Mdb Environmental and Social Safeguard Policies and Zambian Environmental Legislation

Public Disclosure Authorized

MINISTRY OF FINANCE

Public Disclosure Authorized INVESTMENT PROJECTS FOR THE BAROTSE AND KAFUE SUB-BASINS

UNDER THESTRATEGIC PROGRAMME FOR CLIMATE RESILIENCE IN ZAMBIA Public Disclosure Authorized

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK Volume I Public Disclosure Authorized

FINAL DRAFT REPORT

FEBRUARY 2013

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EXECUTIVE SUMMARY

The Government of the Republic of Zambia (GRZ) has commenced implementation of the Pilot Programme for Climate Resilience (PPCR) which is funded by the Climate Investment Funds (CIFs).Under this Pilot programme two Investment projects are to be funded: (i) Strengthening Climate Resilience (PPCR phase II) Project in the Barotse Sub-Basin (Administered by the World Bank, and (ii) A complimentary project administered through the African Development Bank focusing on similar intervention but in the Kafue Sub basin.

The World Bank funded sub-projects in the Barotse Sub-basin are expected to commence in September 2013 and will run until December 2019. The Kafue Sub-basin Investment project under the funding of the AfDB will be implemented from December 2013 to December 2018.

The geographical scope of the two investment projects is in 17 districts out of 28 in both basins. In the Barotse Sub basin the eight selected pilot districts are Kalabo, Kaoma, Lukulu, Mongu, Senanga, Shang’ombo, Sesheke and Kazungula. The nine districts selected in the Kafue Sub-basin are Chibombo, Choma, Kafue, Kalomo, Itezhi-Tezhi, Mazabuka, Monze, Mumbwa and Namwala.

The eligible project prototypes to be financed by both the WB and the AfDB cut across the following thematic areas: Agriculture land use and livestock practices, diversification of livelihoods, Climate information and community preparedness, Community level infrastructure(small dams, ponds and improved wells), Climate proofing of infrastructure( roads and canals) and support to participatory adaptation. The emphasis of implementation arrangements varies from each basin depending on priorities.

In the Kafue Sub basin focus is on strengthening farm level support systems such, (conservation agriculture, fertility management, crop diversification, promotion of livestock and Fisheries, upgrading community level infrastructure (reservoirs, small dams, small scale irrigation schemes, community forestry plantations, flood control and diversion structures) and support to local government and community groups to help them incorporate climate risk management in local development plans.

In the Barotse Su-basin the focus is on diversification of Agriculture, livestock practices livelihood opportunities into sustainable activities that are not climate sensitive, and/or moving them to less to less climate sensitive locations ( such as bee-keeping, crafts using local , non –timber materials, processing aquaculture, and livelihood investments in higher grounds. Infrastructure initiatives for water management to reduce effects of flooding; rehabilitation and / or manage canals to improve drainage and / or store water to overcome shorter growing seasons and allow for early planting and full maturation. At ward level strengthening the base of infrastructure such as schools, health clinics or halls which may also act as flood shelters and facilitation/equipping local livestock Para-vet centres for vaccination and disease control are some of the priorities.

The core project components and sub components for both the WB and AfDB projects are similar. The emphasis of implementation however reflects the different priorities in the two basins, as illustrated below.

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BAROTSE SUB BASIN (WB)

Component Sub-component

1 Strategic National Programme Support 1.1 Institutional Support to National Climate Change programme 1.2 Strengthened Climate Information

2 Support to Pilot Participatory Adaptation

3 Pilot Participatory Adaptation 3.1 Community adaptation sub –grants:- actual funding to participatory adaptation investments

3.2 Rehabilitation and strengthened management of traditional canals:-Strengthening of the management of 5 traditional canals

KAFUE SUB-BASIN (AfDB)

Component Sub-component

1 Participatory Adaptation 1.1 Integrated Community-Based Adaptation:-community level infrastructure to be upgraded to withstand floods or droughts 1.2 Support to participatory Adaptation:-support to local Government to incorporate climate risk management principles in area plans 2 Climate Proofing Road Infrastructure Focussed on climate proofing of farm-to-market major roads to be climate resilient.

3 Strategic National Programme Support

Led by the Ministry of Finance and National Planning (MoF), the PPCR involves two phases: Phase I: Preparation Phase and Phase II: Implementation Phase. The PPCR seeks to: a) mainstream climate change adaptation into national plans and strategies; b) assist communities in highly vulnerable areas to identify and address their own climate change adaptation options as part of local development plans; c) incorporate climate resilience into existing community development funds to ensure their sustainability; d) invest in highly visible infrastructure as a way to rally public support for adaptation; e) build on partnerships, particularly with private sector and civil society; f) use the transformative power of communication technologies; and g) strengthen the institutional foundation for a future climate change programme in Zambia.

The sub-projects in the selected districts will be community-demand driven (CDD). Therefore the nature and exact locations of these subprojects is yet to be defined and identified by the communities. However even if the nature and location of these sub projects is not defined and not known , Operational Policy 4.01 of the World Bank, the Environmental Policy of the African Development Bank and the regulations of the Zambia Environmental Management Agency (ZEMA)require that , the main implementing agency, the Ministry of Finance prepares (i) A Strategic Environmental and Social Assessment (SESA); (ii) an Environmental and Social Management Framework (ESMF); and (iii) a Resettlement Policy Framework (RPF).

The objective of the first two frameworks (SESA and RPF) is to review relevant policies and legislation on environment and climate change and also to assess the potential implications for

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resettlement and compensation respectively. The purpose of the third Framework, (ESMF), is to assess and determine the potential environmental and social impacts of all sub-project activities that are to be financed under PPCR in the Barotse and Kafue Sub-basins.

Specifically, the ESMF identifies mitigation, monitoring and institutional measures to be undertaken in order to ensure that the implementation and operation of the project activities do not trigger adverse environmental and social impacts. The mitigation and monitoring measures are intended to offset any anticipated negative effects of the sub-projects or at a minimum reduce impacts to acceptable levels.

The first two Chapters (Chapters 1 to 2) of the ESMF essentially provide background information that starts with a description of the Project which is followed by a brief explanation of the methodology used in formulating the ESMF. The main issues contained in this ESMF are described below.

The Kafue basin and the Barotse Flood Plains are sub-basins of the Zambezi Basin which is shared by seven other countries namely; Democratic Republic of Congo, Angola, Botswana, Namibia, Zimbabwe, Malawi and Mozambique. Both the Kafue and Barotse sub-basins consist of highly valuable but sensitive ecological resources. These are the Barotse flood plains which have been designated as a Ramsar site and are currently under consideration to be designated as a World Heritage Site.

The wetlands in the Kafue sub-basin support a rich variety of flora and fauna which include rare species of mammals such as the Red Lechwe. The Kafue National Park, the Blue Lagoon National Park and Lonchinvar National Park all provide one of the largest sanctuaries for mammals and bird life. The Kafue flats carry huge economic significance for nationally-important industries for the generation of hydro-electric power, production of sugarcane, fishing and livestock and crop production.

Both the Kafue and Barotse sub-basins are prone to both floods and drought as they fall under Agro-ecological Region 2 (high rainfall) and 1 (less rainfall). Recently, parts of the Barotse sub- basin experienced frost Climate Change have already increased the frequency and intensity of both floods and droughts. This will increase the vulnerability of the communities in the two sub- basins. The climate resilient sub-projects will provide opportunities for these communities to reduce their vulnerability to the effects of climate change.

This ESMF has been formulated to ensure that all climate resilient subprojects in the Kafue and Barotse Sub-basins will comply with all the relevant national environmental policies and legislation administered by ZEMA while adhering to the Environmental and Social Safeguards Policies of the World Bank(WB) and African Development Bank(AfDB) which are described in Chapter 4.

Chapter 4 provides a detailed treatment of the World Bank and African Development Bank Safeguards Policies. The following World Bank operational safeguards policies are triggered:

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All the African Development Bank environmental and social safeguard policies will be triggered and apply to sub-projects funded under the Investment Projects in the Kafue Sub-Basin in the period December 2013 to December 2018.

AFRICAN DEVELOPMENT BANK Policy Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 Policy on the Environment (2004) X 2 Policy on Integrated Water Resources Management (2000) X 3 Agriculture and Rural Development Sector (2000) X 4 Involuntary Resettlement Policy (November 2003) X 5 Gender X 6 Poverty Reduction X 7 Cooperation with Civil Society Organizations X

The following WB Safeguards Policies that will be triggered will apply to all sub-projects funded under the Investment Projects in the Barotse sub-basin during the period September 2013 to December 2019.

WORLD BANK Policies Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 OP 4.01: Environment Assessment X 2 OP 4.04: Natural Habitats X 3 OP4.09 Pest Management X 4 OP 4.10: Indigenous Peoples X 5 OP4.11 Physical Cultural Resources X 6 OP 4.12: Involuntary Resettlement X 7 OP 4.36 Forestry X 8 OP 4.37: Safety of Dams X 10 OP 7.50: International Water Ways X 11 OP 7.60: Disputed areas X

Identified environmental and social impacts that may arise as result of the implementation of the sub-projects include some of the environmental impacts include: land clearing and increased use of pesticides while social impacts include: increased agricultural productivity due to improved moisture retention and early planting resulting in increased pressure on land and land conflicts. Mitigation measures would include use of culturally acceptable conflict prevention and resolution practices.

Based on community needs and aspirations and essentially small scale in scope, the sub-projects to be implemented under the PPCR have been assigned either to category B or C (WB); 2 or 3 (AfDB) and schedule 2 under ZEMA. In order to be responsive to the circumstances of the beneficiary communities in the two sub-basins, individual subprojects will be subject to a screening process which will involve a number of steps including:

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1. Assessment of the proximity of the intended project sites to natural habitats, water resources, natural hazards/disasters, cultural and historical resources and land acquisitions issues

2. Environmental and social assessment of the various subprojects.

This will provide the basis for the preparation of a simplified (1 page) environmental and social management plan (ESMP) that describes the activity, location, proponent, the potential environmental and social impacts (from the screening form), the suggested mitigation measures, and a mitigation/monitoring plan presented in a simple table.

The list of sub-projects endorsed for approval by the SPIU (and Provincial Administration in Mongu or Choma for the Barotse Sub-basin and Kafue Sub-basin respectively) would be submitted quarterly to ZEMA who will consider one of the following actions:

a) endorse them on a no-objection basis; b) endorse with further recommendations; and/or

c) recommend the preparation of a full Project Brief.

ZEMA would then have a period of two weeks to communicate their response. In the event that there is no such response after two weeks, then approval based on a no-objection would be automatically granted. In the event that ZEMA assigns a different category a project proponent may be required to prepare and submit the Environmental Project Brief (EPB) to the Zambia Environmental Management Agency (ZEMA) for review. Although this is highly unlikely, depending on outcome of the EPB the proponent may also be required to prepare an Environmental Impact Statement (EIS) and undertake a full Environmental Impact Assessment (EIA).

Although the ZEMA is responsible for the supervision In the case of the sub-projects under the PPCR, The PCCR Secretariat and Project Implementation Unit (PIU) will, in consultation with ZEMA, assume responsibility for the supervision of the implementation of the Environmental Management and Social Plans (EMSPs). Beyond this supervision, the Ministry of Finance (PPCR Secretariat) is further required to disclose the ESMF, RPF and SESA in country as three separate and stand-alone documents so that they are accessible by the general public, local communities, potential project-affected groups, local NGO’s and all other stakeholders and also at the InfoShop of the World Bank and the date for disclosure must precede the date for appraisal of the project.

The last two chapters of the ESMF provide guidelines on Environmental and Social Monitoring Plan (ESMP) and on institutional arrangements for the implementation of the PPCR sub-projects. During implementation, the ESMP is an important tool that helps to measure the level of adherence to social safeguards in line with the identified mitigation measures. The ESMP specifies the activities to be undertaken to ensure that the mitigation measures are efficiently, effectively and timely implemented. Chapter 7 presents the monitoring plan and indicators

Given that some of the sub-projects have very small budgets, the monitoring of the ESMF will be done for a group (of sub-projects (e.g. 3-5) on a quarterly basis. The estimated budget for ESMF monitoring of the subprojects is US$ 7,500 per year per sub-basin.

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While safeguard policies and national environmental and social legislation make adequate provisions for the implementation of the PPCR sub-projects in the Kafue and Barotse Sub-basins, the challenges lies in the lack of capacity to monitor and enforce legislative requirements. This is particularly obvious in the context of climate change which is still a relatively new area and whose mainstreaming in national sector policies and projects remains at the entry level. ZEMA is also in the process of developing regulations that specifically address environmental management challenges within the framework of climate change.

The cost of implementing the ESMF is difficult to determine at this stage as the sub-projects are be identified by the communities. Since the sub-projects will be community-demand-driven and “micro” in scope at an estimated cost US $2,500 per sub-project (for the Baroste Sub-Basin), it can be assumed that these sub-projects will be large in number. It can also be assumed that a number of such sub-projects are likely to be sited in same geographical or adjacent locality. The cost of monitoring and implementation of the ESMF would then be spread over a number of the sub-projects. Based on this, the estimated cost of implementing the ESMF could be US $ 1,000 for every 5-10 sub-projects depending on the complexity and physical distances from the district administrative centre.

The final chapter of the ESMF presents a training programme for the PPCR and relevant stakeholders. The cost required to support the PPCR training is estimated at US$ 825,006.

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TABLE OF CONTENTS

CHAPTER 1: INTRODUCTION ...... 1

1.1 Environmental and Social Management Framework (ESMF) ...... 1 1.2 Project Description ...... 3 1.3 Aims and Objectives ...... 3 1.4 Description of Project Components and Sub-Components ...... 4 1.5 Institutional arrangements ...... 8

CHAPTER 2: ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK METHODOLOGY ...... 12

2.1 Environmental Methodology ...... 12

CHAPTER 3: BASELINE INFORMATION ...... 16

3.1 Baseline information ...... 16 3.2 Climate Change in Zambia: Challenges for the Kafue and Barotse Sub-Basins ...... 16 CHAPTER 4: MDB ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES AND ZAMBIAN ENVIRONMENTAL LEGISLATION ...... 28

4.1 World Bank Operational Policies and Procedures - Barotse Sub-basin ...... 28 4.2 African Development Bank Safeguard Policies ...... 32 4.3 Overview of Zambian Legislative and Regulatory Framework ...... 35 4.4 Environmental Legislation and Policies ...... 36 4.5 Complementarity between Zambian Legislation, World Bank and African Development Bank Safeguard Policies ...... 44

CHAPTER 5: INDICATIVE LISTING, POTENTIAL IMPACTS, ADAPTATION AND MITIGATION MEASURES OF SUB-PROJECT PROTOTYPES ...... 46

5.1 Context ...... 46 5.2 Identification of PPCR Related Community Demand-Driven (CDD) Eligible Projects ...... 46 5.3 Identification of Potential Projects Preferred by Communities...... 48 5.4 Stakeholder Participation Event ...... 48 5.5 NGO Projects Relevant to Climate Change ...... 49 5.6 Abbreviated Project Descriptions ...... 51 5.7 Environmental impacts ...... 53 5.8 Social impacts ...... 59

CHAPTER 6: CLASSIFICATION of SUB-PROJECT PROTOTYPES FOR INVESTMENT IN KAFUE AND BAROTSE SUB-BASINS ...... 63

6.1 World Bank Classification ...... 63 6.2 African Development Bank Classification ...... 64 6.3 Zambian Legislation Clasiffication ...... 65 6.4 Screening of Sub-Projects ...... 65

CHAPTER 7: MONITORING PLAN OUTLINE FOR PPCR PROJECTS ...... 76

7.1 Compliance Monitoring ...... 77 7.2 Impacts Monitoring ...... 77

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7.3 Cumulative Impacts Monitoring ...... 77 7.4 Monitoring Requirement ...... 77 7.5 The Environmental and Social Monitoring Plan and Monitoring Indicators ...... 78 7.6 Monitoring Indicators ...... 81 7.7 Monitoring Responsibility ...... 81

CHAPTER 8: INSTITUTIONAL CAPACITY ASSESSMENT FOR THE ESMF IMPLEMENTATION ...... 84

8.1 Need for Institutional Capacity ...... 84 8.2 National Government Institutions ...... 84 8.3 Local Government Institutions ...... 85 8.4 Civil Society Organisations ...... 87 8.5 Vulnerable Social Groups ...... 88 8.6 Private Sector...... 89 8.7 Implementation Arrangements and Capacity Building Requirements ...... 90

REFERENCES ...... 102

ANNEXES ...... 105

LIST OF TABLES

Table 1: Institutional Arrangements and functions ...... 9 Table 2: Functions and descriptions ...... 10 Table 3: Sample Districts ...... 13 Table 4: Summary of Environmental Problems and Impacts ...... 15 Table 5: Estimated area of the Barotse Floodplain extended wetlands (ha) ...... 20 Table 6: Sub-basin Characteristics ...... 21 Table 7: World Bank Safeguard Policies ...... 28 Table 8: WB Safeguard policies and their relevance to PPCR Project in the Barotse sub-basin ...... 29 Table 9: African Development Bank Safeguard Policies ...... 32 Table 10: AfDB safeguard policies and their relevance to PPCR projects in Kafue sub-basin ...... 33 Table 11 : summary of national legislation ...... 43 Table 12: WB/AfDB policies and Zambian Legislation ...... 44 Table 13: List of Eligible Activities under Constituency Development Fund vs. Proposed Activities Eligible for PPCR Funding ...... 46 Table 14: Summary of Projects preferred by the communities...... 48 Table 15: Projects key NGOs have been undertaking and considered suited for PPCR Funding ...... 50 Table 16: Abbreviated Project Description (AfDB/IBRD) ...... 51 Table 17: Potential Environmental Impacts of Sub Project and mitigation/enhancement measures ...... 55 Table 18: Potential Social Impacts and mitigation measures of Sub Projects ...... 60 Table 19: Indicative list of Eligible Category C Project Prototypes, which may be financed under the PPCR - ...... 66 Table 20: Indicative list of Eligible Category B Project Prototypes which may be financed under the PPCR- 67 Table 21: Elements of an ESMP ...... 78 Table 22: Example of an environmental and social monitoring plan (ESMP) for the sub-projects ...... 80 Table 23: Roles and Responsibilities ...... 92 Table 24: Estimated budget for ESIA trainings ...... 98 Table 25: Capacity Building Budget Estimates ...... 99 Table 26: Programme Support and Budget over the project period ...... 99 Table 27: Elements of an ESMP ...... 134

LIST OF FIGURES

Figure 1: PPCR Pilot Districts, NIRAS Zambia (2012) ...... 17

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Figure 2: Soils, NIRAS Zambia (2012) ...... 18 Figure 3: Muoyowamo canal near Nayuma Habour ...... 26 Figure 4: Integrated Development Plans and local Area Plans ...... 86 Figure 5: Overview of the Implementation Arrangements. (Source IBRD, Abbreviated Project Descriptions) ...... 91 Figure 6: Overview of the Implementation Arrangement (Source AfDB, Abbreviated Project Descriptions) ...... 92 Figure 7: Complimentary Projects in the Zambia PPCR Phase II ...... 96

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ACRONYMS AEZ Agro-Ecological Zones AfDB African Development Bank CC Climate Change CDD Community Driven Development CSO Central Statistical Office CSO Civil Society Organisation DACO District Agricultural Coordinator DDCC District Development Coordination Committee DDMMU District Disaster Mitigation and Management Unit DIP Decentralisation Implementation Plan DMMU Disaster Mitigation and Management Unit EA Environmental Assessment EIA Environmental Impact Assessment EIB Environmental Impact Brief EIS Environmental Impact Statement EMA Environmental Management Agency EMP Environmental Management Plan EPB Environmental Project Brief ESAP Environmental and Social Assessment Procedures ESMF Environmental Social Management Framework ETo Evapotranspiration FAO Food and Agricultural organisation of the United Nations GMA Game Management Area HSI Habitat Suitability Index IBRD International Bank for Reconstruction and Development IPCC Intergovernmental Panel on Climate Change IPCC WGII IPCC Working Group 2 ISP Inter-sectoral Stakeholder Platform ITCZ Inter Tropical Convergence Zone IUCN International Union for the Conservation of Nature LAC Local Area Committee MAL Ministry of Agriculture and Livestock MCDMCH Ministry of Community Development Mother and Child Health MCTI Ministry of Commerce Trade and Industry MLGH Ministry of Local Government and Housing MLNREP Ministry of Lands Natural Resources and Environmental Protection MMEWD Ministry of Mines, Energy and Water Development MSY Ministry of Sport and Youth MTWSC Ministry of Transport, Works, Supply and Communications NAPA National Adaptation Plan of Action NCCDC National Climate Change Development Council NCCRS National Climate Change Response Strategy NEAP National Environmental Action Plan NGO Non-Governmental Organisation NPE National Policy on Environment NRFA National Roads Fund Agency NTFP Non-Timber Forestry Products PDCC Provincial Development Coordination Committee PPCR Pilot Programme for Climate Resilience RDA Road Development Agency SESA Strategic Environmental and Social Assessment SNDP Sixth National Development Plan PPCR Strategic Program for Climate Resilience USCSP United States Country Study Programme WB World Bank

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ZAMSIF Zambia Social Investment Fund ZAMWIS Zambezi Water Information System ZAWA Zambia Wildlife Authority ZBS Zambia Bureau of Standards ZEMA Zambia Environmental Management Agency ZMD Zambia Meteorological Department ZRA Zambezi River Authority ZRB Zambezi River Basin ZVAC Zambia Vulnerability Assessment Committee

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CHAPTER 1: INTRODUCTION

The Government of the Republic of Zambia (GRZ) has received support from the IBRD and AfDB for two complementary Investment projects under the Strategic Programme for Climate Resilience (PPCR). The Investment projects are: (i) Strengthening Climate Resilience (PPCR phase II) Projects in the Barotse Sub-Basin (Administered by the World Bank, and (ii) Strengthening Climate Resilience in the Kafue Sub-Basin (Administered through the African Development Bank). The World Bank funded sub-projects in the Barotse Sub-basin are expected to commence in September 2013 and will run until December 2019. The Kafue Sub-basin Investment project under the funding of the AfDB will be implemented from December 2013 to December 2018.

The PPCRis an integral part of the global Pilot Programme on Climate Resilience (PPCR) funded by the Climate Investment Funds (CIFs).The geographical scope of the Investment Projects isin 17 districts out of 28 in the Barotse and Kafue sub-basins.The sub-projects to be implemented in the selected districts will be community-demand driven (CDD).

Although the nature and location of these sub projects is not known, Operational Policy 4.01 of the World Bank, the Environmental Policy of the African Development Bank and the regulations of the Zambia Environmental Management Agency (ZEMA) require that, the main implementing agency, the Ministry of Finance prepares (i) A Strategic Environmental and Social Assessment (SESA); (ii) an Environmental and Social Management Framework (ESMF); and (iii) a Resettlement Policy Framework (RPF).

The objective of the first two frameworks (SESA and RPF) is to review relevant policies and legislation on environment and climate change and also to assess the potential implications for resettlement and compensation respectively. The purpose of the third Framework, (ESMF), is to assess and determine the potential environmental and social impacts of all sub-project activities that are to be financed under PPCR in the Barotse and Kafue Sub-basins.

1.1 Environmental and Social Management Framework (ESMF) The objective of this ESMF is to provide simple and clear environmental and social management guidelines for the design, planning, environmental and social assessment, monitoring and management of the community-demand-driven (CDD) Participatory Adaptation activities which are planned for Phase II of the PPCR. The ESMF applies to CDD sub-projects to be implemented within the structures of the Provincial and District Administration and sub-districts. The specific objectives of ESFM are to: 1. Establish clear guidelines and procedures for environmental and social planning, review, approval and implementation of investments to be financed under the Projects,

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2. Clearly define roles and responsibilities for managing and monitoring environmental and social concerns related to Project investments, 3. Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF, 4. Establish the estimated Project funding (budget) required to implement the ESMF requirements or provisions.

The approach used in developing the framework is built around participatory processes that focus on: (i) the assessment of anticipated environmental and social impacts of the prototype sub- projects of the Participatory Adaptation component, and (ii) procedures for mitigating adverse consequences of the projects and sub-projects on the natural and social environment. The approach draws on information generated through review of existing documentation and literature on climate change and climate resilience. It also draws on the views and perspectives of communities, local authorities and other local level stakeholders.

Given the far-reaching impacts both actual and anticipated of climate change, the importance of legislation and policies has also been taken into account in the preparation of this ESMF. Successful planning and implementation of PPCR projects and activities will depend on an enabling legal environment. Legislation and policies provide the legal basis for protecting the environment and supporting the priority responses to climate change. It is also noted that national laws and policies relevant to the PPCR cut across several sectors and ministries. There is no single piece of legislation that deals with the complex combination of issues and interests around climate change.

In that regard, this ESMF therefore draws on relevant Zambian environmental key policies among which are: i. Disaster Management Act 2010 ii. Environmental Management Act of 2011 (replacing the Environmental Protection and Pollution Control Act (EPPCA) No. 12 of 1990) iii. Fisheries Act; iv. Forest Act; v. National Adaptation Plan of Action(NAPA) of 2007 vi. National Conservation Strategy of 1985; vii. National Environmental and Action Plan of 1994 viii. National Heritage and Conservation Act of 1989 ix. National Policy on Environment of 2005 x. National Strategy on Biodiversity and Action Plan xi. National Water Policy of 1994 xii. National Water Resources Management Act of 2011 xiii. Pesticide and Toxic Substances Regulations (1994) xiv. Plant Pests and Diseases Act Cap 233 xv. Water Act Cap 198 of 1948 xvi. Wildlife Act,

These environmental policies and legislation are complemented by social policies key among which are:

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i. Agricultural Lands Act ii. Decentralization Act iii. Land Act, Chapter 184 iv. Lands Acquisition Act Chapter 189 of the Laws of Zambia v. Local Government Act Chapter 281 of the Laws of Zambia vi. National Agricultural Act vii. National Agricultural Policy viii. Public Roads Act (2002) ix. Town & Country Planning Act Chapter 283 of the laws of Zambia

A more detailed analysis of these national policies and laws is given in Chapter 5 and subsequent chapters.

1.2 Project Description Over the past three or four decades, Zambia has experienced increased incidence of climatic hazards. Drought, seasonal floods and flush floods, extreme temperatures (such as frost) and dry spells have been the most serious. With increased frequency, intensity and magnitude over the last two decades, these extreme climate events have severely impacted the livelihoods of rural communities. Among who are those most vulnerable to the effects of climate change are the rural communities in the Barotse and Kafue Sub-basin of the Zambezi Basin.

In addressing these climate change challenges, a coordinated and pragmatic approach has been developed. The strategy: a) “mainstreams climate change adaptation into national plans and strategies; b) assists communities in highly vulnerable areas to identify and address their own climate change adaptation options as part of local development plans; c) incorporates climate resilience into existing community development funds to ensure their sustainability; d) invests in highly visible infrastructure as a way to rally public support for adaptation; e) builds on partnerships, particularly with private sector and civil society; f) relies on the transformative power of communication technologies; and g) strengthens the institutional foundation for a future climate change programme in Zambia.” The Participatory Adaptation sub-projects that are planned under the Pilot Programme for Climate Resilience are part of the coordinated response to Climate Change in Zambia.

1.3 Aims and Objectives The aim of the proposed Investment projects is to strengthen Zambia’s institutional framework for climate resilience and to improve the adaptive capacity of vulnerable communities in the selected pilot areas of the Barotse and Kafue sub basins. The specific objectives are:

i. to mainstream climate change adaptation into national and local area plans and strategies; ii. to assist communities in highly vulnerable areas of the two sub-basins, to identify and address their own climate change adaptation options as part of their local area development plans;

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iii. to incorporate climate resilience into existing community development funds to ensure sustainability; iv. to invest in highly visible infrastructure as a way to rally public support for adaptation; v. to build on partnerships, particularly with the private sector and civil society to use the transformative power of communication technologies to enhance climate resilience in the two sub- basins; and finally vi. to strengthen the institutional foundation for a future climate change programme in Zambia.

At project completion, it is expected that the Investment projects shall lead to the following outcomes: i. That Zambia will have a fully operational National Climate Change and Development council or equivalent institution, effectively coordinating climate change, funding programs and projects, through its own efforts. ii. That the Zambian Government will have increased its budgetary allocation in support of iii. Climate resilient programs in vulnerable sectors (agriculture; natural resources, transport, health, water and energy, and disaster risk management) by 25 percent over the 2007- 2012 baseline. iv. That, at least two thirds of the households in targeted districts, wards and communities in the two Su-basins will have used the information, planning tools and resources provided by the projects to respond to climate change and variability. v. That the design and management of up to 5 important traditional canals in the Barotse sub basin will have been strengthened to near optimum flow (0.6m/s ) to allow for improved resilience during the flood and dry seasons. vi. That selected farm to market access rural roads and other basic Agriculture infrastructure in the Kafue Sub basin shall be Climate proofed by the application of design parameters and codes to strengthen their ability to withstand floods and droughts.

1.4 Description of Project Components and Sub-Components The Zambian version of the Pilot Programme for Climate Resilience (SPCR) is referred to as the Strategic Programme for Climate Resilience (SPCR). For clarity and consistency, this ESMF uses the term PPCR in avoid confusion as one of the components is called strategic programme support.

The Pilot Programme consists of three core components, in the Barotse and Kafue Su-Basins. These are: (1) Participatory Adaptation; (2) Climate Resilient Infrastructure and (3) Strategic National Programme Support

These core components are complemented by sub–components reflecting the variation in Project implementation priorities in the two-sub-basins as described below.

1.4.1 Investment Projects in the Barotse Sub- basin

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In the Barotse sub-basin, project implementation will be through the following components :( 1) Strategic National Programme Support (2) Support to Pilot Participatory Adaptation and (3) Pilot Participatory Adaptation.

1. Comp0nent (1) Strategic National Programme Support This component is national in scope, and builds on institutional strengthening started under PPCR Phase 1. It consists of two sub–components; the first provides institutional support to Zambia’s emerging National Climate Change and Low Carbon Resilience Programme, and the second focuses on strengthened climate information and awareness.

Sub Component (1.1) Institutional Support to National Climate Change programme Implementation will fall directly under the National Secretariat for Climate Change and would strengthen the umbrella institutional support enabling project activities. The following activities will be supported under this sub component: (i) Mainstreaming climate Resilience into key national sectoral policies, plans and programs and provision of specialised technical assistance and workshops to develop screening guidelines for key departments in line Ministries to screen key policies for climate resilience. (ii) Institutional strengthening through selection of national champions for post graduate training degrees and specialized short term training at international centres of excellence. (iii) Management of External resources and Climate risk Financing and funding to the National Climate change secretariat for project management costs such as Audit sand M&E.

Sub Component (1.2) Strengthened Climate Information This sub-component will support improved early warning and climate information at national and pilot sites through provision of technical assistance, equipment, training, workshops and operating costs for items such as: (i) Social marketing awareness campaigns aimed at the general public and key decision makers (ii) strengthened Early warning system in both the Barotse and Kafue sub-basins, involving two way communication between line agencies and local communities and (ii) Development of an open platform to facilitate sharing of hydro-metrological, geospatial, and climate vulnerability data and risk assessment amongst decision makers.

Component (2) Support to Pilot Participatory Adaptation The focus of this component is to support local Government and community groups in the Barotse Sub-Basin to incorporate climate risk management principles into local development planning coordinated by the Chief Provincial Planner with support from the Barotse Royal establishment. Activities under this component would include:

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(a) Facilitation and strengthening community decision making, using experienced NGO partners already working in the targeted districts to sensitise and train targeted community/farmers’ groups in developing climate resilient plans which identify local adaptation priorities.

(b) Assist targeted districts with training in financial management, procurement, safeguards and monitoring and evaluation, as well as provide the needed equipment vehicles and incremental operating cost for field operations.

Component (3) Pilot Participatory Adaptation This component will deal with funding actual participatory adaptation investments through sub- grants, and will be implemented through two sub components, the first focusing on priority investments identified through climate resilient planning done by communities themselves, and the second focusing on optimising the drainage functions of traditional canals in the Barotse flood plain.

Sub-component (3.1): Community adaptation sub –grants Targeting about 130,000 beneficiaries in 8 districts and 26 wards of the Barotse sub basin, this sub- component will fund adaptation options identified through mainstreamed Integrated Development Plans (district level grants), Local Area Plans( ward level grants) and participatory planning (community level grants). The sub grant process will be demand driven, and channelled directly to the beneficiaries once they met the requisite eligibility criteria.

Sub-component (3.2) Rehabilitation and strengthened management of traditional canals This sub-component focuses on strengthening the management of about 5 traditional canals to optimise their use in climate resilience. Given the cultural and economic importance of these canals to the Barotse Royal establishment, rehabilitation will be guided by the following principles: (a) Strict observance and collaboration with traditional management structures, (b) Respect and conformity with the floodplain’s status as a Ramsar site and proposed World heritage Site (c) Assessment of water resources and hydraulic design (d) Minimise environmental and social impacts (including on riparian’s downstream) (e) Maximise the use of local labour, particularly benefiting the most vulnerable households, and (f) Ensuring the maintenance of an optimal flow regime to control sedimentation, to reduce maintenance requirements, and sustain water transport routes for longer periods of the year.

The implementation structure of the Investment Project for the Barotse Sub-basin is described in detail in section 8.7.1 in chapter 8.

1.4.2 Investment projects in the Kafue Sub-basin

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In the Kafue sub basin, the focus of project implementation is on three thematic intervention areas. (1) on production systems which emphasize diversification and intensification in agriculture, and natural resources innovations at community level, (2) on climate proofing infrastructure, by applying design parameters and codes that strengthen rural roads to withstand floods and drought (3) Capacity building focused on institutional strengthening at the local level.

Component (1) Participatory Adaptation This component will provide a platform to strengthen adaptive capacity of poor rural communities and natural resources based production systems that are vulnerable to the impacts of climate change in the Kafue Sub –Basin. It would support community based adaptation initiatives selected by communities through a demand driven process with the help of NGO’S working with local government. It will operate under two (2) sub components.

Sub-Component (1.1).Integrated Community-Based Adaptation Under this sub-component, Community level infrastructure projects will be identified and upgraded to withstand severe floods or droughts, while opening up opportunities that will stimulate entrepreneurship and bolster income generation activities for the communities. Focus will be on micro projects for flood control and diversion structures, water reservoirs and improved wells. The sub component will also support farm level support systems such as conservation agriculture training, fertility management, seeds for drought and flood resistant crop varieties etc. and matching grants for climate change adaptation Investments

Sub-Component (1.2) Support to participatory Adaptation This sub-component will support local government and community groups in each district to incorporate climate risk management principles into local area planning. Support will also be given to local non- governmental organisations to mobilise, train and facilitate communities in risk and vulnerability assessment.

Component (2): Climate Proofing Road Infrastructure The focus of this component is on climate proofing farm –to-market access roads in an effort to strengthen the climate resilience of vulnerable roads and minimise the exposure of the road investment to climate risk. “The component will support strategic access roads in the Kafue river Basin which will include: (i) Kalomo Dundumwezi (ii) Itezhi-Tezhi to Dundumwezi through Ngoma and Nanzhila and (iii) Namwala to Itezhi-tezhi. These roads serve as farm to market access roads as well as a link to Kafue National Park.

The foregoing components and sub-components of the PPCR will be complemented by an IFC supported investment project, on Private Sector Support to Climate Resilience, and a parallel project that will be funded by the Nordic Development Fund to support climate resilient infrastructure.

These climate resilient interventions are expected to lead to sustainable diversification of livelihoods, reduction of poverty in the sub-basins and promote the protection of the environment in the context of climate variability. The scale of most projects envisioned under this programme will be small-scale in nature designed to be driven by communities at local level.

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However, even with such small projects and with such good intentions, the unintended environmental and social impacts of such projects and programmes no matter how small may invariably occur. It is against these unintended environmental and social impacts that this Environmental and Social Management Framework (ESMF) has been developed.

The implementation structure of the Investment Project for the Kafue Sub-basin is described in detail in section 8.7.1 in chapter 8.

1.5 Institutional arrangements The implementation structure and institutional responsibilities are clearly articulated in the PPCR document. Over the next eight years (2013-2020), the PPCR will be administered through the Ministry of Finance (MoF). A number of government ministries, departments and agencies will be involved in the implementation of projects and sub-projects under the PPCR either directly or indirectly. Those involved include: i. The Ministry of Agriculture and Livestock (MAL); ii. The Ministry of Lands, Natural Resources and Environmental Protection (MLNREP); iii. The Ministry of Mines, Energy and Water Development (MMEWD) iv. The Ministry of Local Government and Housing (MLGH); v. The Ministry of Transport, Works, Supply and Communication (MTWSC); vi. The Ministry of Community Development, Mother and Child Health (MCDMCH); vii. The Ministry of Sport and Youth (MSY) viii. The Ministry of Commerce, Trade and Industry (MCTI)

Agencies and departments that are already working with climate change include:

i. The Disaster Management and Mitigation Unit (DMMU) under the Office of the Vice President (OVP); ii. Zambia Meteorological Department (ZMD) iii. The Zambia Environmental Management Agency (ZEMA); and iv. The Zambia Wildlife Authority (ZAWA) v. The National Road Fund Agency(NFRA) and the Road Development Agency (RDA)

Most of these ministries and agencies are either already involved in climate adaptation or mitigation programmes and projects or have a mandate to undertake climate change interventions.

Given the complexity, and far reaching implications of Climate Change, the PPCR is a multi-sectoral programme that requires participation of nearly all government ministries. The legislation and policies of individual government ministries provide the legal and social mandate on which respective ministries (and departments falling under them) will participate in the PPCR and contribute towards the achievement of its goals.

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It should, however, be noted that these pieces of legislation and policies are formulated by each ministry, usually without due consideration to mandates and functions of other sector ministries. The establishment of The Inter-Sectoral Technical Committee (ISTC) under the PPCR is an acknowledgement of this fragmentation of policy and legislation. The ISTC is intended to facilitate coordination and foster collaboration between and among ministries in order to harmonize the implementation of the PPCR.

This is, and will be the challenge for the PPCR Secretariat (and subsequently, the NCCDC) and the ISP as harmonization and coordination among ministries has met with limited success in previous government-led multi-sector development projects. For instance, information from the field mission affirms that coordination among ministries and government departments tends to start and end in the planning meetings in the DDCC. There is little collaboration during actual implementation of projects and activities.

Both the DDCC and the District Councils will require strengthening of planning and implementation capacities in order to ensure the successful implementation of the PPCR’s community-driven projects and sub-projects.

As lead, The Ministry of Finance will have an oversight function and carry the responsibility of “coordination and execution”1 of all PPCR interventions. Beyond this the MoF will also carry and exercise fiduciary authority for the programme. The implementation of PPCR will be at several levels: national, provincial, district, sub-district and local area. The various districts councils and area development committees, the District Disaster Management Committees and Satellite Disaster Management Committees and the communities (including community based organisations) will be at the frontline of the efforts to build climate resilience and mitigating the effects of climate change. The next table summarises the institutional arrangements, their functions and current status.

Table 1: Institutional Arrangements and functions Institution Function Status

The Committee of Ministers (chaired by the Minister Will provide policy oversight Not yet operational of Finance) for the programme

Committee of Permanent Secretaries (chaired by the Will supervise the work of the Not yet operational Secretary to the Treasury) Secretariat/NCCDC

Climate Change Development Council or (The Responsibilities include Yet to be appointed Board)to be appointed by the committee of working with the Secretariat Permanent Secretaries) and approval plans on the recommendation from the inter-sectoral stakeholder platforms

The PPCR Secretariat/The National Climate Change Will serve as programme Operational but awaiting

1 PPCR Main document

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Institution Function Status and Development Council (NCCDC) management unit and formal ratification operate in ‘relative autonomy’ under the MoF

Inter-sectoral stakeholder platforms on climate Provide technical oversight Operational resilience which will be structured as technical and support to the working groups on Climate Resilient Agriculture, Secretariat Climate Resilient Infrastructure, Climate Information and Climate Financing

Climate change/DMMU provincial and district sub- Will serve as the main Operational committees and Local Area Committees (LACs) implementers of PPCR projects and activities at district, sub-district and local level under the participatory adaptation component.

Community-driven PPCR projects under the Participatory Adaptation component will be funded directly by the MoF through local authorities and structures with the participation of the PDCCs, DDCCs and DMMU committees. The District Councils, however, are unlikely to have the capacity to manage funding for large projects such as roads for instance. Funding for large infrastructural and investment projects will be handled by the Ministry of Finance.

The Secretariat (NCCDC) will implement and manage capacity building and institutional development interventions as part of component 3 on Strategic Support to the PPCR. This will be done with inputs from relevant government ministries, agencies, other actors from civil society (NGOs) and service provider’s as outlined in table 1.

The institutional framework of the PPCR has been designed to prioritize the implementation of PPCR projects and activities which are driven by the communities and local stakeholders within the provincial, district and sub-district system. This local focus is critical for ensuring sustainable adaptation to climate change and robust climate resilience that will benefit the poor communities in the two pilot sub-basins. In the interim the PPCR Secretariat is expected to continue to perform the functions which are described in the table below.

Table 2: Functions and descriptions Function Description 1. Facilitate activities leading  Stock taking and identification of gaps to the establishment of long term  Consultation with decision makers institutional arrangement for  Preparation and processing of necessary documents for climate change coordination in high level government approval Zambia  Facilitating smooth transition to new institution (NCCDC) 2. In the interim, Coordinate  Act as coordinating body for all climate change initiatives in and oversee the implementation Zambia of climate change activities and  Serving as executing unit for key projects

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Function Description initiatives across sectors and  Mainstreaming communication and knowledge projects management  Resource Mobilisation and Management 3. Carry over activities that  Formulation of the National Climate Change Policy may remain outstanding under the  Formulation of the legal framework on climate change and climate change initiatives DRR  Facilitate and coordinate inputs into international agreements and negotiations  Facilitate the development of a harmonised climate change programme  Facilitate effective implementation of the NCCRS  Facilitate the formulation of the National Communication Strategy  Facilitate revision of the NAPA and development of NAPs for medium and long term adaptation needs

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CHAPTER 2: ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK METHODOLOGY

2.1 Environmental Methodology

2.1.1 Review of Literature Secondary sources of information were obtained through a rigorous review of available documents. Existing literature were also the primary source for defining institutional, policy and legal frameworks. From the literature, all possible envisaged environmental impacts were listed and evaluated based on policy and legal requirements using matrices and maps. The data on geology and soils, climate, water resources, biodiversity, human and ecosystems were obtained from existing literature, especially maps which cover all the targeted districts.

2.1.2 Analysis of Baseline Environmental Data The ESMF recognizes the existence of available environmental baseline information. These data sets were collected with the purpose of describing and evaluating the current environmental status of targeted project districts in both the Barotse and Kafue sub-basins. The baseline information included environmental information relevant to all project components. The description of the baseline environment was therefore based on the following data basis:

 Physical environment- the information collected included geology, topography, soils, climate and ecosystem and hydrology.

 Biological environment- data on flora, fauna, endemic and endangered species, critical/sensitive habitats, including protected areas and reserves was collected.

The project components take climate change issues at the core of planning. During the baseline data analysis, climate change information was analysed to capture issues related to climate resilience. The analysis endeavoured to determine climate related trends and provide some guidelines for dealing with these potential adverse impacts.

2.1.3 Site Visits and Field Assessments Site visits and field assessments were intended to gather relevant bio-physical data and information on the ground as well as to fill gaps identified during literature review. These sites were suggested by the affected communities and government agencies. The visits were conducted in nine sample districts in which the PPCR will be implemented. See Annex 16 for field mission reports.

The sites visited in the districts were in Sesheke, Mongu, Senanga and Shangombo in Western province. In southern province, sites visited were in Itezhi-tezhi and Namwala, while Mufulira and Lufwanyama accounted for the Copperbelt and Solwezi in North-western.

The selected sites in the districts conformed with scoring and ranking assessment criteria used for the vulnerable assessments based on earlier climate events presented by Zambia Vulnerability Assessment Committee (ZVAC) assessments in ZVAC 2006, 2007, and 2010 (floods, droughts, food

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need areas) and Agro-Ecological Region representation. Other factors considered in the site visits were PPCR climate resilient infrastructure project locations (identified roads and canals), target groups defined in the PPCR (women and youth) and population densities based on the available Census 2010 data and environmental pressure from industrial and mining activities.

2.1.4 Structured Interviews and Focused Group Discussions Structured interviews formed part of the data gathering process. District officials comprising of the DACO, Disaster management committees and Meteorological officials were engaged to discuss appropriate sites based on their experiences and historical information on environmentally and climate impacted sites prior to site visits.

Focus Group Discussion techniques based on semi-structured checklists was employed in getting environmental parameters based on their livelihoods. These were interactive discussion interviews that enabled concerned participants and stakeholders, to provide hands on experience on environmental concerns related to proposed projects. Group focus discussions were in manageable sizes of 15-20 to contribute equally to the issues relevant.

2.1.5 Summary of findings from field Mission A total of 9 districts (Solwezi, Lufwanyama, Mufulira, Mongu, Senanga, Shang’ombo, Sesheke, Namwala and ItezhiTezhi) were sampled. These are among the 24 districts (16 are in Kafue and 8 in Barotse that have been identified as part of the pilot areas in the two sub-basins. As not all districts could be visited, 9 districts were selected based on the following criteria:

. provincial and Agro-Ecological Region representation . vulnerability of population to effects of climate change (based on earlier experiences) and the ZVAC reports . PPCR components, . planned investment projects,

Based on this criterion, the districts shown in table 3 below were selected to be assessed.

Table 3: Sample Districts District Basin AE region Population* Itezhi-tezhi Kafue 2a 64,593 Sesheke Barotse 1 94,612 Mongu Barotse 2b 178,454 Namwala Kafue 2a 101,589 Senanga Barotse 2b/1 126,974 Shangombo Barotse 1 85,288 Lufwanyama Kafue 3 75,542 Mufulira Kafue 3 161,601 Solwezi Kafue 3 23,9051 Total 1,127,704 *Source: 2010 Census of Population

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Assessment visits focused on community consultations. This is partly because poverty reduction and the targeting of vulnerable groups are a key focus area for the PPCR. The site visits were built around stakeholder participation. One of the aims of the visits was to collect raw data from the communities and other stakeholders and carryout assessment of potential sub-project prototypes, their impacts and possible minimization and, or mitigation measures for such impacts.

The purpose of the site visits was to assess the situation regarding climate change, how it is understood and what climate resilience projects exist already and new ones that may be introduced during Phase II of the PPCR. Equally important, the site visits were intended to get a sense of the preparedness and adequacy of systems at the provincial, district planning and local area levels. The discussion also included reflections on capacities that would be required if the climate resilient projects and activities are to be sustainably implemented and appropriately managed.

