects from the the rainfall partners. forest they can use to support their livelihoods provided sustainable forest management and utilization principles are adhered to. ✓ Hold national indaba with all the key stakeholder on land use, planning and conservation management of natural resource. ✓ Encourage community participation in management of forest resources. ✓ Promotion of alternative sources of livelihood based on available 63 natural resources.

Impact on subsistence ✓ Subsistence farming is affected by poor ✓ Government to build permanent ▪ agriculture production rainfall patterns which has made structures for the affected families communities resort to using farming who are still in tents. Government land near streams in protected areas with help from cooperating such as, forest and game reserve areas. partners, to resettle the affected ✓ Flooding of certain areas affecting families on the land set aside by the houses along the banks of the river and Disaster Management and livelihood. A case in point is the Mitigation Unit (DMMU) for victims flooding in disaster of the houses and of flooding and other effects of fields for the in for the climate change. people who settled on the river banks) ✓ Ensure that environmental matters are part of the conditions governing issuance of title deeds. ✓ Development of a framework for land administration at customary tenure which should be inclusive of all (because land degradation starts at customary level). Luapula Forest encroachment ✓ High population density (leading to ✓ Develop a legal framework and encroachment of forest). institutional structures to ensure ✓ The provincial ✓ Political interference behind the that all the relevant institutions stakeholders allocation of land in forests are made to work together to complained that all ✓ High poverty Levels (leading people to develop and improve the forestry protected forest degrade natural resources to sustain sector reserves in the livelihood). ✓ Engage Traditional leaders and province are either ✓ High demand for forestry products politicians to support Department heavily encroached or ✓ Loss of trees due to shifting cultivation of Forest in forest management. threatened. The due poverty as families are unable to ✓ Supports the establishment of problem is being afford the high cost of buy chemical Joint Forest Management (JFM) escalated by lack of fertilizers with local communities well-defined forest ✓ Over dependency on charcoal ✓ Engagement of Local Traditional boundaries, poor production as an alternative source of Leaders and Politician in the use inter-institutional livelihood. and management of forest cooperation by

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

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

✓ The Lubufita National Forest in Kawambwa is the most encroached forest in Luapula province for human development and settlement, followed by Mentapala forest where the government has even set up a refugee camp. The least encroached are Forest, and Kapweshi National forests. Impact on subsistence ✓ Reduced productivity due to unpredictable ✓ Promote Conservation Agriculture (CA) ✓ Poor market linkages agriculture production rainfall pattern ✓ Promote agro-forestry with Faidherbia or absence of it and

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✓ Drought and general dry spells taking Albida (Musangu tree) to address the how mitigating this longer than usual affecting the farming primary concern of soil infertility (e.g. gap can help address calendar district, the farmers are effects of climate ✓ Desertification due to overgrazing and the been trained to employ change was highly making area is susceptive to run off and environmentally friendly agricultural discussed and subsequently, soil erosion. Vulnerable practices) emphasised by farmers can not affort to buy and ✓ Creation of infrastructure to support stakeholders. suppliment forage for animals alternative sources of livelihood (e.g. Vulnerable Small scale ✓ Absence of an organised market system livestock arraying. farmers who are the for small scale farmers majority in the ✓ Unavailability of infrastructure to support province have no alternative livelihoods voice, therefore lack ✓ manifestation of pests such as army capacity to bargain worms Presence of pests for better prices