The interactions included meetings with representatives of the planning and implementing authorities at the provincial and district levels as well as with representatives of the district disaster management committees and satellite disaster management communities. Others included provincial staff of the Zambia Meteorological Department (ZMD). The cross-sectoral nature of the composition of these committees provides a basis for coordinating efforts and complementary contributions to the establishment of climate resilient initiatives.

It is clear from many of these interactions that the level of awareness of climate change issues at the Provincial and District planning levels are quite high. Members of both Provincial and District and Disaster Management and Mitigation are able to articulate the issues of climate change. This may, in part, be because of exposure and their participation in stakeholder sensitization events undertaken by teams from the PPCR Secretariat.

While the communities in the districts which were visited had already experienced the effects of climate change, it was difficult to find many activities that were initiated as part of community driven adaptation measures. For instance, a number of farmers in the Lukanda community complained of loss of field crops and fruit trees due to frost, however, there was no adaptation strategies on to how shield the crops from exposure to frost in the future.

Equally, some members of this same community were unable to appreciate the potential of adaptation strategies such as introduction of aquaculture or diversification of crops and livelihoods. Sensitization on climate change and training related to adaptation measures should be undertaken as a matter of urgency. This will facilitate a more conscious and systematic approach to building climate resilience that is led and supported by those who are affected by climate change. This is imperative because the effects of climate change are likely to spread to areas where they are not currently being felt, while they are already deepening in those areas which are already prone to extreme climate events.

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The impacts of climate change are clear to see in many of the sites that were visited. Table 4 below captures some of the environmental issues (problems and impacts) identified.

Table 4: Summary of Environmental Problems and Impacts Environmental problems Environmental problems that have become more severe

- Deforestation - Soil erosion - Floods - Deforestation - Crop diseases - Poor Quality of drinking water - Livestock diseases - Livestock and crop diseases - resistance of pests to pesticides - Overgrazing - soil infertility - Poor Quality of drinking water - Soil erosion - Soil degradation - Low levels of ground water

2.1.6 Analysis of Environmental Policies and Regulations Projects funded by the World Bank, should fully comply with environmental safeguard policies. Relevant policies for the PPCR include OP/BP 4.01 for environmental assessment (EA), OP/BP 4.04 for natural habitat, OP/BP 4.12 for Involuntary Resettlement and OP/BP 4.09 for pest management. The relevance of safeguard policies in the PPCR planning and implementation of the components and subprojects in the selected districts was assessed.

The African Development Bank Environment Policy confirms the bank’s commitment to promoting sustainable development in Africa. This project considered strongly AfDB’s policies to ensure compliance and mainstreaming environmental considerations in the PPCR subprojects.

The World Bank and African Development Bank Safeguard policies also demand compliance to all national and international environmental requirements. Nationally, some environmental policies and regulations need to be satisfied in order to implement the subprojects of the PPCR. All these were assessed for full compliance. Some of the national policies and regulations on environment considered were National Environmental Policy (NEP) and Zambia Environmental Management Agency regulations (EPB, EIAs, and EMPs). Other important documents reviewed on environment included Climate Change Response Strategy, National Adaptation Plan of Action and Disaster Management Act.

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CHAPTER 3: BASELINE INFORMATION

3.1 Baseline information Baseline information includes description of the current situation in terms of (a) the socio- economic environment, (b) biological environment and (c).Physical environment

3.2 Climate Change in Zambia: Challenges for the Kafue and Barotse Sub-Basins Climate change is a reality in Zambia, whether one derives his/her livelihood in a rural or urban area. The intensity and frequency of extreme weather events such as high temperatures, frost, floods, droughts and heavy rainfall has become a common feature. To mitigate against impacts of climate change events requires coordinated efforts from stakeholders concerned with climate change issues. This is particularly more urgent given the size2of the country, which is broadly divided into three (3) Agro–Ecological Regions, each with similar climatic conditions. All the three (3) Agro-Ecological Regions are represented in the Kafue and Barotse sub- basins.

3.2.1 Social Economic environment The two basins support 61% of Zambia’s rural poor whose livelihoods and economic well-being are highly dependent on rain fed agriculture, and their natural resources systems and rural infrastructure are highly vulnerable to climate change. The population consists mainly of smallholder farmers (entrepreneurship has been slow to develop), who practice subsistence farming. Cultivating on average an area of 2 ha, these smallholder farmers follow traditional agricultural practices characterised by low input- low output production technologies, with a heavy dependence on family labour.

In the Kafue Sub–Basin maize, groundnuts, cotton cassava tobacco and millet constitute the main cash and subsistence crops, while livestock (cattle and goats) feature prominently in Mazabuka, Namwala, Itezhi-Tezhi and Mumbwa. In the Barotse Sub-basin, cattle and goats are prominent, so are cassava, millet and rice in some districts. In both Sub- Basins, not only cattle are a measure of wealth, but are also a status symbol. The crops grown are supplemented by fishing in both the two basins.

Heavy dependence on rain-fed agriculture (including livestock production) and fishing means the communities in these two basins are most exposed to climate change and its impacts, at the same time have the least capacity to adequately adapt and protect themselves from the adverse effects of weather.

3.2.2 The Kafue Sub-basin- Physical environment The Kafue Sub-basin is a major sub-catchment of the Barotse Sub-basin. It drains most of its waters into the Zambezi River. The Basin constitutes around 20% of the total land area of Zambia (Figure 1). It has a large concentration of mining, industrial and agricultural activities. The Kafue River originating from the north-western part of the basin flows south to the Itezhi-tezhi storage

2Zambia’s has a total land mass of 752,618km2 of which 9,220km2is covered by water – perennial streams, rivers and lakes2- while 743,398 km2is land.

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dam. At Itezhi-tezhi the river flows east and passes through the Kafue Flats, after which it joins the Barotse Sub-basin, to empty its waters into the Zambezi River.

Five (5) districts in the PPCR pilot programme were selected for field visits which fall in the Kafue Sub-basin namely: Itezhi-tezhi, Namwala, Lufwanyama, Mufulira and Solwezi. The districts fall under agro-ecological regions IIa (Itezhi-tezhi and Namwala) and III (Lufwanyama, Mufulira and Solwezi).

Figure 1: PPCR Pilot Districts, NIRAS Zambia (2012)

3.2.2.1 Topography, Geology and Soils i. Topography The Kafue Sub-basin has an undulating landscape with the terrain sloping gently towards the plains creating landforms characteristics of open Miombo woodlands which are inundated with vast contours of grasslands. Lying at an altitude of about 1,000 – 1,200m asl, the Kafue Basin is part of the central African plateau.

ii. Geology The geology of the Kafue Sub-basin represents one of the ancient landmasses of the African Continent and the underlying rock materials of much of this area are mainly the complexes of Katanga sediments of the upper (late) Precambrian age (700 million years ago).

iii. Soils The soil types in the Basin have been due to the function of interacting factors: parent material, geomorphology, and rate of weathering. The soils are deep dark clays, called montimorillonite, and are capable of holding large quantities of water. They are rich in carbon, thereby giving the characteristic dark colour. These soils are poorly drained and hydrate when wet, but dehydrate when dry.

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Principally, the soil character of Kafue Sub-basin covering the South of Kafue River bank are heavy alluvial clays near Namwala and Itezhi-tezhi areas, light brown to grey silt or sandy loam in semi- arid regions (see Figure below). The region of Lufwanyama and Mufulira is typical mineralized

Figure 2: Soils, NIRAS Zambia (2012) 3.2.2.2 Climate i. Seasonal variations The Kafue Sub Basin has a tropical and sub-tropical climate with two main seasons: the rainy season (November to April) corresponding to summer, and the dry season (May to October/November), corresponding to winter. The dry season is subdivided into the cool and dry season (May to August), and the warm and dry season (September to October).

ii. Rainfall patterns Rainfall over the Kafue catchment is derived mainly from a low-pressure system caused by the convergence of the Trade Winds known as the Inter Tropical Convergence Zone (ITCZ). Annual rainfall varies from 1,300mm in the north to 800mm in the south. Natural variations in rainfall are more significant in the southern and western areas where the frequency and duration of dry spells is greater. This is caused by the inter-annual changes in the southern extent of the ITCZ.

iii. Temperature Like most parts in Zambia, the temperatures prevailing in the Kafue Sub-basin are generally warm, but cooler than in the rift valley areas. The variation is due to differences in altitude; the Flats such as Kafue flats, Namwala and Itezhi-tezhi are on higher elevation than the low-lying valley areas. Generally, mean monthly temperature range from 14oC in June/July to 27.5o C in October; the

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mean maximum and minimum temperature range from 16 ºC to 34 ºC in October; and, 7 ºC to 24 ºC in July respectively.

3.2.2.3 Climate Change Zambia as a whole has not been spared from impacts of climate change on human and ecosystems and has experienced a number of climatic hazards over several decades. According to IPCC ( 2007), climate change will result in high frequency and intensity of extreme weather events (e.g. droughts, floods and storms), declining water resources, increased transmission of vector borne diseases (e.g. malaria), and loss of biodiversity.

i. Flood prone areas of the Kafue Sub-basin The Kafue catchment has two major natural flood control features, which contribute to the low yield of catchment outflows compared to the catchment average rainfall. The main natural features of the Basin are extensive dambos - the Lukanga Swamps and the Kafue Flats, which have been known to be prone to flooding. At the height of rains, flow may be reversed in the lower Lukanga as water from the Kafue River spills into the Lukanga Swamp. At peak flows the Kafue River experiences Riverine flooding which is quite extensive in some areas affecting surrounding human habited environments. This riverine flooding has been known to disrupt ferry operations and other social and economic activities along the river banks because it makes routes to the river impassable. The cause of Riverine flooding is the slow discharge of large volume of water due to among other compounding challenges, siltation. This is seen in the flood prone areas of Lushiwashi swamp, Busanga swamp, Lukanga flats, Lake Itezhi-tezhi and Kafue flats.

ii. Floods and droughts in Kafue Sub-basin The Kafue Flats is a good example of an area which is subjected to flooding and drought. The year 1994 saw severe floods in the Flats when fishing camps and some settlements along the river were inundated resulting in the displacement of people. Mud brick houses especially those in the plains collapsed; two bridges in the Kafue Flats were washed away cutting off Monze and Namwala towns from the rest of the country. All the pontoons on the river were rendered non- operational due to torrential currents. The earlier floods of 1977/78 and 1988/89 were equally devastating.

The most recent floods in the Kafue Sub-basin are the flash floods which occurred in various places in the 2005/2006 rainy season. The flash floods that affected the Kafue Gorge Power Station in December 2005 rank highly in terms of extent of damage, which disrupted power generation for a period of two weeks. Wide spread flooding was also reported in months of February and March 2006 which affected housing units and agricultural fields in Mazabuka, Monze and Choma.

3.2.2.4 Hydrology The Kafue river first flows in a south-easterly direction through the Copperbelt, traversing the Mpatamatu and Itezhitezhi Gorges, crossing the Kafue Flats in a broadly meandering course from west to east. Near Kafue town, the river leaves the basin and flows through the Kafue Gorge. Here its annual discharge has on occasion exceeded 28.3 billion m3, representing a sustained outflow rate of 898 m3/sec over the year.

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In its middle course, between the Mpatamatu Gorge and the Kafue Flats, the Kafue River picks up its main tributaries, the Kafalufuta, Lufwanyama, Lushwishi, Lunga, Lukanga and Lufupa Rivers. Most of these rivers have narrow floodplains or strip swamps along parts of their upper courses, and both the Lufupa and Lukanga flow through areas of permanent swampland. The Lufupa flows into the basin of the Busanga Swamp, from which it sometimes fails to emerge in dry seasons. Prior to its confluence with the Kafue, the Lukanga River flows through a shallow depression containing the Lukanga Swamp. This is the largest permanent swamp in the basin having an area in excess of 210, 000 ha.

East of Itezhitezhi, seasonal flood waters spread over the broad floodplain of the Kafue Flats. Here the greatly re-enforced river crosses the floor of the basin. The entire basin is riddled with dambos, with the total water retention capacity which is enormous, so that their influence on the surface hydrology of the basin is profound.

3.2.3 The Barotse Sub-basin- Physical Environment The Barotse sub-basin, with an area of 118,931 km2, is an integral part of the Zambezi River Basin. The Sub-basin hosts Zambia’s second largest wetland3, the Barotse Floodplain also known as the Bulozi Plain or Lyondo, covering an area of 9000 km2 while the Kafue Flats is second with an area of 6500 km2 (Hirji et al, 2002). The Barotse Floodplain is flat and influenced by several river systems. Timberlake (2000) defined the area as extending from Lukulu to downstream of Senanga, and including the Liuwa Plains National Park, Luena Flats, the Barotse Floodplain, and the LungueBungo River wetlands. Turpie and others (1999) provide estimates of the area (see table below). The Barotse Floodplain was listed as a Ramsar site in 2007 and has been proposed as a World Heritage Site. The floodplain measures approximately 240 km long and 34 km wide, extending from Lukulu in the north to Nangweshi in the south.

Table 5: Estimated area of the Barotse Floodplain extended wetlands (ha) Wetland Area (ha) Barotse Floodplain 550,000 LungueBungo wetlands 70,000 Luena Flats 110,000 Luanginga River 100,000 Liuwa Plains National Park 366,000 Total 1,196,000 (Source:Turpie and others 1999).

The Zambezi River, the fourth largest River in Africa after the Congo, Nile and Niger drains the Barotse Sub- basin (Rapid Assessment Report - (Euroconsult Mott MacDonald 2007)). Among the numerous tributaries of the Zambezi River include the Kafue and Luangwa Rivers. The Zambezi

3The main flood plain is 5,500 km2 but it extends to 10,750 km2 if the floodplains of tributaries (such as the Luena Flats) are considered. The landscape is generally flat, from 914 to 1,218 m. Sources: UNESCO, http://whc.unesco.org/en/tentativelists/5428/ and Wikipedia, http://en.wikipedia.org/wiki/Barotse_Floodplain

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River rises from the Kalene Hills in Zambia, and flows south until it spills into the Indian Ocean some 2,650km to the east in Mozambique.

The Upper Barotse Sub-basin runs from the source, 25km south east of Kalene Hill in Mwinilunga District in North-West Zambia, through Cazombo in Angola down to Barotseland and Victoria Falls, where it plunges into the Batoka Gorge. The Liuwa and West Lunga National Parks are traversed by the mostly pristine Luanginga, Kabompo and Lunga Rivers. Various rapids occur between Nangweshi and KatimaMulilo. The Ngonye Waterfalls (21m) lie 300 km upstream from Victoria Falls.

When flooded, the Barotse Floodplain covers an area of 7,500 km². The floodplains of the Upper Barotse Sub-basin are comparable in size to the Okavango Delta, Kafue Flats and the Bangweleu Swamps.

In this report, the focus districts accounted for in the Barotse Sub-basin and their respective agro- ecological regions (AER) are Sesheke (AER I), Mongu (AER 2b), Senanga (AER 2b/1) and Shangombo (AER 1).

3.2.3.1 Sub-Basin Characteristics There are significant variations across the whole of the Barotse Sub-basin in terms of rainfall, temperature, physical characteristics, land use and economic development. However, the mean annual precipitation from Barotse Sub-basin Delta up to Kabompo River is 1,060mm. The average lowest temperature recorded in July is 16oC and 23oC in November. The table below shows the characteristics of various sub-Basins within the main Barotse Sub-basin.

Table 6: Sub-basin Characteristics Sub-basin Sub- Area Mean Annual Average Average basin (km2) Rainfall Temperature Temperature No. (mm) in July (ºc) in November (ºc) Upper Barotse Sub-basin 12 90,359 1,225 17 22 Barotse Sub-basin Delta 1 23,653 1,060 19 24 Lungue Bungo 11 46,482 1,120 16 22 Luanginga 10 33,931 972 16 22 Barotse 9 118,994 840 16 23 Kafue 7 157,629 1,004 15 23 Luangwa 5 148,286 987 16 23

Total/Average 1,378,713 16 23 (Source: ZAMWIS, 2007)

3.2.3.2 Topography, Geology and Soils. Location

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The Barotse Sub-basin is situated within the Zambezi River Basin and is geographically located between 9-20 South and 18-36 East in Southern Africa.

i. Topography The topography of the Barotse Sub-basin is largely flat compared to that of the global Zambezi River Basin. Most of the Zambezi River Basin is high plateau land of the Gondwana Continent, with elevations of the high plateau varying between 800 and 1,450m amsl with the most extensive areas being between 1,000 and 1,300m amsl. Only a very small portion of the basin is below 100m or above 1,500m. The fact that there are these elevation differences, and that most of the basin is above 1,000m, contributes to the high hydropower potential of the Basin. Over 30 large dams in the Zambezi River Basin serve domestic, industrial and mining water supply, irrigation and power generation.

ii. Geology of the Sub-basin The Barotse Sub-basin’s physical features are dominated by the geology of the Central and Southern Africa which is characterized by tectonic movement and rift valley faulting, one of the oldest landscapes on earth. Within what is now the Barotse Sub-basin, quite a large part was in existence already in the proterozoicera, some 550 million years ago. Prior to and since that time, the region also experienced excessive faulting, folding and metamorphosis with associated weathering and erosion that have led to land surfaces being eroded down to peneplains4, while leaving only the most resistant parts of the old Gondwanaland in the plateaus and high grounds.

These geological processes have led to a mosaic terrain of the Barotse Sub-basin, encompassing deep and shallow valleys, steep and flat river profiles and extensive plateaus, sometimes with their sharp edges protruding, because of the enormous forces exerted including the formation of long bands of metamorphosed rocks. This also explains why the Barotse Sub-basin and its river tributaries have relatively long reach stretches.

iii. Soils The soil configuration of Barotse Sub-basin varies from the high plateau to low laying valleys and dambos. In the western part of the basin, Sesheke and Mongu are characterized by Kalahari sands, and thick sandy-loam towards the north (Shangombo area).

The soil is mostly nutrient-poor Kalahari Aeolian sands, waterlogged during the flood period and dry most of the year. However, at the same time, the Barotse floodplain supports a rich and diverse ecological and human landscape, characterized by a network of canals, mounds, traditional houses, cultural shrines, swamp and evergreen forests, and a variety of natural landmarks.

3.2.3.3 Hydrology i. Rainfall characteristics of the Basin

4A low-relief plain representing the final stage of fluvial erosion during times of extended tectonic stability.

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Rainfall varies throughout the Barotse Basin. It is generally higher in the northern parts and reaches up to 1,400 mm per year in the upper reaches. It is lowest in the southern parts—such as the area bordering with Zimbabwe—with a maximum of 500 mm per year.

ii. Runoff characteristics Hydrological time series are needed to identify investment opportunities relevant to the major water-using sectors of the Basin. The study period (October 1962 to September 2002), provided the series information on the variability of flow both throughout a given year and over the longer term. Monthly hydrological time series that cover at least a full drought period are the minimum requirement for the analysis and thus for the viability of any proposed project.

Mean average runoff data have been published in several reports and for the purposes of this baseline study; the data used are those from the Rapid Assessment Report (Euro consult Mott MacDonald 2007).

3.2.3.4 Climate i. Rainfall Average annual rainfall across the Basin varies from about 500mm in a small part of the extreme south and south-west to more than 1,400mm in the Upper Barotse Sub-basin and Kabompo sub- Basins. In general, rainfall is greatest in the north, with an extensive area receiving over 1,000mm, and declines towards the south, where most areas receive less than 700mm thereby defining the agro-ecological zones.

ii. Temperature Temperature across the Basin varies according to elevation, and to a much lesser extent latitude. Mean monthly temperatures for the coldest month, July, vary from just below 14°C for higher elevation areas in the south of the Basin to some 23 °C for the low elevation areas. Mean monthly temperatures for the warmest month (November, normally the pre-rains month) vary from around 19 °C in the highest elevation areas, to 31 °C for the lower parts of the Barotse Sub-basin valley.

iii. Potential Evapotranspiration Potential Evapotranspiration (ETo) varies greatly across the area, being determined by temperature, relative humidly, wind speed and sunshine. Annual ETo (based on FAO CROPWAT data) values vary from 1,000mm to almost 2,000mm, with an average of 1,600mm which sometimes is double the average annual rainfall. Irrigation is thus essential in most areas, both to grow perennial crops (e.g. sugarcane, bananas, citrus), and, in the drier areas, to guarantee crop yields for seasonal crops (e.g. maize, rice, cotton).

3.2.3.5 Climate change Periodic, sometimes extensive droughts have long been a feature in the Barotse Sub-basin. There is now compelling evidence that an irreversible shift towards a new climatic state, driven by global warming, is underway (Lovelock, J. 2006).

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Climate modelling exercises point to a complex range of possible outcomes as a result of climate change. However beyond this complexity, there are two recurrent themes. The first is that dry areas will get drier and wet areas wetter, with important consequences for the distribution of agricultural production. The second is that there will be an increase in the unpredictability of water flows, linked to more frequent and extreme weather events. Drought-prone countries in southern Africa face some of the gravest challenges in the world (John Ashton , undated).

The evidence on climate change effects for the Barotse is necessarily tentative, but it includes: . Recent data show that temperature in the Barotse sub-basin (like in the rest of the Zambezi basin) increased by 1-2o C between 1970 and 2004 (IPCC WGII5, 2006). So far, there is no evidence of long-term change in seasonal rainfall (December-April) or increased variability (Fauchereau et al, 2003). . The Zambezi river has a low runoff efficiency (i.e. volume of runoff per unit of area) and the basin has a high dryness index (i.e. dryness of the vegetation based on remote sensing), indicating a high sensitivity to climate change. This sensitivity may have increased due to human-induced desertification over the past fifty years. Reduced runoff in recent years is now evident.

The predicted impacts of climate change in the region concerns the evaporation from reservoirs, agricultural productivity and fish production.

3.2.3.6 Agriculture and livestock Impacts of climate change have been significant in most economic sectors. Region is extremely vulnerable followed by Region II in terms of arable cropping. Analysis of crop production, suggest that key varieties, particularly maize, would be compromised due to shortening of the growing season in agro-ecological Regions I and II, undermining food security in these two regions.

In addition and according to the Assessment of Impacts and Adaptation to Climate Change study of 2002 on livestock, as temperatures rose, the cattle population reduced, and as they fell, the population increased. This scenario was related to the amount of rainfall; extreme temperatures are associated with droughts and vice versa. Communities of Western and Southern Provinces depend mostly on cattle as a source of livelihood and nutrition and also for draught power. This implies that the households that depend on cattle for livelihood are most vulnerable once the area experiences climatic hazards.

3.2.3.7 Forestry and wildlife Using the Habitat Suitability Index (HSI) methodology, the assessment conducted by the United States Country Study Programme (USCSP) observed that a decrease in rainfall would be very harsh on wildlife and would affect its diversity and abundance. As regards wildlife, under drought conditions, reduced soil moisture would give rise to poor quality fodder, stress and uncontrolled

5 The IPCC Working Group II (WG II) assesses the vulnerability of socio-economic and natural systems to climate change, negative and positive consequences of climate change, and options for adapting to it. It also takes into consideration the inter-relationship between vulnerability, adaptation and sustainable development. The assessed information is considered by sectors (water resources; ecosystems; food & forests; coastal systems; industry; human health) and regions (Africa; Asia; Australia & New Zealand; Europe; Latin America; North America; Polar Regions; Small Islands).

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animal migration. Under excessive rainfall, wetland animals like the Lechwe and Puku would be adversely affected.

3.2.3.8 Fisheries Fishery sector is a very important economic component of the Barotse Sub-basin. The 2002 USCSP study on fisheries on the impact of climatic variations on fresh water fishery and fish farming revealed that lower rainfall would reduce nutrient levels in rivers and lakes impacting negatively on fish breeding activity as well as depletion of fish species in the long-term. In the drought-prone agro-ecological region I and II, the most vulnerable fish species are the breams and sardines.

3.2.3.9 Human health The Vulnerability Assessment6 showed that the entire Zambia is vulnerable to a multitude of other climate-sensitive diseases such as dysentery, cholera, respiratory infections and malnutrition. These diseases are more pronounced in areas that are most vulnerable to climate change/variability in agro-ecological regions I and II.

3.2.3.10 Land Cover and Land use The terms 'land cover' and 'land use' are often used synonymously. Land cover refers to the actual coverage of the surface of the earth with natural or man-made environment - forests, grass, crops, water bodies (lakes, rivers), marshes, rock, sand dunes, roads, urban settlement. 'Land use' on the other hand refers to the usage of the land cover. Commercial forestry, pastures, irrigated farming, rain-fed cropping, recreational areas, game reserves, mining; urban areas, industrial estates etc. are examples of land use types.

Land cover/use has a great impact on water resources – it affects how precipitation that falls on the ground eventually translates into runoff, infiltration, evaporation, and the quality of the water. The main classes of land cover/use in the Zambezi River basin are summarised in the table below. Most parts of the basin are covered by forests and bush (almost 75% of the land area); cropped land (mostly rain-fed agriculture) covers 13% of the land area, and grassland covers approximately 8% of the land area.

i. Flood plain agriculture ‘Floods are not only a hazard but also provide a livelihood to some of the poorest people’. This very much applies to flood plain agriculture in the Barotse basin. The Barotse Sub-(i?) Basin includes extensive flood plain areas.

In a context of low population density, flood plain agriculture is highly productive when measured in output per capita, though less in output per land unit. In large parts of the Barotse Basin land is however not necessarily the limiting factor. Flood recession resource systems moreover have several other benefits – such as recharging shallow wells; sediment deposits contributing to soil fertility; regenerating rangeland in outwash areas, sustaining fisheries and maintaining wetland functions. These should be carefully considered in making a comparison with perennial irrigation.

6Vulnerability and Needs Assessment, Final Vulnerability Assessment Committee Report (2005)

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i. National Parks, Game Management and Protected Areas The Upper Zambezi and Zambezi Delta hosts a number of National Parks, Game Management and Protected Areas of the Barotse Sub-basin.

The Upper Zambezi landscape starts on the Benguela plateau in Angola and extends through Zambia’s remote western region down to Victoria Falls. Its western side includes the Barotse floodplain - a Ramsar site; Sioma, Liuwa Plains and West Lunga National Parks; and Lukwakwa Game Management Areas.

The Liuwa Plains National Park is a large grassy plain and wooded area. It witnesses Africa’s second largest wildebeest migration between Angola (Mussuma area) and Zambia each year. The landscape has a total of 13 Important Bird Areas. The Barotse floodplains are a critical water retention system for recharging the Zambezi River during winter and early periods of summer before the onset of floods and control flooding downstream.

The vegetation of the Upper Zambezi is diverse and provides a good habitat for a variety of wildlife such as Sitatunga, wildebeest and the wattled crane. Rare and large mammals like cheetah, lion, roan antelope and the African wild dog as well as buffalo, hartebeest and zebra are also found. Its freshwater bodies carry various fish species.

Potential threats to the landscape include agricultural expansion, illegal trade in timber and wildlife products, wild fires and human wildlife conflicts. Major opportunities are: the existence of a relatively unexploited natural resource base and its associated tourism potential, including bird watching; the proposed Liuwa-MusumaTransfrontier Conservation Area (TFCA) that provides suitable ecological conditions for wildebeest migration between Zambia and Angola; and the huge upland forests (especially the Crytosepalum) that are suitable for forest carbon trading through the REDD+ mechanism. ii. Physical Cultural Resources of the Barotse Sub-basin The Barotse floodplain is famous for its fisheries and annual Barotse ceremony of “Kuomboka” which is characterized by the movement of the Barotse people and their King from the floodplain (when flooded) to the upland areas. The Lozi people rely on a complex system of traditional earth lined canals for transport, irrigation, fisheries, and cultural ceremonies. It is the site of the world-renowned Kuomboko ceremony, marking the migration of the Lozi king (the Litunga) and his people to higher lands at the end of the rainy season. The annual floods start around December reaching their peak in 3-5 months later, flooding an area of over 1 million ha. The width of the floodplain averages 30 km, but reaches 50 km north of Mongu.

Canals Traditional canals are a key feature of the Barotse sub-basin. Parts of the traditional canals built in the late 1880s have become silted, affecting agriculture and fisheries production.

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Figure 3: Muoyowamo canal near Nayuma Habour This has, in part, been due to lack of adherence to canal maintenance schedules under the traditional systems. It has also been partly due the changing climate.

These climate change-related impacts are affecting the livelihoods and water resources of the Lozi – for example, Muoyowamo canal, where the traditional Kuomboko ceremony is performed (marking the migration of the Lozi king by boat to higher lands at the end of the rainy season), has had to relocate parts of the trajectory due to increased erosion and siltation (more detailed information in Annex 2.)

The Barotse sub-basin is a sensitive area because it is a major floodplain, a long and rich history with many shrines and burial sites for Lozi Kings and Indunas. The Lozi people have preserved strong traditional management systems under the guidance of the Barotse Royal Establishment (BRE). The BRE appoints traditional chiefs (indunas) who are responsible for resource management and traditional governance systems. As such, any project intervention will need to be designed with careful consideration of social and environmental conditions and with full endorsement of traditional and local representatives.

Fisheries Canal 1

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CHAPTER 4: MDB ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES AND ZAMBIAN ENVIRONMENTAL LEGISLATION

This chapter reviews safeguard policies of the World Bank, the African Development Bank and Zambian policies and legislation relevant to environmental and social safeguards . The safeguard policies of the WB will apply to the Barotse sub-basin while those of the AfDB will apply to the Kafue Sub-basin. The Zambian legislation applies to both the Kafue and Barotse sub-basins.

4.1 World Bank Operational Policies and Procedures - Barotse Sub-basin As a key financing institution, the IBRD7 is committed to supporting development projects in a manner that protects people from any form of adverse impacts while ensuring that there is little environmental damage both in the short and long term. In order to minimize and manage environmental and social impacts, the Bank’s operational policies and procedures require “environmental assessment (EA) of projects proposed for Bank financing” as part of their due diligence. These safeguards provide a mechanism and tools for ensuring integration of environmental concerns and social issues into the planning and implementation of development projects financed by the Bank.

The Bank has a total of ten safeguard policies which are triggered depending on the nature and complexity of the proposed projects or sub-projects. In the context of the proposed PPCR community-driven projects and subprojects, five of the ten (10) World Bank Safeguard policies are relevant to PPCR projects and sub-projects and will be triggered as shown in the table below.

Table 7: World Bank Safeguard Policies WORLD BANK

Policies Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 OP 4.01: Environment Assessment X 2 OP 4.04: Natural Habitats X

3 OP4.09 Pest Management X 4 OP 4.10: Indigenous Peoples X 5 OP4.11 Physical Cultural Resources X 6 OP 4.12: Involuntary Resettlement X 7 OP 4.36 Forestry X 8 OP 4.37: Safety of Dams X 9 OP 7.50: International Water Ways X 10 OP 7.60: Disputed areas X

7The IBRD includes the IDA and IFC

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These are: OP/BP 4.01:Environmental Assessment; OP/BP 4.04:Natural Habitats; OP 4.09:Pest Management; OP/BP 4.11:Physical Cultural Resources; OP/BP 4.12:Involuntary Resettlement; OP/BP 7.50: Projects on International Waterways.

The table below summarizes the main World Bank safeguard policies and how these relate to the PPCR’s potential projects and sub-projects in the Barotse sub-basin. A comparative analysis of the World Bank’s Safeguard policies, AfDB safeguard policies, national policies and regulations are covered in section 4.5. In the next table, an outline of the WB safeguard policies and relevance of the PPCR is given.

Table 8: WB Safeguard policies and their relevance to PPCR Project in the Barotse sub-basin Safeguard Policy Relevance to PPCR Projects in the Barotse sub-basin OP/BP 4.01: Environmental Assessment; This policy is designed to screen projects Shared by at least five of Province’s seven districts, the Barotse plain and subprojects ensure that, if is a unique wetland that is rich in biodiversity - a fact recognized by implemented, such projects or sub- the Ramsar Convention on Wetland Biodiversity and by the UNESCO projects are “environmentally sound and World Heritage Convention – having been declared a Ramsar site in sustainable” 2007 and currently under consideration as a World Heritage site. This OP 4.01 also requires compliance to recognition is an affirmation of the value and sensitivity of the relevant national laws, in this case, those Barotse Flood Plain which must be protected against the likely of the Government of Zambia. adverse impacts of climate change.

The Barotse Sub-basin also supports a number of national parks and game management areas. These include the Liuwa Plains National Park, the Sioma-Ngwezi National Park, and West Lunga National Parks; and the Lukwakwa Game Management Areas. Changes in weather patterns and climate will have an impact on the wildlife in these parks and GMAs.

With a population of just over a million people, many of whom will be involved in the identification and implementation of participatory adaptation sub-projects that are intended to community vulnerability to the effects of climate change . Among others, the sub-projects focus on agriculture and livestock diversification and improved canal maintenance and management. These projects may also alter the century-long established practice of environmental conservation under the patronage of the BRE, a key feature of which has been the construction and maintenance of traditional canals.

The improvement of these canals may involve dredging, deepening, widening and construction of embankments and control gates along some of the canals. These improvements are likely to increase water traffic and availability of water for irrigation leading to increased agricultural activities. All these developments are likely to have an impact on the water flows and flooding patterns in the areas served by the canals thus introducing changes to the flora and fauna and

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Safeguard Policy Relevance to PPCR Projects in the Barotse sub-basin natural environment.

There is need therefore to ensure that the rich biodiversity of the Barotse flood plain and the livelihoods that depend on it, are not compromised by the community-driven adaptation projects (CDDs) and mitigation measures as well as other investment projects that will be introduced under the PPCR.

The intensity and frequency of extreme climate events such as high temperatures or frost are not likely to increase and will, therefore, not present any significant climate change environmental and social risks.

OP/BP 4.04: Natural Habitats; Unless carefully designed and screened, community-driven climate This policy recognizes that the resilient adaptation projects and sub-projects, may result in increased conservation of natural habitats is use of natural resources found in the floodplains and in the plateau essential for long-term sustainable area that together constitute the Barotse sub-basin. development. The Bank, therefore, supports the protection, maintenance and rehabilitation of natural habitats in While no major deforestation is likely to occur in the Barotse Sub- projects it funds. The Bank supports and basin as a result of the implementation of the sub-projects, the expects the Borrowers to apply a promotion of activities that use non-timber forestry products (NTFPs) precautionary approach to natural such as beekeeping (use of traditional beehives made from tree bark) resources management to ensure and crafts production (reed mats and baskets) may negatively impact environmentally sustainable the environmental. These and other adaptation activities may result development. in the “significant” conversion of natural resources and worsen the impacts of climate change in the long term.

On the hand, sub-projects that are eligible for support in the Kafue sub-basin include community level infrastructure development and reforestation and the establishment of community game ranching and wild life estates are likely to impact natural habitats. The need to adhere to safeguards on natural habitats is important in the implementation of the sub-projects in both sub-basins. OP 4.09:Pest Management; In the long term, the community-demand-driven adaptation projects and sub-projects are likely to lead to increased use of pesticides in the The policy defines and restricts pesticide Barotse sub-basin and the Kafue Sub-basin. use and selection in WB projects based on risks caused by the pesticides. WB However, projects financed through other investment projects such adheres to WHO’s Classification of Pesticides by Hazard and Guidelines to as the profit-driven private sector projects, small scale irrigation Classification (Geneva: WHO 1994-95) schemes are all likely to stimulate (medium scale) crop production which stipulates that pesticides “must (especially of vegetables, rice and high yielding crop varieties) that have minimal effect on non-target may promote introduction of new pesticides and increased use of species and the natural environment.” existing ones.

The demand for high volumes of produce that are required to satisfy small and medium scale value addition enterprises in the Kafue Sub- basin, is also likely to increase pressure on the use of chemical

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Safeguard Policy Relevance to PPCR Projects in the Barotse sub-basin fertilisers and pesticides. This is likely to impact the environmental both in the short and long term unless adequate safeguards are in place.

OP/BP 4.11: Physical Cultural Resources; Many physical cultural resources and heritage sites have been The policy defines protection of cultural commissioned and set aside as national monuments in both sub- resources that are interest and value in at basins. Rock paintings, burial sites, areas which serve as venues of the local, provincial or national level, or traditional cultural ceremonies, places of historical significance are within the international community. Such found right across the Barotse Sub-basin and in the Kafue Sub-basin. physical cultural may include movable or immovable objects, sites, structures, groups of structures, natural features Through close collaboration with the National Heritage Conservation and landscapes that have archaeological, Commission(NHCC), Ministry of Chiefs and Traditional Affairs and the paleontological, historical, architectural, traditional authorities (acting through chiefs, indunas and headmen), religious, aesthetic, or other cultural especially the BRE, the environmental and social impacts of the significance. community-driven projects and sub-projects under component 1 of The policy will help avoid or mitigate the the PPCR risk of major adverse environmental and social impacts are adverse impacts on physical cultural not expected. resources during implementation of

PPCR projects. The safeguard policy will be triggered because the cultural resources such as burial grounds, sites having archaeological or prehistoric, paleontological and religious value may be inadvertently or deliberately exposed to the extreme effects of climate change and/or damaged during implementation of participatory adaptation sub- projects.

OP/BP 4.12: Involuntary Resettlement; This safeguard may be triggered because issues of “compensation” The policy applies in situations where may arise although there may not any resettlement (RPF) planned projects or sub-projects involve: the involuntary taking of land resulting in: Under the Participatory Adaptation Component of the PPCR, no (i) relocation or loss of shelter; (ii) loss of major displacement of populations and subsequent involuntary assets or access to assets; (iii) loss of income sources or means of livelihood, resettlement is anticipated. The canals that are targeted for whether or not the affected persons improvement and the roads in Sesheke, are unlikely to require must move to another location; resettlement of communities as no construction of new the involuntary restriction of access to infrastructure is foreseen. The community-driven projects and sub- legally designated parks and protected projects will be small and will therefore not involve the acquisition of areas resulting in adverse impacts on the large tracts of land for activities or for dam construction. livelihoods of the displaced persons. The displaced persons eligible for Given the dual land tenure system that is recognized under Zambian compensation, include: land laws and administration and the elaborate traditional land those having formal legal rights to land, those not having formal legal rights to tenure system in Barotseland administered through the BRE, there land but have a claim to such land or should be few land disputes and little for compensation related to assets recognized under the laws of the involuntary resettlement. country or through a process identified in the resettlement plan and However, there still may be projects and sub-projects that may those who have no recognizable legal emerge later that may involve resettlement. Since the projects are right or claim to the land they are community-demand-driven, where the need for land acquisition occupying. occurs, the first option will be to use community mediation

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Safeguard Policy Relevance to PPCR Projects in the Barotse sub-basin structures and local compensation mechanisms. Where these are inadequate, resettlement and compensation measures described in the accompanying Resettlement Policy Framework (RPF) are to be followed. OP/BP 7.50: Projects on International The Barotse floodplain extends over 200 kilometres along the Waterways Zambezi River, from the confluence of the Zambezi with the This policy applies in situations which a Kabombo and Lungwebungu Rivers in the north, to Ngonye falls in shared international waterway as is the the south. The floodplain is an integral part of the ‘mighty’ Zambezi case with the Zambezi River. While no River whose waters are shared by Angola, Botswana, Congo DR, immediate conflicts exist, there is always a possibility that projects on an Malawi, Mozambique, Namibia, Zambia and Zimbabwe. It is an international waterway may in fact affect international waterway with several falls and dams. the relationships between one or more of the riparian states. This policy seeks to protect the interest As a part of an international waterway, the Barotse sub-basin riparian states sharing the waterway requires this safeguard policy although no major impacts on the through “appropriate agreements or hydrological and flood regimes are expected from both the road and arrangements for these purposes for the canal improvement projects under the PPCR. However, it is a entire waterway or any part thereof.” requirement to notify other riparian countries regarding the planned Often The World Bank is prepared to facilitate notification and any necessary intervention. In this regard, negotiations regarding new projects on “the World Bank has provided a policy waiver to the need to notify riparian’s international waterways before approval on January 23, 2013, based on the fact that (a) the proposed Project focuses on of financing. the rehabilitation of pre-existing water canals with no expansion or major redesign anticipated; and (b) the Project is not anticipated to adversely change the quality or quantity of water flows to the other Riparian States and will not be adversely affected by the use of water by other Riparian States.”

4.2 African Development Bank Safeguard Policies

4.2.1 African Development Bank Safeguard Policies Assessed For PPCR Program, all the main African Development Bank’s Safeguard Policies were assessed, namely Poverty Reduction, Involuntary resettlement, Environment, Gender, Integrated water resources management, Agriculture and rural development, Population and Cooperation with Civil Society Organizations.

The Environment Policy outlines AfDB’s internal mechanisms for ensuring policy compliance and mainstreaming environmental considerations in AfDB operations. The policy also references AfDB’s Environmental and Social Assessment Procedures (ESAP) and public consultation requirements. There are separate Environmental and Social Review Procedures for the AfDB’s public and private sector lending. The table presents a summary of the AfDB safe guard policies.

Table 9: African Development Bank Safeguard Policies AFRICAN DEVELOPMENT BANK Policy Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 Policy on the Environment (2004) X 2 Policy on Integrated Water Resources Management (2000) X 3 Agriculture and Rural Development Sector (2000) X

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4 Involuntary Resettlement Policy (November 2003) X 5 Gender X 6 Poverty Reduction X 7 Cooperation with Civil Society Organizations X

Like the WB, the African Development Bank also demands compliance to its safeguard policies in the design, identification, implementation, monitoring and evaluation of projects and sub- projects that are proposed for financing. This applies to public and private sector projects and sub-projects as well as to policy-based lending.

The following African Development Bank safeguard policies8 will apply to the proposed community-driven climate resilient projects and sub-projects under the Participatory Adaptation and the Climate Resilient Infrastructure Components in the Kafue Sub-basin. Kindly note that the AfDB’s main interest is in the environmental assessment and involuntary resettlements which are described in the first part of the table below.

Table 10: AfDB safeguard policies and their relevance to PPCR projects in Kafue sub-basin Safeguard Policy Relevance to PPCR Projects in the Kafue sub-basin Policy in the Environment(2004) This policy ensures compliance and the The Kafue Sub-basin has a number of wetlands the largest of which is the Kafue mainstreaming of environmental flats. Others are the Lushiwashi swamp, Busanga swamp and Lukanga flats. considerations in AfDB supported projects. These wetlands are likely to come under increased environmental pressure with the The policy also describes AfDB’s introduction of climate resilience projects and sub-projects. Environmental and Social Assessment Procedures (ESAP) and public consultation Because of the higher levels of economic activities in the Kafue sub-basin, the local requirements. It should be noted that there populations, just like in the Barotse sub-basin are likely to engage in climate resilient are separate Environmental and Social projects and sub-projects that may result in the adverse impacts on the environment Review Procedures for the AfDB’s public especially water resources and other natural resources. and private sector lending. The planned upgrading of roads in ItezhiTezhi, Namwala, Monze and Choma districts are likely to affect natural habitats in these areas of the Kafue sub-basin. Once completed the roads will also open up the sub-basin to markets in Lusaka and the Copperbelt with the possibility of over-exploitation of fish resources. Involuntary Resettlement The policy sets out the principles and Very little displacement of populations and subsequent involuntary resettlement is procedures for Bank financed projects anticipated in as result of the improvements to the roads and the introduction of involving involuntary acquisition of land or community-driven PPCR adaptation projects and sub-projects in the Kafue sub-basin. other assets that cause: a) Relocation or loss of shelter by the persons residing in the Under the Participatory Adaptation Component of the PPCR, the community-driven project area; b) Loss of assets or involuntary projects and sub-projects will be small and will therefore not involve the acquisition restriction of access to assets including of large tracts of land for activities or for dam construction. national parks, protected areas or natural resources; or c) Loss of income sources or However, there still may be projects and sub-projects that may emerge later that means of livelihood as a result of the may involve resettlement. To the extent possible where this occurs the first option project, whether or not the affected will be use of community mediation structures and local compensation mechanisms. persons are required to move. The policy also classifies groups entitled to compensation as: a) those with formal legal

8. We understand that the AfDB’s safeguard policies on environment and gender are currently under review.

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Safeguard Policy Relevance to PPCR Projects in the Kafue sub-basin rights to land or other assets recognized under the laws of the country, b) those without formal legal rights to land or other assets at the time of the census but can prove that they have a claim to such land or assets which are recognized under the customary land tenure laws of the country and c) displaced persons who have no recognizable legal right or claim to the land they are occupying. Integrated water resources management(2004) The introduction of small-scale irrigation schemes at Musakashi in Mufulira, This policy affirms the principle that that Chanyanya in Kafue and ManyonyoMagobo in NegaNega (Mazabuka) will all have water needs to be treated as an economic, environmental and social impacts that are likely to shape the design and nature of social and environmental good. Therefore, PPCR projects and sub-projects under the Participatory Adaptation Component. policies on water resources management should be analysed within an integrated Community-driven climate resilience interventions will include adaptation projects framework. and sub-projects that are intended to reduce the vulnerability of the poorest and The policy promotes integrated protect their assets against climate change and those that decrease the exposure of management of water resources that population and/or their assets to climate change. support water supply and sanitation, biodiversity protection and conservation. These may include the climate-proofing of existing infrastructure such as housing, The policy also includes institutional, schools, markets, roads, canals, water harvesting, storage facilities e.g. small technical, economic, social and reservoirs/weirs/dams/fishponds. Others include the restoration of wetlands, environmental strategies for IWRM. protection of forests, trees and plants, the construction of flood control structures and the siting of new infrastructure in areas that that are not exposed to flooding, strong winds and storms.

In Namwala district, the large animal populations will require sub-projects that support improved management of grazing lands.

Agriculture and rural development(2000) Focusing on agriculture and rural Increase in community-driven climate smart agriculture projects and sub-projects development, this policy seeks to ensure (such as conservation farming and organic farming) are unlikely to lead to increased that participation of beneficiaries in the use of pesticides in the Kafue Sub-basin. However, sub-projects financed through projects or sub-projects. Negative project the private sector (e.g. IFC projects) and increased cultivation area that may result impacts on the environment and the from increased irrigated land as a consequence of the canal improvement project livelihoods of local communities, whether and small scale irrigation schemes may promote introduction of new pesticides and anticipated or not, are minimized. increased use of existing ones. The policy emphasizes a) poverty alleviation and food security; b) accelerated economic The agricultural/economic growth in the Kafue sub-basin districts of Mpongwe, growth; c) natural resources management Chibombo, Kafue and Mazabuka is likely to affect the degree of commitment to and environmental protection; and d) climate smart agricultural practices and participation in PPCR adaption projects and human and institutional capacity building. sub-projects. The policy also defines principles for Agricultural and Rural Development Lending As most of the Kafue sub-basin is situated in AEZ 2, with reliable rainfall, the and focus areas for Bank’s Lending agricultural practices may not be altered significantly because the threats of climate Interventions. change impacts is not likely to be taken as seriously outside meetings and discussion forum.

Gender

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Safeguard Policy Relevance to PPCR Projects in the Kafue sub-basin This policy promotes gender mainstreaming Gender inequality between men and women remain a major soci0-economic concern in Bank funded programmes and projects. among the predominantly patriarchal rural communities in the Kafue sub-basin. The The policy’s main goal is to promote gender inequality is even more pronounced in communities where levels of poverty are equality and sustainable human and high. economic development in Africa. The mainstreaming of gender at the policy and planning levels is achievable but The policy defines the Bank’s priority areas challenges arise in the practice and implementation of development projects. as gender equality in education, agriculture Though community-driven, the adaptation projects and sub-projects are likely to and rural Development, health and face similar challenges. governance. It also provides operational and institutional strategies for gender mainstreaming. Poverty Reduction The policy provides guidelines that While the promotion of climate resilience is the primary focus of the PPCR, any mainstream poverty reduction in the Bank’s climate resilient adaptation projects and sub-projects will only become meaningful if lending and non-lending activities. they can contribute to the reduction of poverty in the communities. In practice the policy promotes integration It is understood that reduction in the levels of poverty among the communities of of poverty reduction in all the main sectoral the Kafue sub-basin will reduce vulnerability to the adverse effects of climate priorities namely: Environment, Agricultural change. Empowered communities which are less exposed to the vulnerabilities, such and Rural Development, Infrastructural as food insecurity and disease, are less likely to mismanage natural resources and Development, Human Resources cause irreversible environmental damage. Development, Population, HIV/AIDS, Private Sector Development, Governance, as well as Gender, Water and Sanitation, Vulnerable Groups. The policy provides operational and institutional strategies for mainstreaming poverty reduction. Cooperation with Civil Society The promotion of climate resilient projects and sub-projects presumes that relevant Organizations knowledge and skills are available at the local level. However, experience on the The policy defines the AfDB’s Commitment ground points to a general lack of capacity among local communities where levels of to involving African civil society formal education have remained low. organisations in the identification, design and appraisal, implementation and For many decades, NGOs, CBOs, FBOs and other civil society organisations have monitoring and evaluation of development committed themselves to the provision of training and capacity building services to programmes and projects. poor communities in the Kafue sub-basin. They are a useful resource in terms of leading and supporting sensitisation, awareness raising and skills development programmes. They have in this regard already started engaging in projects that promote climate resilient. Examples include, conservation farming, gathering and dissemination of weather information and early warning systems. Their participation is likely to bring added value to the planning, implementation, and monitoring of climate resilient adaptation projects and sub-projects.

4.3 Overview of Zambian Legislative and Regulatory Framework Zambia has over the past two decades developed a number of policies, plans and legislation to guide private and public institutions to pursue environmentally and socially sustainable development agenda in various sectors of the economy. Environmental and social issues are crosscutting and this is reflected in the various legislative frameworks, policies and legal structures that are in place.

This chapter outlines some of the policies, plans and current legislation in place that has a bearing on the Strategic Programme on Climate Resilience (PPCR) program.

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4.3.1 Vision 2030 Zambia’s Vision 2030, completed in 2005, is a long-term planning instrument which reflects the collective understanding, aspirations, and determination of Zambia to become a middle income country. The Vision 2030 was developed in response to a 15 year focus on macroeconomic stability and market liberalization which was useful in stabilizing the economy but did little to address ingrained poverty and socio-economic development. The Vision 2030 signalled a return to development planning and a focus on poverty reduction in Zambia.

4.3.2 Sixth National Development Plan (2011-2015) The current Sixth National Development Plan (SNDP) is the second medium-term planning instrument under Vision 2030. The key theme of the SNDP is “Sustained Economic Growth and Poverty Alleviation”, to be achieved through infrastructure development, economic growth and diversification, rural investment and poverty reduction, and enhanced human development. Under guidance from the Ministry of Finance and National Planning (MoF), a panel of national experts helped mainstream climate change adaptation, mitigation and disaster risk management into priority SNDP Programmes – including Crops, Livestock, Fisheries, Natural Resources, Transport, Energy, ICT, Housing, Water Supply and Sanitation, Health, Mining, Tourism, and Local Government and Housing.

The mainstreaming of the SNDP (achieved during PPCR Phase I) has generally been seen by Zambian stakeholders as a success – and provides a critical mandate for Government Ministries to allocate further staff and budget to climate resilient programmes. This is sorely needed, as the record of budgetary allocations to climate resilient programmes amongst the most vulnerable Ministries has generally been weak. Recently, the Zambian Civil Society Network has developed a tracking tool to monitor budgetary allocations to key sectors which is in the process of being refined and applied on a yearly basis, in collaboration with the Ministry of Finance and National Planning.

4.4 Environmental Legislation and Policies

4.4.1 National Policy on Environmental Policy (NPE), 2005 Zambia's National Environmental Policy is aimed at promotion of sustainable social and economic development through sound management of the environment and natural resources. The policy seeks, among other things, to: secure for all persons now and in the future an environment suitable for their health and well-being; promote efficient utilization and management of the country’s natural resources and encourage, where appropriate long - term self-sufficiency in food, fuel wood and other energy requirements; facilitate the restoration, maintenance and enhancement of the ecosystems and ecological processes essential for the functioning of the biosphere and prudent use of renewable resources; integrate sustainable environment and natural resources management into the decentralized governance systems and ensure that the institutional framework for the management of the environment and natural resources supports environmental governance in local government authorities; enhance public education and awareness of various environmental issues and public participation in addressing them; and promote local community, NGO and private sector participation in environment and natural resource management.

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The key principles applicable to the PPCR programme are that:

i. every person has a right to a clean and healthy environment; ii. every person has a duty to promote sustainable utilisation and management of the environment and natural resources, including taking legal action against any person whose activities or omissions have or are likely to have adverse effects on the environment; iii. women should effectively participate in policy, program and project design and implementation to enhance their role in natural resource use and management activities; iv. there is need to use natural resources sustainably to support long-term food security and sustainable economic growth; v. rational and secure tenure over land and resources is a fundamental requirement for sustainable natural resource management; and vi. Trade-offs between economic development and environmental degradation can be minimised through use of EIA and environmental monitoring.

For the proposed PPCR, it is important to recognize the linkage between environment and development. It is also important to realize that the two are not mutually exclusive but rather complementary. More important for the PPCR whose key objective is climate resilience and food security, the programme should integrate gender, children and other vulnerable groups’ concerns in environmental planning at all levels, to ensure sustainable social and economic development.

4.4.2 The Environmental Management Act (EMA) No. 12, 2011 Enacted in April 2011, The Environmental Management Act (EMA) No. 12 of 2011 replaced the Environmental Protection and Pollution Control Act (EEPCA) which until then was the supreme environmental law in Zambia. Under the new act, the Environmental Council of Zambia (ECZ) was re-named as the Zambia Environmental Management Agency (ZEMA).

The Environmental Management Act provides the legal basis for the protection and management of the environment, conservation and sustainable utilisation of the natural resources in Zambia. The functions of the ZEMA are defined as follows:

i. The Agency shall do all such things as are necessary to ensure the sustainable management of natural resources and protection of the environment, and the prevention and control of pollution. ii. Without limiting the generality of (i), the Agency – iii. advises the Minister on the formulation of policies on all aspects of the environment and, in particular, make recommendations for the sustainable management of the environment; iv. co-ordinates the implementation of activities of all ministries, appropriate authorities and conservancy authorities in matters relating to the environment; v. develops and enforces measures aimed at preventing and controlling pollution; vi. develops, in liaison with the relevant appropriate authorities, standards and guidelines relating to the protection of the air, water, land and other natural resources and the

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prevention and control of pollution, the discharge of waste and the control of toxic substances; vii. advises any private or public body on any aspect of nature conservation; viii. initiates, conduct and promote research, surveys, studies, training and investigations in environmental management; ix. researches or sponsors research on the effects of climate change on human beings and the environment; x. ensures the integration of environmental concerns in overall national planning through co-ordination with appropriate authorities; xi. undertakes general educational programmes for the purpose of creating public awareness on the environment; xii. reviews environmental impact assessment reports and strategic environmental assessment reports; xiii. monitors trends of natural resources, their use and impacts on the environment and make necessary recommendations to the appropriate authority; xiv. collaborates with Government agencies, appropriate authorities and other bodies and institutions to control pollution and protect the environment; xv. requests information on projects proposed, planned or in progress and advise stakeholders on projects, programmes, plans and policies for which environmental assessments are necessary; xvi. collaborates with such local and international agencies as the Agency considers necessary for the purpose of the Act; xvii. publicises information on any aspect of the environment and facilitate public access to information on the environment; and xviii. carries out any other activities relating to environmental management and the prevention and control of pollution, which are necessary or conducive to the better performance of the Agency’s functions under the Act.

4.4.3 National Water Policy, 1994 The National Water Policy 1994embraces modern principles of water resources management and endeavours to deal with the daunting challenges of poverty reduction, all aspects of water including resource management, development, and service delivery conforming to the current global and regional trends and the requirements as reflected under the Millennium Development Goals (MDGs). The overall policy goal is sustainable management and utilisation of water resources in order to:

1. provide water of acceptable quality and of sufficient quantities, 2. ensure availability of efficient and effective water and sanitation services that satisfy the basic requirements of every Zambian and; 3. enhance the country’s natural ecosystems.

One of its objectives is to promote public and private sector participation in water resources management, development, supply and conservation. The principles that will guide the implementation of the PPCR project include the following:

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1. Management, protection and conservation of water resources to be undertaken in an integrated manner; 2. All people to have access to potable water and sanitation services to reduce incidences of water related diseases; 3. Water resources shall be optimally, equitable and rationally allocated and regulated to ensure sustainable optimal economic returns and social enhancement; 4. Water resources management will be based on the concept of decentralisation and will promote local participation with the catchment as the unit of water management; 5. Promote the empowerment of user communities to own, manage and invest in water resources development; 6. Pollution of water resources shall follow the “Polluter Pays” principle to ensure water user responsibility.

4.4.4 The National Forest Policy of Zambia (1998) and the Forestry Act (1999) This Policy aims at promoting sustainable contribution of national forests, woodlands and trees towards improvement of the quality of life in the country by conserving the resources for the benefit of the nation and to the satisfaction of diverse and changing needs of the Zambian population, particularly rural smallholder farmers and entrepreneurs. The Policy prevents changes in land-use, which promote deforestation, constrain farm forestry or endanger the protection of forests with cultural or biodiversity or water catchment conservation values, and it also discourages excisions in gazetted forest, except in cases of environment friendly public utility, for which suitable inter-sectoral and local consultations will be established.

The Policy further recognizes environmental impact assessment as an important tool for new projects as one way of promoting sustainable management of forest resources.

The Forestry Act Cap 199, Part V provides for the protection of customary land forests through Declaration of Joint Forest Management Areas. It is not expected that these resources will be under pressure as a result of the PPCR. However it is essential that the PPCR should recognise the presence of the existing local institutions including the village natural resources management committees, formed under this Act.

The Act also emphasizes the right of individuals to natural trees which should also be recognised under the PPCR. Part III of the Act deals with forest reserves and protected forest areas. It highlights the need for preparing management plans and participatory management of forest reserves. In this regard the Director of Forestry may enter into agreement with local communities for implementation of the management plan that is mutually acceptable to both parties. The PPCR will consider the importance of such existing agreements as one way of protecting forest reserves and other protected forestry areas, should the need arise.

The PPCR is undertaking an environmental and social impact of the program to ensure that adverse impacts arising from the program are avoided, minimized and mitigated. However it should be noted that the PPCR is targeting improved climate resilience on existing small holder farm land. In this regard, there should be very little or no significant impacts on forest areas.

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4.4.5 Water Resources Management Act No. 21 of 2011 The Water Act, 1949 has been repealed and replaced with the Water Resources Management Act No. 21 of 2011. The Water Act, 1949 was outdated in some respects and did not reflect Government policy on water resource management. It was inadequate for efficient and integrated water resources management and was weakly enforced. Effective water resources management requires appropriate and adequate legislation and a mechanism for it to be enforced.

The Water Resources Management Act No. 21 of 2011 has provided for the establishment of the Water Resources Management Authority and defines its functions and powers; provides for the management, development, conservation, protection and preservation of the water resource and its ecosystems; provides for the equitable, reasonable and sustainable utilisation of the water resource; ensure the right to draw or take water for domestic and non-commercial purposes, and that the poor and vulnerable members of society have an adequate and sustainable source of water free from any charges; create an enabling environment for adaptation to climate change; provide for the constitution, functions and composition of catchment council, sub-catchment councils and water users associations; provide for international and regional cooperation in, and equitable and sustainable utilisation of, shared water resources; provide for the domestication and implementation of the basic principles and rules of international law relating to the environment and shared water resources as specified in the treaties, conventions and agreements to which Zambia is a State Party; repeal and replace the Water Act, 1949; and provide for matters connected with, or incidental to the foregoing.

The Water Resources Management Act was assented to, on 15th April 2011 by the President and the Commencement Order, Statutory Instrument (SI) No. 19 of 2012 for the Act to become operational was issued by the Minister of MEWD on 9th March, 2012. According to the SI No. 19 of 2012, the Water Resources Management Act entered into force on 1st October 2012.

The PPCR shall be guided by the provisions of the Act to avoid discharge of contaminants into water courses by mainstreaming mitigatory, monitoring and enforcement guidelines into in the Environmental and Social Impact Assessments (ESIA) for programmes under the PPCR.

4.4.6 Lands Act (1995) The Land Act (Cap 184) is the principle legal framework in land administration and management in Zambia.

Under this Act Land is classified as follows:-

i. Public Land This land includes all land, which is occupied by the government, and any other land, not being customary land or private land. By implication it also includes:-

Any land which was public land within the meaning of Northern Rhodesia or Zambian Trust Land) Orders (Now repealed).

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Any land held by the Government consequent or upon a reversion thereof from any freehold or leasehold estate.

ii. Private Land This includes all land, which is owned, held or occupied under freehold title, or a leasehold title or a certificate of claim or which is registered as private under the Registered Lands Act (Cap 184).

iii. Customary Land Tenure Customary land includes all land which is held, used or occupied under customary law but does not include public or private land. All Customary land is vested in the President of the Country. The president delegates his stewardship roles to traditional authorities. Customary land is governed by customary law which is a complex mixture of community rules of conduct, leadership roles and principles relating to land control and access. Customary tenure implies that the land is not owned as such but held in trust by a chief on behalf of the people. Customary tenure rules vary from area to area but core principles on management, access and control are similar.

While Zambia covers a total landmass of 75 million hectares; State Land comprises only 4.5 million hectares (6%) and Customary Land comprises the rest (94%).

The PPCR will mostly relate to the customary land tenure described above. This implies that major decisions concerning land will basically be made by traditional authorities under the framework of the Local Government Act No. 22, 1995 Cap 281 of the laws of Zambia. This means that technical and financial decisions under the PPCR will have to be made in liaison with local authorities.

4.4.7 The Zambia Wildlife Act 1998 The Zambia Wildlife Act, 1998 was enacted on 24th April, 1998. Part II Section 4 (1) of the Act establishes the Zambia Wildlife Authority (ZAWA) while Section 5 (1) defines its functions as:

To provide for the establishment, control and management of National Parks and for the conservation and enhancement of wildlife eco-systems, biodiversity, and of objects of aesthetic, pre-historic, historical, geological, archaeological and scientific interest in National Parks; and for the promotion of opportunities for the equitable and sustainable use of the special qualities of National Parks; to provide for the establishment, control and management of Game Management Areas; to provide for the sustainable use of wildlife and the effective management of the wildlife habitat in Game Management Areas; to enhance the benefits of Game Management Areas both to local communities and to wildlife; to involve local communities in the management of Game Management Areas; to provide for the development and implementation of management plans; to provide for the regulation of game ranching; to provide for the licensing of hunting and control of the processing, sale, import and export of wild animals and trophies; to provide for the implementation of the Convention on International Trade in Endangered Species of Wild Flora and Fauna, the Convention on Wetlands of International Importance Especially as Water Fowl Habitat, the Convention on Biological Diversity and the Lusaka Agreement on Cooperative Enforcement.

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Under the PPCR project, Component 2 – Climate Resilient Infrastructure will comprise upgrading of Climate Resilient Infrastructure of roads in the Kafue National Park. Activities of this project will be carried out in areas that could affect natural habitats with wildlife interfaces.

Section 25 (1) of the ZAWA Act provides for the formulation by statutory instrument by the Minister of regulations in relation to the National Parks. The PPCR shall be guided by the provisions of the Act to avoid incompatible activities during the upgrading of climate resilient roads in the Kafue National Park.

4.4.8 Public Roads (Amendment) Act of 2006 The Public Roads Act was enacted in 2002 and later amended in 2006. The Act provides for the establishment of the Road Development Agency and defines its functions as to provide for the care, maintenance and construction of all public roads in Zambia. Under this Act, Section 16 recognises park roads as in the following sub-sections:

(1) Park roads shall be the public roads outside a local authority and area provided for the purposes of internal access into a National park. (2) Park roads may be designated as park roads, by Minister, on the recommendation of the Agency, by statutory order, on the application of the Authority. (3) The Road Authority in respect of any park road shall be authority appointed by the Agency, with the approval of the Minister, in respect of the park road and the road authority concerned shall subject to the direction of the agency, be responsible for the construction, care and maintenance of the park roads within its own area.

The Public Roads Act Read together with Environmental Management Act [Section 29 (1)] prohibits persons to undertake any project that may have an effect on the environment without the written approval of ZEMA, and except in accordance with any conditions imposed in that approval. First and Second Schedule of EIA Regulation of 1997 itemises project requiring either EPB or EIA. Road upgrading to climate resilient status under the PPCR will adhere to the above provisions.

4.4.9 Inland Waters Shipping Act Cap. 446 and National Transport Policy 2002 The Department of Maritime and Inland Waterways was established in the Ministry of Communications and Transport in mid-1994 as an overall authority to be responsible for Maritime (Ports and Shipping) and Inland Water Transport including infrastructure development such as the maintenance and development of canals and waterways, Ports and Harbours. In this regard, the Department is mandated to administer the Inland Waters Shipping Act Cap. 446 and the Provincial Merchant Shipping Act Cap. 468 of the Laws of Zambia as statutes for maritime and inland waterways sub-sector of the Zambian economy.

The 2002 National Transport Policy’s goal on waterways and canals is to attain a developed, safe, efficient and sustainable maritime and inland waterways transport system in order to promote national economic development and regional co-operation. The PPCR Sub-Component 2.1 (of Pilot Climate Resilient Infrastructure Investments) will include rehabilitation and strengthen management of major canals and waterways in Barotse flood plains. These canals play a major

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role in ensuring low-cost transport of bulk commodities and people from the hinterland harbors of the Barotse Sub-basin flood plain.

It is fairly obvious that there are several other pieces of legislation that are relevant to the implementation of the projects and sub-projects under the PPCR. The table below is a summary of the legislations/Policy/Action plans with brief comments.

Table 11 : summary of national legislation Legislation/Policy/Action Plans Observation Vision 2030 Provides the broad national development vision to which all development projects must ascribe. This is mainly a reference document that is generally not considered as legally binding. Sixth National Development Plan (2011-2015) This provides a development roadmap for the over the current five year planning period. It lays down development priorities (2011-2016) that are mostly adhered to by the ministries and government agencies. It is generally not considered as carrying legal authority over all development projects and on private investors. National Policy Environmental (NPE) 2005 Environmental Management Act (EMA) No. 12, 2011 National Water Policy, 1994 Water Resources Management Act No. 21 of 2011 The National Forest Policy of Zambia (1998) Lands Act (1995) Lands Acquisition Act Chapter 189 The Zambia Wildlife Act 1998 Zambian environmental legislation and policies are on paper generally Public Roads (Amendment) Act of 2006 considered to have adequate provisions for regulation for the respective Inland Waters Shipping Act Cap. 446 sectors. However, there is inadequate capacity for implementation and National Environmental and Action Plan of 1994 enforcement. Often lack of resources (financial, human and material) has National Transport Policy 2002 been cited as the main reason for the weak implementation capacity and National Conservation Strategy of 1985 structures. With exception of legislation enacted after post 2007, most of the existing laws and policies do not incorporate climate change issues or Wildlife Act provide for platforms that promote climate change. Fisheries Act and

National Heritage Act Within the broad framework of PPCR, there is need to cluster and Forest Act (2011) harmonise legislation on environmental management and protection, Disaster Management Act (2010) through comprehensive rather than piecemeal legislative reforms. This National Decentralization Policy would provide an excellent opportunity. Local Government Act Chapter 281

Agricultural Lands Act Equally, there is need to harmonise social policies and legislation within National Agricultural Policy (NAP) (2004-2015) the broader context of increased climate change-related social impacts. National Climate Change Response Strategy (2010) The mainstreaming of climate change strategies in all social policies is National Conservation Strategy (1985) imperative. National Environmental & Action Plan (1994) National Forest Policy (2012) National Gender Policy (latest) National Policy on Climate Change (draft) (2012) Plant Pests and Diseases Act Cap 233 No. 13 (1994) Social Security Policy (Latest) Urban and Regional Planning Bill (2011) Water Act Cap 198 (1948) Wildlife Act No. 12 (1998) National Adaptation Programme of Action (2007)

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4.5 Complementarity between Zambian Legislation, World Bank and African Development Bank Safeguard Policies A comparison between Zambian legislation and the operational safeguard policies of both the African Development Bank and the World Bank reveals no significant differences or gaps. There are more similarities than there are differences.

All three sets of policies legislation recognize that the importance of environmental and social benchmarks in order to mainstream environmental and social issues in development project. They aim at protecting “people and the environment from adverse effects.” In relation to the PPCR sub-projects, the polices stand for:

 conservation of natural habitats, especially the biodiversity that is found in the Barotse plains and the Kafue sub-basin wetlands (Lukanga Swamps, Kafue Flats and Busanga Plains)  preservation of cultural property such as palaeontological, historical, religious and unique natural values, in a project area.

 Management of water resources

The table below lists the policies for WB/AfDB and Zambian Legislation

WB Safeguard Policies African Development Bank Safeguard Zambian Legislation Policies 4.01Environmental - Policy on the Environment (2004) - The Environmental Management Act (EMA) Assessment (1999) - Policy on Integrated Water No. 12, 2011 4.04 Natural Habitats Resources Management (2000) - National Policy on Environmental Policy (2001) - Agriculture and Rural (NPE), (2005) 4.36 Forests (2002) Development Sector (2000) - National Water Policy, 1994 4.09 Pest Management - The National Forest Policy of Zambia (2011)

(1998) and the Forestry Act (2011) 4.37 Safety of Dams (2001) - Water Resources Management Act No. 21 of 2011 - The Zambia Wildlife Act 1998 - Inland Waters Shipping Act Cap. 446 and

National Transport Policy 2002 Environmental - Fisheries Act ( - National Heritage Act ( - Disaster Management Act (2010) - Agricultural Lands Act - Plant pests and Diseases Act(1994) - National Conservation Strategy - National Climate Change Response Strategy 4.11 Physical Cultural - Involuntary Resettlement Policy - Lands Act (1995) Resources (2006) (November 2003) - Lands Acquisition Act (1995)

4.12 Involuntary - Gender - Local Government and Housing Act ( Resettlement (2001) - Poverty Reduction Social 4.10 Indigenous Peoples - Cooperation with Civil Society (2005) Organizations

7.50 International

Waterways (2001)

Legal 7.60 Disputed Areas (2001)

Table 12: WB/AfDB policies and Zambian Legislation

Source: Adapted from World Bank (http://web.worldbank.org)

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There is need to streamline and harmonise the various pieces of legislation. Currently, the EMA is probably the closest to overarching legislation for environmental planning and protection. This would require the amendment of the other sectoral acts recognising the EMA as the main legislation. This is achievable because, as discussed in the Strategic Environmental and Social Assessment (SESA), there is coherence and harmony at the broader national level (Vision 2030 and the Sixth National Development Plan).

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CHAPTER 5: INDICATIVE LISTING, POTENTIAL IMPACTS, ADAPTATION AND MITIGATION MEASURES OF SUB-PROJECT PROTOTYPES

5.1 Context Community driven participatory adaptation is the primary focus of the planned projects and sub- projects. Though community demand driven (CDD), the planned projects and sub-projects may themselves lead to both environmental and social impacts. It is in this context that the potential environmental and social impacts are assessed in this chapter. As the identification of actual projects and sub-projects has not yet been undertaken by the communities, the analysis below is based on:

1. Climate resilient sub-projects described in the main PPCR document (Annex 3.); 2. Community identification (in selected districts) of potential climate resilient activities based on current practices and proposed projects that will not only improve livelihoods but also promote and support climate resilience; 3. Identification of projects prototypes during the stakeholder participation event held in Lusaka on December 13, 2012, and 4. The updated Abbreviated Project Descriptions administered for the stakeholder consultation held on December 13, 2012.

The sub-project lists provide the basis for the analysis of potential impacts which starts with a description of potential environmental impacts before moving on to look at the potential social, economic and cultural impacts of the proposed projects and subprojects.

5.2 Identification of PPCR Related Community Demand-Driven (CDD) Eligible Projects Based on the indicative list of PPCR eligible projects, feedback received in community participation events and discussions held with the PPCR Secretariat, the Consultant identified a long list of potentially suitable projects for PPCR. The initial list of projects is summarised in the table below.

Table 13: List of Eligible Activities under Constituency Development Fund vs. Proposed Activities Eligible for PPCR Funding ACTIVITIES ELIGIBLE UNDER CONSTITUENCY INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER DEVELOPMENT FUND CLIMATE RESILIENT PLANS Agriculture and Natural Resources: Sustainable land management  Livestock and poultry rearing,  Scaling-up of conservation agriculture and agro-forestry. piggeries.  Physical soil conservation measures.  Irrigation.  Marketing activities. Forest ,grassland management and afforestation:  Basic farming machinery.  Beekeeping.  Agriculture inputs (seeds, fertilizer,  Support to non-timber forest products. pesticides).  Grazing management and pasture improvement.

Support to agricultural diversification and commercialization:  Promotion to climate-tolerant crop varieties.

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ACTIVITIES ELIGIBLE UNDER CONSTITUENCY INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER DEVELOPMENT FUND CLIMATE RESILIENT PLANS  Promotion of climate resilient livestock.  Scale up sustainable aquaculture development.  Commercialization of small-scale production as a way of improving livelihoods. Disease control:  Early warning and control of livestock and fish diseases linked to climate change. Water supply and Sanitation: Water supply and sanitation:  Construction and rehabilitation of wells.  Community-based harvesting structures.  Construction and rehabilitation of small  Improve drainage and flood control systems. dams.  Construction and rehabilitation of boreholes.  Piped water supply systems.  Construction and rehabilitation of sanitation systems.  Drainage systems. Social Amenities: Social Amenities:  Construction and rehabilitation of  Construction, upgrading or retrofitting social --infrastructure markets. to climate-resilient standards.  Construction and rehabilitation of Bus  Climate change awareness promotion. shelters.  Control of vector-borne or water-borne diseases sensitive to  Rehabilitation of Educational facilities. climate.  Rehabilitation of Health facilities.  Health Programmes such as nutrition, etc.  Educational programmes such as literacy programmes.  Education sponsorship for the vulnerable. Other economic activities: Enhance Private Sector –driven financing:  Income generating (carpentry, tailoring  Promote out-grower schemes and market linkages linked to and designing, etc). climate tolerant crops and aquaculture.  Promote index-weather insurance (for small holder farmers).  Promote savings, loans and micro-finance schemes.  Promote value added and cottage industry for climate- resilient activities. Infrastructure: Infrastructure  Construction, rehabilitation and  Construction upgrading or retrofitting community roads maintenance of feeder and community and/or water ways to climate-resilient standards. roads, through labour -intensive methods.  Culvert installation.  Cause way installation.  Canals, water ways embankments. Sports and recreation: Sports and recreation:  Community halls ,nurses and gardens  Construction, upgrading or retrofitting sports and/or Recreational facilities(e.g. welfare halls) recreational facilities to climate-resilient standards. Others  Reinforcement of community early warning systems.  Activities which enhance community preparedness.  Delineation of safety and escape routes.  Community-based activities that promote.

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ACTIVITIES ELIGIBLE UNDER CONSTITUENCY INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER DEVELOPMENT FUND CLIMATE RESILIENT PLANS  Vulnerable mapping.  Other community based activities promoting climate resilience. As the sub-projects are to be funded under the two investment projects in the Kafue and the Barotse sub-basin, it was imperative to consult the intended beneficiaries in nine of the sixteen districts which have been identified as pilots.

5.3 Identification of Potential Projects Preferred by Communities. Through a participatory engagement in the selected districts, communities described climate impacts and identified projects as well as skills required for the preferred projects. During the meetings, communities were asked to identify a minimum of 5 most important types of projects from the list of PPCR eligible projects including other possible projects they considered important in coping with climate change related weather impacts. In addition, communities were also asked to identify community skills that would enhance climate resilience.

A summary of the most common sub-projects identified by the beneficiaries is presented in the table below. The full listing of the sub-projects and skills identified by communities can be found in Annex 4.

Table 14: Summary of Projects preferred by the communities. PPCR Eligible Projects Other Community Suggested Projects 1. Support to agriculture diversification and commercialization ix. Animal husbandry 2. Water supply and sanitation x. Aquaculture 3. Disease Control xi. Promotion of renewable energy 4. Enhance private sector driven financing xii. Road development 5. Sustainable Land Management xiii. Climate resilient houses 6. Infrastructure (various local) development xiv. Health facilities and services 7. Forest, grassland management and afforestation xv. Animal husbandry 8. Social Amenities xvi. Handicrafts 9. Reinforcement of early warning systems xvii. Mobile storage facilities xviii. Boat-making

These sub-projects proposed by the communities in the selected districts were presented and subjected to further discussion during the stakeholder event held in Lusaka in December 2012. The main outcome of the consultation is summarised below.

5.4 Stakeholder Participation Event As part of the stakeholder engagement process, a stakeholder event was held on 13th December 2012 in Lusaka. The event was attended by stakeholders from provinces, selected districts targeted for the pilot programme in both the Kafue and Barotse sub-basins, and national key stakeholders and representatives of the client. Representatives of both the African Development Bank (AfDB) and the International Bank for Reconstruction and Development (IBRD), also actively participated in the event.

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After group discussions, the following potential projects were presented by the participants:

1. Afforestation 9. Rehabilitation and maintenance of existing 2. Agro-forestry canals, ponds and dams 3. Bee keeping; enhancement of NTFPs 10. Crop diversification (drought resistant 4. Capacity building for Climate vulnerability crops and livestock) and hazard mapping 11. Development of information management 5. Community game ranching systems for local planning including GIS, 6. Fish Farming 12. Early warning system, hydro- 7. Infrastructure projects such as construction meteorological network and community of gabions and other stabilization/and communication networks erosion prevention structures, vegetation 13. Mushroom production planting for sediment and erosion control 14. Processing and preserving of foods construction of small dams to strengthen 15. Strengthening of local planning processes, winter gardening Livestock production participatory land use planning, (small livestock such as goats, chickens) development planning, community 8. Drilling and Deepening of boreholes and planning protected area planning wells to provide safe drinking water and 16. Strengthening the level of community gardening, rain water harvesting organisations e.g. Concern Worldwide, water users association

While the planned investment projects represent a new intervention, the issues which the sub- projects address are not new. Local community –based organisations (CBOs) have emerged to provide interventions aimed at improving their livelihoods. These communities, groups and associations continue to be supported by national and international NGOs who are committed to poverty reduction and improved livelihoods. As community livelihoods have come under the increasing threat of climate change, the NGOshave developed projects that promote community adaptation to climate change.

5.5 NGO Projects Relevant to Climate Change NGOs have over time been involved in the promotion of community livelihoods as part of their poverty reduction philosophy. They are generally considered to be close to communities which they serve through project support, funding of activities and capacity building. It is widely acknowledged that capacity building is a major strength, and probably the biggest asset, that NGOs possess. The NGOs consulted included the Red Cross, Concern Worldwide, Zambia Climate Change Network and Care International. The consultations focused on their knowledge and experience in the targeted pilot areas. They also included discussions on their strategies and methods of engagement with the communities and partnerships with other stakeholders and the public sector. The discussion also focused on the NGO’s existing capacities related to specific activities that are suitable for targeting the youth, women and the vulnerable.

The projects undertaken by NGOs which are relevant to the PPCR are: (i) small scale (community level) and (ii) based on community needs and aspirations (community demand driven). The main focus of these projects is the capacity building of local communities, groups and associations. In

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providing support to community livelihoods projects in agriculture, irrigation, fish farming natural resource management, agribusiness and market linkages. Increasingly, though some of the NGOs are managing projects that promote climate resilience.

The projects that the key NGOs have been undertaking which are suitable for PPCR funding are presented in the table below.

Table 15: Projects key NGOs have been undertaking and considered suited for PPCR Funding Project Activities NGO/District* Community Self Help Canal Canals 1.5-2 meters wide/1-2 meters deep & Concern Worldwide: Mongu, Kaoma, clearance connected to local farming Senanga and Kalabo Conservation Agriculture Dry sand areas: Maize, sunflower, cow peas, Concern Worldwide: Mongu, Kaoma, ground nuts, cassava (promoted over maize); Senanga and Kalabo Wetlands: horticulture (cabbages and vegetable farming), paddy rice (SRI), some cassava; Youth engagement in conservation agriculture through schools and demonstration plots bringing in students to work with communities. Community driven agro-forestry woodlots with fruit trees supported by schools. Management of natural Reeds, grass, roots; Tree and grass planting Concern Worldwide in Western resources for crafts promoted; Support to market places for crafts; Province: Mongu, Kaoma, Senanga and production Forming crafts associations for marketing; gender Kalabo empowerment Small Scale Agro- Small scale processing with machines: Ground nut Concern Worldwide: Mongu, Kaoma, Processing shelling machines (peanut butter); Processing Senanga and Kalabo machines for rice (polishing & packaging incl. private sector engagement, supermarket purchasing under a registered rice brand Munati); Cooking oil from sunflower; Solar drier for vegetables; Mango processing into jam (trainings by private sector Silver Catering Ltd) Food Security Support Provision of early maturity varieties of crops; Red Cross: Kazungula (3 Agri camps), Diversification of crops; Horticulture (aimed at Sesheke (5 Agri camps) August to Feb / March period to cover food shortages); Small livestock (goats & chickens including improved indigenous breed that is larger (Batoka in Southern Province, Choma); Agricultural training for i) conservation farming with lead farmers ii) nutrition (to use local products such as fish). Localized Health Care Community Based Health and First Aid (CBHFA): Red Cross: Kazungula, Sesheke including HIV / AIDS traditional leaders lead establishing a community level program with community priorities Water Harvesting Building and rehabilitating earth dams (6 -8 Red Cross: Kazungula, Sesheke. Structures & Sanitation meters height) forming water collection ponds; Planning sanitation planning for boreholes. Community Contingent Localized action plan for climate hazards based Red Cross: Kazungula, Sesheke Planning on scenarios: Best case scenario, Moderate case scenario (50% of community impacted), Worst case scenario (more than 90 % impacted); Requires community engagement and ownership arranged through community volunteers (usually part of Satellite Disaster Management

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Project Activities NGO/District* Committees); local plans formulated based on focus group discussions and lead by community leaders Agro-dealers programme Establishing network of agro-dealers to reach Care International: Masaiti, Mumbwa, more distant communities; Niche business Chibombo, Kapiri, Lufwanyama, support for SMEs; Capacity for community Mpongwe facilitation, marketing & business management skills (record keeping, financial management, costing, pricing, projection etc.); Linking suppliers linked with buyers; Diversified production depending on demand (cattle, vaccines, seeds etc.) with successes in maize and seed company linking; Establishing District Agro-dealer Associations for advocacy and management of problems; Establishing Outlets in communities.  Only those districts that are in the Barotse and Kafue sub-basin are listed here

Some of these activities are not very different from the sub-projects listed by the AfDB and WB who are financing the pilot projects in Kafue and Barotse sub-basins respectively. The stakeholder participation event held in December 2012 also provided a platform for IBRD and AfDB to present an abbreviated version of the project descriptions which is captured in the following section

5.6 Abbreviated Project Descriptions The stakeholder participation event provided a platform for both the World Bank and African Development Bank to share the shortened version of the abbreviated description of projects that are proposed for implementation in both sub-basins. The table below presents a summary of the priorities for each of the sub-basins.

Table 16: Abbreviated Project Description (AfDB/IBRD)

Thematic area Kafue sub-basin (AfDB) Barotse Sub-basin (IBRD)

Agriculture,  Strengthen farm level support systems e.g.  Introduce/scale-up conservation tillage and soil land use and conservation agriculture, training in soil moisture retention - improved management of soil livestock moisture/fertility management and in moisture through use of mulch/organic matter and practices timely application of inputs conservation of soil organic matter;  Promote erosion control and improved  Change timing of application of agriculture inputs grazing activities to take advantage of available moisture and rainfall; Diversification  Facilitate crop diversification through  Diversification of crops/varieties to include of livelihoods provision of seeds for drought and flood drought or flood tolerant crops; resistant crop varieties  Diversification of livestock production  Facilitate livelihoods diversification  Promotion of a mixed farming system that through provision of fruit seedlings for integrates agroforestry and/or crops and livestock orchards, production  Promote activities that support livestock  promote sustainable livelihoods activities that are and fisheries as part of the diversification not climate sensitive of livelihoods  moving livelihood activities to less climate sensitive locations (e.g. bee-keeping, crafts using local, non-timber material, processing, aquaculture, and livelihood investments on higher grounds) Climate  Facilitate access to improved weather (flood, Information drought, frost) through strengthened early warning system

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Thematic area Kafue sub-basin (AfDB) Barotse Sub-basin (IBRD) and  Undertake Social marketing awareness campaign community  Develop Open data platform preparedness  Facilitate activities that promote community preparedness Community  upgrade community level infrastructure  Construct/rehabilitate of wells/boreholes to level “to withstand severe floods or droughts,” provide access to water Infrastructure  stimulate entrepreneurship and income  Rehabilitate/manage canals to improve drainage generation activities for the communities and store water to allow early planting and extend by rehabilitating feeder roads growing seasons;  provide support to micro-projects for:  Raise/strengthen the base of dambos, - flood control and diversion structures  Retrofit schools/community halls to withstand - small scale irrigation schemes, water higher levels and longer periods of floods reservoirs and small dams  Strengthen or raise strategic - de-silting and restocking of ponds and mounds/paths/bridges in the flood plains around water bodies the community areas during unusually long floods - improved wells and boreholes  Construct floating platforms for evacuation of - community forest plantations and people/livestock reforestation  Strengthen/raise the base of infrastructure such as - wildlife estates and communal game schools, health clinics or halls which may also act ranches as flood shelters  Construct venues for meetings and farmer field days to support knowledge on diversification of agriculture and livestock-based livelihoods  Facilitate/equip local livestock para-vet centers for vaccination and disease control Climate Proof  climate proofing of vulnerable farm-to-  Rehabilitate strategic canals – Muoyowamo, Infrastructure market access roads to minimize Lubitamei, Ngo’mbala, Fisheries and Musiamo exposure of road investments to climate  Improve selected canals9, canal maintenance and risks management through “embankment stabilization  The selected roads are (i) Kalomo to (with earthworks and vegetative approaches), Dundumwezi, (ii) Itezhi-Tezhi to selected mechanized dredging, and erosion- Dundumwezi through Ngoma and control measures.” Nanzhila, and (iii) Namwala to Itezhi-Tezhi Support to  Provide support to local government and  Facilitate/strengthen community decision-making participatory community groups to:  Provide specialized technical assistance and adaptation - incorporate climate risk management training in vulnerability assessment and mapping principals into local are development  Provide incremental programme support through planning; facilitation of training in financial management, - mobilize, train and facilitate communities procurement, safeguards and monitoring in risk and vulnerability assessment and  Provide incremental programme support through in integrating climate risk management provision of equipment, vehicles and operating principals in local area planning. costs for field activities Other  Support medium to large scale investments  Provide access to agricultural insurance system Responses in activities that are deemed to add value based on weather index and increase climate change resilience.  Facilitate links with micro-finance institutions/tools  Promote value addition activities focusing to support livelihoods and livestock diversification on agro-processing and game and wildlife management  Provide matching grants (up to 25 per cent of secured loans or up to a maximum of US$15,000 per investment) to entrepreneurs focusing on climate resilience subprojects

9Of the five selected canals, three will “require specialized mechanized interventions, complemented by manual labour.” These are Muoyowamo, Fisheries, and Ng’ombala, Lubitamei and Musiamo. Drawing on community labour and resources, the other two canals- Lubitamei (87 km) and Musiamo (131 km) Are to be rehabilitated using labour intensive approaches.

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An analysis of the selected climate resilient sub-projects show consistency that cut across all the different consultations. These are summarised below:

1. Agricultural practices based on climate 6. Strengthening of both community resilient activities such as diversification of infrastructure such as retrofitting schools, crops grown and livestock production; clinics to climate resilient standards; 2. Land use management including moisture 7. Improvement/upgrading major retention and soil management; infrastructure such as canals in the Barotse 3. Pasture/grazing land management; sub-basin and “farm to market” major 4. Diversification of livelihoods to include roads in the Kafue sub-basin; and activities that are not climate sensitive; 8. Building the planning capacities among 5. Forestry, afforestation (in the Kafue Sub- local institutions and communities to basin) strengthen coping and adaptation mechanisms.

The potential environment and social impacts are assessed and analysed in the next sections.

5.7 Environmental impacts The sub-projects, which will fall mainly under the Participatory Adaptation component, are expected to generate mainly positive impacts. The potential environmental impacts and mitigation measures are identified in (Table 16) while the potential social impacts and mitigation measures are described in (Table 17). Since most implementable projects in the group are in sub- component 1.1 (AfDB and component 2, the environmental impacts are evaluated in these as opposed to sub-component 1.2 and component 3 which are functional and transformational as well as technical systems and skills development in character.

5.7.1 Positive Impacts and Enhancement Measures The essence of PPCR is to capitalize on the positive aspects of the various projects and subproject components. These positive landmarks of the projects are aimed at alleviating many stresses arising from impacts of climate related problems. Notably, from cost-benefit-analysis, sustainable land management, disease control and infrastructure upgrading and water supply and sanitation programmes among others in the PPCR will improve the social and economic status of the people in the targeted districts at minimal environmental damage. Table 19 highlights the environmental positive impacts and their enhancement measures. The anticipated projects are in Component 1 and 2 of the PPCR projects. Other sub-component projects such as the Revision of design standards and codes of practice for key infrastructure adapted to climate change will yield positive environmental impacts resulting from improved standards of material procured for various works.

5.7.2 Potential Negative Impacts and Mitigation Measures While the impacts of the adaptation projects and sub-projects will be generally positive some of the sub-projects may generate some negative environmental impacts. However, some components and sub-components are more of support programmes in nature. Some of these projects without direct measurable environmental impacts include Institutional Support to Zambia’s Climate Change Programme, Strengthened Climate and Information; and Private Sector Support. These have not been included in the tabulations of the direct potential negative impacts.

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This section has concentrated on projects such as upgrading of road infrastructure, canals and water ways, and other projects that may require environmental alteration (e.g. support to agriculture and livestock, water and sanitation etc.).

Some of the notable environmental impacts from the analysis of the potential projects are likely impact on land, water and vegetation. The impacts will affect biodiversity, pollution of water and soils, degradation of forests and land, as well as aquatic resources.

These negative impacts have been identified, assessed and mitigation measures suggested in order to minimize damage to environmental integrity. The table below presents an overview of the environmental impacts, mitigation measures and the required capacity building.