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

67 Reduced fish stocks ✓ Rainfall variability characterised by Because permanent restriction to the ✓ It was reported that (fishing) and excessive storms and prolonged dry spells river will negatively affect people’s the major constraint has affected the fish stocks in the main livelihoods, it is proposed that: to effective Restrictions on access to water bodies. ✓ Sensitization of the surrounding monitoring and fishing grounds ✓ Increased household demand for fish (for communities, enforcement of fish income and for home consumption). ✓ Facilitate alternative livelihood ban and control illegal ✓ Overfishing strategies and programmes which are fishing in restricted ✓ Increase in use of illegal fishing gears in line with and appropriate to the areas has been and catching even juvenile fish. local tradition, culture, resources, still is inadequate ✓ Fishing in restricted areas such as breeding capacity and interest. funding to effectively area. ✓ Establishing local production systems enforce the ban. ✓ Community disregard of the official fish for high quality fingerlings What provincial and ban ✓ Promote and support alternative district stakeholders sources of livelihood. said to have helped ✓ Strengthening the capacity for in controlling the aquaculture extension services. situation is the ✓ Confiscate illegal fishing gears, coordination and intensify sensitisation of dangers and suppport from the legal implication of using illegal fishing Marine Unit (a Marine gears. division of the Zambian military ✓ Improve staffing levels in the wing). To mitigate the Department in order to enhance situation, government monitoring and surveillance of fish has undeniably breeding grounds. introduced the use of ✓ Relocate and resettle those who have force in order to settled and are trading in fish breeding restore order. areas. ✓ Intensify patrols during fish ban on the ✓ The need to relocate main water bodies, and prosecute the trading anyone found fishing. community from Tuta Bridge which is a ✓ Intensify road patrols and increase the breeding ground for number of road blocks and check fish was widely points in selected transit points. expressed by all ✓ Construction of an alternative market provincial and Samfya for the affected community atlest district stakeholders. 10km from the Tuta bridge. Senior Provincial district government officials have confirmed holding meetings with the affected community regarding relocating 68 from the Bridge. ✓ The impact on local

Impact on wildlife (due ✓ Poverty and demographic changes ✓ Improve staffing levels in the ✓ The department to poaching) ✓ Belief that wildlife is God given and the Department in order to enhance their submitted that much community has the right to kill capacity to conduct patrols. as people are allowed ✓ Disregard for laws ✓ Government to increase funding to the to settle in Game Department in order to enable them Management Areas preserve wildlife resources. by law, the problem is ✓ Relocate and resettle those who have that they indulge in settled in the Game Management poaching,which is areas. illegal and punishable ✓ Intensify road patrols and increase the by law. number of road blocks and check ✓ The department points in selected transit points. further submitted ✓ Engage traditional authorities in the that areas for fishing management of protected areas. have also reduced in number, and those fishing resort to killing hippos and other wildlife due to failure in production upland. Failure in production upland is caused by changes in climate. ✓ Settling in a GMA is allowed but what warrants relocation is indulgence in poaching.

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12.4 ANNEX 4: PROPOSED CENSUS FORM FOR RAP Census/Socio-economic/Asset Inventory Questionnaire INSTRUCTION Your main duty as an enumerator in the survey is to collect data from affected households using this questionnaire. You will interview the Head/Spouse or any knowledgeable adult member of affected households. A Household refers to a group of people who normally live and eat together. These may or may not be related by blood, marriage or adoption, but make common provision for food or other essentials for living and they have only one person whom they all regard as the head. During the interviews, you are required to circle the codes (number) or indicate the code in the responses. Only where it is stated, all questions require single responses. Where the question is open-ended, you are required to summarize the response in the space provided. You must always check your work before you leave the household. This entails: - (i) checking your work for completeness- there should not be any omissions. (ii) Checking your work for legibility-you should record answers in a clear and legible format. The person entering the data in the computer should be able to read your writing. (iii) Checking your work for consistency; there should be consistency between answers recorded in the various sections of the questionnaire. (iv) You should only handover a completed questionnaire to your supervisor after checking your work and ensuring that it is error free. INFORMED CONSENT My name is ______I am working with the TRALARD Project. I have come to your house today because your household will be affected by the project. The purpose of this survey is to collect data that will be used to assess the livelihood and economic status of affected households. This survey will also help us collect data for developing and inventory affected movable and immovable assets. This is a requirement for updating the updating Resettlement Action Plan (RAP) for the expansion of Phase II of the project. I would therefore like to ask you questions on people who live here, livelihoods, economic activities, assets and your opinion regarding the project. Your participation in this survey will have no bearing on whether you receive any assistance from the project in the future. In addition, there are no costs to you for participation in this survey, and you will not be paid for participation. However, your responses will help the project to develop a better understanding of your household for better planning of the resettlement process. This interview should take about 30 minutes. If it is okay with you, can we start this interview? Yes [ ] No [ ], If No, THANK Participant, secure appointment and PROCEED to the next eligible household.