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Table 17: Potential Environmental Impacts of Sub Project and mitigation/enhancement measures

SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING Agriculture and Livestock  Increased pressure on land as demand is likely  “Composting” of animal manure, grass and plant material for  Sensitisation campaigns on land to be triggered by improved incomes from application to fields – for increased soil moisture retention and management in the context of climate Practices  SPIU good soil management and moisture retention improved soil texture in sandy areas such as those the Barotse  MAL district change  Intensives use of land may lead to Sub-basin extension  Training in environmental and land Land Husbandry unsustainable land use practices such as  Use of mulch/organic material to reduce loss of soil moisture staff husbandry practices  Introducing/scaling-up increased/inappropriate use of pesticides and through evapotranspiration  DTOs  Training in conflict resolution conservation tillage and soil fertilisers  Sensitisation and capacity building on land planning use NGOs/CBOs  Strengthening of extension skills and moisture retention - improved  Increased land clearing that may result in management mentoring support provided by both management of soil moisture deforestation, land degradation and soil  Promotion of good land use planning and practices such as government and NGO facilitators through use of mulch/organic erosion terracing on steep slopes matter and conservation of soil  Promotion of agroforestry as part of erosion control measures organic matter;  Promote erosion control and management of fields and areas adjacent to the fields  All year round crop production is likely to  Introduce good practices for water resources sharing and  SPIU  Sensitisation campaigns on crop and Crop Husbandry increase demand for water leading to management that reduce/eliminate water conflicts  MAL district horticultural production in the context  Diversifying agricultural construction of weirs and small dams which  Utilise furrows and drainage canals to drain excess water from extension of climate resilience practices such as may affect water flows downstream, fields to allow early planting staff  Training in climate resilient agricultural crops/varieties grown  Diversification to climate resilient crops may  Utilise water conservation technologies and strategies to  DTOs practices including those that can introduce some invasive species reduce demand for ground and surface water  NGOs/CBOs  Training in good fertiliser and be drought tolerant or  Use of chemical fertilizers likely impact the  Introduce good crop husbandry planning and farming best pesticide management in grown under water environment and affect the quality of water in practices that include ideal timing for planting and application environmentally sensitive logged conditions or the rivers and streams of soil nutrients environments staggering time of  Increased crop production will likely increase  Promotion of organic farming alongside conservation  Training in post-harvest technologies, plantings; the use of herbicides/pesticides which will agriculture value addition and marketing  Changing times for affect the environment and the quality of  Introduce management plans for appropriate use of fertilisers  Sensitisation in basic requirements of applying agriculture inputs water  Develop a pesticide management plan (PMP) that adheres to environmental safeguard policies and to take advantage of  Increased crop production likely increase WB and AfDB safeguard policies and ZEMA regulations local legislation available moisture and demand for improvement of market centres  Promote use of integrated pest management and only use  rainfall; and access (feeder) roads and farm-to-market herbicides/pesticides as a last resort particularly rivers, road network which will impact the streams, canals and small dams environment (see section on rural roads  Use pesticides/agro-chemicals with short residual period below)  Avoid introducing alien plant species or crop varieties that may be invasive Animal Husbandry  Clearing of land to create grazing fields  introduce mixed farming approaches by integrating crop and  SPIU  Sensitisation campaigns on livestock  Diversifying livestock production  Increased numbers of climate resilient livestock production systems  MAL district diversification and pasture (small livestock raised) and livestock may result in over exploitation of  avoid overgrazing due to overstocking through effective extension management when appropriate culturally or natural resources that include water and control of livestock numbers staying within carrying capacity staff  Training in good livestock production, land-use wise use /or integration pasture land of the land  DTOs including breeding of crops and livestock (e.g.  Contamination of water bodies at livestock  Put in place effective soil erosion control measures for  NGOs/CBOs  Sensitisation in basic requirements of goats, sheep, chickens) in a watering points/crossing points managing pastures and reduces contamination of water at environmental safeguard policies and mixed farming system  Unsustainable use of wetlands for grazing and livestock watering points local legislation watering animals during dry periods of the  Where feasible and culturally acceptable, consider

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SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING  Improved management of year may disrupt wetland ecological processes introduction of rotational grazing and zero-grazing supported pastures/ grazing land by production of fodder crops  Mix different livestock species (goats, sheep, cattle, donkeys)  Livestock production (increase to fully exploit vegetation resources proportion of climate resilient  Where feasible, consider reforestation and replanting of livestock or increased livestock climate tolerant grass varieties variety)  Community sensitization on good pasture management and use of communal feedlots and introduction of fodder crops Small-Scale Aquaculture-  Poor aquaculture management may disturb  Select locations which do not have other important land uses  SPIU  Specialised training in aquaculture the bio-diversity of the ecosystem e.g. use of existing depressions, hollows and ditches.  MAL district management through short courses  Aquaculture may result in the introduction of  Avoid siting points adjacent to areas with high biodiversity extension and/or exchange visits Construction/rehabilitation of fish alien fish species some of which may be values staff ponds in order to ensure supply of invasive  Construct ponds in a manner that ensures good drainage and  Fisheries Dept.  Training in biodiversity management fish throughout the year erosion control  DTOs and conservation of fragile  Plant vegetation (trees and grasses) on the edges and  NGOs/CBOs ecosystems through short courses Restocking of ponds between ponds and/or exchange visits  Good aquaculture management should be promoted to ensure that there are no direct threats to the ecosystem and to the indigenous fish species. Community level water  Inadequate access to water may lead to  Rehabilitate boreholes/wells that provide water in all seasons  SPIU  Basic training in integrated water inappropriate use or over exploitation of  Construction of small-scale water regulation structures (flood  MAL district resources management and (boreholes , wells Infrastructure existing resources such as wetlands gates, canals, weirs and small dams) extension staff conservation of natural habitats small dams, reservoirs, weirs, small  flooding likely to lead to loss of natural habitat  Construction of ponds/canals for water retention, storage and  Water Affairs through short courses and/or scale Irrigation Schemes) and altered aquatic life drainage Dept. exchange visits  To provide access to water during  Disruption of water flow downstream  Avoid construction of small water structures near or adjacent  DTOs  Basic training in water use and prolonged droughts  Disruption of fish migration to protected areas or natural habitats e.g. wetlands  NGOs/CBOs resource management in relation to  Prevent waterlogging and manage  Disruption of flow of sediments with a high  Planting of trees and grasses to protect dam walls as soil smallholder under irrigation through water flows during prolonged nutrient value erosion prevention measure short courses and/or exchange visits flooding  Siltation in the absence of good erosion  Promote appropriate use of fertilizers and agro chemicals in  Water aquaculture production control the area near or adjacent to the small dam or reservoir or  flood control, erosion control  Water logging canals  recreation facility for local tourism  Soil erosion and degradation  Siting of small irrigation schemes in less climate sensitive -  Clearing of vegetation to increase irrigated terrain such steep slopes area  Promote cultivation of crops that require less water  Increased use of agrochemicals and fertilizers  Ensure full community involvement in the control and due to increase agricultural production under distribution of water irrigation scheme Canals  Increased pressure on land because of  Formulate and implementation environmentally friendly and  SPIU  Basic training in environmental and increased population due to voluntary culturally sensitive resettlement measures to accommodate  MAL district natural resource management of  Improvement of traditional canal settlement as land for cultivation improves as a the anticipated voluntary or induced resettlement fragile ecosystems maintenance systems for five extension result of drainage of cultivable land   selected canals in the Barotse Clearing of canals by hand using labour from local staff Basic training in canal maintenance &  sub-basin: Muoyowamo, Increased use of fertilizers as land cultivable communities  MTWSC management Lubitamei, Ngo’mbala, Musiamo land becomes more available  Minimal use of mechanical dredging  DTOs  Sensitisation in basic requirements of and Fisheries canals.  Increased use of pesticides as farming  Sensitisation campaigns and training on the proper use of  NGOs/CBOs environmental safeguard policies and activities increase due to availability of land chemical fertilizers local legislation

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SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING after drainage  Develop and implement a pesticide Management plan that  Training in good governance and  Increased canoe/boat traffic likely to affect the adheres to WB and AfDB safeguard policies and ZEMA conflict resolution ecosystem in the Barotse plains regulations   Removal of natural vegetation leading to soil  Planting of vegetation on exposed/damaged canal  erosion and siltation embankments  Regulation of boat/canoe traffic Wild life Sanctuaries,  In areas near national parks and game  Fencing off of protected wildlife habitats (national parks and  SPIU  Specialised training in wildlife management areas, infrastructural sub- game management areas)  management and game ranching communal game ranching MAL district projects may lead to destruction of natural  Consider the possibility of establishing wildlife sanctuaries or extension  Training in biodiversity management habitat that result in the wild life estates linked to income generation through tourism staff and conservation of fragile - displacement of wildlife;  Establish communal game ranching to ensure conservation of  DTOs ecosystems - blocking of wildlife migration routes wildlife/natural resources supported by income generation  NGOs/CBOs  Training Business management and - competition for pasture between through tourism and controlled game hunting entrepreneurial skills through short domestic and wild animals courses and/or exchange visits  Community forests,  Increased pressure on land due to increased  Establishment of forests managed by the community drawing  SPIU  Basic training in management and farming and activities may result in on local culture, traditions and indigenous knowledge  forests and conservation of natural reforestation MAL district unsustainable utilisation of natural resources  Avoid locating forests near or adjacent to protected areas extension habitats through short courses and/or such as deforestation, encroachment on such as wetlands, watershed and areas with high biodiversity staff exchange visits Effective benefit-sharing ensures watershed areas and dambos, soil erosion etc. value e.g. the Kafue Flats and Barotse Plains  DTOs  Training in business management and sustainable management of  Illegal logging of timber may lead to large scale  Establishment of tree nurseries including fruit-tree seedlings  NGOs/CBOs entrepreneurial skills through short community forests deforestation and destruction of natural  Tree planting of fast growing indigenous tree species using courses and/or exchange visits habitats local labour  Introduction of invasive tree species (e.g. black  Ensure well-planned harvesting of trees e.g. unconnected wattle) may threaten the ecosystem blocks  Promote the use of non-timber forestry products (NTFPs – e.g. wild fruits, honey, mushrooms, caterpillars)  Increased pressure on natural resources (land,  Promote controlled settlement along improved roads with  SPIU  Training in environmental and natural Roads water, forests) as a result of influx of assistance of traditional and local authorities  MAL district resources management in relation to population due to voluntary settlement along  Minimise clearing of vegetation extension road construction  Upgrading and maintenance of the improved roads  Institute erosion control measures especially at staff  Sensitisation in basic requirements of community feeder roads in the  Loss of natural vegetation near culverts/bridges  MTWSC environmental safeguard policies and Kafue sub-basin roads/important habitats  Design roadside drainage control (culverts/bridges that can  DTOs local legislation

 Air pollution (increased dust) during handle anticipated water flows  NGOs/CBOs  Training in conflict resolution  Rehabilitation of community construction/ rehabilitation of roads  Ensuring culverts and bridges of correct size and are installed  road infrastructure (farm-to-  extraction of road construction materials e.g. at strategic points along the road  homestead) to climate resilience gravel from borrow-pits  Ensure adequate and timely maintenance of culverts and standards  Disruption of water flow /blocked drainage at bridges culverts and bridges  Put in place measures to prevent spilling of oils and fuels and  Contamination through accidental spillage of where feasible, recycle used oils. lubricants and fuels Protection of local  No major environmental impacts are  Strengthening of local planning processes, participatory land  SPIU  Sensitisation campaigns on anticipated from the sub projects use planning, development planning, community planning of  MAL district environmental and natural resources infrastructure and assets protected area planning extension management  Climate proofing of local  Siting and construction of new buildings in areas which are staff  Training in environmental protection

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SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING community infrastructure such shielded from floods, storms and strong wind  MTWSC and ecosystems planning and as community service centres  Construction of drainage/storm drains protect fields from  DTOs management (markets, clinics, schools etc) floods  NGOs/CBOs  Sensitisation in basic requirements of   Construction of gabions and other stabilization/erosion environmental safeguard policies and prevention structures to protect fields local legislation  Siting and construction of construction of ponds, channels for  water retention, storage and directing running off  Dredging, ditching, construction of cut-off channels direct water flow Enhanced Local capacities for  No major environmental impacts are  Develop mechanisms’ for Climate vulnerability and hazard  SPIU  Sensitisation and training in climate anticipated from the subprojects mapping  information systems change coping with Climate Change MAL district  Strengthening the level of community organisations e.g. extension adaptation including vulnerability and  Support to community level water users associations, traditional structures staff hazard mapping climate adaptation  Development of climate information management systems  ZMD  Sensitisation in basic requirements of that tap into both modern and tradition weather warning  DTOs environmental safeguard policies and systems  NGOs/CBOs local legislation  Strengthening of local climate resilience structures such as Satellite Disaster Management Committees, Community, Water User Associations, Village Development Committees, Marketing Associations, Women Development Groups, Youth Organizations  Strengthening of community level organisation and governance  Strengthening of traditional institutions in climate resilience

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Having identified the potential environmental impacts, it is also equally important to assess the extent of the direct and indirect impacts. The environmental and social impacts have been assessed and rated and summarised in Annex5 .

As climate change has both direct impacts on the environment and natural resources, it is tempting to place greater emphasis on environmental impacts. However, social impacts are just as important because some of the environmental impacts have far reaching social implications. For example, the drying up of the dambo would have a direct effect not only on the ecosystem but also on the agricultural production systems of the community who depend on it for their livelihood. The following section assesses the direct social impacts that the sub-projects may generate.

5.8 Social impacts The community-demand-driven (CDD) sub-projects will be designed and implemented within the framework of Participatory Adaptation Component 3 in the Barotse Sub-Basin Investment Project (funded by the World Bank) and Participatory Adaptation Component 1 in the Kafue Sub-Basin Investment Project (funded by the African Development Bank).

Policy issues of the social implications relating to the implementation of these sub-projects are covered in the Strategic Environmental and Social Assessment (SESA) report. In a similar manner, issues related to resettlement and compensation that may arise as a direct consequence of the sub-projects (though is unlikely) are dealt with in the Resettlement Policy Framework report.

5.8.1 Assessment of Social Impacts and Identification of Mitigation Measures Projects are designed to improve the lives of people by reducing their vulnerability to the effects of climate change. Nearly all development projects, regardless of whether they are large or small, have an impact on the environment and people. However, impacts on people (social impact) must be considered crucial, particularly in the context of climate change. This is primarily because people can either make or break any project.

Community-demand-driven projects are generally perceived as having less negative social impacts than externally initiated projects. This is not always true and as such the analysis and assessment of the social impacts ofcommunity-demand-driven sub-projects must be just as systematic and rigorous.

Table 17 below presents a summary of the social impacts and mitigation or enhancement measures that are relevant to the sub projects. The description of the ratings of the social impacts, based on consultations and our interaction with the communities in selected districts is in annex 5.

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Table 18: Potential Social Impacts and mitigation measures of Sub Projects

SUBPROJECT SOCIAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING

Agriculture and Livestock Practices  Formulate and implement conflict resolution measures  SPIU Sensitisation/Training in;

 Increased yields may lead to voluntary based on local traditions and conflict resolution  MAL district  assessment social impacts of climate Land Husbandry resettlement which is likely to generate a host of mechanisms extension staff resilient sub-projects  Introducing/scaling-up conservation tillage  Provision of training on land-related conflict resolution social conflicts as the value of land will rise  DTOs  basic requirements of social and soil moisture retention - improved and management  Increased income may lead to a disruption of  NGOs/CBOs safeguard policies and local management of soil moisture through use of traditional lifestyles which may encourage risky  sensitisation and training in good land husbandry to legislation mulch/organic matter and conservation of soil social behaviour like increased alcohol increase yields organic matter; consumption and promiscuity. This may lead to an  Formulate and implement measures to manage public  conflict resolution increase in the spread of HIV/AIDS and STIs. health aimed at preventing waterborne diseases  agricultural and livestock Crop Husbandry  Increased demand for market space and facilities  Ensure full involvement of entire community (not juts diversification  Diversifying agricultural practices such as due to increased yields opinion leaders) to avoid land conflicts  climate sensitive crop/livestock crops/varieties grown including those that  Increased health risk resulting from poor water  Intensify HIV/AIDS awareness campaigns production and management can be drought tolerant or grown under quality caused by increased use of fertilizers and  sensitization on the dangers of increased interaction  best practices and livestock water logged conditions or staggering time of agro chemicals. with outside communities and the need for protection plantings;  Increased social/marital conflicts due to of local culture and traditions management practices  Changing times for applying agriculture inputs empowerment of women  expand/renovate existing market places to make them  water resources management to take advantage of available moisture and  Increased business opportunities may result in climate resilient rainfall mixing of people from different back grounds  sensitisation and training in good crop husbandry and which may undermine traditional values and management of water resources Animal Husbandry culture.  Post-harvest processing facilities for agro-products to  Diversifying livestock production (small  over grazing of natural resources that may reduce facilitate marketing livestock raised) and when appropriate availability of NTFPs due to increased numbers of  Storage facilities for agro-products to facilitate culturally or land-use wise use /or integration climate resilient livestock marketing of crops and livestock (e.g. goats, sheep,  destruction of cultivated crops such as grains,  promotion of use of organic fertiliser and chickens) in a mixed farming system vegetables, fruit trees by livestock (e.g. goats, herbal/biological control of pests  cattle) Livestock production (increased proportion of  sensitisation and training in good livestock climate resilient livestock or increased  Increase in number of diseases from contaminated management planning including land use and pasture livestock variety) animal watering points management  Improved management of pastures/ grazing  promotion of best practices in mixed (integrated land farming)

Small-Scale Aquaculture-  Fish ponds may promote breeding of mosquitoes, the  Institute measures for controlling disease carriers such  SPIU Sensitisation/Training in; spread of bilharzia and other water borne diseases such as mosquitoes  MAL district  Basic aquaculture management  Construction/rehabilitation of fish ponds in as dysentery, cholera and diarrhoea.  Formulate and implement measures to manage public extension staff  Public Health campaigns on order to ensure supply of fish throughout the  Construction of ponds and small dams may also health aimed at preventing waterborne diseases  Department of prevention of malaria and year increases diseases among domestic animals  Promote conflict resolution and prevention Fisheries  waterborne diseases  May increase conflicts in resources and economic  Avoid locating aquaculture in areas near or adjacent to  DTOs  Restocking of ponds benefits. important cultural resources and sites.  NGOs/CBOs  Blocked access to sites of cultural importance such

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SUBPROJECT SOCIAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING a burial grounds or national monuments.

Community level water  All year round crop production is likely to increase  Institute measures for controlling disease carriers such  SPIU Sensitisation/Training in; Infrastructure(boreholes , wells small dams, demand for water leading to construction of weirs as mosquitoes and carry out malaria sensitization  MAL district  Basic water infrastructure reservoirs, weirs, furrows Irrigation Schemes ) and small dams which may mosquito breeding campaigns extension staff management  malaria and other waterborne diseases  Formulate and implement measures to manage public To provide access to water during prolonged  Department of  Public Health campaigns on  Community level water infrastructure may block access health aimed at preventing waterborne diseases drought Water Affairs prevention of malaria and  Prevent waterlogging and manage water to sites of cultural importance such a burial grounds or  Promote conflict resolution and prevention  DTOs waterborne diseases flows during prolonged flooding national monuments.  Avoid locating community level water infrastructure in  NGOs/CBOs  Irrigation infrastructure and  Water aquaculture production  Establishment of small dams, weirs, boreholes, wells and areas near or adjacent to important cultural resources management and sites  flood control, erosion control furrows may lead to land conflicts  prevention of malaria and  recreation facility for local tourism waterborne diseases

Canals  Improved productivity and incomes due to early planting  Improved gender relations through sensitisation  SPIU Sensitisation/basic training in;  Improvement of traditional canal because of draining resulting in social problems such as gender relations and GBV  MAL district  the economic importance of canals in maintenance systems for five selected canals increase alcohol consumption and marriage conflicts  Empowerment of women and female youth extension staff/line climate resilient in the Barotse sub-basin: Muoyowamo, and gender-based violence  Strengthening of traditional systems for resource use ministries  gender relations and GBV Lubitamei, Ngo’mbala, Musiamo and Fisheries and distribution of benefits accruing from the  DTOs  conflict resolution on use of canal- canals.  Conflicts may arise around sharing of benefits accruing improved canals  NGOs/CBOs related resources and benefits from use of improved canals

 spread of diseases among domestic animals due to Wildlife Sanctuaries/ Estates, Communal introduction of wildlife  Physical separation of domestic animals from wildlife  SPIU Sensitisation/basic training in; Game Ranching  Fencing off areas for game ranching/wildlife through erection of fences  MAL district  Wild life management estates may block access to sites of cultural  avoid siting sub-projects near significant cultural sites extension staff  Community game ranching significance and NTFPs and  Dept. of  Tourism/Hospitality  Increased opportunities for tourism may further  provision for controlled access points for communities wildlife/ZAWA management lead to mixing of people with different cultural and livestock  DTOs backgrounds which may lead to interference in  Strengthen cultural traditional practices through  NGOs/CBOs traditional lifestyles. recognition and support to cultural ceremonies and  land conflicts due to large amount of land required activities  Game ranching may result in benefit -sharing  siting of wildlife/communal game ranching is away conflicts from land with higher economic value

Community forests, reforestation  Conflicts arising from benefit-sharing from forest  Promote conflict resolution and prevention  SPIU Sensitisation/basic training in;  Sustainable management of community resources  Identify all significant sacred cultural sites in the  DTOs  management of Community forests  blocked access to important cultural sites/razing project areas, and land with greater  Dept. of Forestry natural resources  Management of fragile ecosystems such as lands agricultural/economic values  NGOs/CBOs  management of community wetlands  reduce available land for agricultural purposes  Land use planning sensitive to demand for land forests which in turn may lead to social conflicts  protection of ecosystems (wetlands)

Roads  Increased traffic accidents and deaths

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SUBPROJECT SOCIAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING  negative impact on morals, and local culture and  Sensitization on road safety and consider using speed  SPIU Sensitisation/basic training in;  Rehabilitation of community road traditions due to increased interaction with bumps in areas with high population of people  MAL district  Road safety and road regulations infrastructure (farm-to-homestead) to climate outside communities, traders and tourists  sensitization on the dangers of increased interaction extension  preservation of local culture and resilience standards  Removal of natural vegetation near roads and with outside communities and the need for protection staff/MTWSC traditions borrow pits may deny communities access to of local culture and traditions  DTOs  Sensitisation in basic NTFPs  support to traditional ceremonies and cultural  NGOs/CBOs requirements of social safeguard  increased incidence of malaria and other water activities policies and local legislation borne diseases due to unfilled borrow pits/quarries  avoid siting borrow pits near forests rich in NTFPs relevant to road projects  sensitization on prevention of water borne diseases.  conflict resolution

Protection of local infrastructure and  Awareness campaigns on climate resilient Sensitisation/basic training in; assets  No major negative social impacts are anticipated infrastructure  Climate proofing of infrastructure  Climate proofing of local community  Mainstreaming climate resilience community at community level infrastructure such as housing, community infrastructure in IDPs and LAPs  Basic skills in planning, service centres (markets, clinics, schools etc.) rehabilitation, maintenance of  Platforms for evacuating people and animals climate resilient infrastructure during prolonged floods  Formalisation of climate information systems at Local Climate Change coping capacities community and district levels  Support to community level climate  No major negative social impacts are anticipated  Integrating climate community information in IDPs and adaptation LAPs

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CHAPTER 6: CLASSIFICATION of SUB-PROJECT PROTOTYPES FOR INVESTMENT IN KAFUE AND BAROTSE SUB-BASINS

A number of sub-project prototypes have been identified through a consultative process involving communities in the pilot districts, NGOs, the PPCR Secretariat, Financiers and other stakeholders. Based on the classification of the MDBs and ZEMA which are described in detail in Chapter Four of this ESMF), the sub-project prototypes may require different screening processes and may trigger different assessment procedures.

6.1 World Bank Classification All projects proposed for Bank financing are screened for potential environmental and social impacts. The policy is triggered if a project is likely to have adverse environmental risks and impacts in its area of influence, and beyond. According to OP 4.01 the Bank classifies proposed projects into one of four categories, depending on type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts:

Category A: A proposed project is classified as Category “A” if it is likely to have significant adverse environmental and social impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. Environmental Assessment for a Category A project examines the project's potential negative and positive environmental and social impacts, compares them with those of feasible alternatives (including the "without project" situation), and recommends any measures needed to prevent, minimize, mitigate or compensate for adverse impacts and improve environmental and social performance. For all categories of projects. The borrower is responsible for preparing safeguards instruments for all categories of projects or sub-projects. The safeguard instruments are normally in the form of: 1. An Environmental and Social Management Framework (ESMF) whenever there is still an unclear definition of the project intervention footprint; or when such a footprint of project intervention zone is made known; 2. An Environmental and Social Impact Assessment (ESIA) or a suitably comprehensive or sectoral Environmental Assessment (EA) that includes as necessary, other elements such as environmental audits or hazard or risk assessments.

Category B: A proposed project is classified as Category “B” if it’s potential adverse environmental impacts on human populations or environmentally important areas — including wetlands; forests, grasslands, and other natural habitats — are less adverse than those of Category “A” projects. These impacts are site-specific and easy to deal with; few if any of them are irreversible; and in most appropriate cases mitigatory measures can be readily designed.

The scope of EIA for a category “B” project may vary from project to project, but it is narrower than that of a category “A” EIA. Like Category A EA, it examines the project's potential negative and positive environmental and social impacts and recommends any measures needed to prevent,

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minimize, mitigate, or compensate for adverse impacts and improve environmental and social performance.

Category C: A proposed project is classified as Category “C” if it is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EIA action is required for a Category “C” project.

Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in sub-projects that may result in adverse environmental impacts.

According to the PPCR Sub-Committee review Document of 14th June 2011, some projects under the PPCR have been classified as Category “B” projects; hence, these may or may not require carrying out environment and social assessment based on the procedure proposed in section 6.4.2 below.

Due to the high environmental sensitivity, ecological (Ramsar/World Heritage Site) value and cultural significance of the Barotse Plains, the eligible sub-projects to be funded by the World Bank in the Barotse sub-basin will NOT include any Category A sub-projects. Any sub-project that is categorised as falling under category A will become ineligible for funding.

6.2 African Development Bank Classification The AfDB’s environmental assessment operational policy requires that all projects proposed for Bank financing are screened for potential environmental and social impacts. The policy is triggered if a project is likely to have adverse environmental risks and impacts in its area of influence.

According to Operations Complexes (OPs), the Bank classifies proposed projects into one of four categories, depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts:

Category 1 Projects require a full Environmental and Social Impact Assessment (ESIA), including the preparation of an Environmental and Social Management Plan (ESMP). These projects are likely to induce important adverse environmental and/or social impacts that are irreversible, or to significantly affect environmental or social components considered sensitive by the Bank or the borrowing country. The ESIA examines the project’s potential beneficial and adverse impacts, compares them with those of feasible alternatives (including the “without project” scenario), and recommends any measures needed to prevent, minimise, mitigate or compensate for adverse impacts and to enhance environmental and social project benefits.

Category 2 Projects require the development of an Environmental and Social Management Plan (ESMP). These projects are likely to have detrimental and site-specific environmental and/or social impacts that are less adverse than those of Category 1 projects and that can be minimized by the application of mitigation measures or the incorporation of internationally recognised design criteria and standards.

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Category 3 Projects require no impact assessment. These projects shall involve no adverse physical intervention in the environment and induce no adverse environmental or social impact. Beyond categorisation, no further ESA action is required for this category of project.

Category 4 Projects involve investment of Bank’s funds through Financial Intermediaries (FIs) in subprojects that may result in adverse environmental and/or social impacts. FIs include among others banks, insurance and leasing companies, and investment funds that on-lend Bank’s funds to small and medium size enterprises.

6.3 Zambian Legislation Clasiffication Zambia’s Guidelines for Environmental Impact Assessment (EIA) of 1997 provide for classification of projects into either the First Schedule or Second Schedule depending on the size, nature and perceived environmental consequences of a project or sub-project. The EIA Regulations SI No. 28 of 1997 has provides lists of projects or sub-projects which fall under the two categories.

First Schedule: These are projects or sub-projects with very low negative impacts on the environment. Examples would include: minor or small scale projects such as beekeeping, crafts production, small scale fish-farming, raising of climate resilient livestock, climate-proofing of community level infrastructure e.g. roads, embankments, canal maintenance etc.

Second Schedule: These are projects that require an extensive evaluation of the effects likely to have significant negative impact on the environment. Examples would include: construction of large dams, or large irrigation schemes, construction of major roads and establishment of large scale mining projects, large scale manufacturing or major agro-processing industries.

Where it is clear that project activities fall under the Second Schedule of the Guidelines, an EIA needs to be carried out. However, it is unlikely that the micro projects planned for implementation under the two investment projects in the Kafue and Barotse Sub-Basins will be classified under Schedule II. Any such sub-projects will become ineligible for funding.

The EIA Regulation (SI No. 28 of 1997) is consistent with the WB and AfDB categorisation of projects or sub-projects such as those which will be funded under the African Development Bank (Kafue Sub- Basin) and the World Bank (Barotse Sub-Basin).

The screening process described below will be used to determine the appropriate types of environmental follow-up measures; depending on the nature, scope and significance of the expected environmental impacts from each SPCR Sub-project activities.

6.4 Screening of Sub-Projects The screening for environmental and social assessments correspond to the three major categories (A, B, C –WB; or 1, 2, 3-AfDB) under the classification criteria of the MDBs and two schedules (schedule 1 or 2) under the ZEMA classification system.

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6.4.1 Category C/3; Schedule 2 Sub-projects (Group1) As the PPCR will be a community demand-driven (CDD) project under the Participatory Adaptation Component, most of the projects will be small (in size and investment value) and will be, in most cases, of a short rather than a long duration. Consequently, a number of the sub-projects in both the Kafue and Barotse sub-basins will fall under category C (World Bank) or 3 (AfDB).

These sub-projects will hardly have any anticipated environmental and social impacts. For these projects, no action will be required to be taken by the implementing authority. However, written authorisation or confirmation from ZEMA stating that these sub-projects do not require any screening for environmental and social impacts will have to be obtained prior to sub-project implementation. These sub-project prototypes are listed in table below.

Table 19: Indicative list of Eligible Category C Project Prototypes, which may be financed under the PPCR - Sub Basin SUB-PROJECT PROTOTYPES KAFUE BAROTSE Category C (World Bank) or Category 3 (AfDB)Schedule 2 (ZEMA)   1. Increased beekeeping, and production of crafts in less climate-sensitive locations

  2. Siting horticulture, aquaculture in less climate-sensitive locations

  3. Conservation agriculture( improved management of soil moisture through use of mulch/organic matter and conservation of soil organic matter)   4. Diversification of crop varieties– drought resistant and flood-tolerant crops or through staggering planting time - production of seedlings of climate resilient crops/fruits10  5. Improved management of livestock pastures/grazing land 

 6. Constructing of transport facilities for land or water transport incl. platforms for  evacuation of people and animals11

7. Reforestation, community forestry, agro-forestry  

8. Access to agricultural micro-credit and/or agricultural insurance services and   products

9. Rehabilitation of boreholes, wells in order to provide water during unexpected or   prolonged droughts

10. Climate vulnerable and hazard mapping; Development of information Management  System for local planning including GIS, Early Warning Systems, Hydro  Meteorological Network and community communication networks

 11. Strengthening of local planning process: participatory land use planning, protected 

10In the event that new varieties of fruit trees are to be introduced, this sub-project may be classified as category B 11This may fall under category B, in the event that there is need to acquire new land to facilitate access to less climate lo and/or accommodate the people/animals that are evacuated

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Sub Basin SUB-PROJECT PROTOTYPES KAFUE BAROTSE Category C (World Bank) or Category 3 (AfDB)Schedule 2 (ZEMA) area planning

 12. Access to improved weather information, development of capacity and specific  planning skills (GIS, information systems including Early Warning System/Hydro Meteorological Network)

 13. Strengthening the level of community organization (Satellite Disaster Management  Committees, Agricultural Extension Volunteers, Agricultural Development Committees, Water User Associations, Village Development Committees, Marketing Associations, Women Development Groups, Youth Organizations)

 14. Strengthening public sector capacities for agricultural extension services,  dissemination of early warning information, disaster management planning and meteorological department out-reach services

15. Establi shing farmer field schools / demonstration farming plots; partnerships and  village collaboration with agricultural research institutions.  16. Development of entrepreneurship and marketing skills for local production 

Apart from Category C/3 and Schedule 2, other sub-projects may be classified under Categories B/2 and schedule 2.

6.4.2 Category B/2; Schedule 2 Sub-projects (Group 2) Under the PPCR, almost an equal number of sub-project prototypes will be classified as either category B (World Bank) or category 2 (AfDB), while under ZEMA the sub-projects will be classified under Schedule 2. Sub-projects under this category include those that are to have some environmental and social impacts. However, these impacts are not widespread or significant. Table 19 below presents a listing of sub-projects that are likely to fall under these categories/schedules.

Table 20: Indicative list of Eligible Category B Project Prototypes which may be financed under the PPCR- Sub Basin SUB-PROJECT PROTOTYPES KAFUE BAROTSE Category B (World Bank) or Category 2 (AfDB) Schedule 2 (ZEMA)  1. Improved (capture) fisheries management/construction of fish ponds and/or  aquaculture management, restocking of ponds

 2. Promotion6 of climate resilient livestock or increased livestock varieties which are  culturally appropriate or environmentally sustainable agricultural practices such as mixed farming including orchards and fruit farming

 3. Construction7 of animal shelters/ equipping veterinary centres 

4. Promotion1 of value-addition /constructing post-harvest processing/storage facilities for  agro2 -products and / or NTFP’s; 

5. Rehabilitation1 of existing structures by raising base of settlements mounds schools, 

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Sub Basin SUB-PROJECT PROTOTYPES KAFUE BAROTSE Category B (World Bank) or Category 2 (AfDB) Schedule 2 (ZEMA) community3 halls, health centers, market/trade sites to withstand higher levels and longer periods of flooding

6. Strengthen/raise1 mounds/paths/bridges used for crossing flood plains in areas close to  communities4 during prolonged floods

7. Rehabilitation1 and/or maintenance of canals in order to ensure water availability and distribution5 during period of insufficient rainfall/allow early planting when rains come  late  Rehabilitation and/or maintenance of canals to facilitate drainage of flooded fields and allow for early planting.

8. 1 Developing watershed management planning and management including water  protection,6 flood prevention water regulation for various uses  9. Commun1 ity game ranching (incl. benefit sharing), wildlife estates fencing of wildlife habitats7 in parks and GMA’s   10. Construction1 of small scale water regulation structures (flood gates, weirs, canals small dams)9   11. Construction2 of embankments /flood walls, construction of gabions and other stabilization/erosion0 prevention engineering structures, vegetation planting

12. Dredging,2 drainage ditching, storm drains or creating cut–off channels for managing  water1 flow 

  13. Construction2 of ponds/canals for water retention, storage/directing run off 2

 14. 2 Rehabilitation and maintenance of small irrigation schemes, small dams, water  reservoirs,3 de-silting  15. Construction2 of new storm drains (linked to road infrastructure) 4

Sub-projects under this classification are not expected to have major environmental and social impacts. This is partly because of their small size, simplicity and generally low investment value. For sub-projects in this category, the SPIU will make a “no objection” application to ZEMA for all the sub- projects that are proposed for implementation for each quarter. In view of the lengthy procedures, it may be necessary to submit applications much earlier prior to implementation of the sub-projects.

For such sub-projects, reporting should be done during the next quarter after sub-project implementation. Brief quarterly reporting forms can be used for this purpose. More comprehensive reporting will be contained in the Annual Reports. Templates of both the quarterly and annual reporting forms are attached in annex 13.

6.4.3 Category A/1; Schedule 1 Sub-projects

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Sub-projects falling under these categories are typically those that are likely to have significant and/or widespread environmental and social impacts. While not many sub-projects of this magnitude are currently anticipated under the PPCR in both sub-basins, a few sub-projects may fall into Category A/1 or Schedule 1.

The climate proofing of major farm-to- market roads in the Kafue Sub-basin may be classified as Category 1/schedule 1 (AfDB and ZEMA) respectively. The planned upgrading of 251.25 kilometres of roads will include: (i) Kalomo to Dundumwezi (75.25km), (ii) Itezhi-Tezhi to Dundumwezi through Ngoma and Nanzhila (124km), and (iii) Namwala to Itezhi-Tezhi D180 (52km).

In the Kafue sub-Basin most of the community-level infrastructure that will be “upgraded to withstand severe floods and droughts”, will be classified as Category 2. However, the medium to large scale investments that are intended to promote value addition sub-projects may be classified as Category 1 (AfDB/ZEMA) as are likely to have significant environmental and social impacts that may trigger an EIA.

Under the World Bank classification, the improvement of about 300 kilometres of traditional canals in the Barotse Sub-Basin, are likely to be classified as Category B sub-projects. This would mean that the corresponding ZEMA classification would be Schedule 2. In all instances, it will be important to provide detailed background information in the subproject descriptions that is relevant to the assessment of environmental and social impacts. The Screening Process

Individual subprojects will be subject to a screening process based on the environmental and social screening form (see below). This will provide the basis for the preparation of a simplified (1 page) environmental and social management plan that describes the activity, location, proponent, the potential environmental and social impacts (from the screening form), the suggested mitigation measures, and a mitigation/monitoring plan presented in a simple table.

The list of sub-projects endorsed for approval by the SPIU (Provincial Administration) would be submitted quarterly to ZEMA who will consider one of the following actions: a) endorse them on a no-objection basis; b) endorse with further recommendations; and/or c) recommend the preparation of a full Project Brief.

ENVIRONMENTAL AND SOCIAL SCREENING FORM

Yes No ESMF Resource Sheets A Type of activity – Will the subproject:

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Yes No ESMF Resource Sheets 1 Support small scale agricultural activities? C14.13 2 Support small scale animal husbandry or processing? C14.1 3 Involve small-scale aquaculture? C14.8 4 Livelihoods diversification (e.g. beekeeping, production of crafts in less climate C14.10 sensitive locations)? 5 Support small scale irrigation schemes? C14.3 6 Involve the construction or rehabilitation of ponds, wells, boreholes, small C14.2 dams, weirs or reservoirs? 7 Involve rehabilitation/dredging of canals? B8 8 Build or rehabilitate any community rural roads? C14.5 9 Involve community forestry and afforestation? C14.7 10 Involve community game ranching/wildlife estate? 11 Rehabilitate community structures or buildings? C14.12 12 Be located in or near an area where there is an important historical, B5.3 archaeological or cultural heritage site? 13 Be located within or adjacent to any areas that are or may be protected by B5.4 government (e.g. national park, national reserve, world heritage site) or local tradition, or that might be a natural habitat? If the answer to any of questions 1-13 is “Yes”, please use the indicated Resource Sheets or sections(s) of the ESMF for guidance on how to avoid or minimize typical impacts and risks

B Environment – Will the subproject: 14 Risk causing the contamination of drinking water? 15 Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzia? 16 Harvest or exploit a significant amount of natural resources such as trees, fuel wood or water, fish? 17 Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, wetlands) or threatened species? 18 Create a risk of increased soil degradation or erosion? 19 Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? If the answer to any of questions 14-19 is “Yes”, please include an Environmental Management Plan B5.1, C8 (ESMP) with the subproject application.

C Land acquisition and access to resources – Will the subproject: 20 Require that land (public or private) be acquired (temporarily or permanently) B6.1 for its development? 21 Use land that is currently occupied or regularly used for productive purposes B6.1 (e.g. gardening, farming, pasture, fishing locations, forests) 22 Displace individuals, families or businesses? B6.1 23 Result in the temporary or permanent loss of crops, fruit trees or household B6.1 infrastructure such as granaries, outside toilets and kitchens? 24 Result in the involuntary restriction of access by people to legally designated B6.4 parks and protected areas? It the answer to any of the questions 26-29 is “Yes”, please consult the ESMF and, if needed, prepare a B6.2, B6.3, Resettlement Action Plan (RAP) C10

D Pesticides and agricultural chemicals – Will the subproject: 33 Involve the use of pesticides or other agricultural chemicals, or increase existing use? If the answer to question 33 is “Yes”, please consult the ESMF and, if needed, prepare a Pest B5.2, C9 Management Plan (PMP).

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CERTIFICATION

We certify that we have thoroughly examined all the potential adverse effects of this subproject. To the best of our knowledge, the subproject plan as described in the application and associated planning reports (e.g. EMP, RAP, IPP, PMP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts.

Community representative Name: ______(signature): ______

Date: ______

District/SPIU representative (signature):______

Name: ______(signature): ______

Date:______

FOR OFFICIAL USE ONLY

Desk Appraisal by Review Authority:

 The subproject can be considered for approval. The application is complete, all significant environmental and social issues are resolved, and no further subproject planning is required.

 A field appraisal is required.

Note: A field appraisal must be carried out if the subproject:  Needs to acquire land, or an individual or community’s access to land or available resources is restricted or lost, or any individual or family is displaced  May restrict the use of resources in a park or protected area by people living inside or outside of it  May affect a protected area or a critical natural habitat  May encroach onto an important natural habitat, or have an impact on ecologically sensitive ecosystems (e.g. rivers, streams, wetlands)  May adversely affect or benefit an indigenous people  Involves or introduces the use of pesticides  Involves, or results in: a) diversion or use of surface waters; b) construction or rehabilitation of latrines, septic or sewage systems; c) production of waste (e.g. slaughterhouse waste, medical waste); d) new or rebuilt irrigation or drainage systems; or e) small dams, weirs, reservoirs or water points.

The following issues need to be clarified at the subproject site: ………………………………………………………………………………………………………………………………………… ………………………………………………………………………………………………………………………………………… …………………………………

A Field Appraisal report will be completed and added to the subproject file.

Name of desk appraisal officer (print): …………………………….………………………………

Signature: ………………………………………………… Date: ………………………………

It is understood that though that the assigning of the potential sub-projects to the three categories described above is only indicative and not binding. It is the screening of the actual sub-projects and

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the assessment undertaken by ZEMA that will determine whether the sub-project falls under the “no objection accompanied by comments/corrections” category or whether the sub-project requires a full Project Brief (EPB).

Apart from the simple environmental and social screening, two other forms may be required. These are the site selection form and the Filed appraisal form. An example of the site selection is given below while an example of the Appraisal form is attached in annex 9.

Example of SITE IDENTIFICATION FORM

Subproject Name: Subproject Location: Beneficiaries: Community Representative and Address: Extension Team Representative and Address: Site Identification: It is imperative to rate the sensitivity of the proposed site when selecting the location of a subproject. Rating is based on the criteria listed in the table below. Higher ratings do not automatically imply that a site is unsuitable. Instead, it is taken as a clear indication of the high risk of triggering significant negative environmental and social effects. It means that more substantial environmental and/or social planning may be required if the potential negative effects are to be avoided, mitigate or managed.

Issues Site Sensitivity Rating Low Medium High (L,M,H) Natural habitats No natural habitats No critical natural habitats; Critical natural habitats present of any kind other natural habitats occur present Water quality Water flows exceed any Medium intensity of water Intensive water use; and water existing demand; low use; multiple water users; multiple water users; resource intensity of water use; water quality issues are potential for conflicts is availability and important high; water quality issues potential water use use are important conflicts expected to be low; no potential water quality issues Natural hazards Flat terrain; no Medium slopes; some Mountainous terrain; steep vulnerability, potential erosion potential; medium slopes; unstable soils; high floods, soil stability/erosion risks from volcanic/seismic/ erosion potential; volcanic, stability/ erosion problems; no known flood/ hurricanes seismic or flood risks seismic/ flood risks

Cultural No known or suspected Suspected cultural heritage Known heritage sites in property cultural heritage sites sites; known heritage sites in project area broader area of influence Involuntary Low population Medium population density; High population density; resettlement density; dispersed mixed ownership and land major towns and villages; population; legal tenure tenure; well-defined water low-income families and/or is well-defined; well- rights illegal ownership of land; defined water rights communal properties; unclear water rights

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1. Community representative Name: ______(signature): ______Date: ______

2. NGO/CBO representative Name: ______(signature): ______Date: ______

It is noted however, that ZEMA may recommend an EIA for a sub-project. Where a sub-project or projects requires an EIA, ZEMA procedures will be followed including public disclosure.

6.4.4 Environmental Impact Assessment Where an EIA is required the PC will recommend to the PPCR Secretariat and ZEMA for the EIA study. After preparation of the EIA report, ZEMA will recommend to the Project Approval Committee (PAC) on Environment for its approval.

6.4.5 Public Consultation and Disclosure According to Zambia’s Guidelines for EIA (1997), public consultations are an integral component of the EIA requirements, and the Guidelines identify the following principal elements:

Developers are required to conduct public consultation during the preparation of Project Briefs and EIAs.

The Director General of the Environmental Management Agency may, on the advice of the Technical Committee on Environment (TCE), conduct his or her own public consultation to verify the works of a developer.

Formal EIA documents are made available for public review and comments. Documents to which the public has access include Project Briefs, EIA terms of reference, draft and final EIA reports, and decisions of the Director General of the Environmental Management Agency regarding project approval. The Director General, on the advice of the TCE, will develop practices and procedures for making these documents available to the public.

Decision Letter approving projects will be published by the developer and displayed for public inspection.

Public consultations are critical in preparing an effective proposal for the implementation of the project activities. These consultations should identify key issues and determine how the concerns of all parties will be addressed in response to the terms of reference for the EIA, which might be carried out for construction and rehabilitation proposals.

The Zambian EIA (1997) Guidelines provides details concerning the public consultation methods. Such methods include information notices, brochures/fliers, interviews, questionnaires, community meetings and public hearings. In terms of Zambia’s EIA process, public consultation should be undertaken during (i) the preparation of the EIA terms of reference; (ii) the carrying out of an EIA;

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(iii) Government review of an EIA report; and (iv) the preparation of environmental terms and conditions of approval.

For the PPCR, the first step will be to hold public consultations with the local communities and all other interested/affected parties during the screening process. These consultations will be aimed at briefing the communities about the project activities, how the activities will be carried out and what sectors of the environment are likely to be impacted. The Area LAC, with the assistance of the Local Leaders, will conduct these public consultations in a participatory manner to encourage the communities to contribute to the screening process.

During preparation of the Terms of Reference for an EIA, District Councils (or a consultant) will consult with the ZEMA to ensure that the TORs are comprehensive enough to cover all the sectors of the environment and that they conform to the EIA procedures as outlined in the EIA Guidelines. The ZEMA will also ensure that the social and health impacts of the project activities will be adequately covered in the EIA report.

In the course of preparing the EIA the consultant will conduct extensive public consultations to attract and capture comments from the stakeholders as well as the communities for incorporation in the EIA report. The stakeholders and communities, including institutions will be asked to contribute to the identification of impacts and to proposed mitigation measures for the negative impacts. They will also be asked to comment on how the positive impacts may be enhanced.

When reviewing the EIA report, the TCE will ensure that the relevant stakeholders, including potentially affected persons, were adequately consulted with regard to the potential impacts of the proposed project activities. Consultation methods suitable in for the PPCR would include workshops, community meetings, public hearings or information notices which would be organized through the Office of the District Commissioner.

This ESMF has been prepared through public consultations involving the communities in the proposed project areas, Local Leaders, District Officials, and Provincial, National, farmers and key Government institutions. Copies of the ESMF will be made available to the public through the above channels of communication and in the same manner, EIA results would be communicated to the various stakeholders.

To meet the consultation and disclosure requirements of the World Bank, the Zambian Government will issue a disclosure letter to inform the World Bank of (i) the Government’s approval of the ESMF and the RPF; (ii) the actual disclosure of these documents to all relevant stakeholders and potentially affected persons in Zambia, and (iii) the Government’s authorization to the Bank to disclose these 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 PPCR as required by the Bank’s Disclosure Policy OP 17.50.

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CHAPTER 7: MONITORING PLAN OUTLINE FOR PPCR PROJECTS

Adherence to World Bank (WB), African Development Bank (AfDB) and Zambian environmental and social policies and legislation usually raises challenges during the implementation phase of most projects. Therefore, the importance of monitoring is critical to the successful implementation of projects and sub-projects under the PPCR components.

The objectives of the environmental and social monitoring plan (ESMP) for the PPCR projects and sub-projects are to:

(i) Generate and provide policy makers, decision makers (at national and provincial level), implementers (at district and sub-district and community levels) investors12, financiers and controlling authorities with timely information on the progress being achieved. This monitoring information will enable implementers to make informed decisions regarding appropriate adjustments in the implementation of the sub-projects;

(ii) Determine whether the goals and objectives of the adaptation and mitigation measures designed for the PPCR projects and subprojects have been achieved. This assessment of performance compares the baseline environmental and social conditions with the actual conditions at the time of monitoring of the projects and subprojects in order to assess the extent to which the original environmental and social conditions have been restored, improved or made worse;

(iii) Ensure that all activities relating to the operation and maintenance are being carried out in a manner that protects the environmental and social conditions without compromising the health and social well-being of the beneficiaries and target communities; and

(iv) Ensure, where required, that any changes to the PPCR project and sub-project ESMPs are made with necessary suggestions for additional training and institutional capacity building in order to improve the performance of the ESMP implementation.

Monitoring is a key component of the ESMP during project implementation. Monitoring should be undertaken during the PPCR sub-projects implementation phase to authenticate the effectiveness of impact management, including the extent to which mitigation measures are being successfully implemented. An ESMP should have the following components:

1. Compliance monitoring; 2. Impact monitoring; and 3. Cumulative impact monitoring. 4. The aim of monitoring would be to: 5. Improve environmental and social management practices;

6. Check the efficiency and quality of the EA processes;

7. Establish the scientific reliability and credibility of the EA for the project; and

12Investors are mainly from the private sector will financiers in bilateral and multilateral donors and MDBs

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8. Provide the opportunity to report the results on safeguards and impacts and proposed implementation of mitigation measures.

7.1 Compliance Monitoring This is to authenticate that the required mitigation measures, which are the environmental and social commitments agreed on by the PPCR Secretariat, district and local implementing agencies. As the majority of the CDD projects will be small projects, most of which are likely fall within the B (IBRD) and 2 (AfDB), involving ZEMA in the compliance monitoring of individual projects may prove to be both time consuming and costly. It is difficult to justify such investment of time and financial resources and thus it may be advisable to request ZEMA to authorize the Climate Change Secretariat to manage this on their behalf. A ZEMA representative could participate in compliance monitoring of selected projects once or twice a year.

7.2 Impacts Monitoring Monitoring of sub-projects impacts mitigation measures should be the duty of the PPCR Secretariat and implementing agencies at the Provincial (SPIU) and District level. The Environmental and Social (E&S) safeguards agreed in the contract specifications should be monitored to ensure that works are proceeding in accordance with the laid down mitigation measures. The PPCR Secretariat and other implementing agencies should ensure that the project implementers submit reports on work progress and any challenges in observing the E&S safeguards. The monitoring results should form a major part of the reports to be submitted to ZEMA, MoF.

7.3 Cumulative Impacts Monitoring The impacts of the PPCR on the environmental and social resources within the Project areas should be monitored with consideration to other developments which might be established. There should be collaboration between PPCR Secretariat and proponents of other development projects to compare E&S safeguards guiding the individual projects implementation to ensure coordinated and comprehensive management of cumulative impacts.

There are two aspects of monitoring in the PPCR subprojects. The first aspect takes into account the monitoring at ward or community level (project site) where the project is being implemented and; secondly, at the larger scale for all sub-projects at district and provincial level.

7.4 Monitoring Requirement Environmental monitoring needs to be carried out during all phases including construction, operation and maintenance of subprojects in order to measure the success of the mitigation measures implemented. Subproject designs must include a monitoring framework, together with indicators. The monitoring requirements of the ESMF that take into consideration the environmental and social mitigations measures are:

i. Mitigations measures outlined in the ESMP are fully implemented in consultation with all stakeholders involved at national, provincial, district, and ward and community levels;

ii. Adherence to the policies and legal requirements as outlined in the World Bank, Africa Development Bank and national legal frameworks;

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iii. The local people’s expectations and regulations are taken into account;

iv. All the stakeholders and institutions involved in implementations of the subprojects ought to be familiarized with the challenges of identification of impacts and mitigation measures prescribed for each subproject or CDD.

7.5 The Environmental and Social Monitoring Plan and Monitoring Indicators An Environmental and Social Management Plan (ESMP) is required for subprojects that have distinct mitigation measures such as physical works or management activities. The ESMP must be included in the subproject application. The main elements of an ESMF are listed in the table below:

Table 21: Elements of an ESMP

Element Description

1 Adverse effects The anticipated negative effects are identified and summarized.

2 Mitigation measures Each measure is described with reference to the effect(s) it is intended to deal with. As needed, detailed plans, designs, equipment descriptions, and operating procedures are described

3 Monitoring Monitoring provides information on the occurrence of environmental effects. It helps identify how well mitigation measures are working, and where better mitigation may be needed. The monitoring program should identify what information will be collected, how, where and how often. It should also indicate at what level of effect there will be a need for further mitigation. How environmental effects are monitored is discussed below.

4 Responsibilities: The people, groups, or organizations that will carry out the mitigation and monitoring activities are defined, as well as to whom they report and are responsible. There may be a need to train people to carry out these responsibilities, and to provide them with equipment and supplies.

5 Implementation schedule The timing, frequency and duration of mitigation measures and monitoring are specified in an implementation schedule, and linked to the overall subproject schedule.

6 Cost estimates and sources of These are specified for the initial subproject investment and for the mitigation funds and monitoring activities as a subproject is implemented. Funds to implement the EMP may come from the subproject grant, from the community, or both. Government agencies and NGOs may be able to assist with monitoring.

7 Monitoring Methods Methods for monitoring the implementation of mitigation measures or environmental effects should be as simple as possible, consistent with collecting useful information, so that community members can apply them themselves (see example below). For example, they could just be regular observations of subproject activities or sites during construction and then use. Are fences and gates being maintained and properly used around a new water point; does a stream look muddier than it should and, if so, where is the mud coming from and why; are pesticides being properly stored and used? Most observations of inappropriate behaviour or adverse effects should lead to common sense solutions. In some cases (e.g. unexplainable increases in

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illness or declines in fish numbers), there may be a need to require investigation by a technically qualified person.

Adapted from ESMF Tool Kit – Part C (June 2004)

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Table 22: Example of an environmental and social monitoring plan (ESMP) for the sub-projects MITIGATION/ENHANCEMENT SUBPROJECT ENVIRONMENTAL IMPACTS MONITORING INDICATOR FREQUENCY OF MONITORING RESPONSIBILITY FOR MONITORING MEASURE(S) Agriculture and Livestock Practices  Increased in temperature due  “Composting” of animal  Number of farmers attending  Depending on the duration of the SPIU to climate leading to high manure, grass and plant sensitisation events/training sub-project monitoring will be done MAL district staff Land Husbandry evapotranspiration and poor material for application to on making and use of in the middle and at the end DTOs  Introducing/scaling-up soil moisture retention fields – for increased soil compost from animal manure NGOs conservation tillage and soil moisture retention and  Improvement of soil texture  Quarterly (for grouped moisture retention - improved improved soil texture in sandy as result of regular use of subprojects) management of soil moisture areas such as those in the animal/vegetation compost  Annually (district level) through use of mulch/organic Barotse Sub-basin  Number of farmers adopting matter and conservation of improved moisture retention soil organic matter; techniques  Reduced evapotranspiration due to increased use of mulch/organic material  Use of mulch/organic material to reduce loss of soil moisture through evapotranspiration

 Use of chemical fertilizers  Promotion of organic farming  Depending on the duration of the SPIU Crop Husbandry likely impact the environment  Introduce management plans sub-project monitoring will be done MAL district staff  Number of farmers receiving  Diversifying agricultural and affect the quality of water for appropriate use of in the middle and at the end DTOs training on organic farming as practices such as in the rivers and streams fertilizers NGOs an alternative to fertiliser crops/varieties grown  Increased crop production will   Quarterly (for grouped Develop a PMP that adheres to dependent including those that can be likely increase the use of WB, AfDB safeguard polices subprojects)  Number of farmers trained in drought tolerant or grown herbicides/pesticides which and ZEMA regulations  Annually (district level) appropriate use of fertilizers under water logged conditions will affect the environment  Number of farmers adopting or staggering time of and the quality of water organic farming techniques plantings;  The development/use of PMP  Changing times for applying in the sub-project agriculture inputs to take

advantage of available moisture and rainfall;

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7.6 Monitoring Indicators The success or failure of any environmental and social management plan (ESMP) depends, to a very large extent, the quality of the monitoring indicators. Good indicators are verifiable and should be:

(i) Specific to avoid ambiguity of items being measured;

(ii) Measurable in order to facilitate quantification; and

(iii) Quantifiable to be easily translated into units of measurement and to facilitate verification.

Selected indicators should be measured in units of, for example, time (i.e. duration), frequency (i.e. how often), area or volume (e.g. size of area land planted), length (e.g. length of road affected), quantity (e.g. number of farmers adopting conservation agriculture). Table 22 above gives examples of specific indicators that could be used for the subprojects.

Quantitative indicators can be used alongside or with qualitative indicators. This is done for example to compare the conditions after the implementation of the project/subproject against the baseline conditions.

It is important to measure the overall success of PPCR project or sub-project in terms of the planned adaptation and mitigation measures and determining whether the desired environmental and social performance is being achieved. For PPCR projects and sub-projects, the following general parameters could be used:

. Number of subprojects adopted after screening as required by the ESMF;

. Efficiency of sub-projects’ maintenance and operation performance;

. Percent improvement or degradation in the environmental health of the farmers using or affected by the subprojects;

. Percent improvement or degradation of bio-physical state of the environment;

. Number and types of the key benefits to the participating farmers, from the subproject as a result of using the ESMF and the screening process;

. Numbers of women farmers participating in subprojects activities.

. Number of stakeholders (including beneficiaries) who have received technical training in screening methods.

7.7 Monitoring Responsibility The PPCR Secretariat will have the overall responsibility for coordinating and monitoring implementation of the ESMF. In addition, this will include conducting sensitization programmes to

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inform stakeholders about the framework and how it is to be implemented in the context of stakeholder participation. The Secretariat and the Sub-Project Implementation Units in both sub- basins will undertake continuous compliance and impact monitoring to ensure that:

All subproject activities are implemented according to the environmental management requirements of the ESMF and, where applicable, specific Environmental and Social Management Plans (ESMPs);

Problems arising during implementation are being addressed; and Environmental and social mitigation or enhancement measures, designed as per the ESMF, are reflected within specific ESMPs and monitoring plans.

The SPIU, Provincial Administration, supported by DTOs and NGOs, will be responsible for social and environmental monitoring and reporting. The following elements will constitute part of the environmental and social monitoring reports:

. Implementation schedule;

. Extent of community involvement;

. Project expenditure

. Problems arising as well as solutions devised, during implementation; and

. Efficiency of contractors in fulfilling their environmental management obligations.

They will produce quarterly progress reports and annual reports for the PIU. See annex on annual report form as a guideline.

7.7.1 District and Sub-district level The subprojects monitoring will be implemented by various stakeholders in different locations. Although the Secretariat is hosted under the MoF, the three components of the PPCR recognize the need for stakeholder participation for monitoring at various levels. These include among others Traditional Authorities (e.g. the BRE and paramount chiefs and headmen), Government Agencies, Non-Governmental Organizations, Private Sector Organizations, Civil Societies and Development Partners.

Successful implementation of the ESMF, the EMP and the monitoring plan will require input, expertise and resources from all the key stakeholders. It will also require the participation and involvement of the local people and the Local Leaders. Therefore these key stakeholders would need to collaborate in subproject monitoring at all levels including at national, district and local levels. Some of the stakeholders will require basic training in environmental management and land and water conservation practices.

7.7.2 National level The MoF will be responsible for the overall environmental and social monitoring of the PPCR subprojects through various implementing structures. The Climate Resilient Infrastructure sub-

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component would be implemented by RDA (for roads) and the Maritime Department (for canals) in close collaboration with provincial authorities and NGO partners, and overall (national) guidance of the Climate Resilient Infrastructure platform. These institutions will be expected to submit environmental and social monitoring and compliance reports to the Secretariat and where applicable to ZEMA. The PPCR Secretariat will have the overall decision making responsibility regarding the monitoring outcomes of the subprojects, including approval of work plans and budgets relating to EMP activities. The Secretariat will be charged with the day-to-day national level management of the project, and will be strengthened to be able to do so. Therefore, Secretariat will coordinate and monitor implementation of the Environmental Management Plans.

7.7.3 Provincial, District and Local Levels The Participatory Adaptation sub-component would be implemented directly by District Councils and/or Local Area Committees, under the guidance of experienced NGOs, and oversight of Provincial technical sub-committees of DMMU and the Climate Resilient Agriculture platform of the NCCDC. These local institutions will equally be expected to report of their monitoring and implementation of the respective subprojects. In this case, the District Councils and/or Local Area Committees will be encourage to use the community monitoring participation approach to come up with all inclusive monitoring report. Box A outlines an example of a community participatory monitory format.

The PIU in consultation with the SPIU will facilitate annual assessment of the sub-projects in both the Barotse and Kafue Sub-basins.

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Pilot Programme for Climate Resilience

CHAPTER 8: INSTITUTIONAL CAPACITY ASSESSMENT FOR THE ESMF IMPLEMENTATION

8.1 Need for Institutional Capacity The success of the Pilot Programme for Climate Resilience in Zambia (PPCR) depends on the commitment and existing capacities of the institutions charged with the responsibility of implementation. This is even more pertinent in view of the fact that, climate change is relative new area of development that presents challenges whose magnitude has not been experienced before.

The Zambia’s Climate Change Programme is still evolving. Drawing on the NAPA, NCCRS and the PPCR, The Ministry of Finance has established in interim Secretariat that has been overseeing the Phase One of the PPCR in the Kafue and Barotse sub-basins. A number of Ministries, Government Departments and Agencies are already actively involved in the pilot programme. As the Strategic Programme for Climate Resilience moves up a gear into Phase II the level of involvement of national level government institutions is expected to increase.

8.2 National Government Institutions The Government institutions currently involved in the implementation of climate change programmes in Zambia are the Ministry of Finance (MoF), the Ministry of Lands, Natural Resources and Environmental Protection (MLNREP), and the Disaster Management and Mitigation Unit (DMMU) in the Office of the Vice President (OVP).

However, many other Ministries and Government departments are also involved in climate change-related activities and are critical stakeholders in the national programme. These include (not in order of importance):

. Agriculture and Livestock (MAL);

. Lands, Natural Resources and Environmental Protection (MLNREP);

. Mines, Energy and Water Development (MMEWD)

. Local Government and Housing (MLGH);

. Transport, Works, Supply and Communication (MTWSC);

. Community Development, Mother and Child Health (MCDMCH);

. Sport and Youth (MSY)

. Commerce, Trade and Industry (MCTI)

Agencies and departments that are already working with climate change projects and programmes include:

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. The Disaster Management and Mitigation Unit (DMMU) under the Office of the Vice President (OVP);

. Zambia Meteorological Department (ZMD)

. The Zambia Environmental Management Agency (ZEMA); and

. The Zambia Wildlife Authority (ZAWA)

. The National Road Fund Agency(NFRA) and the Road Development Agency (RDA)

As indicated, most of these ministries and agencies are either already involved in climate adaptation or mitigation programmes and projects or have a mandate to undertake climate change interventions. A full description of the roles and functions of the various ministries and other public sector institutions is annexed (see annex 15).

However, as most of the projects and sub-projects will be community-driven, the Ministry of Local Government and Housing has been mandated (through district councils) to play a key role in the implementation of the participatory adaptation projects and sub-projects. The next section describes the role of local Government institutions.

8.3 Local Government Institutions During Phase I of the PPCR, MoF undertook an Institutional Financial Management Assessment (IFMA) in the pilot districts. The objective was to assess the preparedness of District Councils to administer funds under the Participatory Adaptation Component of the PPCR. This was based on the understanding that local institutions needed to have a practical and sustainable fiduciary capacity in order to disburse funds at the local level,

The IFMA was carried out by key PPCR stakeholders representing the Government, civil society organizations and partner programmes in Kazangula ,Sesheke and Mongu.

The IFMA focused on:

 management capacity of local institution;

 financial capacity of local government (e.g. budgeting, accounting, internal controls, fund flow, financial reporting and external audits. At the same time it sought to draw lessons on how donor funded projects have been ran and their application on the anticipated PPCR investments. The IFMA also considered the outstanding capacity needs that the PPCR would need to support.

The IFMA found that District Councils are at different levels of capacity and preparedness, although most have basic general knowledge and capacity on planning and budgeting, followed basic accounting and financial reporting procedures, and had some degree of internal and external audit structures. However, it is apparent that more capacity building is required for district staff to improve their skills in managing external resources such as the PPCR – particularly in accounting software training, and monitoring and reporting of

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Pilot Programme for Climate Resilience expenditures. In terms of preparedness, the district of Senanga rated reasonably high, followed by Sesheke, Kazungula and Mongu. At the local (sub-district or ward) levels, some structures exist – such as Area Development Committees and Satellite Disaster Management and Mitigation Committees – but their capacities to manage funds remain limited at this stage. Area Development Committees in general receive funding through Local Authorities who also administers procurement processes on their behalf.

Fortunately, the pilot districts benefitted from 7 years of experience in the Zambia Social Investment Fund (ZAMSIF), a Community Driven Development Programme which ran from 2000 to 2005, and, under a different name, up to 2007. This Programme developed the required fiduciary procedures, manuals and materials that will be adapted for use under the PPCR. Under ZAMSIF, Area Development Committee representatives co-signed the authorization and withdrawal of funds. There were also indications in all districts that the beneficiary communities had contributed labor and in-kind inputs (such as sand, stones, water, wood, etc) towards project implementation in their areas.

The Local Area Committees (LACs) are considered having an important role in the local planning process. Based on the recommendations of the IFMA, funding to pilot districts and Area Development Committees will be phased in as their capacity is strengthened. Qualified NGOs – preferably with prior experience in the districts – would be contracted for this facilitation. The PPCR Investment projects include a provision for this overhead.

The planning process described in PPCR for Integrated Development Plans and Local Area Plans involves several elements which are illustrated in the figure below:

Figure 4: Integrated Development Plans and local Area Plans

In addition, provincial and district sub-committees of Disaster Management Units have a significant role in the implementation of the projects aimed at risk reduction, adaptation and early warning systems. These units have satellite members in communities and they have undertaken disaster assessments on district levels.

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(i) In brief, different roles for integrated development plans have been identified in PPCR

(ii) Districts and Area Development Committees to integrate climate resilience into the IDPs and LAPs either by retrofitting existing plans or helping incorporate climate resilience into the local planning process.

(iii) NGOs to assist districts and Area Development Committees

(iv) Climate Resilient Agriculture multi-stakeholder platform a) to oversee and coordinate the component implementation and liaise with the Provincial Development Coordinating Committee for local level and b) liaise with CGIAR centers or other international centers of excellence for specialized support (e.g. advice on specific crop or livestock diseases)

(v) Provincial Development Coordinating Committee to a) support local level through specialized sub-committees handling disaster risk management and climate change adaptation at the provincial level e.g. DMMU/Environmental Provincial Committee and b) contact the Climate Resilient Agriculture Platform for more specialized support

(vi) Specialized Provincial Committees to reviewed the mainstreamed IDPs and LAPs and send its recommendation to the National Platform

(vii) National Platform undertakes final review of the mainstreamed IDPs and LAPs against a set of specific criteria

(viii) NCCDC Board (in the interim period the Permanent Secretary of Finance or Secretary to the Treasury) to formally approve the mainstreamed IDPs and LAPs

(ix) Provincial and national platform to provide technical assistance supporting the target districts and sub-districts according to their needs.

(x) District Council or provincial levels to solve local problems.

While Local Government institutions will play the key in the implementation of the pilot projects and subprojects, the complex task of building climate resilience in the pilot projects requires the participation and contribution of several actors, drawn from the private sector and civil society organisations.

8.4 Civil Society Organisations Non-Governmental and Civil Society Organisations are highly active in climate change- related issues in Zambia, particularly at the community level, and in policy/advocacy processes. They include, amongst others, the Zambia Civil Society Network (ZCSN) which represents more than 50 NGOs and CSOs involved in climate change issues in Zambia

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Green EnviroWatch, an active advocacy youth group that has organized the first Climate Change Youth Conference in Zambia who was actively involved in the preparations for Durban. Concern Worldwide, who has an extensive programme of support to 45,000 farmers in Western Province. The Red Cross Zambia is implementing the Zambezi River Basin Initiative to strengthen disaster risk management planning at the local level. IUCN is working on vulnerability assessments in Luapula, Western and Central Provinces-. The World Fish Center, with an active programme of technical assistance to fisheries and aquaculture. Pellum is assisting poor and vulnerable farmers with livelihood diversification and sustainable agriculture.

The CSO stakeholders also include Zabuntu and Machaworks who have organized the Random hacks of Kindness events (linking ICT experts with climate change and disaster risk management programmes), the National Heritage Conservation Commission helping promote Barotse as a World Heritage Site and Peace Parks Foundation aimed at establishing the Kavango-Zambezi Transfrontier Conservation Area. Together, these NGO and CSO partners bring a formidable amount of technical and financial resources to Zambia’s Climate Change Programme.

Under the coordination of MLNREP, there has been active collaboration between the PPCR and NGOs/CSOs. Key NGO partners participate regularly in PPCR workshops and visits to pilot sites, and ZCSN provides a respected umbrella for continuing collaboration. Further, individual NGOs participate actively in the inter-sectoral Platform discussions according to their area of interest. Both DFID and the Governments of Denmark and Finland support dedicated Civil Society Funds (of US$240,000 and US$6.3 million equivalent). ZCSN and other NGOs have been trained in crowdsourcing methods to help them strengthen their coordination and information with field stakeholders. As the National Climate Change Programme is established, however, there will be a need to formalize this collaboration, and optimize NGO interventions according to their comparative advantages. In particular, the capacity of ZCSN and youth groups should continue to be reinforced. NGOs are expected to be actively involved in the PPCR at two levels: at the national level, through advocacy, awareness, and information promotion; and at the field level in the pilot PPCR sub-basins, as facilitators of community adaptation. The choice of partners is expected to be facilitated by the fact that NGOs are already specialized by region/district.

8.5 Vulnerable Social Groups As indicated by the Vulnerability Assessments (ZVAC, 2005), the most vulnerable social groups for PPCR targeting are women-headed households; widows and elderly (both men and women); rural youths; and people living with HIV-AIDS or caring for HIV-AIDS orphans.

The current HDI Gender Inequality Index (GII) value for Zambia is 0.752, giving it a rank of 124 out of 138 countries (based on 2008 data). Women are disadvantaged on three dimensions – reproductive health, empowerment, and economic activity, all of which can be impacted by climate change. Female participation in the labor market is currently 60% compared to 79% for men. Yet as discussed before, female-headed households are only one segment of vulnerable social groups.

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The elderly – both men and women – some men-headed households and the chronically ill are also highly vulnerable. Rural youth are included in this group because they can be particularly disadvantaged in isolated parts of the Zambezi basin, where they lack access to the irrigated land normally reserved for their elders, face high levels of unemployment, and few alternative livelihood options to farming. In general, the prevailing high disparities in economic and social standing between these vulnerable groups and the remaining population make it imperative for the PPCR to design targeted interventions to the benefit the most vulnerable.

These vulnerable social groups will be particularly targeted by the PPCR; by earmarking at least 50% of the funds disbursed under climate-resilient Area Development Plans to their direct benefit. Given the weak capacity at the sub-district level, NGO partners working with the PPCR on the target sub-basins will need to provide substantial capacity building to these vulnerable stakeholders, including helping them form groups and assist them in accessing better services and livelihoods.

8.6 Private Sector Private sector stakeholders in Zambia range from large corporate, small and medium enterprises, to farmers. To date, they have had a somewhat limited role in addressing climate resilience, but given the proper incentives and information, have the potential to play leading roles in promoting innovative technologies.

Zambia has several agro-business companies that play major roles in the production, processing and distribution of livestock, eggs, dairy products and staple foods. Through IFC, the PPCR will explore potential adjustments in the operations of such companies in PPCR target areas (such as improved water use efficiency) to build resilience to climate change and reinforce food security.

The Africa Carbon Credit Exchange (ACCE) and Lloyds Financials have recently developed two climate-related financial instruments, the Low Carbon Africa Fund and the Green Technology Credit Enhancement Fund to stimulate private investment in climate-friendly technologies. There is good potential to use financial intermediaries such as ACCE and local banks to promote climate resilient investments such as rainwater harvesting, drip irrigation, conservation agriculture, natural capital restoration, the design of climate-resilient discharge systems in mining operations, and off-grid power, not to mention sponsorship of climate resilient events.

Already, mining and ICT companies have provided active support to climate change initiatives such as the Youth Climate Change Conference (November 2010) and the Random Hacks of Kindness event (December 2010). There is also potential to expand micro-finance services to benefit vulnerable social groups in the pilot areas. IFC, for example, is already expanding microfinance services to entrepreneurs in both urban and rural environments through investments such as in Access Microfinance Holding AG.

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Other relevant private sector players in Zambia include mobile phone platform providers such as ESOKO, which specializes on providing information to farmers (including weather information). Development of such platform in Zambia is likely to require an ‘entrepreneur incubation period’ whereby grant finance supports the training of local entrepreneurs to establish sufficiently of a users’ network to make it a commercially viable operation in the medium term.

Finally, the insurance industry has grown considerably in Zambia in the last decade, including for example Cavmont Capital Insurance Corporation Limited, Goldman Insurance Limited, Madison General Insurance Company Zambia Limited, NICO Insurance Zambia Limited, Profession Insurance Corporation Zambia Limited, and ZIGI Insurance Company Limited. IFC intends to approach such companies to determine the feasibility of establishing a weather index-based insurance product.

Lastly, Zambia has been the focus of keen stakeholder interest on climate change issues. The Government of Zambia has taken this challenge head-on by holding extensive consultations to formulate its National Climate Change Programme. In recognition of the challenges ahead, the Government has decided to develop a dedicated programme that is unbiased by sectoral mandates and will help channel resources and advice where they are most needed. At the same time, the institutional analysis has indicated that, in order to be sustainable, climate change adaptation must be integrated with emerging decentralization trends, a task best achieved by integrating climate resilience into local planning and institutions. The PPCR should support these choices by helping strengthen Zambia’s climate change framework, and thus ensure that today’s programmes can be sustained well into the future.

8.7 Implementation Arrangements and Capacity Building Requirements

8.7.1 Implementation Arrangements As stated above, the Zambia PPCR will follow the institutional arrangements outlined in Zambia’s Climate Change Programme (PPCR Main document). The Ministry of Finance (MoF) will take overall responsibility for coordination and execution of the PPCR. During the interim period prior to the establishment of the Zambia Climate Change and Development Council, the Government has already established a Secretariat with a staff establishment of nine.

The detailed implementation structure for the Barotse sub-basin is presented in figure 11.

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National Climate Change Secretariat

Provide Oversight for all three components

Component 1- Strategic Component 2 - Support to Component 3 - Pilot

National Programme Pilot Participatory Participatory Adaptation Support Adaptation

Oversee Implementation of Oversight for Component 1 through the following agencies or external contracts Barotse Sub-Basin Pilot Area

Institutional Support to Sub-PIU in Western Province under Chief Planners’ Office National CC programmes Provides TA, M&E, Financial Management (direct mandate) Provincial Committee reviews and selects sub-grant proposals and recommends to Secretariat for signature DMMU Early Warning System and M. of Transport – policy oversight for canal Climate Information Platform management External contract for NGO Partners - Community facilitation Awareness Campaign

External contract and BRE - Community engagement and consultations for Climate motivation Finance Instruments Councils (under District Planner) - integration of climate resilient into local/district development Academic network of experts plans, technical oversight to advise on mainstreaming and specialized training Beneficiaries: districts, wards, groups, individual champions – formulate and implement sub-grants

Figure 5: Overview of the Implementation Arrangements. (Source IBRD, Abbreviated Project Descriptions) The implementation structure and mechanisms for projects and subprojects in the Kafue sub-basin which will be financed by the African development Bank are identical but slight different. Based on the assumption that the main implementation agency will the Ministry of Finance through the PPCR Secretariat (and later, the Climate Development Council), we have taken the liberty to borrow from the illustration showing an overview of the implementation arrangements in figure 12 below.

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Figure 6: Overview of the Implementation Arrangement (Source AfDB, Abbreviated Project Descriptions)

Based on this implementation structure the roles and responsibilities of each stakeholder are described in the table below.

Table 23: Roles and Responsibilities Agency/institution/organisation Role/Responsibility Status The National Climate Change coordinate all climate change projects in Zambia Though awaiting Secretariat(operating under the overall PPCR project execution ratification, Secretariat is Ministry of Finance (MoF) overseeing and coordinating project implementation already operational and (including the management of the Special Account) has a staff complement direct implementation of the sub-component on that includes: “Institutional Support to National Climate Change PPCR Project Coordinator,

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Agency/institution/organisation Role/Responsibility Status Program”, Participatory Adaptation oversee the social marketing campaign. Advisor, mainstream key policies and programs Procurement Specialist, facilitate specialized training for qualified national Information Specialist champions with the potential to contribute to the an intern in monitoring PPCR and evaluation, identify key gaps that need to be addressed if Zambia Administrative Assistant. is too eligible for direct financing from global climate Financial Management funds (such as the Green Climate Fund). Specialist to be hired in Commission studies on risk financing instruments, January 2013 Oversee and manage sensitization and awareness Eight sector specialists campaigns which are scheduled to commence at drawn from ministries during the second year of project implementation which are “most affected Oversee formulation and application of sector by climate change” will screening guidelines provide advisory support to the Secretariat

The Secretariat will “operate under a National Climate Change Development Council or equivalent board” with representation from public and private sector and civil society DMMU Oversight for early warning and information platform DMMU is fully operational activities under the Office of the Oversight for coordination of disaster risk Republican Vice President. management The proposed refocusing from mitigation and management of disasters to disaster risk reduction will be proactive by place emphasis on early warning and disaster preparedness. ZMD Coordination of meteorological information; ZMD is fully operational department under the Ministry of Transports, Works, Supply and Communication. There is need to assess capacity in gathering and disseminating climate change relevant information timely Ministry of Lands, Natural Lead role in policy coordination The role of this ministry in Resources and Environmental responsible for mitigation (Directorate of Forestry, climate is recognized in Protection MLNREP) the NAPA and NCCRS There is need to assess capacity in mainstreaming climate change Ministry of Agriculture and Lead role in climate resilient agriculture This is the ministry that is

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Agency/institution/organisation Role/Responsibility Status Livestock probably the most directly affected by climate change. Its role in mitigation and adaptation is critical as recognized in the NAPA and NCCRS. There is need to assess capacity in promoting climate resilient agricultural practices. Ministry of Transport, Works Lead role in climate resilient infrastructure Like agriculture and Supply and Communication livestock, this ministry is among those that are most directly affected by climate change because infrastructure. Its role in mitigation and adaptation is critical as recognized in the NAPA and NCCRS There is need to assess and enhance capacity in promoting climate resilient infrastructure – design, construction, maintenance and repair. Ministry of Energy and Water Lead role in energy and water University of Zambia, Participate in the selection of the trainees and Mulungushi University and international centers of excellence would be done Copperbelt University all of jointly by the Secretariat and an which offer courses in climate change and disaster risk management.

UNDP Work closely with the Secretariat to oversee “ a specialized study to determine the viability of selected climate risk financing instruments” Civil society Organisations Working closely with the Secretariat in the implementation of the Climate Information sub- component. This will include participation in awareness and sensitization campaigns

8.7.2 Coherence between PPCR Phases Like other PPCR countries, the Zambia PPCR consists of two phases- Phase I and Phase II which are expected to overlap and use similar institutional mechanisms:

 Phase I (approved in March 2010 value-US$1.5 million) is expected to run from 2010 to mid-2013.The objective with this preparatory phase was to formulate Zambia’s Strategic Programme for Climate Resilience (PPCR). The phase focused on five strategic components: (a) Mainstreaming climate resilience into national

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development planning; (b) Strengthened institutional coordination; (c) Improved information for decision makers; (d) Targeted awareness and communication; and (e) Preparation for Phase II.

 Phase II (US$110 million - submitted for approval in June 2011), will focus on the implementation of the PPCR based on the three strategic components. This phase is expected to run from mid-2013 to 2020 when components (a) to (d) will be embedded into the Strategic Programme Support component of the PPCR

8.7.3 PPCR Investment Projects While the three strategic components of the PPCR are closely integrated and respond to the priorities of Zambia’s Climate Change Programme, they need to be packaged into coherent investment projects. In particular, PPCR investments within each sub-basin need to be closely coordinated. For example the improvement and management of canals in Barotse sub-basin, cannot be implemented in isolation of the Participatory Adaptation activities taking place in surrounding districts.

The same applies to upgrading of strategic roads, particularly Kafue which will link several strategic agriculture and natural resource management areas within target districts. The two sub-basins involve distinct socio-cultural and economic challenges and therefore require dedicated approaches. It is also beneficial to develop distinct investment projects under the PPCR under which the experiences of the two sub-basins can be compared, and later up-scaled to the national level.

Since the PPCR will support three distinct Investment Projects, taking into account the MDB’s comparative advantages:

Investment Project 1, Strengthening Climate Resilience in Zambia and the Barotse Sub-Basin (US$50 million),would involve Strategic Programme Support (Component 3 of the PPCR) as well as support to the Barotse sub-basin – including both Participatory Adaptation and Climate Resilient Infrastructure investments. It would be administered by the International Bank for Reconstruction and Development (IBRD), who, as lead MDB for the PPCR, has a comparative advantage on institutional programme support.

Investment Project 2, Strengthening Climate Resilience in the Kafue River Basin (US$45 million), would support Participatory Adaptation and Climate Resilient Infrastructure in the Kafue sub-basin (Kafue River Basin). It would be administered by the African Development Bank who is already active in the energy and water sectors in the Kafue sub-basin.

Investment Project 3, Private Sector Support to Climate Resilience (US$15 million),administered by the International Finance Corporation, implemented by IFC, would support the various private sector support activities to the PPCR (Component 3.3).

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The relationship between the Investment Projects and the strategic components of the PPCR are shown in the figure below. Given the specific relationship between the PPCR and Zambia’s Climate Change Programme, and the need to work coherently within this programmatic framework, the MDB-supported projects would be stand-alone, rather than additional investments of existing sectoral programmes. The figure below illustrates the link between the main components and investment projects.

NDF Support to Transport Infrastructure Norms

Figure 7: Complimentary Projects in the Zambia PPCR Phase II

8.7.4 Capacity Building Requirements Capacity building should be viewed as more than just training. It involves human resource development that includes equipping individuals with the conceptual understanding, skills and access to information, knowledge and training that enables them to perform effectively in achieving project/programme goals. It also involves organisational development and institutional strengthening, an in-depth understanding of the management structures, relevant policies, legislation and procedures.

In this regard, the capacity of the Ministry of Finance, line ministries, district councils and other stakeholders to carry out design, planning (including obtaining approvals, permissions), monitoring and implementation functions will, to a large extent, determine the success, sustainability or otherwise of the PPCR.

In implementing climate resilient projects and sub-projects in the Barotse and Kafue sub- basins, it will be difficult to achieve the objectives and provisions of this ESMF in the absence of relevant knowledge, adequate skills and competencies on environmental and social management within PPCR Secretariat, SPIURDA, DMMU, ZMD and other stakeholders. The following sections makes recommendations on capacity building relevant to the PPCR’s environmental and social management objectives.

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The first step in undertaking capacity building of various stakeholders will be to assess the capacity building needs relevant to climate change, climate resilience and environmental and social assessment and management.

8.7.4.1 ESIA Capacity Needs Planning, designing and implementing climate resilient projects and sub-projects in the pilot sub-basins require an understanding of the environmental, social impacts and mitigation measures at community and district level. Training events focusing on these thematic areas will take the form of courses, workshops and specific seminars at national, provincial and district level. Where necessary awareness campaigns may be used to complement or reinforce the trainings.

Specific workshops on the ESMF/RPF and the MDBs safeguard policies OP 4.12 and OP 4.01 would be organised for the PPCR Secretariat and RDA; the Department of Maritime and Inland Waterways (head office and provincial offices) as well as the private sector (project consultants/contractors). The following additional training topics are proposed:

1. Environmental and social Screening Process and Checklists 2. Zambian EIA Procedural Frameworks 3. Preparation of Terms of Reference for ESIA 4. Environmental and Social Clauses in Contractors’ contract and bidding documents.

The environmental and social officers or the coordinators within the SPIU will have sufficient knowledge and understanding of the implementation of the World Bank policies of OP 4.12, OP 4.01 and OP 4.09 and participate in the training of provincial and officers.

The awareness creation, capacity building and training workshops will focus on (a) Mainstreaming climate resilience into national development planning; (b) Strengthened institutional coordination; (c) Improved information for decision makers; and (d) Targeted awareness creation. The target group will consist of selected officers directly involved in the implementation of PPCR projects and sub-projects and will include: i. PPCR Secretariat and the SPIU; ii. RDA and Department of Maritime and Inland waterways and other implementing agencies; iii. Provincial DMMU committees; and iv. District/Sub-district v. NGOs and, where relevant, CBOs

The cost of these trainings is estimated at US$370,000 as explained in the table below:

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Table 24: Estimated budget for ESIA trainings Activity Description Unit No Total cost, Cost, US$ US$ 1. Mainstreaming Staff training course on PPCR 15,000 3 45,000 climate resilience into implementation and environmental national development and social safeguards with ESIA planning procedures – planners and decision makers. 2 Best practices and Study tours (local) for selected social LS - 10,000 local institutional and environmental champions coordination participating in PPCR to visit and learn from other successful projects. . 3. Improved Training workshops for Provincial and 10,000 Biannual 20,000 environmental and District Planners on environmental social safeguarding and social impact screening of sub- for decision makers projects 4 Targeted awareness Provincial and District level training 5,000 5 25,000 and communication workshops on ESIA procedures for Provincial, District and Sub-district levels. 5 Awareness creation Investors, consultants, general public 10,000 2 20,000 and information on environmental and social dissemination requirements relating to PPCR workshops 6 Monitoring and Safeguard monitoring in projects by 7500 20 150000 evaluation Secretariat, SPIU, government, NGOs and third parties 370,000

8.7.4.2 Safeguard Compliance in participatory project planning, implementation and community engagement Community driven projects and community ownership are essential in ensuring compliance to environmental and social safeguards. It was observed during consultations with communities in the districts which were visited service provision by the public sector institutions felt short of expectations. A case in point was the agriculture extension services. NGOs , CBOs and to some extent private sector players have attempted to fill the gap left by public sector institutions in providing support services and undertaking capacity building interventions for the communities.

These support and capacity services are critical in empowering communities to take responsibility for their own development through planning and managing their own projects – in this case, projects and sub-projects that promote climate resilience. When communities get empowered in this way, it follows that they will take greater responsibility for the ensuring compliance to environmental and social safeguards.

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Specific courses and participation meetings will be arranged between communities and district officers, NGOs/CBOs and the private sector representatives (service providers for agro-processing and other sustainable livelihoods, early warning information). The following training topics are proposed:

 Avoiding and Mitigating Environmental and Social Impacts in Community Planning  Establishing and Enforcing Community Rules for Safeguarding  Community Development Planning and Responsibilities  Defining Sustainable Development Projects  Inclusion of Vulnerable Groups in Community Planning and Projects  Conflict Resolution in Community Decision Making  Roles and Responsibilities of District Councils and Community in Safeguarding and Conflicts

The participants include community members and district officers who should work in close collaboration with the communities in designing, formulating local development plans. The emphasis of the trainings will be on safeguards which will include community participation, sustainable planning and management of the projects through enforcement of local safeguards.

Table 25: Capacity Building Budget Estimates Activity Description Unit No Total cost, Cost, US$ US$ 1 Capacity building for Community Training course on sustainable projects, 10,000 10 100,000 Leaders, Key Community Groups safeguards and inclusion in community planning district and extension officers 2. Practical participatory courses in Trainings for community members and 7,500 20 150,000 communities for planning and community groups on planning and safeguards defining community projects compliance 3. Conflict Resolution in Planning Roles, responsibilities and conflict resolution 5000 20 100,000 and Implementation strategies 4. Monitoring and evaluation Training community members and district 5000 15 75,000 officers for monitoring enforcement of safeguards and conflict resolution 425,000

Table 26: Programme Support and Budget over the project period Activity Description Unit No Total cost, Cost, US$ US$ 1 Procurement for Training course on the procurement 10,000 10 100,000 sustainable projects requirements in relation to project and PPCR activities safeguard requirements and project cost(see table 27 below) 2. Private sector Selected trainings* for PPCR implementers LS 75,000 engagement and to define and manage service provider and

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consultancy consultancy assignments in relation to assignments with safeguards and specific assessments safeguards 3. Trainings and specific Training courses on specific environmental LS 500,000 safeguard and social assessments and application of assessments by safeguard policies in monitoring and annual service providers reviews of sub-projects and activities 4. Monitoring and Trainings on application of safeguard 10000 15 150,000 evaluation policies in ESMF monitoring and annual reviews of sub-projects and activities for District level DTOs, Provincial Administration officials, NGOs. 825,000 *the training is to be conducted under the supervision of the environmental and social safeguards specialists engaged by the PPCR Secretariat to support the Sub-project Implementation Units in Mongu (Barotse) and Choma(Kafue). NGOs and Research/training institutions – University of Zambia, Mulungushi and Copperbelt Universities may be engaged to provide the training. Consultants (both firms and individuals) are to be contracted through the PPCR Secretariat to provide specialist training as may be required.

As the budgets will be implemented through the PIU and respective SPIUs (in Mongu and Choma) the costs will be shared between the MDBs based on agreed cost-sharing agreement between them and the PPCR Secretariat.

8.7.5 Cost of Implementing the ESMF Sub-projects have not been identified; the number of sub-projects is still to be determined as is the size of individual sub-projects, their exact locations and number beneficiaries. The cost of the implementation of this ESMF is therefore difficult to determine at this stage unless several assumptions are made.

Since the sub-projects will be community-demand-driven and “micro” in scope at an estimated cost US $2,500 per sub-project (for the Baroste Sub-Basin), it can be assumed that these sub-projects will be large in number. It can also be assumed that a number of such sub-projects are likely to be sited in same geographical or adjacent locality. The cost of monitoring and implementation of the ESMF would then be spread over a number of the sub-projects. Based on this, the estimated cost of implementing the ESMF could be US $ 1,000 for every 5-10 sub-projects depending on the complexity and physical distances from the district administrative centre.

For sub-projects with ‘bigger’ budgets, experiences from the region suggest that costs for implementing an ESMF can be estimated at between 2% to 5% of the total cost of the subproject.

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8.7.6 Overall Financing Level of financing for subprojects in the Barotse sub-basin based on the IBRD Abbreviated Project Descriptions

Table 27: level of funding for sub-projects in the Barotse sub-basin

Implementation Level Level of Funding District-level grants US$125,000/district/year Ward-level grants US$50,000 /ward/year Community or group-level grants US$10,000/unit (for structural adaptation) US$2,500/unit (for non-structural or “soft” adaptation) Individual grants to champion innovators, US$100/person* A contingency fund, to reward well US$1.3 million to fund preparedness performing groups ca. US$2.0 million in the event of an early warning of a disaster

* This is an average estimate

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REFERENCES

African Development Bank, Agriculture and Rural Development (2000) African Development Bank, Cooperation with Civil society Organisations (1999) African Development Bank, Gender Policy (2001) African Development Bank, Involuntary Resettlement (2003) African Development Bank, Policy on the Environment (2004) African Development Bank, Poverty Reduction (2004) Associated Programme Flood Management (APFM) (August 2007). Strategy For Flood Management For Kafue River Basin. WMO, MEWD, Lusaka, Zambia. Beilfuss, R. And C. Brown (Eds) (2006).Assessing Environmental Flow Requirements Of The Zambezi Delta: Application Of The DRIFT Model (Downstream Response To Imposed Flow Transformations). University Of Eduordo Mondlane. Maputo, Mozambique. Chenje, M. (Ed) (2000).State Of The Environment 2000. Zambezi Basin.SADC/IUCN/ZRA/SARDC 2000.Maseru/Harare/Lusaka. Chidumayo, E.N. (2011). Climate Change And Wildlife Resources In East And Southern Africa. In: Emmanuel Chidumayo, E., Okali, D, Kowero, G. and Mahamane, L. (eds.), Climate change and African forest and wildlife resources. African Forest Forum, Nairobi. Denconsult (1998).Sector Studies Under ZACPLAN, Introductory Volume, Final Report. Zambezi River Authority. Lusaka, Zambia. Euroconsult Mott Macdonald (December 2007). Integrated Water Resources Management Strategy For The Zambezi River Basin. SADC-WD/Zambezi River Authority, SIDA, DANIDA, Norwegian Embassy, Lusaka. Government Republic Of Zambia (2006,) ‘Vision 2030’. A Prosperous Middle-Income Nation By 2030. Government Republic Of Zambia (2011) National Health Strategic Plan 2011-2015, Towards Attainment Of Health Related Millennium Development goals And Other National Health Priorities In A Clean, Caring And Competent Environment, Government Republic Of Zambia. Government Republic Of Zambia (2011) Sixth National Development Plan 2011-2015, Sustained Economic Growth And Poverty Reduction, Government Republic Of Zambia. Henkbecker (1997), Social Impact Assessment, Social Research Today Vol. 10, UCL Press. Http://Go.Worldbank.Org/WTA1ODE7T0 Http://Scholar.Google.Com/Scholar?Q=Interorganizational+Committee+Guidelines+Principles+Social+ Impact&Hl=En&As_Sdt=0&As_Vis=1&Oi=Scholart&Sa=X&Ei=Xlhmuomrlmup0axvx4ey&Ved=0CC4Qg QMwAA Http://Www.Afdb.Org/En/Documents/Project-Operations/Environmental-And-Social-Safeguards- Policies-And-Procedures/#C Jonathan Timberlake (February 1998). Biodiversity Of The Zambezi Basin Wetlands – Review And Preliminary Assessment Of Available Information Phase 1 Final Report. IUCN-ROSA - Harare, Zimbabwe. Ministry Of Agriculture And Cooperatives (2010) (Unpublished) Irrigation Development And Support Program Environmental And Social Management Framework. Ministry Of Agriculture And Livestock (2011), Livestock Development And Animal Health Project, Environmental And Social Management, Framework, Volume I, Government Republic Of Zambia. Ministry Of Environment And Natural Resources (1993) National Biodiversity Strategy And Management Plan, Government Republic Of Zambia. Ministry of Finance Zambia: Strategic Programme for Climate Resilience (PPCR), 2011 Ministry Of Tourism Environment And Natural Resources (2007) (Unpublished) Formulation Of The National Adaptation Programme Of Action On Climate Change, Government Republic Of Zambia.

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Ministry Of Tourism Environment And Natural Resources (2010) National Climate Change Response Strategy, Government Republic Of Zambia. Mukelabai Ndiyo & Mwase Phiri In Consultation With FAO (2010). Livelihood Zones Analysis – A Scenario For Agricultural Water Management Interventions. Farming Systems Association Of Zambia (FASAZ), Lusaka, Zambia. Government Republic Of Zambia National Climate Change Response Strategy (2010) National Heritage Conservation Commission (2012) (Unpublished) The Barotsecultural Landscape Application For Inclusion On The World Heritage List, Barotseland Cultural Landscape Nomination Dossier. Patriotic Front (2011) 2011 - 2016 Manifesto

Government Republic Of Zambia. The Environmental Management Act, 2011.

Government Republic Of Zambia. The Forests Act, Cap. 199

Government Republic Of Zambia. The National Heritage Conservation Commission Act, Cap 173.

Government Republic Of Zambia. The Water Resources Management Act, 2011

Government Republic Of Zambia. The Zambezi River Authority Act, Chapter 467 Of The Laws Of Zambia

Government Republic Of Zambia. The Zambia Wildlife Act Of 1998

Transfrontier Conservation Consortium (October, 2006). Pre-Feasibility Study Of The Proposed Kavango-Zambezi Transfrontier Conservation Area – Final Report. Peace Parks Foundation, South Africa.

Turpie, J., Smith, B., Emerton, L., & Barnes, J. 1998. Economic Value Of The Zambezi Basin Wetlands. Phase 1 Report. IUCN-ROSA, Harare.

Vanclay Frank (2002) Conceptualising Social Impacts, Environmental Impact Assessment Review 22 183– 211, Elsevier Science Inc.

Walmsley, B And Tshipala, K.E (2007) ‘Handbook On Environmental Assessment Legislation In the SADC Region. Published By The Development Bank Of Southern Africa In Collaboration With The Southern African Institute For Environmental Assessment, Midrand, 420pp.