A. CONTROL INFORMATION Name of Date Interviewer: ______(dd/mm/yyyy) Surname First Name Name of Respondent 1….Head of Respondent: ______Type Household Surname First Name 2---Other Name of Village Name of Chief

Interview Interview Start Time End Time GPS Coordinates latitude longitude

B. HOUSEHOLD DEMOGRAPHIC PROFILE 1. Name of Head of 2. Sex of Male------1 Household ______Head of Female-----2 ___ Household First Name Surname First Name 3. Date of birth Head 4. Marital Status Single ------1 Married ------of Household of Head of 2 (dd/mm/yyyy) Household Divorced------3 Widowed ------4 5. Educational level of Head of Household (What is the highest grade 1=None 2=Primary 3=Secondary 4=Tertiary Head of Household has acquired)

6. Household 7. Is Head of Household disabled or Yes-----1, No------2 size(include Household Number of Male------chronically sick? Head) Number of Female----- 6. Is there any other Yes-----1, 6. If Head of Household or any other Disabled as evidenced by ZAPID/disability member of No------2 member of this household is assessment form------1 household who is disabled or chronically sick, what Disabled but not assessed------2 disabled or is the vulnerability Terminally ill & other related diseases------3 chronically sick? category?(CIRCLE ALL THAT APPLIES) C. LAND SIZE, OWNERSHIP & USE 8. Is Head of Yes-----1, 9. If the answer to question 8 is Title Deeds----1 Offer letter from Lands---2 Household the owner No------2 yes, what proof of ownership? Other, of this land? specify______3 10. If the answer to 11a. What is your Tenant------1, Caretaker------2, question 8 is No, who ______relationship to the Relative------3 Other, specify------

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is the owner? _ owner? 4 Surname First Name 11a. If you are not owner of this land, what do you own on this land (CIRCLE ALL 1=Dwellings only 2=trees 3=all THAT APPLIES)? built structures 12. If the answer to question 11 is tenant, what is the monthly rental Monthly Payment payment? ______

13. What is the size of 14. Land owner NRC & Contact No. this plot? (indicate ____Hectares ______length X width if easier) __ NRC Mobile Phone Number 15. What is the total size of land available for agricultural production (owned and rented) to this household IF NO LAND WRITE ‘0 ______hectares owned

______hectares rented out 16. How long has this family been living on this land? ______years D. ECONOMICAL PROFILE

D1. HOUSING CHARACTERISTICS

17. What kind of dwelling does your household 1=Traditional Hut live in? (OBSERVE) 2=Improved Traditional House 3=Temporal 4=Other (Specify)…………… 18. What kind of material is the roof of the 1=Asbestos Sheets dwelling made of? (OBSERVE) 2= Iron Sheets 3= Grass/Straw/Thatch 4= Wood 5= Other (Specify 19. What kind of material is the floor of the 1= Concrete only dwelling made of? (OBSERVE) 2= Covered Concrete 3= Mud 4= Other (Specify 20. What kind of material is the wall of the 1= Pan Brick dwelling made of? (OBSERVE) 2= Concrete Brick 3= Mud Brick 4= Burnt Brick 5= Pole 6= Mud 7= Grass/Straw 8= Other (Specify…. 21. How many rooms is the dwelling/housing 1=One, 2=Two, 3=Three, 4= Four, 5=Five, 6=Six, 7=Other, structure?(indicate number on dwelling) specify______1. Dwelling 1------2. Dwelling 2------3. Dwelling 3------4. Dwelling 4------D2. AGRICULTURE

22. Which crops did Area planted in Quantity Produced in Unit: you grow in the 2017/18 season 2017/18 season 1= 50 kg bag, 2=25kg 2017/18 season? (hectares(indicate length X IF Production = 0, bag, 3=10 kg bag, 3=Tin CIRCLE ALL THAT width in metres if easier)) skip to next CROP 4=Head, 5=Other, APPLIES specify 1 Maize

2 Sorghum

3 Millet

4 Beans 5 Groundnuts(indicate shelled/unshelled) 6 Rice

7 Irish Potato

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8

9 Cassava

10 Tobacco

11 Cowpeas

12 Green Beans

13 Amaranths

14 Cabbage

15 Chinese Cabbage

16 Carrot

17 Impwa

18 Okra

D3. HOUSEHOLD INCOMES AND EXPENDITURE 23. Name the most important non-farm Remittance ------1 Skilled trade/artisan------2 source(s) of income/cash to your household? Casual non-agriculture labour ------3 Petty trade (cooking oil, soap,, etc.)------4, Savings and leading ( SILC)-----5 CIRCLE ALL THAT APPLIES Med/large business------6 Brewing Beer-----7 Formal salary/wages------8 None------9 Begging------10 Others (specify): 88______24. Considering all your non-farm sources of income, what is your average monthly non-farm ZMK______income?