World Bank (2004) (An Unofficial Document) World Bank safeguard Policies overview

World Bank (2011) Social Resilience &Climate Change: Operational Toolkit

World Wide Fund For Nature (July, 2012). Miombo Eco-Region Programme Conservation Strategy For 2011 – 2020. WWF, Harare, Zimbabwe.

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Zambezi River Authority (Unpublished) Integrated Water Resources Management Strategy And Implementation Plan For The Zambezi River Basin.

Zambia Vulnerability Assessment Committee (2007) Poverty And Vulnerability Assessment Report.

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ANNEXES

ANNEX I: FIELD APPRAISAL METHOD AND GUIDANCE

Strategic Assessment and Framework (SAF) for

Strategic Program for Climate Resilience of Zambia (PPCR)

These assessments are to cover planned projects, development sites and areas with climate impacts. GPS positions and photographs are needed from all sites. Knowledgeable district representative (such as DACO) and / or community member is needed to provide local background information of the social and environmental aspects in the site assessment.

The aim is to assess

1) Selected sites for Canals and Roads under PPCR Component 2

- Site assessment and transect along the project site

2) Sites for suggested village development based on district and/or community meeting

- Site visit & assessment

3) Sites for known impacts of weather based on community meeting

- Site visit & assessment

This Site Assessment has been designed for site assessments for collecting data and information in the field for assessing the actual sites of

 Currently known PPCR investment projects for roads and canals (in PPCR Climate Resilience Infrastructure Component)

 Locations for community development projects identified in the district meeting and/or community participation that are suited for PPCR implementation (PPCR Participatory Adaptation Component)

 Sites identified by the district or community participation as having the most severe weather impacts

The aim of the assessment is to describe the sites and identify environmental impacts, social impacts and climate change vulnerability of the site in question that are used in for setting the Environmental and Social Management Framework. The developed method is also testing the checklists developed for the assignment.

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The form is aimed also at assist project implementers, reviewers and consultants in collecting more information on major environmental and social risks and opportunities in the sites. In addition, it will contribute to the site specific information collection of Geographic Hotspots of High Environmental and Social Sensitivity as well as determination of requirements for further environmental work in relation to WB and AfDB Safeguard Policies, national legislation requirements and social work (such as RAP) as necessary. The form serves in collecting information of site specific characteristics, identifying potential environmental and socio-economic impacts requiring specific attention, mitigation measures and/or possible resettlement and compensation.

GUIDELINES FOR FIELD APPRAISAL

The evaluator should undertake the assignment after:

1. Having held the district meeting with DACO and disaster management committee for identifying areas

2. Gaining adequate knowledge of baseline information of the area.

3. Gaining knowledge of proposed development, community development ideas or climate impacts of the site

PLEASE NOTE PART C IS FILLED IN OFFICE, NOT IN THE FIELD.

PART A: GENERAL INFORMATION OF THE SITE

Name of Site: Name of Community:

GPS Coordinates (taken when error margin Date of Field Assessment: 10 m) S: E: Name of District: Way Point Number: Time: Project Type: Development Project suggested by district or community: Yes/No, name: (see also PPCR project list) Site Identified as impacted by weather by Private Sector Engagement Needed or community, which community: Beneficial: Yes, No

Proposed Main Project Activities: Notes on Required Skills / Capacity Community: District: Private Sector Services:

Name of Surveyor: Estimated project costs (ZMK), provide How many photos taken: breakdown if possible:

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Name of Site: Name of Community:

DESCRIPTION OF PROJECT SITE CHARACTERISTICS 1. General description of the site

Specific geographical or site-specific features of the site (e.g. if the site is a dambo, flood plain, has ground water influence, has slopes, if there are any signs of erosion) :

Main uses and climate relevance of the site (if community is using for water, irrigation, grazing etc. and what are the weather caused problems such as floods):

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PART B: SITE AND IMPACT APPRAISAL

AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures 1. Are the project Extent or coverage (on Significance site/activity within and/ or site, within 1km or (Low, will it affect the following beyond 1km) Medium, environmentally sensitive High) areas? N Y On- Within Beyond 1 L M H site 1 km km 1.1 National parks and game reserve

1.2 Wetlands including dambos 1.3 Productive traditional agricultural/gra zing lands 1.4 Areas of high biodiversity or with rare or endangered flora or fauna 1.5 Areas with outstanding scenery/tourist site 1.6 Within steep slopes/mountai ns How steep slopes:______% and where

Estimate by using how many meters elevation per 100 meters.

1.7 Arid or semi- arid vegetation Dry tropical forests such as miombo Brachsystegia species 1.8 Along lakes, aquifers, riverine

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AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures 1.9 Near industrial activities 1.10 Near human settlements 1.11 Historic, archaeological, sacred or cultural heritage sites 1.12 Near ground water or ground water influenced 1.13 Within prime ground water recharge area 2. Does the site suffer from Extent or coverage (on Significance / project generate the site, within 1km or (Low, following beyond 1km) Medium, externalities/costs High) /impacts? N Y On- Within Beyond 1 L M H site 1 km km 2.1 Deforestation 2.2 Soil erosion and siltation 2.3 Siltation of watercourses, dams 2.4 Environmental degradation from smallholder agricultural improvement or of feeder roads rehabilitation/ construction materials 2.5 Damage of wildlife species and habitat (sites of specific importance for wildlife) 2.6 Pollution from pesticides 2.7 Reduced water quality 2.8 Soil contamination

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AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures

2.9 Loss of soil fertility or soil erosion 2.10 Influence in water treatment 2.11 Reduced flow or availability of water 2.12 Depletion of water resource 2.13 Incidence of flooding 2.14 Changes in migration patterns of wild animals 2.15 Introduce alien plants and animals 2.16 Increased incidence of plant and animal diseases 3.0 SURVEYING CRITERIA FOR SOCIAL AND ECONOMIC IMPACTS Will the implementation and operation of the Short description of Estimation Potential Mitigation Measures project activities within impact of Impact the selected site generate the following socio- economic costs/impacts? N Y L M H 3.1 Loss of land/land acquisition for traditional use (e.g. settlement, farming, grazing land) 3.2 Loss of assets, property, houses, agricultural produce etc 3.3 Loss of culturally significant sites, e.g. graveyards, monuments

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AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures 3.4 Loss of livelihoods (if yes, specify which groups are affected and how) 3.5 Require a RAP 3.6 Outsiders will move to / settle in the area, e.g. settlers or migrant workers disruption of social fabric 3.7 Negative impacts anticipated from new settlers / migrant workers. What kind? 3.8 Increased incidence or other negative change in communicable diseases 3.9 Likelihood of increased spread of HIV/AIDS

3.10 Health hazards to workers and/or communities 3.11 Changes in human settlement patterns 3.12 Conflicts over use of natural resources e.g. water, forest, etc. Specify which ones. 3.13 Conflicts on land ownership 3.14 Disruption of important pathways,

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AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures roads 3.15 Changes to labour markets 3.16 Loss of cultural identity and/or sense of community 3.17 Loss of income generating capacity 3.18 Loss of business or other commercial venture

3.19 Impact on women (note, can be positive or negative) 3.20 Impact on youth (note, can be positive or negative)

3.21 Impact on vulnerable groups: extreme poor, disabled (note, can be positive or negative)

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NOTE: PART C BELOW IS TO BE FILLED IN OFFICE

PART C: ENVIRONMENTAL BASELINE INFORMATION OF THE PROJECT SITE

CATEGORY OF BASELINE INFORMATION BRIEF DESCRIPTION GEOGRAPHICAL LOCATION  Name of the Area (District, T/A, Village)  Proposed location of the project (Include a site map of at least 1:10,000 scale) LAND RESOURCES  Topography and Geology of the area  Soils of the area  Main land uses and economic activities WATER RESOURCES  Surface water resources (e.g. rivers, lakes, etc) quantity and quality  Groundwater resources – quantity and quality) BIOLOGICAL RESOURCES  Flora (include threatened/endangered/endemic species)  Fauna (include threatened/endangered/ endemic species)  Protected areas (e.g. national parks and forest reserves)  Sensitive habitats (including protected areas e.g. biodiversity hotspots, fish breeding areas and botanical reserves) CLIMATE  Temperature  Rainfall  Start and end of rainy season (length of dry season)  Intra-seasonal variability in rainfall

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PART D: DESCRIPTION OF THE PROPOSED PROJECT ACTIVITIES BASED ON SITE CHARACTERISTICS

1. Provide information on the type and scale of the construction/rehabilitation activity (e.g. area, land required and approximate size of structures) that is feasible. Define the characteristics that are specific to the site affecting the activity implementation.

2. Provide information on the agricultural improvement and/or rural construction/improvement activities that are considered suitable for the site including support/ancillary structures and activities required to build them, e.g. need to quarry or excavate borrow materials, water source, access roads etc.

3. Describe how the agricultural and/or construction/rehabilitation activities will be carried out. Include description of support/activities and resources required for the project activities.

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ANNEX 2: BRIEF DESCRIPTION OF THE SELECTED CANALS UNDER THE PPCR

CANAL Length/Width/ Main Function(s) Navigability Major Problems Possible Solutions Economic Potential Depth Muoyowamo L: 28km - Used for Kuomboka - Good – the - Passage along Canal is - Control of sand erosion - High tourist potential which can be W: 3-30 Metres ceremony; canal has been completely blocked by on road which is north extended beyond the two main D:30cm- - Drainage of dredged the small culverts east of the traditional ceremonies of recently where it intersects with Nayumahabour Kuomboka (movement from Nalolo 5Metres agricultural fields during particularly the Mongu-Kalabo - Construction of sand in the plain to Limulunga on the floods/irrigation of close to Road – road traps Plateau) and Kufuluhela fields Nayuma construction needs to - Construction of gates (movement from Limulunga on the - Navigation Harbour at take this into account. to control flows and Plateau to Nalolo in the plain) e.g. Limulunga - Sand siltation especially levels of water at tours can be conducted throughout where the near Nayumahabour, Limulunga the year as this is linked to the Litunga has his Limulunga - Regular canoe traditional museum at Limulunga Winter Palace - Low water levels near maintenance - Can support Nayuma programme motorised boats Lubitamei L: 87km - Drainage - Narrow - Has not been regularly - Vegetation control - Provides crucial link between Usha W: 3 Metres - Agriculture - Canoe traffic maintained in last few through Machine in the north east and the rest of D:30cm- - Fishing years dredging (once year) canal network which can spur - complemented by agricultural productivity 1Metre Sometimes clogged with vegetation during regular hand-clearing and after floods (2-3 times and year - Construction of sand traps - Prevention of sand erosion Ng’ombala L: 44 km - Transport - Narrow - Has been hand-cleared - Vegetation control - Provide a short link between canal - Drainage - Canoe traffic recently but still through Machine network and the main Zambezi Draft_ PPCR Environment and Social Management Framework_Dec.2012 Page 115

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CANAL Length/Width/ Main Function(s) Navigability Major Problems Possible Solutions Economic Potential Depth W: 3Metres - Fishing clogged with dredging (once year) D:30cm-3 vegetation complemented by Metres regular hand-clearing (2-3 times and year - Control of sand erosion - Construction of sand traps Musiamo L: 131 km - Drainage - Narrow - Has not been - Control of sand erosion - Apart from supporting W: 3 Metres - Agriculture - Canoe traffic maintained in last few - Vegetation control agricultural/farming activities, this D:30cm-3 - Fishing years through Machine canal can provide a vital link from - Limulunga, through Mongu Metres Clogged with dredging (once year) vegetation in several complemented by (Mulamba) places, making it regular hand-clearing impossible to navigate (2-3 times a year Fisheries L: 10 km - Drainage - Good for most - Sustaining water flows - Vegetation control - This is already proving to be a W: 3-30 Metres - Agriculture parts is difficult e.g. canoes through Machine shorter link between D:30cm-3 - Fishing - Was dredged cannot reach the new dredging (once year) Namshakende where a new mini-harbour which is complemented by mini harbour is already under Metres - Transport recently (April- May 2012) under construction at regular hand-clearing construction and the main - Can support Namushakende (2-3 times and year Zambezi motorised - Control of sand erosion boats - Construction of sand traps

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ANNEX 3: INITIAL LIST OF PROJECT PROTOTYPES BASED ON LIST OF PPCR ELIGIBLE PROJECTS

Agriculture and Livelihood Support(incl. sustainable land use management, forest & grassland management, agricultural diversification and commercialization)  Conservation agriculture and agro-forestry  Soil conservation measures  Beekeeping  Support to NTFP harvesting, usage and marketing  Grazing management and pasture improvement  Increased cultivation areas for climate resilient crop varieties  Increased proportion of climate resilient livestock or increased livestock variety  Increase of sustainable agricultural practises incl. broader variety of crops, livestock and NTFP  Commercialization of small scale production

 Constructing and locating Post Harvest Processing or Storage Facility for agro- products and / or NTFP, What:

 Constructing and locating animal shelters  Constructing and locating abattoirs  Constructing and locating animal transport facilities for land or water transport  Constructing and locating market / trade centers for NTFPs, livestock and crops  Construction of small fish ponds Disease Control and Early Warning

Early warning system of livestock and fish diseases through information & veterinary centers / supply of services AND Early warning system of waterborne diseases through information & health centers / supply of services

 Construction of telecommunication centers in communities  Major rehabilitation of existing centers (health care, schools etc. for enhanced communication)  Minor rehabilitation (health care, schools etc. for enhanced communication)  Supply of medical equipment & utilities  Construction of telecommunication cabling / large antennas  Installation of smaller, local telecommunication antennas

Possible Supporting Projects

 Construction and locating livestock shelters  Construction of medical waste disposal facilities

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 Construction of waste pits Water Supply, Sanitation and Regulation  Community water harvesting structures  Community water storage structures  Construction and locating sanitary enhancing latrines  Sanitary planning / rehabilitation of boreholes or springs

 Construction of local water regulation structures (flood gates, weirs, small dams)  Construction of flood walls / embankments  Construction of gabions or other stabilization / erosion prevention engineering structures  Dredging, drainage ditching or creating cut-off channels for altering water flow  Construction of small scale irrigation canals

 Construction and locating water pumping stations for irrigation / local flood control  Construction of ponds / channel series for water retention, storage and directing runoff  Construction of small waste water treatments  Rehabilitation of existing canals and dams  Rehabilitation of wetlands  Artificial extension of wetland area through engineering for enhanced water retention / support to local livelihoods  Construction of new storm drains  Rehabilitation of flood control barriers  Vegetation planting for flood control

Social Amenities and Infrastructure with Climate Resilience

 Construction of community facilities and centers (health care, school) with climate resilient standards and materials  Construction of new accession road with climate resilient standards and materials  Constructing and locating of new bridge(s) incl. climate resilient standards and materials  Construction of new water way / channel with climate resilient standards and materials  Construction of new sports venue or recreational area with climate resilient standards and materials  Major rehabilitation of main structure based on climate resilient standards and materials  Health care  School  Accession road  Water way / channel  Bridge

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 Sports venue  Recreational area, what:  Minor rehabilitation of infrastructure based on climate resilient standards and materials  Health care  School  Accession road  Water way / channel  Bridge  Sports venue  Recreational area, what:  Construction of market place / trade center  Sports or recreational facility  Establishment of safety or escape route Projects Aimed at Private Sector Engagement Out Grower Scheme Project

 Improved local infrastructure(s), describe the infrastructures:

to improve access to markets in (describe where):

 Contract farm area ha for ______ha ______crops ______ha ______crops ______ha ______crops

 Storage or other post-harvest processing facilities, what:

Tick the correct one Micro Financing / Weather Insurance / Cottage Industry Support Project

 Needed local structures, infrastructure(s), facilities or Information, Telecommunication and Computing (ITC), describe what:

 Construction of structures / facilities / infrastructure, what:

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 Major rehabilitation of structures / facilities / infrastructure, what:

 Minor rehabilitation of structures / facilities / infrastructure, what:

Community Preparedness and Adaptation Projects  Vulnerability and climate risk / hazard mapping  Housing project to live with floods (such as houses elevated by poles), describe what:  Transport project to live with floods (such as increased boat production or water traffic), describe what:

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ANNEX 4: PROJECTS AND SKILLS IDENTIFIED BY COMMUNITIES

District Community Projects considered most important Other Skills for development projects projects Mongu Namushakende 1. Support to agricultural Animal Animal Husbandry diversification husband Entrepreneurship skills 2. Disease Control ry Agricultural Skills 3. Social Amenities Promotion Banking 4. Infrastructure development of Environment and health 5. Private Sector Driven Finance renewa 6. Reinforcement of early warning ble systems energy 7. Sustainable Land management Road 8. Water Supply and Sanitation develop ment Shang’ombo Kabula 1 & 2 1. Water Supply and sanitation 2. Disease control 3. Infrastructure 4. Enhance private Sector driven financing 5. Support to agriculture diversification 6. Sustainable land management Senanga Lukanda 1. Support to agricultural Promotion Machine operating skills, diversification of Improved farming and 2. Water Supply and Sanitation renewa aquaculture 3. infrastructure ble production skills 4. Private Sector Driven Finance energy Livestock management 5. Disease Control Animal Beekeeping husband Horticulture skills ry Agro processing Fish farming value chain Sesheke KalobolelwaNakakwa 1. Support to agricultural Mechanical operating diversification skills 2. Water Supply and Sanitation Growing Climate resilient 3. Sustainable Land management crops 4. Disease control 5. Enhance private Sector driven financing 6. Reinforcement of community early warning systems 7. Infrastructure development Itezhitezhi Masasabi 1. Water Supply and Sanitation Health Water maintenance and 2. Infrastructure facilities supply 3. Support to agriculture and Agricultural Skills diversification and services commercialization 4. Disease control 5. Enhance private Sector driven financing

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District Community Projects considered most important Other Skills for development projects projects Namwala Showgrounds 1. Water Supply and Sanitation Borehole operation 2. Support to agriculture Agricultural practices diversification Road and drainage 3. Infrastructure maintenance 4. Disease Control Livestock management 5. Sustainable Land management Crop diversification 6. Social Amenities Solwezi Tundula 1. Sustainable Land Management Climate Conservation Farming 2. Water supply and Sanitation resistan Water harvesting 3. Enhance private sector driven t houses Livestock management finance Operation and 4. Support to agriculture maintenance of diversification and water wells commercialization 5. Infrastructure Mufulira Murundu 1. Forest, grassland management and Animal Entrepreneurship afforestation husband 2. Sustainable Land Management ry 3. Enhance private sector-driven finance 4. Infrastructure 5. Support to agriculture diversification and commercialization Lufwanyama Mwelushi Block 1. Infrastructure development Animal Livestock management (Lumpuma) 2. Water supply and sanitation husband 3. Support to agriculture ry diversification and commercialization 4. Enhance private sector-driven finance 5. Sustainable Land Management

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ANNEX 5: SIGNIFICANCE RATING TABLE FOR ENVIRONMENTAL AND SOCIAL IMPACTS

I. ENVIRONMENETAL IMPACTS Impact characterization

Type Effect Duration Change Spatial extent Baseline Change

No.

Term

Beneficial Adverse Direct Indirect Shortterm Medium Term Long Reversible Permanent Localised National Regional Low Moderate High

ENVIRONMENT IMPACTS FROM IMPROVEMENT OF CANALS IN THE

BAROTSE SUB-BASIN 1. Clearing of Vegetation x x x x x x x

2. Soil and Land Degradation x x x x x x

3. Wildlife disturbances x x x x x x

4. Exposure to Agro-Chemicals x x x x x x x (fertilisers/pesticides) 5. Loss of fragile ecosystems x x x x x x

6. Water Quality x x x x x x

ENVIRONMENT IMPACTS FROM CLIMATE RESILIENT

INFRASRUCTURE IN THE KAFUE SUB-BASIN (ROADS) 7. Clearing of Vegetation x x x x x x x 8. Soil and Land Degradation x x x x x x 9. Wildlife disturbances. x x x x x x 10. Loss of fragile ecosystems. x x x x x x 11. Ambient air quality x x x x x X 12. Water Quality x x x x x x 13. Temporary Visual Intrusion x x x x x x 14. ENVIRONMENT IMPACTS FROM PPCR SUB-PROJECTS IN THE BAROTSE AND KAFUE SUB-BASINS 15. Clearing of Vegetation x x x x x x x

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Impact characterization

Type Effect Duration Change Spatial extent Baseline Change

No.

Term

Beneficial Adverse Direct Indirect Shortterm Medium Term Long Reversible Permanent Localised National Regional Low Moderate High

16. Soil and Land Degradation x x x x x x 17. Wildlife disturbances. x x x x x x 18. Exposure to Agro-Chemicals x x x x x x x (fertilisers/pesticides) 19. Loss of fragile ecosystems. x x x x x x 20. Effluent and Solid Waste (esp. in settlements due to increased x x x x x x populations) 21. Water Quality x x x x x x

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II. SOCIAL IMPACTS Impact characterization

No.

Type Effect Duration Change Spatial extent Baseline Change

al al ter m Ter m Ter m le nt d e

Benefici Adverse Direct Indirect Short Medium Long Reversib Permane Localise National Regional Low Moderat High

SOCIAL IMPACTS FROM IMPROVEMENT OF CANALS IN THE

BAROTSE SUB-BASIN 1. Loss of assets or access to assets x x x x x x

2. Loss of access to natural and cultural x x x x x x heritage sites 3. Disruption of canal access x x x x x x

4. Human health and safety x x x x x x

5. Impacts of canal alignment and dredging on fishermen, farmers or other x x x x x x x

stakeholders 6. Employment opportunities x x x x x x x 7. Improvement in livelihoods and local x x x x x x economies 8. Conflicts over natural resources (water, land x x x x x x and grazing lands) SOCIAL IMPACTS FROM CLIMATE RESILIENT INFRASRUCTURE IN THE KAFUE SUB-BASIN (ROADS) 1. Loss of assets or access to assets x x x x x x

2. Loss of natural and cultural heritage. x x x x x x

3. Disruption of footpaths (borrow pits) x x x x x x

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Impact characterization

No.

Type Effect Duration Change Spatial extent Baseline Change

al al ter m Ter m Ter m le nt d e

Benefici Adverse Direct Indirect Short Medium Long Reversib Permane Localise National Regional Low Moderat High

4. Human Health and Safety x x x x x x

5. Impacts of road upgrading activities on local x x x x x x communities and other stakeholders 6. Noise x X x x x x

7. Social misdemeanour by road x x x x x x improvement/construction workers 8. Employment opportunities(incl. incomes x x x x x x from improved market access) 9. Improvement in livelihoods and local x x x x x x x x economies 10. Conflicts over access to natural resources x x x x x x (water and Grazing lands) SOCIAL IMPACTS FROM PPCR SUB- PROJECTS

IN THE BAROTSE AND KAFUE SUB-BASINS 1. Loss of assets or access to assets x x x x x x

2. Loss of natural and cultural heritage. x x x x x x

3. Employment opportunities x x x x x x x

4. Improvement in livelihoods and local x x x x x x x x economies 5. Conflicts over natural resources (water and x x x x x x grazing lands)

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ANNEX 6: RESOURCE SHEETS - Important environmental services (e.g. control of erosion, recharge groundwater) - Livelihood of indigenous peoples C14.1: SMALL-SCALE ANIMAL HUSBANDRY - Vulnerable to the pressures of population growth, landlessness and economic development - Sustainability: cleared moist tropical lowland forest areas are likely Scope of Projects unsustainable for animal production and susceptible to irreparable land degradation Small-scale animal husbandry can be on a commercial basis using intensive stall-fed  Vulnerability of arid and semi-arid (marginal) lands to overgrazing and soil erosion operations, extensive rangeland grazing, or a mixture of the two. It can also involve mixed  Areas supporting critical habitats or rare, ecologically or commercially/domestically farms, traditional pastoral systems or nomadic herding. A variety of animals may be important plants and animals included: cattle, sheep and goats for meat or milk; pigs, poultry and other farmyard  Other areas of special concern, officially designated or recognized nationally and/or animals; camels and draught animals. Land, a supply of feed and water, and often internationally buildings and fencing are required. It can involve farming equipment that must be fuelled,  Environments already significantly degraded maintained and operated. Cultivating feed may entail the use of agro-chemicals  Soil structure and productivity (fertilizers, herbicides and pesticides), and drugs may be used in maintaining animal health. - Vulnerable to inappropriate stocking, stocking densities or extended grazing Products include meat, milk and hides as well as manure and liquid waste. Manure, liquid periods waste and agro-chemicals may be washed into ground or surface waters. - Soil improvement with manure

 Wildlife Environmental Concerns - Competition for natural fodder - Persecution and hunting of wildlife by farmers  Water bodies and hydrology Human Environment - Change in infiltration and runoff rates, overall volumes, and timing - Degradation of water quality through erosion and release of agro-chemicals  Human settlements near the project  Existing land uses to be displaced/converted (e.g. forestry reserves, recreational areas)  Human health - Animal pests and diseases transmitted to humans in the water supply, insects, MITIGATION MEASURES edible vegetation, and directly 8.7.6.1 Potential - Chicken, pigs and other animals close to households  Animal production using wastes (crop by-products and residues) Environmental Effects  Sensitivity of local population - Land tenure system Human Environment - Security of livelihoods  Human health hazards  Collect and store manure for - Traditional livelihoods (e.g. tribal people) - Introduction of diseases to composting and later application - Cultural values humans and contamination of to fields - Gender division of labour water supplies for human use  Keep manure and urine away from Natural Environment by animal manures and urine household areas and water bodies - Pollution and environmental  Consider using a bio-gas system disruption from inappropriate  Provide protective clothes to  Forests and wilderness areas (areas relatively undisturbed by human development) use of agro-chemicals minimize danger to field workers proposed to be cleared to create grazing land applying agro-chemicals - Habitats for indigenous animal species  Avoid overuse of fertilizers - Number and variety of plant and animal species  Apply herbicides and pesticides at

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MITIGATION MEASURES MITIGATION MEASURES 8.7.6.1 Potential 8.7.6.1 Potential Environmental Effects Environmental Effects recommended times and doses  Consider integrated pest Water Points management  Degradation or depletion of  Place water points strategically to

 Transformation of indigenous vegetation and soil around water spread the effect  Comprehensive community (sometimes communal) tenure points  Develop many small-capacity water systems and organizations participation and attention to  Too much use of surface and sources rights and needs of all groups groundwater sources results in  Control use of water points (animal

reductions in surface flow and the numbers and time of year) Soil and Vegetation water table  Fence off permanent water  Degradation of vegetation due to  Limit animal numbers  Lowering of the immediate water sources when temporary pools and - Too many animals and  Control length of grazing time and table and degradation of local streams are available overgrazing, possibly as a result succession of use on particular vegetation through drilling wells and  Limit well capacity by choice of of stock improvement areas use of boreholes technologies (e.g. handpumps or measures - Rotational grazing  Aggravation of the effect of buckets instead of motor pumps) - Excess harvesting of fodder - Development of dry-season droughts through poor planning, and forage resources grazing areas and grazing placement, management and control - Decrease in favoured fodder reserves of water points species and increase in inedible  Mix animal species to maximize use weedy species of vegetation resources Water Quality  Increased soil erosion due to  Reseed and produce fodder  Increased muddiness of surface  Use biological pest controls before - Clearing and degradation of  Use cut-and-carry feed from water courses due to soil chemical controls to reduce adding vegetation elsewhere disturbances from grazing and toxic residues to the environment - Trampling and loosening of soil  Restrict animal access to unstable increased soil erosion  Choose agro-chemicals that are - Animal paths scarring hillsides areas (e.g. by defining and fencing-  Contamination of surface and species-specific, with short active and triggering erosion, off critical slopes) groundwaters -- and negative effects period and low impact on other sediment-laden runoff and,  Use soil erosion control measures on wildlife, vegetation, crop yields, plants possibly, gully formation (e.g. reforestation, reseeding of aquatic ecology and wildlife -- by  Choose appropriate spraying  Increased rapid runoff due to grasses, land preparation, agro-chemicals used to control pests measures and timing to minimize - Vegetation clearing terracing) and diseases water pollution - Soil compaction diminishing  Contamination of water supplies  Fence off waterbodies from infiltration capacity from leaching or runoff of animal grazing animals

urine and manures

Wildlife  Displacement or reduction of wildlife  Plan and implement range  Deterioration of soil fertility and populations by loss of habitat management strategies (choice of physical characteristics due to  Disruption of migratory stop-over species, animal numbers, grazing - Removal of vegetation points areas) that minimize adverse - Increased erosion  Competition for food and water effects on wildlife and avoid - Soil compaction resources excessive competition

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MITIGATION MEASURES MITIGATION MEASURES 8.7.6.1 Potential 8.7.6.1 Potential Environmental Effects Environmental Effects  Increased poaching and killing of  Rehabilitate degraded areas nearby  wildlife considered as pests or as wildlife habitat National environmental standards and controls concerning the use and predators to animals, or as human  Investigate management of wildlife 8.8 Pollution application of agro-chemicals food sources ranching which will help protect  Concentrations of pollutants in air  Alternatively, internationally  Introduction of diseases to wildlife wildlife resources and surface and groundwaters recognized standards (e.g. World  Consider wildlife ranching, tourism  Concentrations of suspended Health Organization) and controlled hunting as sediments in surface waters alternatives to animal production  Noise levels

Environmental Health  Variety and numbers of plant, animal and bird species (degree of biodiversity)  Extent of critical habitats

8.9 Human Wellbeing Animal Processing  Incidence of human and animal  Degradation of surface waters by  Liquid and solid waste disposal or illness or disease effluents with high biochemical treatment to prevent  Poverty levels oxygen demand (BOD), chemical contamination of water supplies by oxygen demand (COD), and effluent from tanneries, abattoirs suspended and dissolved solids and other animal processing Sources:  Introduction of diseases to humans facilities through bacteria in discharge  Proper management of animal effluent processing facilities to reduce EC Sectoral Environmental Assessment Sourcebook (1993)  Land degradation through health impacts inappropriate disposal of solid - Institute hygienic work World Bank Environmental Assessment Sourcebook (1991) wastes on- or off-site practices Field Guidelines for EA of Rural Credit Loans in Viet Nam (2000)  Damage to aquatic ecosystem and - Ensure adequate refrigeration water supply quality from equipment - Clean machinery washing detergents - Implement an operational  Human health effects within the health and safety programme facility - Monitor for changes in - Unhygienichuman work health conditions and water - Spread ofquality animal diseases to humans  Attraction of predators and scavengers

ENVIRONMENTAL STANDARDS ENVIRONMENTAL QUALITY INDICATORS

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C14.2: Small Dams and Reservoirs - Altered timing, quantity, quality and temperature of downstream water flows, and thus the quantity and quality of aquatic habitats - Reduced nutrient-rich sediments in the released water Scope of Projects - Altered rates and locations of bed and bank erosion and deposition downstream Small dams and reservoirs can have many purposes, for example to provide water for  Reservoir area: irrigation, water supply and aquaculture, to control erosion or floods, and to generate - Conversion of aquatic species from those that require flowing water to those micro-hydro power. They may involve relatively low structures (weirs) to divert water to that need still water, and effects on dependent fisheries other uses without creating a reservoir. Higher structures raise water levels and flood land - Siltation of reservoir if erosion rates in the upstream watershed are high - Loss of important habitats and numbers and variety of aquatic species upstream, and can significantly alter the timing and perhaps temperature of downstream  Terrestrial environments: flows. The latter may require resettlement of people, land clearing, and the relocation of - Raised water table and lowered agricultural productivity beside the reservoir roads. Structures that divert water to other uses reduce downstream flows with MITIGATION MEASURES consequent effects on surface and groundwater hydrology, aquatic habitats, and water users. New roads to access dam and reservoir sites can have their own environmental 8.9.1.1 Potential effects (see Rural Roads resources sheet) Environmental

Even small dams can have complex and significant environmental effects. Planning Effects and design need to be comprehensive and thorough, and will likely involve specialists in a variety of fields (e.g. engineering, hydrology, aquatic ecology, soil and water conservation, 8.9.1.2 sociology, economics). 8.9.1.3 Human Environment ENVIRONMENTAL CONCERNS  Loss of productive land (e.g.  Consider alternatives to a new dam agriculture, grazing, forestry) and reservoir, for example:  Displacement of people and - Upgrading and renovating Human Environment families existing water supply and  Loss of local livelihoods irrigation systems  Human settlements above, in and below the dam and reservoir area: - Alternate locations and/or - flooding of homes, agricultural land, roads, and areas of traditional or cultural dispersed, smaller dams in less importance sensitive areas

- local livelihoods - Watershed improvement - downstream water uses such as irrigation, water supply and aquaculture program to enhance retention - traditional or commercial fisheries of precipitation in soils (see  Human health: below) - creating habitats for disease carriers such as mosquitoes and snails  Compensate for taken land and - increases in water-related diseases such as malaria, schistosomiasis (bilharzia), structures, and resettlement onchocerciasis (river blindness), dysenteries, fevers and worms (including re-housing, re-

 Increases in farm animal diseases establishment of livelihood activities, Natural Environment water and sanitation, training)

 Aquaticenvironments: - Blockage of fish migration and access to spawning areas; fish population  Avoid areas of significant economic or decreases downstream cultural value to local people  Ensure that downstream water users

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MITIGATION MEASURES MITIGATION MEASURES 8.9.1.1 Potential 8.9.1.1 Potential Environmental Environmental Effects Effects (e.g. water supply, irrigation,  Loss of natural areas, important  Avoid: livestock watering) are partners in habitats, and number and variety - Protected natural areas planning the dam and of species (biodiversity) - Critical habitats or areas with mitigation/compensation measures significant biodiversity (e.g. wetlands)

 Reduction of water available to downstream water users

 Assess state of the watershed, and 8.9.1.4  Threatened water source(s) for the reservoir (e.g. siltation, plan and implement appropriate evaporation losses) water conservation program, perhaps including: 8.9.1.5 Human Health - Watershed improvement  Creating habitats for disease  Assess the ecology of disease carriers measures (e.g. revegetation, carriers such as mosquitoes and in the watershed reforestation, afforestation, snails  Employ suitable prevention and controlled use) to reduce  Increases in water-related diseases mitigation measures, including erosion and increase infiltration such as malaria, schistosomiasis education of local people and of precipitation (bilharzia), onchocerciasis (river construction workers, e.g.: - Training to ensure effective blindness), dysenteries, fevers and - Ensure all construction sites, tending of improvement worms borrow pits and quarries are measures (e.g. watering, properly drained protection from grazing) - Finish and manage reservoir - Agricultural methods that margins for proper drainage maximize soil moisture - Vary the reservoir water level conservation (e.g. mulching, - Proper design and operation of terracing, contour cropping, dam spillways and gates (timing maintaining soil cover) and volume of discharges)  Monitor disease and public health indicators, during and after construction, and take corrective 8.9.1.6 Aquatic Environment measures (e.g. education, medical) as – River/Stream needed  Reduced or altered timing,  Ensure thorough analysis and

quantity, quality and temperature assessment of potential impacts to Natural Environment (General) of downstream water flows develop and plan, as part of the  Altered rates and locations of bed project, an acceptable combination and bank erosion and deposition of: downstream - water releases required to

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MITIGATION MEASURES MITIGATION MEASURES 8.9.1.1 Potential 8.9.1.1 Potential Environmental Environmental Effects Effects  Reduction in quantity and quality sustain habitats and fish of aquatic habitats and fish production production - habitat improvements to sustain  Reduction/loss of downstream production and fisheries subsistence or commercial - development assistance to fisheries people dependent on reduced fisheries

 Blockage of fish migration and access to upstream spawning areas  Consider alternate dam locations and  Clear vegetation from reservoir area by dam; decreases in fish possibility of fishway around dam before flooding

populations downstream  Train farmers in soil and water conservation, and in appropriate use of fertilizers

8.9.1.7  Deterioration of reservoir water 8.9.1.8 AquaticEnvironment from: - Decomposition of flooded - Reservoir vegetation  Conversion of aquatic species in  Assess fish production potential of - Nutrients in eroded soils and reservoir from those that require reservoir, and implement feasible agricultural fertilizers flowing water to those that need measures to enhance production (e.g. still water, and resulting effects on habitat design, stocking, aquaculture) 8.9.1.9 fishing activities  Provide development assistance to local people to benefit from reservoir fisheries 8.9.1.10 Terrestrial Environment  Raised water table around the  Project support to improve  Provide areas for bathing, laundering, reservoir, waterlogging and agricultural land drainage and and animal watering away from salinization of soils, and lowered production around reservoir reservoir agricultural productivity  Develop tolerant fodder and crop  Deterioration of reservoir water  Ensure local sanitation facilities do species around reservoir quality not release pollutants to surface or

groundwaters reaching the reservoir  Prevent livestock access to reservoir

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MITIGATION MEASURES Small irrigation schemes can serve a few families or an entire community. They can 8.9.1.1 Potential involve new irrigation for existing rain-fed agriculture, the development of uncultivated areas, and changes or expansions to existing schemes. Water may be pumped from lakes, Environmental ponds or underground, or be diverted from streams or rivers13. Pipes, channels or ditches Effects carry the water to farmers’ fields where it is distributed to crops by gravity on the soil surface, by hand, or by other means. ENVIRONMENTAL STANDARDS ENVIRONMENTAL QUALITY INDICATORS Irrigated agriculture involves complex soil-water-plant relationships, and should not be undertaken without thorough, informed planning, even at a small scale. While the  National legislation on protected benefits of irrigation can be obvious and impressive, the adverse environmental effects areas (natural, cultural and built 8.10 Pollution can be significant, long-term, and perhaps permanent. environments)  Fish deaths  National legislation on protecting  Concentrations of suspended The most significant environmental issues with small irrigation schemes concern natural resources (e.g. fish, sediments and contaminants (e.g. threats to human health and soil productivity. Health effects arise from stagnant water in wildlife, forest cover) pesticides) in surface waters and canals, ditches or fields that provide habitats for water-borne disease carriers. Losses of  International environmental reservoir soil productivity result from over-irrigation or poor soil drainage. These lead to conventions (e.g. heritage,  Reservoir oxygen levels waterlogging and salinization of the soils, and a reduction or complete loss of their wetlands) usefulness for cropping. Salinization is the build-up of mineral salts in the soil as water  National water quality standards Environmental Health evaporates from the soil surface. and controls  Degree of biodiversity (numbers of  National controls on use of plant, fish, animal, and bird species) in fertilizers, pesticides and the watershed ENVIRONMENTAL CONCERNS herbicides  Extent of critical habitats  Health and safety standards for Human Environment construction activities 8.11 Human Wellbeing  Incidence of human and animal illness  Concerns about: or disease  Community management relationships  Poverty levels  Land tenure system  Security of livelihoods  Gender division of labour  Health effects of water-borne diseases and infections, and agro-chemicals Sources:  Conflicting demands on surface or groundwater supplies Natural Environment Environmental Screening of NGO Development Projects for Small Dams / Reservoirs (CCIC 1990/91)  Groundwater supply for other crops and vegetation  Quality of surface and groundwaters receiving excess irrigation water; or drainage EC Sectoral Environmental Assessment Sourcebook (1993) carrying nutrients, agro-chemicals, salts and minerals  Soils:  Waterlogging  Salinization C14.3: SMALL IRRIGATION SCHEMES 13 For diversions, see Small Dams and Reservoirs resources sheet SCOPE OF PROJECTS

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 Erosion MITIGATION MEASURES  Wetlands affected by irrigation or drainage, and threats to their environmental services, biodiversity, and ecological productivity 8.11.1.1 Potential Environmental Effects

8.11.1.4 Human Health  Creating habitats in canals and  Assess ecology of disease carriers in MITIGATION MEASURES ditches for disease carriers such as the project area, and employ suitable mosquitoes and snails responsible prevention and mitigation measures, 8.11.1.1 Potential for spreading diseases such as e.g.: Environmental malaria and schistosomiasis - Site and orient water works, (bilharzia) fields and furrows to ensure Effects  Spreading infection and disease adequate natural drainage of through the inappropriate use of surface water irrigation canals for water supply, - Use lined canals and pipes to 8.11.1.2 bathing or human waste disposal discourage vectors  Health effects from improper - Avoid unsuitable gradients, and storage, handling, use or disposal creating stagnant or slowly 8.11.1.3 Human Environment of agro-chemicals (pesticides, moving water  Upsetting existing social and  Avoid sites that require: herbicides) - Construct straight or only economic community - Resettlement slightly curved canals management relationships, land - Displacement of other - Install gates at canal ends to tenure system, security of important land uses, or allow complete flushing livelihoods, and gender division of - Encroachment on historical, - Ensure adequate sub-surface labour cultural, or traditional use areas drainage of fields - Avoid over-irrigation  Locate and size irrigation schemes: - Maintain water works, and clear - Where water supplies are sediment and weeds, regularly adequate and the scheme will  Provide/ensure alternate facilities for not conflict with existing domestic water supply, bathing and human, livestock, wildlife or human waste disposal aquatic water uses, especially  Provide education and training for  Conflicting demands on surface or during dry seasons farmers and other community groundwater supplies - So that withdrawals do not members on: exceed “safe yield” from - Irrigation health risks groundwater resources - Efficient use of irrigation water  Encourage crops with lower water - Maintenance of irrigation and demands drainage works  Ensure effective community - Proper storage, handling, use organization for equitable and disposal of agro-chemicals distribution of water - Integrated pest management  Monitor disease/infection occurrence and public health indicators, and take

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MITIGATION MEASURES MITIGATION MEASURES 8.11.1.1 Potential 8.11.1.1 Potential Environmental Environmental Effects Effects corrective measures (e.g. physical  Erosion changes to irrigation scheme, education, medical) as needed

8.11.1.5 Soils 8.11.1.6 Water Bodies and  Waterlogging  Thoroughly assess project soils and their management needs under Aquatic Ecosystems irrigated agriculture  Loss or damage to wetlands and  Avoid their environmental services, - Locating irrigation schemes on  Apply water efficiently. Consider drip or dawn/evening sprinkler irrigation. biodiversity, and ecological or near important wetlands  Install and maintain adequate surface productivity - Developing irrigation water and sub-surface drainage sources that may reduce  Use lined canals or pipes to prevent wetland water supply seepage - Draining irrigated fields into wetlands

 Follow Soils mitigation measures  Avoid waterlogging (above) (above) to minimize risks of  Mulch exposed soil surfaces to waterlogging and salinization reduce evaporation  Use agro-chemicals appropriately  Flush irrigated land regularly (see Human Health above)  Reduced quality of surface and  Cultivate crops having high tolerance  Prevent surface drainage of fields into groundwaters receiving excess to salinity nearby water bodies (streams, ponds, irrigation water or drainage  Salinization etc.) (nutrients, agro-chemicals, salts and minerals)  Design and layout of furrows appropriately  Avoid unsuitable gradients ENVIRONMENTAL STANDARDS ENVIRONMENTAL QUALITY INDICATORS  Avoid over-irrigation  Install sediment traps in fields and canals to capture sediment for return  National legislation on protected

to fields areas (natural, cultural and built 8.12 Pollution  Minimum tillage, contour cropping, environments)  Water quality (nutrients, agro- terracing and other methods of  National legislation on protecting chemicals, salinity) in water supply conserving soil moisture natural resources (e.g. fish, and drainage canals, and wells wildlife, forest cover)  Physical and chemical properties of  International environmental irrigated soils protection conventions (e.g.

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heritage, wetlands) Environmental Health  National water quality standards  Environmental Concerns and controls Water table levels in project area  Rate of occurrence of disease carriers  National controls on storage, handling, use and disposal of agro- Human Environment chemicals 8.13 Human Wellbeing  Incidence of human and animal illness  Human settlements near the road or disease  Existing land uses (e.g. agriculture, grazing, forestry, recreation)  Poverty levels  Sites of cultural, religious or historical importance  Sensitivity of local people to: - Induced development and resource exploitation along the road - Public health consequences during construction and use of the road (e.g. STDs, Sources: TB) Environmental Screening of NGO Development Projects for Irrigation (CCIC 1990/91) - Capacity of local public infrastructure and services to support increased traffic, EC Sectoral Environmental Assessment Sourcebook (1993) travellers and induced development - Security of local and traditional livelihoods, and cash income generation

C14.5: Rural Roads Natural Environment Scope of Projects  Protected areas (e.g. nature reserves, parks) Rural roads can have substantial economic and social benefits. They can also have  Areas supporting: significant negative and long-term impacts. Many of these impacts can be avoided or  Critical habitats for rare or ecologically important species, or significant minimized through careful and comprehensive planning and design. Roads that involve biodiversity (e.g. wetlands) relocation of existing routes, or new access into previously inaccessible areas, can create  Commercially or domestically important species (e.g. fish, locally hunted particularly difficult impacts on communities and land use, both directly and indirectly. wildlife) Indirect impacts include the economic, social and environmental effects, whether planned  Wilderness areas (habitats for indigenous animal species) or spontaneous, induced by the improved access and lower transportation costs a road  Soil structure, stability, susceptibility to erosion creates. Such new roads and relocations are large projects beyond the scope of this  Surface water quality (e.g. rivers, ponds) resources sheet. CIDA-supported rural roads generally involve upgrading existing roads or tracks to improve access to markets, or to services such as health care or schools. They are usually built with local labour, are unpaved, and are narrower and can have tighter curves and steeper grades than highways. They may be all-weather or seasonal, and often include fords or ferries rather than bridges. Close management of construction work is important to avoiding most construction impacts. Adequate road maintenance is essential to avoid MITIGATION MEASURES environmental problems, and is often inadequate due to lack of funds or well-trained personnel. 8.13.1.1 Potential The most important direct impact of rural roads is typically erosion -- during Environmental construction and then operation. Because traffic intensity is low, air and water pollution and noise are generally not significant problems. Indirect impacts need to be considered, Effects but are unlikely to be as significant as those caused by new roads or relocations.

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MITIGATION MEASURES MITIGATION MEASURES 8.13.1.1 Potential 8.13.1.1 Potential Environmental Environmental Effects Effects

Human Environment

 Negative social and economic  Work with affected communities to  Minimize use of road-side herbicides  effects on local people and anticipate and plan for enhanced Health risks during road use due to communities, such as: access to and demand on local public herbicides used to control road-side weeds  Unplanned commercial infrastructure and services

development  Provide project funds to strengthen Soil and Vegetation  Demand for local public local public infrastructure and infrastructure and services services (e.g. health clinics, markets,  Loss of natural areas, important  Avoid infringing on: increases beyond existing schools) habitats, biodiversity  Protected natural sites and capacities  Avoid creating congested and unsafe wilderness areas  Disruption of traditional road conditions at intersections, and  Critical habitats or areas with lifestyles in villages and towns significant biodiversity (e.g.  Induced population movements and wetlands) natural resource exploitation  Landslides, slumps and slips activities, due to improved access (e.g. conversion of forest to  Avoid: pasture, or of sustainable land use  Areas of soil, slope or to unsustainable, short-cycle geological instability cropping; illegal or unsustainable  Unstable river crossing sites hunting)  Increased soil erosion leading to

sediment in runoff and, possibly, gully formation from:  Construction activities such as 8.13.2 Human Health grading, excavations, and  Social disruption during  Comprehensive community borrowing/quarrying  Design: construction (e.g. enhanced participation in construction  Inadequate design of culverts  Use surface drainage controls transmission of STDs and TB) planning and management and drainage controls and mulch on vulnerable surfaces  Education on avoiding  Inadequate maintenance of and slopes communicable diseases road surface, ditches,  Size and locate roadside drainage borrow/quarry sites, and and culverts to handle maximum drainage and erosion control anticipated flows measures   Assess ecology of disease carriers in Line receiving surfaces with road corridor, and employ suitable stones or concrete mitigation measures (e.g. proper  Locate and design borrow/quarry  Creation of stagnant water in drainage of construction areas and sites for erosion control during construction borrow pits and road sides, effective road road construction and future quarries, and on road sides, that maintenance) maintenance operations breed disease carriers  Construction:

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MITIGATION MEASURES MITIGATION MEASURES 8.13.1.1 Potential 8.13.1.1 Potential Environmental Environmental Effects Effects  Limit earth movement and soil blockages at culverts and bridges exposure to the dry season  Erosion of embankments and  Balance cut and fill for minimum roadside slopes deposition of earth  Provide sedimentation basins   Resurface and revegetate Ensure adequate maintenance of: exposed surfaces  Culverts and bridges   Ensure proper and timely Roadside slopes, drainage maintenance of erosion control and control measures and drainage measures along the road vegetation and at borrow/quarry sites  Road surface

8.13.3 Surface and 8.13.4 Animals and Groundwater Wildlife  Disruption of natural surface and  Minimize soil compaction and time  Blocked animal and wildlife  Avoid fencing across known animal subsoil drainage patterns, especially that soil surfaces are exposed movements and wildlife movement routes in flood-prone or wetland areas  Provide adequate surface drainage  Animal/wildlife road kills  Animal/wildlife crossing warnings,  Increased runoff from road surface control for both construction and nighttime speed limitations or operation perhaps closures  Size and place culverts and bridges  Contamination by spills oil, fuels and correctly lubricants from construction ENVIRONMENTAL STANDARDS ENVIRONMENTAL QUALITY INDICATORS equipment  Collect and recycle used lubricants  Establish measures to avoid  National legislation on protected accidental spills, and contain them if areas (natural, cultural and built 8.14 Pollution they do happen environments)  Concentrations of suspended  International environmental sediments in surface waters Aquatic Environments protection conventions (e.g. heritage, wetlands) Environmental Health  Soil erosion leading to:  Follow Soil and Vegetation and  National water quality standards  Degree of biodiversity (numbers of  Increase in the turbidity of Surface and Groundwater mitigation and controls plant, fish, animal and bird species) surface water courses measures above  Health and safety standards for in road vicinities  Temporary or permanent covering  Install culverts and bridges in dry road construction and use  Extent of critical habitats of riverbed organisms and habitats season

 Watercourse and drainage 8.15 Human Wellbeing

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 Occurrence of illness or disease  Human settlements in or near project site  Frequency of traffic accidents  Existing land tenure and uses (legal or illegal) (e.g. agriculture, grazing, recreation) involving vehicles or pedestrians  Common lands  Poverty levels  Sites of cultural, religious or historical importance  Security of local and traditional livelihoods, and cash income generation

Natural Environment Sources:  Protected species EC Sectoral Environmental Assessment Sourcebook (1993)  Protected areas (e.g. watersheds or water basins, nature reserves, parks)  Areas supporting:  Critical habitats for rare or ecologically important species, or significant World Bank EA Sourcebook, Volume II (1991) biodiversity (e.g. wetlands)  Commercially or domestically important species (e.g. fish, locally hunted CIDA Handbook on EA of NGO Programs and Projects, Rural Roads Checklist (1997) wildlife) USAID Environmental Guidelines for Small-Scale Activities in Africa, 2nd Edition (Draft) (2001) Wilderness areas (habitats for indigenous animal species)

C14.7: COMMUNITY FORESTRY Soil structure, stability, susceptibility to erosion

Scope of Projects Surface water quantity and quality (e.g. streams, rivers, ponds, lakes) Community forestry projects may be undertaken for a variety of reasons including timber and fuel wood production, soil and water conservation, and micro-watershed protection. They may also include tree nurseries or elements of agro-forestry that yield forest products besides wood (e.g. fruits, nuts). They typically involve afforestation and not existing forests. Reforestation, upgrading and management of existing forests and forestry operations are not considered in this resources sheet.

Clearly, such projects can provide substantial economic and environmental benefits. At the same time, if they are not planned and carried out sensitively, they can also create environmental problems, particularly soil erosion and conflicts over land use and the MITIGATION MEASURES distribution of project benefits. 8.15.1.1 Potential Environmental Effects Environmental Concerns 8.15.2 Human Human Environment Environment

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MITIGATION MEASURES MITIGATION MEASURES 8.15.1.1 Potential 8.15.1.1 Potential Environmental Effects Environmental Effects  Displaced human settlements  Avoid areas that require significant or involuntary resettlement  Provide compensation for resettled families and lost livelihood opportunities (e.g. cash, in-kind, employment, training)

 Avoid existing land use areas that are economically productive or important for subsistence or traditional livelihoods  Consider use of already cleared or  Conflicts over: barren lands for tree planting  Land tenure and use (legal or  Consider sites currently used illegal) unsustainably (e.g. agriculture,  Security of local and traditional grazing)  livelihoods, and cash income Disruption of sites of cultural,  Plan and operate the forest to generation religious or historical importance ensure an equitable distribution of

benefits to all community members, and to not exacerbate economic disparities within the community 8.15.3 Terrestrial  Account for differing tree product Environment needs between women and men  Loss of natural areas, important  Avoid infringing on:  Provide for intercropping, agro- habitats, biodiversity  Protected natural sites, forestry and other measures that

will accelerate the flow of benefits watersheds and wilderness to, and support of, a range of local areas  people Critical wildlife habitats or areas with significant biodiversity  Train and use local labour in the (e.g. wetlands) development and operation of the forest

 As much as possible, use a variety of multipurpose and fast-growing  Avoid such sites, or incorporate

them in the project sensitively and  Unsustainable forest production indigenous tree species to enhance:  to local people’s satisfaction Effective use of site micro- climates and soil conditions  The diversity and flow of benefits to local people  Soil and water conservation

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MITIGATION MEASURES MITIGATION MEASURES 8.15.1.1 Potential 8.15.1.1 Potential Environmental Effects Environmental Effects  Resistance to significant natural regeneration from adjacent outbreaks of disease and pests forest  Wildlife habitat and species  Road and track development (also diversity see Rural Roads resources sheet):  Draw upon local cultural knowledge  Construct during the dry and values in planning and operating season the forest  Keep gradients low but  Adapt imported technology (e.g. sufficient for natural drainage erosion control, forest management  Locate as far away from and harvesting) to local conditions, waterbodies as possible rather just adopt it  Leave vegetated strips along  Use low impact equipment and roadsides, and reseed methods for forest management disturbed areas and harvesting, and minimize skid  Coordinate development trail distances schedule with overall plan for  Select sites where the benefits from forest development and the new forest can help reduce operation  Soil erosion illegal or unsustainable uses of

nearby forests  If a heavy reliance on cash crops is anticipated, ensure that a thorough 8.15.4 Water Quantity market analysis is carried out during project planning and Quality  Reductions in down-slope water  Avoid watercourses

supplies  Retain existing tree and grass/shrub

 Avoid areas of fragile or unstable cover, and harvest selectively,

soils/slopes sustainably and carefully, where down-slope water supply is a critical  Avoid any project activities within concern 20-40 metres of streams, ponds, etc.

unless they are for rehabilitation and conservation of the riparian zones  Leave existing grass/shrub cover on  Avoid overusing fertilizers, lands that are very steep or have herbicides and pesticides

shallow soils  Avoid any use near waterbodies  Use techniques such as bunding to strengthen control of surface water flows and erosion, and enhance  Pollution of groundwater, and of infiltration surface waters and habitats  Harvest trees in small, unconnected blocks to minimize exposed soils and enhance opportunities for

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CIDA Handbook on EA of NGO Programs and Projects, Forestry Checklist (1997)

C14.8: SMALL-SCALE AQUACULTURE

Scope of Projects

Aquaculture projects raise aquatic organisms in fresh, brackish or salt marine waters

for part or all of their life, and then harvest them for human consumption. The organisms 8.15.4.1 Environmental 8.15.4.2 Environmental Quality may be fish (e.g. trout, salmon, carp, tilapia), crustaceans (e.g. fresh water crayfish, Standards Indicators shrimp, prawns), or molluscs (e.g. oysters, mussels, clams). Culture methods vary considerably. Intensive methods raise high-value organisms in  National and local planning large numbers in man-made structures. With ponds, fresh or seawater is channelled or regulations (e.g. land use, forestry, 8.16 Pollution pumped in, and old water is discharged through ditches or canals. Use of groundwater watersheds)  Concentrations of suspended may lower water tables. Artificially produced seed, specially made feed, antibiotics to  National legislation on protected sediments and contaminants (e.g. areas (natural, cultural and built pesticides) in surface waters control disease, chemicals to inhibit plant growth, and high initial costs are typical. Waste environments) water and bottom sludge can become toxic and, if not properly treated and managed, can  National legislation on protecting Environmental Health contaminate soil, water and marine resources. natural resources (e.g. fish,  Degree of biodiversity (numbers of wildlife, forest cover) plant, fish, animal, and bird species) in At the other end of the scale are extensive methods that tend to use traditional, low-  International protection the watershed technology cultivation methods, wild seed stock and naturally available feed. Input and conventions (e.g. heritage,  Extent of critical habitats output levels, and start-up costs, are much lower than with intensive methods. Extensive wetlands) aquaculture is frequently developed to satisfy local fish protein needs rather than  National water quality standards commercial markets, and is the focus of this resources sheet. The products may be and controls 8.17 Human Wellbeing  National controls on use of  Poverty levels distributed fresh or dried. fertilizers, pesticides and herbicides  Alternatively, internationally Environmental Concerns recognized standards (e.g. World Health Organization, United Nations Environment Programme) Human Environment

 Existing or planned land uses (legal and illegal)  Community water management practices and relationships  Conflicting demands on surface or groundwater supplies Sources:  Human health concerns for water-borne diseases and infections Natural Environment ADB Environmental Guidelines for Selected Agricultural and Natural Resources Development Projects (1991) EC Sectoral Environmental Assessment Sourcebook (1993)  Quality of surface and groundwater supplies  Natural aquatic environments, especially wetlands and mangrove forests

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MITIGATION MEASURES 8.17.1.1 Potential

Environmental Effects disruptions to existing human, livestock, wildlife or community water aquatic water uses, especially management practices and during dry seasons MITIGATION MEASURES relationships  So that withdrawals do not 8.17.1.1 Potential  Conflicting demands on exceed “safe yield” from surface or groundwater groundwater resources Environmental Effects supplies

8.17.2 Human 8.17.3 Human Health Environment  Illness or disease due to pollution of  See Water Quality below water sources from aquaculture  Land use conflicts  Avoid project sites that require: wastes  Resettlement

 Displacement of other important land uses, or  Creating habitats for disease carriers  Encroachment on historical,  Assess ecology of disease carriers in cultural, or traditional use such as mosquitoes and snails, and the project area increasing the prevalence of water- areas  Employ suitable prevention and related diseases such as malaria and  Encourage use of existing mitigation measures, including schistosomiasis (bilharzia) depressions, hollows and ditches education of local people, e.g.:  Limit areas converted to ponds  Good surface drainage around  Good pond design, construction and project water supply, ponds maintenance to avoid premature and drainage works abandonment and digging of new  Use fish species that feed on ponds disease carriers  Ensure adequate community participation in the planning and operation of the project  Monitor disease occurrence and  Site ponds to avoid disrupting public health indicators, and take existing/traditional uses of water corrective measures as needed (e.g. (e.g. drinking, washing, animal change project works, improve watering) maintenance, education, medical)  Develop ponds with other activities to combine water uses (e.g. pond water used for irrigation of crops)  Develop supply sources: 8.17.4 Terrestrial  Where water quantities are Environment adequate and the project will  Water supply conflicts: not conflict with existing  Social and economic

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MITIGATION MEASURES MITIGATION MEASURES 8.17.1.1 Potential 8.17.1.1 Potential Environmental Effects Environmental Effects  Loss of ground cover and erosion at  Restrict area cleared for ponds 8.17.6 Aquatic project site  Construct ponds during dry season  Stabilize exposed soil with grasses Environments and other ground cover  Deterioration of water quality from  Ensure adequate pollution control  Ensure good drainage and erosion aquaculture discharges causes (see Water Quality above) control around ponds contamination or decline of aquatic habitats and resident species

 Careful project planning and

management to ensure sustainable  Loss of wetlands, especially source of fuelwood mangrove forests  Consider the need for a small, complementary forestry project (see  Site project well away from wetlands  Depletion of local fuelwood to dry Community Forestry resources  Design project features to prevent fish sheet) disturbing water flows to and from

wetlands (e.g. flow regulating works, access road crossings on 8.17.5 Water Quality trestles or pilings)  Enhance or protect other nearby  Pollution of surface waters with  Keep fish densities at moderate wetlands to offset losses at project aquaculture wastes levels to reduce disease risk and site need for antibiotics

 Pump air through the water to

speed up decomposition  Release pond water into water body  Use local, wild species rather than with adequate dilution and dispersal  Accidental or deliberate release of introduced species as seed stock capability aquaculture stock leads to decline in  Ensure aquaculture stock is kept  Dilute pond water prior to release wild species important for local food healthy  Time releases with period of high supply or restocking and water levels or flows improvement of domestic stock  Use shorter retention time of water in ponds – i.e. more frequent exchange and flushing of pond water 8.17.7 Effects of the  Consider using pond bottom sludge Environment on as agricultural fertilizer if properly decomposed and non-toxic the Project

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MITIGATION MEASURES Sources: 8.17.1.1 Potential UNEP Environmental Guidelines for Fish Farming (1990) Environmental Effects EC Sectoral Environmental Assessment Sourcebook (1993)  Contamination of aquaculture  Analysis of source water quality and operations, and deterioration of threats Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA culture environment, from poor  Careful location of the project within 2000) source water quality due to: the community and watershed  Pollution (e.g. pesticides, heavy metals)  Suspended sediments from C14.10: FOOD PROCESSING upstream erosion  Nutrients from agricultural run- SCOPE OF PROJECTS off and livestock, detergents, sewage Small-scale food processing may be home-based or small enterprises that use a wide variety of processes and technologies to convert animal and plant products into human food.

Food processing of all kinds can create environmental problems if not managed properly.

8.17.7.1 Environmental 8.17.7.2 Environmental Quality Solid and/or liquid wastes can be highly polluting and create offensive odours. Water use Standards Indicators can place excessive demands on local supplies. Wastewater containing organic and other wastes can degrade streams and rivers, and contaminate groundwater. Stagnant pools of  National legislation on protected polluted water can be highly odorous and provide breeding grounds for mosquitoes. areas (natural, cultural and built 8.18 Pollution environments)  Water quality (nutrients, chemicals,  National legislation on protecting salinity) in pond drainage natural resources (e.g. fish, wildlife, forest cover) Environmental Health Environmental Concerns  International environmental  Surface water flows and groundwater protection conventions (e.g. table levels in project area Human Environment heritage, wetlands)  Incidence of disease carriers  National water quality standards  Existing or planned land uses (legal and illegal) and controls 8.19 Human Wellbeing  Community water management practices and relationships  Amount of human and animal illness  Conflicting demands on surface or groundwater supplies or disease  Human health concerns sensitivities to:  Poverty levels  Polluted water  Odours  Water-borne diseases and infections  Worker health and safety due to:  Dust  Machinery noise and vibration  Exposed wires and overheating of electric equipment

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Natural Environment Potential Environmental Effects Mitigation Measures

 Quality of surface and groundwater supplies  Drain stagnant pools of liquid or  Natural aquatic environments water from holding pens and working

areas  Consider treatment ponds to decompose waste and reduce disposal costs. Ensure ponds are large enough for effective

decomposition and odour control

Potential Environmental Effects Mitigation Measures  Improve processing methods to recover more product and reduce waste (e.g. better meat trimming and food cutting) General Measures  Reuse organic wastes (e.g. as animal fodder or fuel)  Good overall planning, design and  Compost organic waste for fertilizer management can address a  Air dry waste in controlled area then number of potential environmental dispose in approved landfill or safe 14 effects : burial  Minimize water use (and  Minimize product spoilage by using

processing costs) secure, screened, and well-ventilated storage areas  Use “dry cleanup” (e.g. sweeping,  Minimize solid waste (and lost wiping down) of solid wastes before product) washing  Regulate water flows (e.g. valves, high pressure nozzles)

 Reuse water

 Minimize water use (see above)  Separate fats, grease and other solids  Minimize liquid waste from wastewater before reuse or disposal (e.g. use oil separators/traps) Human Environment

  14 See also Rural Water Supply and Sanitation and Solid Waste Management Water supply conflicts: Minimize water use (see above)  Negative social and economic  Develop supply sources: resource sheets. effects on existing community  Where water quantities are adequate

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Potential Environmental Effects Mitigation Measures Potential Environmental Effects Mitigation Measures

water management practices and and the project will not conflict with  Deterioration and contamination  Screen waste liquids to remove solids relationships existing human, livestock, wildlife or of aquatic habitats and resident  Install grease traps and skim tanks  Conflicting demands on surface or aquatic water uses, especially during species from waste discharges  Locate waste disposal sites away groundwater supplies dry seasons from surface and groundwater  So that withdrawals do not exceed sources, watercourses, housing and “safe yield” from groundwater town centres resources  Ensure receiving waters for liquid wastes are able to absorb and naturally decompose the effluent  Ensure waste that is stored before transport to treatment facility or landfill cannot leak into the ground Human Health

 Illness or disease due to pollution  Follow General Measures above to Environmental Standards Environmental Quality Indicators of water sources from food minimize water use and provide good processing wastes management of solid and liquid wastes  National/local standards and Pollution regulations for the discharge of industrial wastewater to i) sewers  Quality (nutrients, chemicals, salinity) and ii) streams and rivers  Provide/strengthen health and safety of liquid effluent and receiving waters  training, accident prevention and National water quality standards Environmental Health  Damaging worker health and controls equipment (e.g. face masks, rubber gloves, boots, ear plugs, good  Workplace health and safety regulations  Surface water flows and groundwater ventilation) table levels in project area  Practice good housekeeping (e.g.  Productivity of aquatic environments clean floors regularly, install drip receiving liquid waste trays) Human Wellbeing  Repair and maintain machinery for safe and quiet operation

 Incidence of human illness or disease

Sources:

Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA 2000) Water Quality

Environmental Sourcebook for Micro-Finance Institutions (CIDA 1997)  Degradation of groundwater,  Follow General Measures above to streams and rivers from solid and minimize water use and solid and liquid wastes, and consequent liquid wastes USAID Environmental Guidelines for Small-Scale Activities in Africa, 2nd Edition (Draft) (2001)

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C14.12: STRUCTURES AND BUILDINGS

TO COME

C14.13: SMALL SCALE AGRICULTURE

TO COME

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ANNEX 7: AGRO-INDUSTRY (PROCESSING AGRICULTURAL PRODUCTS)

No. POTENTIAL NEGATIVE IMPACTS MITIGATING MEASURE

1. Soil erosion  Proper design and layout of structures avoiding too steep a gradient.  Land leveling.  Design of terraces on hillside minimizing surface erosion hazard. 2.  Increased soil erosion due to clearing of  Restriction of construction activities to good ground. vegetation and trampling.  Soil erosion control measures (e.g., reforestation, terracing).  Increased siltation of surface waters.

3. Siting of plant or facility complex on/near sensitive  Location of plant in rural area away from estuaries, wetlands, or habitats other sensitive or ecologically important habitats, or in industrial estate to minimize or concentrate the stress on local environment and services.  Involvement of natural resource agencies in review of siting alternatives. 4. Siting of agro-industry along water courses leading to  Site selection examining alternatives which minimize environmental their eventual degradation. effects and not preclude beneficial use of the water body using the following siting guidelines: o on a watercourse having a maximum dilution and waste absorbing capacity o in an area where wastewater can be reused with minimal treatment for agricultural or industrial purposes o within a municipality which is able to accept the plant wastes in their sewage treatment system o Improved water management; improved agricultural practices and control of inputs. o Proper handling of waste. o Imposition of water quality criteria.

5. Siting of agro-industry so that air pollution problems Location of plant at a high elevation above local topography, in an area are aggravated. not subject to air inversions, and where prevailing winds are away from populated areas.

6. Environmental deterioration (erosion, contamination Control of agricultural inputs and cropping/grazing practices to minimize of water and soil loss of soil fertility, disruption of environmental problems. wildlife habitat, etc.) from intensification of agricultural land use. 7. Aggravation of solid waste problems in the area  For facilities producing large volumes of waste, incorporation of the following guidelines in site selection: o plot size sufficient to provide a landfill or on-site disposal o proximity to a suitable disposal site o convenient for public/private contractors to collect and haul solid wastes for final disposal 8. Water pollution from discharge of liquid effluents  Laboratory analysis of liquid effluent (including cooling water  Plant: TSS; temperature; pH runoff from waste piles) in O/G, TDS, TSS, BOD, COD and in-situ  Materials storage piles runoff: TSS; pH temperature monitoring.  Most agricultural, livestock, agro-industries,  Seek guidance of local environmental officers to identify acceptable packaging and marketing operations produce disposal sites.

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solid waste.  Waste from agricultural activities can be further processed into - Steam and hot water boilers produce other uses, e.g. organic manure. Reuse and recycling must be ash preferred over disposal of the waste. - Fresh food and processed food markets, waste from canning Livestock production units produce manure, dairy waste, waste from slaughter houses 9. Particulate emissions to the atmosphere from all Control of particulates by fabric filters collectors or electrostatic plant operations. precipitators. 10. Gaseous and odor emissions to the atmosphere from Control by natural scrubbing action of alkaline materials; an analysis of processing operations. raw materials during feasibility stage of project can determine levels of sulfur to properly design emission control equipment. 11. Accidental release of potentially hazardous solvents, Maintenance of storage and disposal areas to prevent accidental release; acidic and alkaline materials. provide spill mitigation equipment. 12. Occupational health effects on workers due to Development of a Safety and Health Program in the facility designed to fugitive dust, materials handling, noise, or other identify, evaluate, and control safety and health hazards at a specific process operations. level of detail to address the hazards to worker health and safety and Accidents occur at higher than normal frequency procedures for employee protection, including any or all of the because of level of knowledge and skill. following:  site characterization and analysis  site control  training  medical surveillance  engineering controls, work practices and personal protective equipment  monitoring  information programs  handling raw and process materials  decontamination procedures  emergency response  illumination  regular safety meetings  sanitation at permanent and temporary facilities 13. Disease and health problems from use of wastewater  Wastewater treatment (e.g., settling ponds) prior to use. to irrigate crops.  Establishment and enforcement standards for wastewater use in crop production. 14. Threat to historic, cultural or aesthetic features.  Siting of project to prevent loss.  salvage or protection of cultural sites. 15. Temporary Visual Intrusions  Contractor should ensure minimum footprint of construction activities and provide decent accommodation for workers. Rehabilitation and upgrading of agricultural facilities  All altered landscapes (Sand pits, borrow pits, brick molding sites like Warehouses, processing plants and other possible etc) should be rehabilitated by the contractor. facilities will change the characteristics of the area and leave marred landscapes.

13. Noise  Contractor to avoid old equipment.  Heavy duty equipment to be minimized.  Noise and vibration caused by machines, site  Noisy operations to be limited to certain times. vehicles, pneumatic drills etc  Noise levels to be limited to within acceptable levels.  Noise from the chicken, pigs or whatever animals  Animal raising to be in designated areas to avoid being a nuisance to which are being raised. the general public.  Noise from the processing of agricultural  Processing plants should be sited away from residential areas. produce.

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14. Social misdemeanor by construction workers  As a contractual obligation, contractors should be required to have Impacts associated with the contractor’s camp an HIV/AIDS policy and a framework (responsible staff, action plan, include: etc) to implement it during project execution.  disposal of liquid and solid wastes.  Contractor to curb thefts and misbehaviour through a code of  theft, alcoholism and sexually transmitted conduct. diseases (especially HIV/AIDS).  Contractor to manage any of its waste properly.

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ANNEX 8: STAKEHOLDER CONSULTATION PARTICIPANTS

1. ATTENDANCE REGISTER FOR FOCUS GROUP DISCUSSIONS NAME GENDER AGE PHONE SURVEYOR: DISTRICT: MUFURILA COMMUNITY: MURUNDU 1 Annie Kaunda F 50 0971-563641 2 Maria Kaskula F 61 3 Agness Mumba F 50 0965-824051 4 Rudia Mwila F 23 0965-803820 5 Rose Nkandu F 43 6 Veronica Chama F 30 7 Magret Kamnukese F 50 8 Mumba Judith F 9 Mazinga Kawangu F 10 Ronica Kalumba F 11 Keline Mubanga F 33 0962-226571 12 Gideon Musondah M 28 0967-827997 13 Josen Habgam M 80 14 Josephin Lubo F 62 15 Charity Nkandu F 29 16 Beatrice Kupeya F 40 0978-921093 17 Bwalya Joseph M 48 0965-553774 18 Hildah B Kulokoni F 40 0964-037528 19 Mumba Kasoka M 41 20 Martin B Kampamba M 27 0968-288668 21 Jonathan Chama M 48 0968-496586 22 Arnott Sikanyima M 53 Agric officer 23 Constance Mkandawire F 30 24 Conceptor Bwalya M 27 0964-705015 25 Innocent Musonda M 19 26 Castro Mwila M 16 27 Shadrick kasonga M 17 NAME OF SURVEYOR: Clement Raphael Banda DISTRICT: SOLWEZI COMMUNITY: TUNDALA (MUTANDA) 1 Thomson Chababa M 19 2 Collins Sonkasonka M 29 3 Kamayani Musama M 16 4 Mr Kachimpu M 5 Mrs Yolamu F 35

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NAME GENDER AGE PHONE 6 Givenes Kazhimba F below 40 7 Mrs Mufumbila F below 40 8 Peggy Kinaka F below 40 9 Daliwe Kinaka F below 40 10 Gelis Sonkasonka F below 40 11 Eva Kalembo F below 40 12 Catherine Katonto F below 40 13 Justina Matalayi F below 40 14 Alice Ntambu F below 40 15 Ester Kanseni F below 40 16 Mervis Kambumba F below 40 17 Ms Muyumba F below 40 18 Juliet Kishiki F below 40 19 Sylvia Chiliboyi F below 40 20 Meliti kambumba F below 40 21 Maida Kifita F below 40 22 Mbuyu Kikukula F below 40 23 Agness Mulela F below 40 24 Bridget Malasha F below 40 25 Peter Chiliboyi M 15 26 Chrispin Kilifwaya M below 40 27 Lulea Kangamba M below 40 28 Lulea Jilambwe M below 40 29 Roger Mulongo M below 40 30 Kinaka Benido M below 40 31 Jimmy Kyembe M below 40 32 Martin Payisoni M below 40 33 Kikukula Seke M below 40 34 Gilbert Muzhila M below 40 35 Victor M below 40 36 Junes Lungenda M below 40 37 Zhethy Kiroka F below 40 38 Josephine Jilambwe F below 40 39 Hildah Shijila F below 40 SURVEYOR: DISTRICT: MUFURILA COMMUNITY: MURUNDU 1 Annie Kaunda F 50 0971-563641 2 Maria Kaskula F 61 3 Agness Mumba F 50 0965-824051 4 Rudia Mwila F 23 0965-803820

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NAME GENDER AGE PHONE 5 Rose Nkandu F 43 6 Veronica Chama F 30 7 Magret Kamnukese F 50 8 Mumba Judith F 9 Mazinga Kawangu F 10 Ronica Kalumba F 11 Keline Mubanga F 33 0962-226571 12 Gideon Musondah M 28 0967-827997 13 Josen Habgam M 80 14 Josephin Lubo F 62 15 Charity Nkandu F 29 16 Beatrice Kupeya F 40 0978-921093 17 Bwalya Joseph M 48 0965-553774 18 Hildah B Kulokoni F 40 0964-037528 19 Mumba Kasoka M 41 20 Martin B Kampamba M 27 0968-288668 21 Jonathan Chama M 48 0968-496586 22 Arnott Sikanyima M 53 Agric officer 23 Constance Mkandawire F 30 24 Conceptor Bwalya M 27 0964-705015 25 Innocent Musonda M 19 26 Castro Mwila M 16 27 Shadrick kasonga M 17 NAME OF SURVEYOR: Clement Raphael Banda DISTRICT: LUFWANYAMA COMMUNITY: LUMPUMA 1 Rosemary Musonda F 46 0978-576360 2 Majory Chibebe F 22 3 Justina Mulinga F 54 0974-282549 4 Jilian Kapopo F 30 5 Abud Kapopo M 37 6 Kunda Sanwell M 71 7 Osfad hachilala M 22 8 Mwelaisha Josphat M 39 0979-717615 9 Robby Muzembo M 32 0979-656863 10 Mudenda Rapeal M 50 0977-193399 11 Kunda Elisheba F 26 12 Helic Lwaisha M 37 13 Ridness Kayelu F 28 14 Alice Njovu F 38 15 Sara Chimbotela F 28

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NAME GENDER AGE PHONE 16 Rokia Chimbotela F 13 17 Mavis Bizile F 20 18 Catherine Chandele F 50 19 Sydney Bizile M 30 20 Chimbalanga Dawin M 29 0973-223049 21 Sammuel Sinonge M 18 0966-781209 22 Filda Mutenda F 67 23 Fatima Hangandu F 30 24 Enock Sondwapo M 30 25 Chirito Vincent M 35 26 Elastus Bwanga M 17 0964-354037 27 Sholai Siachisumo M 21 0963-230940 28 Chawana Katoyo M 19 29 Harriet Hamansanji F 15 0966-565201 30 Angela Chombela F 12 31 Gilbert Puma M 33 0962-061213 32 James Chikuti M 38 0961-986751 33 Chombela Jane F 34 34 Obed Chunga M 26 0962-817844 35 Mattews Bizile M 30 36 Mazlen Gaika M 22 37 Bicko Moono M 32 0974-899275 38 Nyanga harrison M 34 0975-275229 39 Musonda Fwaku M 19 40 Mubishi Grewa M 36 41 Wilson Chilimina M 36 42 Precious Chikwe M 29 43 Sinyangwe Osiyana M 41 44 Chambula Davy M 36 45 Chipotela Justin M 38 46 Chimbotela Mbunda M 29 0964-710816 47 Hangandu Linos M 46 48 Cleopatra Malisopo F 22 49 John Chitutu M 18 0962-305232 50 Agrena kayamba F 25 51 Mumba Alfred M 27 52 Chandele Jonathan M 38 0975-128028 53 Fwaku Pathias M 30 54 Sylvia Chilimina F 31 55 Fenia Chilimina F 40

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DISTRICT NAME: SHANG'OMBO DATE: 21/08/12

S/N NAME SEX AGE VILLAGE 1 Hildah Mubita F 31 Kabula 2 2 Namasiku Mabuku F 41 Kabula 2 3 Nanjala Mubita F 44 Kabula 2 4 Grace Mtonga F 49 Kabula 2 5 Sarah Kuyanwa F 22 Kabula 2 6 Wamundila Mweze F 25 Kabula 2 7 Zansi Mweze F 22 Kabula 2 8 Nasilimwe Likezo F 43 Kabula 2 9 Namasiku Muyuwano F 23 Kabula 2 10 Mutumba Mubiana F 35 Kabula 2 11 Angela Songiso F 19 Kabula 2 12 Takazo Ngombo F 20 Kabula 2 13 Maungulo Muyakamino F 65 Kabula 2 14 Nambula Munyeka M 32 Kabula 2 15 Nyambe Mongola M 44 Kabula 2 16 Kenneth Sifunda M 19 Kabula 2 17 Macaliso Muyunda M 18 Kabula 2 18 Twambo Lubunda M 34 Kabula 2 19 Mary Sitamalonge F 33 Sabelo 20 Namitondo Masiye F 62 Kabula 2 21 Malamo Likando F 48 Kabula 2 22 Komelo Muzumi F 61 Kabula 2 23 Muzwamasimu Majelelezo F 40 Kabula 2 24 Mugala Muyoya F 28 Kabula 2 25 Kulila Kacana F 35 Kabula 2 26 Joyce Muyalo F 28 Kabula 2 27 Ireen Mtonga F 38 Kabula 2 28 Monde Mulalelo F 20 Kabula 2 29 Maria Lusinde F 28 Kabula 2 30 Nakweti Kangongolo F 24 Kabula 2 31 Tabo Nyambe F 24 Kabula 2 32 Mwangala Kakumbo F 29 Kabula 2 33 Akatama Matakala M Kabula 2 34 Godwin Mongola Kuyumbelwa M Kabula 2 35 Kalaluka Kuzana M Kabula 2 36 James Namangolwa M Kabula 2

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DISTRICT NAME: SHANG'OMBO DATE: 21/08/12

S/N NAME SEX AGE VILLAGE 37 Chrispin Sitobolia M Kabula 2 38 Everisto Munene M Kabula 2 39 Sililo Nyamba M Kabula 2 40 Siyumbwa Kunyemwa M Kabula 2 41 Nyambe Kumoyo M Kabula 2 42 Royd Kangumu M Kabula 2 43 Monde Muyoba M Kabula 2 44 Malamo Nolonge M Kabula 2 45 Mwinke Macaliso Kabula 2 46 Namasiku Wambinji Kabula 2 47 Mwendabai Mulalelo Kabula 2 48 Grace Mabuku F 19 Lisiye 49 Mumbeko Manyando Kabula 2 50 Liseho Nyambe Kabula 2 51 Dorica Manyando F Kabula 2 52 Liyuwa Muyenga Kabula 2 53 Mwamuma Nyamba Kabula 2 54 Zita Maswabi Kabula 2 55 Mbvu Chikomba Kabula 2 56 Mufalali Muyoba Kabula 2 57 Namukonde Muyunda Kabula 2 58 Malamo Nyambe Kabula 2 59 Manga Sitali Kabula 2 60 Nakengo Masendo Kabula 2 61 Anayawa Mizimo Kabula 2 62 Melelo Mulauli Kabula 2 63 Mate Lubasi Kabula 2 64 Hildah Sililo F Kabula 2 65 Patson Muyunda M Kabula 2 66 Nalishebo Sitali M Kabula 2 67 Innocent Mabote M Kabula 2 68 Johnson Songiso M Kabula 2 69 Steven Mayalo M Kabula 2 70 Enock Mongola M Kabula 2 71 Actor Kebby Lifunga M Kabula 2 72 Musiwa Mbwainga Kabula 2 73 Castor Domiso M Kabula 2 74 Jimmy Kapalo M Kabula 2

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District Name: Senanga Date: 22/08/12

NAME SEX AGE COMMUNITY

75 George Itwi M 68 Lukanda 76 Nyambe Macwani M 56 Lukanda 77 Kebby Tutalunega M 45 Lukanda 78 Tolosi Mafo M 42 Lukanda 79 Makai Makai F 55 Lukanda 80 Ngule Mulyata F 46 Lukanda 81 Mbiji Lubinda M 49 Lukanda 82 Sitali Kufekisa M 47 Lukanda 83 M. Mubila F 55 Lukanda 84 Limpo Nawa F 44 Lukanda 85 Mundia Muyunda M 56 Lukanda 86 Lungowe Muyoyeta F 38 Lukanda

DISTRICT NAME: MONGU Date: 23/08/12

NAME SEX AGE COMMUNITY

87 Mufato Gilland W. M Namushakende 88 Joseph Matongo M. M Namushakende 89 Timothy Matongo M Namushakende 90 Isiteketo Mukufute M. Namushakende 91 Kapanda K. Namushakende 92 Lisoli Akamandisa Namushakende 93 Namayonga Lizazi Namushakende 94 Sitali Nawa F Namushakende 95 Franco Mulonha M Namushakende 96 Nolukiu Lubinda Namushakende 97 Saviour Indala I. M Namushakende 98 Mwakamui Mumeka T. M Namushakende 99 Mulako Simbula Namushakende 100 Mufalo Memory L. F Namushakende 101 Ronicar Mbumwae F Namushakende 102 Mainza Chibuwa M Namushakende 103 David Amwalana M. M Namushakende 104 Teddy Akakandelwe M Namushakende

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DISTRICT NAME: MONGU Date: 23/08/12

NAME SEX AGE COMMUNITY

105 Muliya Ikasama Namushakende 106 Mubuna Minyoi Namushakende 107 Charles Mwala M Namushakende 108 Sydney Musinga M Namushakende 109 Mundia Kagwala Namushakende 110 Alice Mumbuna F Namushakende 111 Maria Katonda F Namushakende 112 Gloria Chatumbo F Namushakende

DDCC COMMITTEE MONGU

S/N NAME OCCUPATION EMAIL CELL NO

1 Moses Namusunga ZMD [email protected] 979568831

2 Everisto Muhau WVI [email protected] 979646581

3 Enock Ntoka AHA [email protected] 977405686

4 Mukeya Liwena RLV [email protected] 969950638

5 Phiri Numel FISHERIES [email protected] 962992244

6 Chiyala Kane [email protected] 977226444

7 Chabalanga Ng'ambi DACO [email protected] 977279947

Sesheke District # NAME AGE GENDER 1 Kacama Kacama 27 M 2 Sinvula Malindi 51 M 3 Manyando Malindi 68 M 4 Samson Malindi 97 M 5 Mwaka Mutuwamezi 26 F 6 Nalukui Liwanga 37 F 7 Akashemweta Makala F 8 Kongwa Mushimbei 73 F 9 Mumunga Kangumu F 10 Namukolo Zambo 54 F 11 Mumeka Mumeka 43 M 13 Basazi Lukonde 37 M 14 Sikufele Kamukwa 47 M 15 Mwangala Matomola 34 F 16 Kulela Liutwelo 30 F 17 Chuma Kweleza 31 F 18 Maria Masialeti 26 F 19 Musepani Mate 45 M 20 Oliver Namabunga 31 M 21 Mumeka Kagumu 72 M 22 Lubinda Mbaimbai 65 M 23 Munyaze Manyando 45 M

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# NAME AGE GENDER 24 Mubala Lukonde 39 M 25 Eric Lumonga 42 M 26 Malindi Malindi 72 M

Namwala District # Name Age Gender 1 Bonwell Masumba M 2 Regina Kalanda F 3 Ester Mukoto F 4 Molephy Mwinde F 5 Nezya Nzala F 6 Joyce Moonga F 7 Precious Muntanga F 8 Joyce Mukumbuta F 9 Kingsley Kaluya M 10 Bennard Ndumba M 11 Alfred Mutapila M 12 Annah mwanda F 13 Keshas Mudenda M 14 Geshome Mupeta M 15 Ben Hamoomba M 16 Odenes Nzala M 17 Antony Kalonda M 18 Chinyemba Kapalu M 19 Kenny Simatanda M 20 Mumbuna Katyamba M 21 Dellah Ahimanza F 22 Doris Kaputula F 23 Tenday Mpofu M 24 Mable Kaabwe F 25 Florence Hamaimbo F 26 Exilda Kaluwe F 27 Evans Phiri M 28 Phillip Maambo M 29 Abraham Simukoko M 30 Sellina Hagwalya F 31 Violet Kalulu F 32 Rose Machai F 33 Mutinta Simatanda F 34 Dolifa Kpalli F 35 Lista Chinyama F 36 Oliver Hagwalya M 37 Thomas Hagwalya M 38 Clive Milimo M 39 Kazhila Kapalu M 40 Joyce Matale F 41 Mubita Matale M 42 Ireen Chilwa F 43 Handley Kamizhi M 44 Eunice Mapulanga F

Itezhi Tezhi Distirct # Name Age Gender

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# Name Age Gender 1 Headman Lengalenga 56 M 2 Headman Shapama 73 M 3 A. C. Muchimba 70 M 4 Mukuta Leonard 73 M 5 Johns Shilumamba 60 M 6 Benson Nyama 78 M 7 Andrew Bulongo 60 M 8 Godwin Kongwa 61 M 9 Mayoyeta Mayoyeta 65 M 10 Golden Siakakoma 50 M 11 Evans Libingi 69 M 13 H. Hamasuki 36 m 14 Maureen Nyanda 74 F 15 Wilson Siboli 75 M 16 Kanyawinyawi A. 36 M 17 Choobe Richard 55 M 18 Makani Simoni 73 m 19 Charles Shachibengu 49 M 20 Edith Shumbwamuntu 63 F 21 Esineya Mwanza 56 F 22 Godwin Mpansi 27 M 23 Bagrey Shimukuwala 59 M 24 Mambo Joynet 43 M 25 Samuel Suulwe 73 M 26 Mutinta Miyoba 65 F 27 Moobola Charles 59 M

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2. PPCR Stakeholder workshop – Strategic Environmental and Social Assessment (SESA) Project Prototypes Sandy’s Creation 13TH DECEMBER, 2012

S/N NAME ORGANIZATION DESIGNATION E-MAIL PHONE 1 Serah C Lunda Provincial Forest office North Extension officer [email protected] 0977-613220 Western 2 Anna Stumfels G17 advisor [email protected] 0975-873241 3 Christopher Chileshe MMEWD Ag. Director [email protected] 0966-433430 Water 4 Munkayumbwa Munyima Niras Researcher [email protected] 0966-393632 5 Morris Moono Social welfare-Southern Province PSWO [email protected] 0966-902960 6 Kelvin Simukondwi Namwala District Council DPO [email protected] 0977-858096 7 David C Kaluba PPCR-MOF National [email protected] 0979-403037 coordinator 8 Martin N Sishekanu PPCR-MOF Participatory [email protected] 0965-701023 Adaptation Advisor 9 Chasaya Gentile NIRAS Consultant [email protected] 09733-80425 10 Mukumwa Jean PPCR-MOF Moe Intern [email protected] 0974-032216 11 Kandandu Rex DDCC Representative DPO [email protected] 0977-472014 12 Derrick Chikasa PDCC Representative Senior rep AST [email protected] 0979-299933 13 IndunaSayowaMeebeloLubinda B.R.E IndunaSaywa 0977-597135 14 Mudenda Wisford Zambia Red Cross Disaster Mgt [email protected] 0977-758616 Coordinator 15 Muyumbwa Ndiyoi N.H.C.C Chief Natural [email protected] 0975-112523 Heritage office 16 ThokozileWonani PPCR Office Manager [email protected] 0977-303194 17 ZookMuleya ZAWA Head of Planning [email protected] 0977-718282 18 George W Sikuleka FASAZ Member [email protected] 0977-777573 19 Gabriel Mushinge NIRAS GIS Consultant [email protected] 0976-027045/0955- 781976 20 Florence Phiri ZNFU Senior manager [email protected] 0977-434312 21 Diana Banda NIRAS Consultant [email protected] 0978-048569 22 Mwambana Joseph DC Masiti DC 0963-954555 23 Luapula Pasmore Kafue District Council District Planning [email protected] 0977-901900 Officer 24 Mufale Jackson District Admin District Admin [email protected] 0967-945495 Officer 25 Moono I.M Kanjelesa ZEMA Acting Principle [email protected] 0955-753320

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S/N NAME ORGANIZATION DESIGNATION E-MAIL PHONE Inspector 26 MuketoiWamunyima Pelum Zambia Coordinator [email protected] 0977-700034 27 Paul Lupunga MOF CEM [email protected] 0977-758141 28 Thandi Gxaba World Bank ENV Specialist [email protected] 0964-957069 29 Sofia Bettencourt World Bank Tosh Team leader [email protected] 0977-750771 30 Kisa Mfalila AFDB Env. Specialist [email protected] 0962-716772 31 Allan Dauchi MLNREP Environment [email protected] 0978-516974 Officer 32 Deuteronomy Kasaro FD/MLNREP National Redd [email protected] 0977-654130 coordinator 33 Godwin F Gondwe MLNREP/NREPD Acting Director [email protected] 0978-793309 34 Grace Ngulube District commissioner Kafue DC Kafue 0978-214793 35 Excellent Hachileka UNDP AC Policy [email protected] 0977-225246 Assistant 36 LenyanjiSikaona DMMU, OVP PRPO [email protected] 252697 37 Noah Zimba ZCCN Chair person [email protected] 0977-873073 38 ChilukushaGershom RDA Environmental [email protected] 0966-433665 officer 39 Benny Zimba Niras Country Rep 40 Twisema Muyoya Niras Senior Consultant 41 Kasanga Kavimba Niras Project Officer 42 Davies Chipilipili Niras Accounts Manager 43 Elina C Phiri Niras Admin/accounts assistant

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ANNEX 9: ENVIRONMENTAL AND SOCIAL FIELD APPRAISAL FORM

Application Number: NAME OF PROJECT

PART 1: IDENTIFICATION

Project Name:

Project Location:

Project Beneficiaries:

Reason for Field Appraisal: Summarize the issues from the ESMF Checklist that determined the need for a Field Appraisal.

Date(s) of Field Appraisal:

1. Field Appraisal Officer: ______2. District/SPIU Representative: ______3. Community Representative and Address: ______

PART 2: DESCRIPTION OF THE PROJECT

4. Project Details: Provide details that are not adequately presented in the subproject application. If needed to clarify subproject details, attach sketches of the subproject component(s) in relation to the community and to existing facilities

PART 3: ENVIRONMENTAL AND SOCIAL ISSUES

5. Will the project: Yes No  Need to acquire land?  Affect an individual or the community’s access to land or available resources?  Displace or result in the involuntary resettlement of an individual or family?

If “Yes”, tick one of the following boxes:  The Resettlement Action Plan (RAP) included in the subproject application is adequate. No further action required.  The RAP included in the subproject application must be improved before the application can be considered further.  A RAP must be prepared and approved before the application can be considered further.

6.Will the project: Yes No  Encroach onto an important natural habitat?  Negatively affect ecologically sensitive ecosystems?

If “Yes”, tick one of the following boxes:

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 The Environmental Management Plan (EMP) included in the subproject application is adequate. Nofurther action required.  The EMP included in the subproject application must be improved before the application can be considered further.  An EMP must be prepared and approved before the application can be considered further.

7. Are there indigenous people living in the subproject area who could benefit from, or be Yes No adversely affected by, the subproject?

If “Yes”, tick one of the following boxes:  The Indigenous Peoples Plan (IPP) included in the subproject application is adequate. Nofurther action required.  The IPP included in the subproject application must be improved before the application can be considered further.  An IPP must be prepared and approved before the application can be considered further.