25. Name the most important farm source(s) of Rainfed Crop sales------1 Casual agriculture labour-----2 income/cash to your household CIRCLE ALL Livestock sales------3 Fishing-----4 5.=Dividends, 6=own irrigated garden, 7= Other, specify THAT APPLIES 26. Considering all your farm sources of income, what is your average annual farm ZMK______income? 27. How many (ITEM)s does your household own? (Indicate zero if HH has none. Do not count permanently broken items) READ OUT QUANTIT READ OUT QUANTIT Y Y Cattle Bicycle Goat Motorcycle Sheep Motor vehicle Pig Tractor Poultry (Chickens, ducks, guinea fowls, pigeons, Plough rabbits, etc) Donkey/Horses Ox cart Radio Grind mill TV Genset Solar Panel Water pump Cell phone Treadle pump Other, Specify______Other, Specify______28 What is your average household expenditure? Expenditure Item Circle appropriate Reference Period Total Amount Spent (per Reference Period) A. Food 1=Weekly 2=monthly, 3=annually B. Fuel for light (kerosene, gas) 1=Weekly 2=monthly, 3=annually

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C. Water 1=Weekly 2=monthly, 3=annually D. Communication(talktime) 1=Weekly 2=monthly, 3=annually E. Clothing/Footwear/beddings 1=Weekly 2=monthly F. Electricity 1=Weekly 2=monthly G. School 1=Every Term, 2=annually H. Transportation 1=Weekly 2=monthly I. Medical Needs 1=Weekly 2=monthly J. House/land rental 1=Weekly 2=monthly K. House Maintenance/repair 1=Weekly 2=monthly L. Recreation 1=Weekly 2=monthly M. Agriculture(Seeds, fertilizer, labour) 1=Weekly 2=monthly Q. Others, ______1=Weekly 2=monthly R. Others, ______1=Weekly 2=monthly S. Others, ______1=Weekly 2=monthly D24 FOOD SECURITY 29. How many staple meals excluding snacks do you normally 1=One, 2=Two, 3=Three, have in a day? 4=More than three 30. In the past 4 weeks, was there ever no food of any kind to eat 1=No, 2=Rarely (Once or twice), in your house because of lack of resources to get food? 3=Sometimes (3 to 10 times), 4=Often (More than 10 times) 31. In the past 4 weeks, did you or any member of the household 1=No, 2=Rarely (Once or twice), go the whole day and night without eating anything because 3=Sometimes (3 to 10 times), there was not enough food? 4=Often (More than 10 times) D5. WATER AND SANITATION PROFILE 32. What is the MAIN source of drinking water for 1=Borehole at own plot/land, 2=Protected well, this household? (Circle only one MAIN source) 3=Unprotected well, 4=Protected spring 5=Unprotected spring, 6=River, Pond, Dam, 7= Direct faucet/tap to house 8. Public faucet/tap in the community, 9=Other Specify 33. How far (one-walking distance in metres) is ………………metres your main water source? 34. How many minutes do you take to reach the ------minutes nearest place where you collect your water? 35. What type of toilet facility does this household 1=VIP toilet, 2=Pit latrine, 3=Bush 4=Other USUALLY use? Specify______36. What do you do when a family member is sick? 1=Self –medication 2=Go to public clinic 3=Go to private clinic 4= None 5=Others, specify______37. Was there any death in the family in the 1=Yes 2=No If yes, What were the causes last two years ______E. ACCESS TO SERVICES AND PLACE OF EMPLOYMENT Facility 38. 39. Travel 40. Type of Cost of Distance(Km) Time(hrs) from Transport Transport to from House to House to Facility Used:1=Foot, facility Facility 2=bicycle, 3=public (41) transport 4 Other specify,______Hospit al ______Clinic School(Indicate name) 1. 1.______1.______1.______1.______2. 2. ______2. ______2. ______2. ______3. ______3. ______3. ______3. 4. ______4. ______

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3. ______5. ______5. ______4. ______4. ______4. ______5. ______5. ______5. ______District centre Market/Shopping Centre Police Station Hammer Mill Work Place Banks Grave yard Postal Service Others, specify:

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F. ENERGY 1=State electricity 2=solar 3=Kerosine/Gas 41. What is the source of energy for lighting the household? 4=None 5=Other, specify______1=State electricity 2=Charcoal 3=Firewood 42. What is the main source of energy for cooking? 4=None 5=Other, specify______43. If the main source of energy for cooking is firewood, what is the source and how many minutes walk is this? Name of source______Time taken to reach source______Minutes G. IMPACT INFORMATION G1 LAND ACQUISITION 44. How much land will be acquired by the 1=whole land, 2=if partial, how much land will be project? acquired? ______hectares 45. What kind of acquisition will be this? 1=Permanent 2=Temporary 3=both

46 If the answer is both, specify the size in either ______hectares will be permanently acquired case ______hectares will be temporary acquired 47. Circle the code of the structures on plot that will be lost due to land acquisition & indicate the number of these structures Name of structure Number of Comments if any structures 1. Dwellings: i. Two rooms Indicate total floor area(length x width ) ii. Three rooms i. ------i. ------iii. Four rooms - ii. ------iv. Five rooms ii. ------iii. ------v. Other, specify_____ - iv. ------iii. ------v. ------______- iv. ------v. ------

Material used & current cost of Indicate total floor area(length x width ) 2. Kitchen shelter replacement

Material used & current cost of Indicate total floor area(length x width ) 3. Bath shelter replacement

No. of employees______Material used & current cost of 4. Shop/store replacement monthly income______5. Toilet mentioned 6. Bore hole 7. Protected well 8. Unprotected 9. Kraal current cost of replacement 10. Chicken coop current cost of replacement 11. Grain Store current cost of replacement 12. Goat pen current cost of replacement 76

13. Fence current cost of replacement 14. Other, specify_____ current cost of replacement ______15. Other, specify_____ current cost of replacement ______16. Other, specify______48 Circle the code of the trees that will be lost due to land acquisition & indicate the number of these trees Number of non- Income from sale of Number of Name of Tree mature/non-fruiting fruits in 2017/or mature/fruiting trees trees estimated income 1. Banana 2. Mango 3. Pawpaw 4. Orange 5. Lemon 6. Guava 7. Masau 8. Avocado 9. Sugar canes 10. Mulberry 11. Cactus 12. Leeches 13. Sugar cane 14. Other: 15. How many non fruit tress does the household have? 17. Total monthly sale 16. Do you have a 1=Yes, 16b Is garden on 1=Yes, 2=No from the garden? Garden? 2=No affected plot? ZMK______

G. GENERAL INFORMATION 49. What do you think of the project? 1=Very Good, 2=Good, 3= Bad, 4=No answer 50. If the answer to question 49 is very good or good, why do you say so? 51. If the answer to question 49 is bad, why do you say so? 47. In case of relocation, which would PAP 1=Relocate to site of choice 2=Relocate to site prefer? identified by project, 3=Don’t know at this time 48. How would PAP prefer to be compensated for 1=Land for Land 2=Cash for Land 3=Not land Applicable 49. How would PAP prefer to be compensated for built 1= Replacement 2=Cash 3= Not structures? Applicable 50. How would PAP prefer to be 1= Replacement 2=Cash 3= Not Applicable compensated for fruit & non fruit trees (if applicable)?

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51. If PAP is to receive any cash 1=Through the Bank 2=Direct Payment 3=Not compensation (if applicable), how do they Applicable 3=Other, specify: want to be paid? ______52. How much would be required to move ZMK______Specify mode of personal effects to relocation site? transport______1=Oxcart, 2 tractor, 3=van, 4=other, specify______

APPENNDIX I – ASSET FORM: BUILT STRUCTURES

Photo of the Owner Photo Occupant/Representative

Front and Side View of The House/ Structure Rear and Side View of The House/ Structure

Roof______Walls ______Floor ______Fittings ______

APPENNDIX I– ASSET FORM: SKETCH FOR BUILT STRUCTURES

Sketch:

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