8. Will this project involve or introduce pesticides? Yes No

If “Yes”, tick one of the following boxes:  The Pest Management Plan (PMP) included in the subproject application is adequate. Nofurther action is required.  The PMP included in the subproject application must be improved before the application can be considered further.  A PMP must be prepared and approved before the application can be considered further.

9. Will this project involve or result in: Yes No  Diversion or use of surface waters?  Construction and/or rehabilitation of latrines, septic or sewage systems?  Production of waste (e.g. slaughterhouse waste, medical waste, etc.)?  New or rebuilt irrigation or drainage systems?

If “Yes”, tick one of the following boxes:  The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required.  The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further.

10. Will this project require the construction of a small dam or weir? Yes No

If “Yes”, tick one of the following boxes:  The application demonstrates that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. No further action is required.  The application does not demonstrate that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. The application needs to be amended before it can be considered further.

11. Will this project rely on water supplied from an existing dam or weir? Yes No

If “Yes”, tick one of the following boxes:  The application demonstrates that a dam safety report has been prepared, the dam is safe, and no remedial work is required. No further action is required.  The application does not demonstrate that a dam safety report has been prepared, the dam is safe, and no remedial work is required. A dam safety report must be prepared and approved before the application is considered further. 12. Are there any other environmental or social issues that have not been adequately addressed? Yes No

If “Yes”, summarize them:______

and tick one of the following boxes:

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 Before it is considered further, the application needs to be amended to include suitable measures for addressing these environmental or social issues.  An Environmental Management Plan needs to be prepared and approved before the application is considered further.

PART 4: FIELD APPRAISAL DECISION

 The subproject can be considered for approval. Based on a site visit and consultations with both interested and affected parties, the field appraisal determined that the community and its proposed project adequately address environmental and/or social issues as required by the Project’s ESMF.

 Further subproject preparation work is required before the application can be considered further. The field appraisal has identified environmental and/or social issues that have not been adequately addressed. The following work needs to be undertaken before further consideration of the application: ______

All required documentation such as an amended application, EMP, RAP, IPDP or PMP will be added to the subproject file before the subproject is considered further.

Name of field appraisal officer (print): …………………………………………………….

Signature: …………………………………………….. Date: ………………………….

______

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ANNEX 10: ENVIRONMENTAL AND SOCIAL APPRAISAL PROCESS FOR CDD SUBPROJECTS (AfDB)

Subproject Appraisal Process Corresponding Safeguard Requirements

Application for subproject Step 1: . Identification of subprojects bycommunity Site Reject requests based on exclusion list (box 2.4) Identification

No risk Subproject Environmental Step 2: Low risk High risk and Social Assessment EnvironmentalSoci alAssessment . Develop generic . Carry out a mitigation and subproject monitoring measures specific EA study for subproject . Develop sectors (e.g subproject wastewater , rural specific EMP’s roads, irrigation, etc) (and RAPs if applicable) Apply environmental conditions in contract Apply environmental agreements conditions in contract (construction and agreements(construc supervision) tion and supervision)

Step 3: . EMPs (and RAPs) reviewed by local Subprojects Approval Environmental Environmental and social Specialists (or (Local government) and social review technical service providers e.g NGOs) . Subproject approved on the basis of environmental and social review findings

. Implement mitigation measures under the EMP (and RAP) for subprojects

Step 4: Training of project staff, local Govt officers, and Subproject communities in EMP(and RAP) implementation Subproject Approval implementation (Local government)

Subproject Monitoring Step 5: . Monitor environmental and social compliance, Environmental pollution abatement, and EMP(and RAP) and social implementation Monitoring . Carry out annual environmental and social audits for subprojects

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ANNEX 11: COMMUNITY SUBPROJECT MONTHLY REPORT Instructions: This form must be sent to the Project Officer for your project every month without fail. Attach additional information as needed should the form below not provide enough space. Progress report for the month of: ______Project name: ______Project number: ______Village/area: ______District: ______PHYSICAL PROGRESS: (List all the project components and the progress to day, (e.g school one - completed construction of walls: school two – cement poured).

Component Description of project to date

4. Etc

Comments on project progress: (Report if there have been any problems that require the attention and assistance of the Regional or project officer).

Problem/Issue Comments

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ANNEX 12: GUIDELINES FOR ANNUAL REVIEWS

Annual Report Form

NAME OF PROJECT Application No: 1. Name of District:

2. Beneficiaries:

3. Name and Position of Review Authority Completing the Annual Report:

4. Reporting Year:

5. Date of Report:

6. Community Subprojects:

Please enter the numbers of subprojects in the following table. (Note: The types of sub projects should be Based on list

in Chapter 5 of the ESMF.)

8.20 Types of Activities

Approved this year this Approved Application included an ESMF checklist Appraisal Field E PMP RAP IDP TA Specific Community Level Infrastructure Water point rehabilitation Hand dug wells Earth dam rehabilitation Community reservoirs Small dams Small canals Water harvesting facility Hand pumps and mechanized boreholes Windmills for pumping water Community access roads Agriculture and Livestock Diversification Improved moisture retention Fish landing sites Cattle watering facilities Vegetable/Livestock markets Vaccination services Agro-forestry Agro-processing facilities Post harvest handling facilities

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8.20 Types of Activities

Approved this year this Approved Application included an ESMF checklist Appraisal Field E PMP RAP IDP TA Specific Market places Natural Resources Management Community tree nurseries Afforestation Erosion preventioninterventions Soil moisture/fertility restoration Beekeeping/crafts production Water shed protection Stream and river bank protection Wetland protection Rangeland improvements Wildlife estates Community game ranching Eco-tourism and hunting areas

6. Were there any unforeseen environmental or social problems associated with any subprojects approved and implemented this year? If so, please identify the subprojects and summarize the problem(s) and what was or will be done to solve the problem(s). Use a summary table like the one below.

Subproject

Pr obl em (s) Ac tio ns tak en Ac tio ns to be tak en

7. Have any other environmental or social analyses been carried out by other public or private agencies in your district/province? If so, please describe them briefly. …………………………………………………………………………………………………………………………………… …………………………………………………………………………

8. Have you noticed any particular problems with implementing the ESMF in the past year (e.g. administrative, communications, forms, capacity)? If so, please describe them briefly. …………………………………………………………………………………………………………………………………… ……………………………………………………………………………………

9. Training: Please summarize the training received in your district/province in the past year, as well as key areas of further training you think is needed.

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Group Training Received Training Needed

Review Authority

Approval Authority

Extension Teams

Communities

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ANNEX 13:GUIDELINES FOR AN ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN

An Environmental Management Plan (ESMP) is required for sub-projects that have distinct mitigation measures such as physical works or management activities. The ESMP must be included in the subproject application. The main elements of an ESMF are listed in the table below:

Table 27: Elements of an ESMP

Element Description

1 Adverse effects The anticipated negative effects are identified and summarized.

5 Implementation schedule The timing, frequency and duration of mitigation measures and monitoring are specified in an implementation schedule, and linked to the overall subproject schedule.

6 Cost estimates and sources of These are specified for the initial subproject investment and for the funds mitigation and monitoring activities as a subproject is implemented. Funds to implement the EMP may come from the subproject grant, from the community, or both. Government agencies and NGOs may be able to assist with monitoring.

7 Monitoring Methods Methods for monitoring the implementation of mitigation measures or environmental effects should be as simple as possible, consistent with

collecting useful information, so that community members can apply them themselves (see example below). For example, they could just be regular observations of subproject activities or sites during construction and then use. Are fences and gates being maintained and properly used around a new water point; does a stream look muddier than it should and, if so, where is the mud coming from and why; are pesticides being properly stored and used? Most observations of inappropriate behavior or adverse effects should lead to commonsense solutions. In some cases (e.g. unexplainable increases in illness or declines in fish numbers), there may be a need to require investigation by a technically qualified person.

Adapted from ESMF Tool Kit – Part C (June 2004)

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ANNEX 14: GOVERNMENT INSTITUTIONS THAT WILL BE INVOLVED IN THE IMPLEMENTATION OF THE PPCR

Ministry of Finance and National Planning (MoF)

The Ministry of Finance (MoF) is the focal point for the PPCR. MoF is responsible for the mobilization, planning and distribution of Government and external resources, and therefore in a strategic position to promote climate change mainstreaming. As senior Ministry, it also has convening power over other participating Ministries. However, given its multiple commitments, MoF would need to assign a dedicated team, contracted and/or seconded from technical agencies, to manage the Programme.

Ministry of Lands, Natural Resources and Environmental Protection (MLNREP)

The Ministry of Lands, Natural Resources and Environmental Protection (MLNREP), is Zambia’s climate change and environmental focal point. It presently houses the Climate Change Facilitation Unit (CCFU) and has provided technical and administrative support to the development of the Climate Change Response Strategy, the National Communications on Climate Change, the Economics of Climate Change study and the NAPA. It also leads climate change negotiations. MLNREP’s main constraint lies in its ability to mobilize other powerful Ministries, like the Ministry of Transport, Works Supply and Communication. MLNREP also has a relatively weak presence in the field, unlike MACO or DMMU, and has not yet fully absorbed CCFU into its structure.

Disaster Management and Mitigation Unit (DDMU)

The Disaster Management and Mitigation Unit (DDMU) under the Office of the Vice President (OVP), is responsible for disaster preparedness, response, mitigation and prevention. It is housed within an influential Ministry with convening powers conferred by an Act of Parliament, and has regional offices at the provincial, district and satellite (sub-district) level. It chairs the Vulnerability Assessment Committees, and is presently developing a geospatial information system for climate risks, in collaboration with WFP. However, DMMU addresses all types of disasters (including refugee issues) and has not historically been at the lead in climate change issues.

Ministry of Agriculture and Livestock

The Ministry of Agriculture and Livestock (MAL) is responsible for agriculture policies and programmes at the local level. MAL is one of the key climate change Government stakeholders with strongest on-the-ground presence, having representatives in each district. However, its mandate is focused on a particular aspect of climate resilience (agriculture).

Ministry of Local Government and Housing (MLGH)

The Ministry of Local Government and Housing (MLGH) is responsible for promoting local government systems and increasing the responsibility of local authorities (at provincial and district levels) through devolution of powers and financing. It is presently responsible for the Constituency Development Fund, which disburses the equivalent of US$1.1 million per district per year for local projects such as rehabilitation and maintenance of water and sanitation facilities; feeder and community roads (particularly using labor-intensive methods); markets and bus shelters; community-based health and education facilities and programmes; and agriculture and marketing activities. Once the Regional and Urban Planning Bill is passed and decentralized budgeting is adopted, it is envisaged that the funds will go straight from the Treasury to local governments.

Zambia Meteorological Department (ZMD)

The Zambia Meteorological Department (ZMD) under the Ministry of Communications and Transport (MCT) is responsible for climate change assessments, early warning information, insurance risk assessments and crop yield predictions. It works collaboratively with DMMU in the dissemination of early warnings.

Department of Water Affairs (DWA)

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The Department of Water Affairs (DWA) under the Ministry of Mines, Energy and Water Development (MMEWD), is responsible for the formulation of policies on, and sustainable development of water resources. It is also responsible for ensuring an effective approach to hydrological data collection and monitoring. It has historically been one of the Ministerial Departments with the highest degree of climate mainstreaming.

Ministry of Transport, Works, Supply and Communications (MTWSC)’ and Road Development Agency (RDA)

The Ministry of Transport, Works, Supply and Communications is one the Ministries that carry a wide mandate covering public works, roads, maritime and inland water transport, railways, aviation, meteorology, transport and communication. While the Department of Maritime Affairs and Inland Water Ways focuses on the management of transport on rivers and lakes and is therefore a key stakeholder in the implementation of the pilot for climate resilience. Specifically, the Ministry has a critical role to play in the Improvement of selected Canals in the Barotse sub- basin.

The Ministry’s role in the Kafue sub-basin will focus in the improvement and upgrading of access (feeder roads) as well as the upgrading of three main roads that under the farm to market subcomponent. The Ministry will also work through the Road Development Agency (RDA) and the National Road Fund Agency (NRFA).

The NFRA’s mandate is to mobilize and manage funds for the development, periodic maintenance and repair of the national road network. The RDA is responsible for managing and overseeing major road construction and applying safety standards in public infrastructure projects, particularly in the Road Transport Sector.

Zambia Bureau of Standards (ZBS)

The Zambia Bureau of Standards (ZBS), under the Ministry of Commerce, Trade and Industry (MCTI), is the statutory organization responsible for establishing safety standards for buildings and other infrastructure.

Zambia Environment Management Agency (ZEMA), formerly Environmental Council of Zambia (ECZ)

The Zambia Environment Management Agency (ZEMA), formerly known as Environmental Council of Zambia (ECZ), which was established as an autonomous body through an Act of Parliament, is the main institution in charge of environmental management affairs and Environmental Impact Assessments and Audits. It has been actively involved in the preparation of National Communications to the UNFCCC.

Presently, the PPCR activities are being implemented directly by MoF, with the support of multi-stakeholder platforms. The leading Ministries (MoF, MLNREP and OVP) actively collaborated in formalizing the Secretariat that is now operational. This will be followed by the formalization of the Steering and Technical Committees and, ultimately, the Council. The future NCCDC is expected to be established at around the time of implementation of the PPCR Investment Projects. It is expected that the NCCDC will require considerable institutional strengthening from the PPCR and other complementary donor-funded projects.

While the other sector ministries, departments and agencies will play an important role at the level of sectoral policy and legislative oversight, the key responsibility for the implementation of the PPCR projects and sub-projects will rest with the Ministry of Local Government and Housing (MLGH) which oversees the work of all district councils. The Ministry will implement the PPCR CDD project through district councils under the legal framework provided by the National Decentralization Policy of 2003. The Ministry of Local Government and Housing will work closely with the DMMU15 in the Office of the Vice President and the Provincial Administration which falls under the Office of The President.

A key challenge that must be addressed by the PPCR Secretariat (and subsequently the NCCDC) is the capacity of the MLGH and the district councils to implement the PPCR projects and sub-projects. Over the past decades, it has been

15Plans are underway to transform the DMMU into the Disaster Risk Reduction Management Unit (DRRMU) which will have more proactive programmes.

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Pilot Programme for Climate Resilience widely acknowledged that district councils have lacked the necessary financial resources, adequate administrative muscle. The decentralization implementation plan (DIP) was only recently formulated and is yet to be operationalized. It is imperative for stakeholders to ensure that the decentralization policy is fully operationalized as this would be key to the successful implementation of the PPCR project and sub-projects. The establishment of new districts – five new ones in Western Province alone – will put additional pressure on the National Treasury to provide adequate man power and resources. Equally important will be the strengthening of capacities of the district councils through capacity building and attractive conditions of service.

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ANNEX 15: GUIDELINES FOR DEVELOPING TERMS OF REFERENCE FOR THE ENVIRONMENTAL AND SOCIAL MITIGATION SPECIALIST

Below is a broad guideline for the formulation of actual/detailed terms of reference for an environmental and social management specialist (one for each sub-basin) who could be assigned to the SPIU in Mongu and Choma for the Barotse Sub-Basin and Kafue Sub-basin respectively.

Objective

To provide over all guidance and technical advice on environmental, social management and mitigation, for the successful implementation the projects and sub-projects under the Strategic Programme for Climate Resilience (PPCR) in the Barotse/Kafue Sub-basin.

Proposed Tasks

 Provide technical advice to the SPIU, Provincial and District Planners, District Councils and district technical officers on all technical issues related to environmental and social management of the community demand driven PPCR projects and sub-projects which will be identified by the communities in the two sub-basins.  Provide specific technical inputs on mitigation measures for sub-projects.  Provide oversight for the implementation of the ESMF and compliance to environmental and social safeguards;  Working in collaboration with NGOs/CBOs and private sector actors participate in the design and delivery of training and sensitization programmes for SPIU officers, District technical officers, traditional leaders ( representatives of the BRE and Paramount Chiefs and headmen) and the communities.  Facilitate mutual sharing of experiences and learning on climate resilience between the two sub-basins on all issues related to environmental social management and adherence to safeguards.  Participate in the monitoring of adherence to social safeguards and mitigation measures for the projects sub-projects  Identify and suggest strategies for enhancing mitigation measures and the screening checklists as may be required.  Provide technical link between the PPCR Secretariat and the SPIU.  Perform other duties that may further enhance the work of PPCR.

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ANNEX 16: PUBLIC CONSULTATION REPORTS Below are minutes from the public consultations held in the selected districts. NOTHERN CIRCUIT The Background of SESA, ESMF and RPF The Pilot Program for Climate Resilience (PPCR) was born out of the need to mitigate effects of climate change. Under the PPCR, the MoF plans to carry out a Strategic Environmental and Social Assessment (SESA) of Zambia’s climate change investment framework. The SESA is awaiting completion of the inventory of projects and programmes included in the investment framework. Once the framework is completed, the SESA will encompass: • Potential concerns of environmental, socio-economic and institutional effects related to the Investment projects • Review Zambia’s regulatory framework on social and environmental safeguards, and recommend where necessary strengthening measures to address the above concerns. • Provide alternatives in the case of non-realization of key investments • Recommend a list of environmental and social norms that should be considered as minimum benchmarks for all projects under Zambia’s Climate Change Programme • Provide the basis of an Environmental and Social Management Framework and Plan (ESMF/P) be used in the implementation of specific SPCR investment. The districts earmarked for the PPCR in the northern circuit include Solwezi, Lufwanyama and Mufulira. Research Methodology The methodology which was used in the study was based on community participation through focus group discussions .The names of participants of the Focus Group Discussions are in the Register. Site assessments of projects and climate impacted sites were done with GPS coordinates also taken. Photos of the site were also taken.

Field Report for Solwezi

The field work for PPCR SESA, ESMF and RPF started with a district meeting with officers from DACO’s office and Meteorological Department. The list of the officers in attendance was follows:

Mr. Francis Mwansa, Tel office: 08821338

Senior Agricultural Officer,

Mr. Shadreck C.Mubanga-0977681230, [email protected]

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Acting District Marketing Officer

Mr. Billy Mulima-0977413510,[email protected]

Mr. Mbela-0979 719054

Acting Crop Husbandry Officer

Mr.K.R .Manjomba 0978704867 [email protected]

Meteorological Officer

Mr. Gentile Chasaya outlined the purpose of our visit. He also asked the officers in attendance to identify main sites for site visits, that is projects and/ or climate impacted sites in Solwezi. In response they identified Musele which was affected by Hailstorm. They said that the Hailstorm affected the crops. Musele is located about 170 km from Solwezi town.

They also identified Tundula in Mutanda area as being another site worth visiting as it experienced floods. It was learnt these floods led to houses collapsing. We opted to go to Mutanda as most people in Musele have been resettled elsewhere.

In Tundula we were welcomed by the Camp Extension Officer for Mutanda, Mr. Kingford Mweemba who took us to the area which was affected by flooding. Pictures were then taken of the site. The Mr. Mweemba said that the area is waterlogged during rain season. To the east of the area 6 km there is Mushingashi streams and there is a dambo 5 km on the west. It was also learnt that wells in Tundula go down 5 metres deep as the water table is very high. The GPS for Tundula was:

S 120 29’31.38”

E 026011’20.92”

Alt 1359.44 m

The people gathered in a classroom at Tundula Basic School. The group was mainly comprised of women and youths with few men. The meeting started at 14:35 hrs with a prayer from one of the participants. Mr. Mweemba introduced the research team to the Tundula community. Mr. Chasaya through an interpreter explained the whole purpose of the meeting and the need for

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Pilot Programme for Climate Resilience community participation. After the people understood the purpose of the meeting, divisions were made into two Focus Groups; old age and, middle aged and youths.

The main livelihoods practised in Tundula was crop farming with maize being the major crop being grown followed by cassava and sorghum. With some also involved in livestock rearing and other activities such as charcoal and timber. Furthermore, others also extracted non-timber forest products such as fruits, medicine and thatching grass as a source of livelihoods.

Though the main livelihood of Tundula community is farming it is one of the areas that is facing a challenge of flooding. This has been happening since some years back with the recent one which destroyed the crops and houses. Strong winds are one of the weather events that has been experienced in the area and also led to the destruction of crops and houses. The most affected groups are old aged, infants and physically challenged.

The main environmental problems in Tundula community are degradation of farming soils due to floods and growing the same crop year after year. Another problem is soil erosion which is mainly caused by the winds in the area. Charcoal burning is one the social activities that has contributed to deforestation, thus becoming another environmental problem.

There are main important products and income sources that are derived from the natural set up of Tundula such as thatching grass from Dambos and fruits (Makusu, Mpundu), mushroom , medicinal plants, caterpillar worm and wild vegetables, all from forests.

The weather situation in Tundula has come with it a number of health related issues such waterborne diseases like bilharzia and diarrhoea. The stagnant water due to flooding and waterlogging is a breeding ground for mosquitoes which are carriers of the malaria parasite. This has led to an increase in malaria cases.

In as much as the weather has brought with it challenges it also opened opportunities or benefits to the community. These include trade in non-timber forest products such as Lweho grass (thatching grass). The people whose trade is building houses have more opportunities of making money as more houses are destroyed by the floods and winds. Further, during floods there is plenty of grass for pasture.

With the changes in weather there is a growing need to acquire new skills in Tundula in order for people adapt to the weather changes. There is need to impart skills such as carpentry, tailoring and bricklaying to improve infrastructure.

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Mufulira

The GPS coordinates for Murundu is S 12030’13.9” and E 028020’22.7.The altitude is 1335m. Point 2 coordinates were taken at Murundu-Mokambo turning point and there were S 120 18’36.85” and altitude was 1322.50m.Murundu is one the farming blocks in Mufulira rural. Most of the families are involved in farming. The main crops being maize, groundnuts, sorghum and millet. About 90 percent of people are involved in charcoal burning.

The main climate threats in Murundu are heavy rains which destroyed crops and houses. The areas affected were Mitundu, Njiri, Nsombo and Vale dam was also affected. Dry spells during rain season which for example in 2011 resulted in low water table, thus it affected most of the farmers who depend on water wells for irrigation. It was also learnt that most frequent weather related event was late start rains. This has discouraged farmers to do early planting of crops.

During our interaction with the community it was brought to our attention that the quality of water is poor as most wells are next to pit latrines and also the water level is low. An another environmental problem is deforestation as most people are involved in charcoal burning.

Weather related events have led to an increase in water borne disease like dysentery, diarrhoea and also malaria and coughing.

Poverty is one of the social problems that has become severe in the community as people’s source of income or food security is disturbed by heavy rains that destroy the crop. Attendance at school is affected when there is heavy rainfall because the schools are far and the roads become impassable.

The most valuable things the Murundu community would like to protect against weather include water wells, roads, houses and crops.

The most important products and income sources derived from surrounding nature are mushroom, wild fruits, caterpillar and thatching grass (Lweho grass) from the forest. In addition, it is worth realizing that changing weather also provides opportunities for example heavy rains brings about plenty mushroom, fruits like mangoes and fish in dams/streams. Heavy rains also means a lot of water which can be used for irrigation in gardening. The other benefit of changing weather like in the case of drought is that houses are not destroyed.

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The skills needed in Murundu to mitigate the impact of changes in weather are knitting, conservation farming which addresses soil erosion and degradation. Bee keeping is another skill needed to mitigate weather variations. The community also said they needed business management and livestock skills to build capacity with regards to the projects they identified.

Lufwanyama

The area visited is Lumpuma camp. The main livelihoods activity is farming. The main climate threats to the community include floods, extreme coldness, changes in the onset of rains. Floods destroyed houses and extreme coldness caused Bamboos and banana plants to dry up.

Social problems associated with change in weather in Lumpuma are hunger, malnutrition and lack of money to send children to school.

It was agreed by the participants of the focus group discussion that roads, bridges,waterwells should be protected against weather in their community.

GPS coordinates taken at Mwelushi stream (Point 1) were as follows:

S 13006’39.48”

E 027055’26.28”

Altitude: 1207m

Mwelushi Point 2

S 13008’56.4”

E 0270 55’29.04”

Altitude: 1175.0 m

Challenges in the field

There were problems in organizing people in the communities as the District Commissioners and officers from the Ministry of Agriculture and Livestock (MAL) said that they did not receive communication on our assignment. Like in Lufwanyama and Mufulira, they were reluctant to help us. Although it was a different case with Solwezi as the Officers from MAL were very helpful.

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Conclusion

From the meetings we had with the communities it was clear that the people had problems that have come as result of variations in weather. The participatory approach of the SESA will help people in the Kafue and Barotse Basins to come up with projects that are resilient to climate change.

Southern Circuit: SESA, ESMF, RPF BRIEF REPORT

Introduction

The study was undertaken between 27th August to 31stAugust, 2012 in Sesheke in Western Province, Namwala and ItezhiTezhi districts in Southern Province of Zambia.

In all districts, the meetings were held with DACO’S through whom some members of the Disaster Management Committee were called and talked to as well. The table below indicates those members talked to at district level

District Name of Staff Job Title

Sesheke Mr. MuyanganaMwandamena DACO

Mr. Sikufele

Mr. Pius Mambo Senior Agricultural Officer

Mr. Simasiku Block Extension Officer

MrJosbinMuleya Crop Husbandry Officer

Namwala Mr. Martin Sikainga Acting DACO

Ms. Oster Musanje District Community Development Officer

Ms. LinnyKaile

Mr. PiasMwiinga DMMU Committee member

Mr. Mbozi DMMU Committee Member

Mr. Brian Fyachepa Acting Officer in Charge

ItezhiTezhi Mr. Roy Silumelume District Commissioner

Mr. Taylor Banda DACO

Mr. Davies Mwanza Forestry

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Mr. Malama

Through MAL district and Block level officers, communities were mobilized and focused group discussions on designated days were held. Three site assessments (i.e. one per district) were made with both the district and community people identifying areas with climate impacts. Table below gives a breakdown of the type of sites assessed, number of FGD participants and communities covered per district.

DISTRICT TYPE OF SITE ASSESED #OF PARTICIPANTS COMMUNITY COVERED Males Females Total

Sesheke Wetland 18 13 31

Kalobolelwa

Namwala Plain 23 22 45 Showgrounds

ItezhiTezhi Road Infrastructure 24 5 29 Masasabi

MAJOR FINDINGS

General Information

The DACOs in the Ministry of Agriculture and Livestock constituted contact persons for entry in the districts were delegated Officer with assistance of Block or Camp Officers led and introduced the team into the communities.

The Disaster Management Satellite Committee in all districts as were informed is made up of members drawn from the Department of Social Welfare, Community Development Officer, Meteorology, Forestry, Fisheries, Health, DMMU representative and an officer from the Ministry of Education.

Staffing in most departments remains a major challenge. For instance, of the 12 established positions in the Fisheries Department in Namwala district, only 3 have been filled. This pattern is almost the same across all other government departments in the other districts visited as may be observed by the many acting staff that was available for this study.

One site per district namely; Sesheke, Namwala and ItezhiTezhi were visited and assessed. The distances between two possibly selected areas per district with climate impact made it

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Pilot Programme for Climate Resilience impossible to cover both within the scheduled times.It must be pointed out here that the identified climate impacted sites though rightly identified in all districts seem (only in my opinion) not to really offer the much sought for environmental impacts. Could it be that there are no adversely impacted areas?.

In almost all districts, the sites assessed for weather impact were based on DACOs and community meetings. The absence of sites for infrastructural development under the SPCR Component 2 and sites suggested for village development is worrisome considering the evident weather impacts in the visited communities.

Only two GPS readings for Sesheke and ItezhiTezhi and were taken.

Sesheke District

During the meetings at District level in Sesheke, the team was informed that droughts and floods have occurred with Kalobolelwa and Mabumbucommunities being the most affected areas.Mabumbu community is more prone to floods while Kalobolelwa is prone to droughts. The district has had about 3-4 projects that focused on climate change related issues. These were FISRI, CRS/Red Cross, IUCN, and the Root and Tuber projects.

FISRI, aimed at the promotion of conservation agriculture, water harvesting technologies and the use of ripper and Chakain farming systemsincluding sensitizing farmers on the economic importance of fertilizer use . The project also led to the promotion of agro-forestry practices through which acacia tree planting activities got to be introduced in the area.

IUCN though have since had their project phased out were in the area promoting the Farmer Field School concept that required farmers owning one communal field. With the participation of each farmer, practical activities that involved crop production, management up to harvesting was done . The lesson learnt throughout the process were then applied by each one of the participating farmers on their individual farms.

Under the Food Crop Diversification Support Project, the Root and Tuber projects, funded by JICA is operational in the district. Cassava and sweet potatoes constitute main root and tuber cropspromoted,respectively. The district have some successful farmers(4) involved in the ongoing seed growers and seed multiplication covering 1 ha. land through the WWF. The WWF are also involved in conservation farming and human wildlife conflict in the game management area. Chilly booms have since been introduced in the communities within Sesheke as a way to mitigating the human-wildlife (particularly elephant attacks) conflict.

CRS are involved in food relief activities while Red Cross deals with food security issues.Included are Land O Lakes whose resilience project began with the promotion of livestock in the district and is now more into pasture management issues. Another organization called Kulima that is funded by the Swedish under Caritas Livingstone was reported to be involved in conservation farming focusing more on soil fertility and organic farming.

Namwala District

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Through the district officers it was reported that the district experienced very strong winds last year that blew some School rooftops in a named community to an extent in some incident having iron corrugated sheets getting folded up.

It was reported that due to droughts and consequent rain shortages have affected the fish breeding pattern (according to the explanation by the Fisheries Officer)s. Coupled with the poor fish catching practices of the fishermen (Registered fishermen are 1,100 in number), there has been, abate there being no statistical evidence, a depletion of fish in both the Zambezi and Namwala rivers. All these scenarios manifested in the fish scarcity that the district generally has continued to experience for the past five years now.It was further pointed out that available data on fish was captured at main markets and not collected from starting points or harbours.

Livestock diseases continue to be more prevalent in Maala area of Namwala. The situation is further worsened by the fact that there are no drug stores in the area from where farmers could possibly purchase needed drugs. The lending institutionstoo (especially banks)due to their stringent requirements and limited coverage are not helping farmers overcome this problem.

The Nico/Masope –Makaba-Muchilaroad was during floods reported to be totally impassable. Due to the poor road construction works, the road was said to turn muddy during especially the rain season. Heavy Rains that resulted in floods were also attributed to the collapse of houses especially in the showground area where because of sand soils and closeness to the plain water sipped right through to local peoples homestead. The 2008 floods were especially severe that showground inhabitants (about 80 victims)have had to be relocated outside Namwala township to an upper land calledNamulumbwe, located 7km from the flood prone area.The office of the President was reported to be instrumental in providing food to flood victims up to last January 2012.

There have however been other relocations in the year 2000 and 2002 both of which involved moved people to higher lands within Namwala township. By study time, only 21 victims of the 80 relocated victims remain in Namulumbwe. The rest have since drifted back to the flood prone area with some working towards improving their homestead from temporal structures (i.e. houses built with poles and mud walls)to semi-permanent ones (houses constructed using cement plocks and iron roofed); and usually have grass thatched roofs). It was reported that inadequate provision of water points and land for cultivation was the major reason for majority flood victims drifting back to the flood prone area. Furtherobservations indicated that the flood victims whose livelihoods depended on fishing either as fish catchers or as fish marketers especially in the case of women that constituted majority fish traders in the district, found it hard to live far away from such sources livelihoods.

Reported dry spells experienced especially in the two consecutive farming seasons 2009/2010 and 2010/2011 have had devastating effect on maize production that led to reduced yields of 1.7 tonnes per hectare per year compared to the almost standard yields of 2 tonnes per hactare per year often obtained in the district.Ngabo and Bambwe areas were identified as the worst hit areas by dry spells.

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The major health problem the district encountered over the years has been the “plague”that surfaced as a result of rat infestation.

ItezhiTezhi District

The effects of climate change are evident and are being experienced through high temperatures, the cold whose effect was visibly observed on trees that got scorched. Drying of rivers with subsequent effects on agriculture and fisheries.

Under the Forestry Department and through agro-forestry practices, communities are being sensitized on the importance of conserving nature to minimize effects. Babiji was identified as one of the women’s community based group that was introduced and helped to establish a woodlot. The group has been able to plant the eucalyptus tree species alongside their cash crops. The Department also encourages Schools to plant orchards and assorted tree species that were give to them to manage. Kalundu High School, Masasabi and Bushinga all falling in Chief Kaingu’sarea are some of the schools already involved. Despite these introductions made five years ago, monitoring by the Department has been problematic because of inadequate resources e.g. funds, staff, vehicles etc.

Drought was reported to be occurring in portions particularly in areas where deforestation due to charcoal burning practices has occurred. the areas closer to Mumbwa were identified as main areas where deforestation is rife. As a way of discouraging charcoal burning,Danida, was said to have introduced bee keeping activities using new beehives four years ago.

Masasabi area has seven village headmen four of whom were present during the Focus Group Discussions.

Description of Type of Sites and Communities Visited

For Sesheke, a wetland type site found within Kalobolelwa community which is about 2km away from SiomaNgwezi National Park and located 65km away from the district along the Sesheke - Senanga road, was identified as the area with climate impact. Traditionally, the wetland has for many years been used for successive agricultural practices. The major crop grown is maize that seasonally is grown between the months of September and December just before the floods set in.The wetland experiences water backflows twice a year causing floods. With floods comes hippo invasions to fields situated along the wetland and downstream the Zambezi rivercausing damage to crops.

As a result of the experienced flushes, water collects and remains in the middle of the wetland which again results in the much experienced frost reported to have wiped a banana plantation estimated to be ¾ ha (i.e. 0.75ha) in the year 2006.During the study period, community people and reported having lost the first crops grown around June due to frost and new crops were just being raised.

Between 50 to 60 families are involved in wetland cultivation usually utilizing very small plots and the practice is considered a coping strategy for mere survival.

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Community people further reported facing challenges with regard to upland cultivation during the rainy season from October to November. Because the community lies within the elephant route, aselephants come in huge numbers moving to and fro the Zambezi river in the north and south direction, farmers crops in the process get damaged. Such elephant attacks forces farmers undertake premature harvests(as early as April)of their planted crops, especially when the maize crop has not fully formed.

The community also being in a drought prone area, further affects peoples’ agricultural production and productivity rendering the community perpetually food insecurity.

In the case of Namwala district, the plain type site located along the Namwala riverine to the north and human settlement in the Southern direction with the assistance of members of the DMMU was visited and site assessment made.

Being a plain, the area is highly susceptible to flooding whenever there were heavy rains. Evidence of collapsed houses, toilets and such relevant structures were seen. House structures that had previously been submerged during the flood periods still bear the mark of the extent of the effect of water that had slipped through its walls.

Evident effects of Climate Change with high temperatures, colds and floods were reported in ItezhiTezhi. Eroded and damaged roads due to floods were identified as sites with most climate impacts.

Emerging Issues

The main emerging issues in all districts visited are groups as follows:

 Areas are prone to droughts, floods, frost, strong winds and extreme high temperatures  Farmers lose of crops due to drought, dry spells, floods and frosts.  Areas have some climate change and resilience ongoing activities and projects namely agro forestry practices, conservation farming and crop diversification  Outbreaks of cattle diseases, more so in Maala of Namwala district  LimitedMicro financing for small scale farmers and enterprises  Damaged infrastructure such as roads (therefore limiting transport to and from the area) due mainly to floods.  Deforestation occurrences.

Main challenges

There generally were very few challenges though worth mentioning:

The main challenge during study period was being able to assess two sites per district. The distances between sites of interest made it difficult to do work in the days that were allocated per districtand according toschedule. While work in all districts is indeed doable within five days, based on distances to communities and impacted sites to be covered proved really difficult.

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Another challenge was to arrange (though the staff from agriculture assisted) for people to come for community participatory meetings. Such activities needed more time for contact persons to inform community members. The often high numbers of people that attended these meetings were due to the fact that there were joining in well after the meetings had began. In some community we were being asked as to why only few people were informed of the meeting.

Though not so serious an issue but the vehicle used gave the team members some hell of a time.

Opportunities

 Established district committee dealing with climate change and resilience are indications of some kind of preparedness and willingness of various stakeholder to handle climate change issues and are available for partnership in weather related projects/programmes.  Existing weather impacted sites, environmental and social concernsthat can be studied and lessons drawn and available for replication in other areas that may be similarly impacted.  Current climate change mitigation practices and projects introduced in communities also offer themselves for drawing lessons from.  Easy entry into communities through thewell established structures of mainly the Ministry of Agriculture and Livestock.  Plenty room for climate change and resilience studies to influence policy makers and also encourage more works that would lead to general improvement of rural life e.g. road improvements, water supply and sanitation

Way Forward

In future, it would be helpful to do the following things:

 Allocate more days per district if more than one impacted sites were to be assessed.  Ensure that the staff at district level are informed in advance and if possible asked to also inform contact persons of intended community meetings

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PPCR Stakeholder workshop – Strategic Environmental and Social Assessment (SESA) Project Prototypes

Sandy’s Creation 13TH DECEMBER, 2012

PART 1: INTRODUCTION

Public participation is an important element when planning and implementing environmental and social assessments. It is one way of ensuring that all stakeholders take part in planning and decision making process of projects that might affect them during their implementation. As part of stakeholder consultation in preparing the SESA, ESMF and RPF of the SPCR, Niras, together with the MoF held a stakeholder consultative meeting that was held at Sandy’s creation to define the PPCR project prototypes. Stakeholders from the public sector, private sector and donor community participated in this event. Among the stakeholders were representatives from the WB (Ms. Thandi Ngxaba and Sofia Bettencourt), AfDB (Ms. Kisa Ilava Mfulila) and PPCR Secretariat (Mr. David Kaluba and Mr. Martin Sishekanu). The list of the participants is attached in the annex.

PART 2: INTRODUCTION

The meeting was opened by the PPCR national Coordinator who thanked everyone for coming to the meeting. A presentation was made to give a brief background on climate change in Zambia and PPCR as summarised below:

. Floods and droughts have cost Zambia and the vulnerable will continue being affected if climate change effects are not address through adaptation. . The trends from 1960 to date have shown that Zambia has been experiencing droughts and floods, with temperatures increasing, and a decrease in rainfall. Future projections still highlight that the climate variability experienced in the past 53 years will continue with sever floods and droughts. . While Zambia is exposed to climate change, the southern part is the most vulnerable. . The vulnerable people are the most affected by climate change. They cope by reducing the number of meals and other basic needs such as education. Their debts increase and further rely on casual labour as their source of income. . the Barotse and Kafue sub-basins as their pilot areas for SPCR . PPCR objective is to to mainstream climate change into the most economically and vulnerable sectors of the economy in order to ensure sustainable economic development towards the attainment of Zambia’s Vision 2030 . The Zambia Climate Change Programme will be headed by a committee of Ministers with the future climate change council reporting to them. Government ministries, civil society organisations, private sector and academia will fall under the future climate change council. Platforms have been created for stakeholders according to their areas of interest. . Since the objective of the PPCR responds to the attainment of Zambia’s vision 2030 which seeks to mainstream climate change into the most economically and vulnerable sectors

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of the economy, it therefore also fits into the National Strategic vision which thrives to having a prosperous climate-resilient economy. . PPCR has been designed with two phases – Phase 1 consists of mainstreaming climate resilience, having strengthened institutional coordination, improved information, targeted awareness and communication. Phase 1 has been implemented since in 2010. Phase 2 comprises of participatory adaptation, looking at climate resilient infrastructure and strategic programme support. Phase 2 is the proposed Strategic Programme for Climate Resilient in Zambia. Participatory adaptation and climate resilient infrastructure will be implemented in the two sub-basins while strategic programme support will be at national level. . There are three investment support projects under SPCR. The first one will focus on Barotse sub-basin and will be financed by IBRD. AfDB will finance the second investment project which will focus on the Kafue sub-basin. The third component is the private sector support programme which will be financed through International Finance Corporation.

PART 3: CONSULTING TEAM PRESENTATION

A presentation on the findings was done by the consulting team from the field mission which took place in August, 2012. A total of 9 districts were visited where interviews were held with key informants. Focus Group Discussions (FDGs) were also conducted with community members. Site assessments of impacted areas were also conducted in each district. The findings revealed the main environmental and social issues that were experienced by the communities due to climate change; the mitigation measures that the communities felt would address the impacts and the project activities that the communities identified and thought would be most suitable to adapt to the effects of climate change. The team also made a presentation on the screening process for the projects and the institutional arrangements. A summary of the findings is given in the tables below.

Summary of Findings from the Field Mission

Environmental Impacts

Weather Event Environmental problems Damages

Drought . Deforestation Crops, livestock . Floods . Crop diseases . Livestock diseases . resistance of pests to pesticides Floods Overgrazing Crops, livestock, roads, human lives, houses Frosts soil infertility Crops, livestock, human lives lost Change in onset of rain Quality of drinking water crops unexpected rainfall Soil erosion drenched harvested crops

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Weather Event Environmental problems Damages

Extreme heat Soil degradation Diseases, low water levels, drying of grazing land, crops, skin diseases, diarrhoea Dry Spells Low ground water level Crops dry

Social Impacts

Findings showed that very poor households have been affected by climate change and most the affected people are children, the aged and people living with disabilities

Social and Community problems that have Improving the Impact on health and Coping Improving the become more severe and Coping Strategies situation of the strategies situation of the worst affected worst affected

. Food . Improved . Capacity . Waterborne . Sensitization . Mainstream insecurity technology and building in diseases on health in school . Increase in farming methods entrepreneur . Malaria . Promotion curriculum diseases . Conservation ship . Respiratory of hygiene . Loss of income farming . Provision of tract practices . Damaged . Livestock loans infections . Access to . . infrastructure management Food Eye clean water . Low school . water assistance infections Improved turn out conservation/harves . Provision of . Malnutrition sanitation . Migration of ting climate . matters people . agro-forestry resilient using . Wildlife . entrepreneurship seeds traditional

migration Construction, . Electrical means like routes/human upgrading or Fencing off herbs conflict retrofitting of community roads to climate resilience . Use of chilli bombs

General questions and comments on the study by stakeholders16

Stakeholders raised questions from the reports circulated on the study of which all the questions have since been responded to. The below questions were raised by the stakeholders from the consultative meeting.

Questions/Comments

16 All the questions and concerns raised have since been address in the main documents for the study

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Questions/Comments

People are in remote access and don’t have access to radio or TV. In which way is PPCR going to help such people receive information on weather.

Masaiti – There is an outbreak of worms related to food insecurity. How will the DMMU mitigate in such a situation to help with food situation

Response:

There is need to investigate if this outbreak is linked to climate change. There are cases were diseases and pests might be those that are triggered by climate change. In such a situation, there is need to have a contingency fund that might be available at district level to deal with such issues. At community level chemicals have been distributed that will ensure that such eventualities are taken care of.

Ministry of Lands – It is important to compare what is already on the ground so that we don’t have to re-invent the wheel. Important to consult other documents such as the NAPA because certain issues that were raised from the field mission findings have already been raised in the NAPA.

UNDP

1. Q1, section 2.1.4 Structured interviews and FGD – Reference made to the methodology used. a. DACO, DMC and Metrological departments. Why is it that only these 3 institutions were met? b. Discussion done with concerned participants and stakeholders. Need to give who exactly these stakeholders. c. There is also need to know who these groups of 15 are and need to have these stratified. 2. Section 2.1.5 – Reference is made to the visits that look at the system and preparedness of the local level. a. How was the preparedness assessed and what systems were looked at to look at the adequacy of the systems b. Who are the planning and implementing authorities? Need for clarity

With reference to the table for the Summary of environmental impacts, which of these are climate related or which of these fall under cc. For example Deforestation and overgrazing can exist without the impact of climate change. Are the diseases mentioned new diseases if not how do they relate to climate change?

Response: There is no clarity on the actual projects that will be done so these are just project prototypes that will be done. The proposed projects must demonstrate clear adaptation benefits. (refer to the document circulated by WB at the meeting).

Some of the points mentioned out of the document are:

. Reinforcing the capacity of ecosystem. . The activity must have been identified as part of the participatory planning. Climate management is incorporated in this . The beneficiaries should incorporate an inkind contribution . Operational manual should earmark the most vulnerable . Need for minimum requirements such as bank account for beneficiaries . This will be done at community, district and provincial level. That’s where the proposals will be screened from . Many of these projects will not trigger cat A. Screening should be simple and be done at community level. As a direct response to climate change, social cash transfer is being implemented in Kalomo. This started from 2003 when there was drought and most people lost their cattle. GIZ did a study which recommended social cash transfer which has since been rolled out to other parts of the country. Frost was experienced last year where most people lost their crops. This is something that should be looked at during

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Questions/Comments

this study

PART 4: GROUP DISCUSSIONS

Group discussions were held to establish what the stakeholders thought would be the most suitable project prototypes for the SPCR. Four groups were formed which looked at different aspects of the study using question pre-designed by the consulting team. Presentations and responses to the group discussions are summarized in in the following tables below.

Two documents for abbreviated project prototypes for Kafue and Bratose Sub-basins was circulated by AfDB and WB representatives. They are both attached in the annex below.

A questionnaire was designed by the consulting team for PPCR stakeholders who participated in the consultation meeting to assess what they thought would be there role in SPCR and to also get direct information what synergies existed between SPCR and their institutions. The questionnaire is attached in the annex.

Group one – Project prototypes in Barotse Sub-Basin

i. Project prototype

Project Prototypes Reasons Env. Potential Impact Social Impact CLUSTER 1.: Reduce Vulnerability and Secure Assets

Bee Keeping Source of income from honey Not significant Increased non-farming incomes ; Ownership of assets; Reduced vulnerability to climate Improved livelihoods change

Agricultural Access to crop varieties and Increased incomes from climate Diversification hybridization of livestock; Pesticide contamination resilient farming/livestock production Access to non-timber Land degradation products e.g. mushrooms, fruit trees Construction of Fish Availability of fish (protein Disrupt the ecosystem – could Restricted access for some vulnerable Ponds source) throughout the year result in drying up of some groups/members of community; water channels; Mitigation: Compensation of the Mitigation: Construct water owner by the group/ if owner has retention ditches been asset becomes public owned Cluster 2. Decrease Vulnerability of Ecosystems Rehabilitation and Will benefit a large section of Water pollution from oil and Job creation; food security from Maintenance of existing the community, particularly other liquids from machines, growing crops throughout the year canals and dams the most vulnerable. Mitigation-Use resource manual Construction of Gabions Reduce soil erosion Improved land use and Reduced exposure to climate change

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Project Prototypes Reasons Env. Potential Impact Social Impact and other Improve drainage improved productivity stabilization/erosion prevention structures Vegetation planting for Reduce degaradation and soil Reduced soil erosion and land Reduced exposure to soil erosion – sediment and erosion erosion degraation increased production control Cluster 3. Decrease Exposure of Population or Assets to Climate Change Climate Vulnerability To build on what the people Increased climate resilience Reduced exposure to soil erosion – and hazard mapping already know and use local preparedness increased production knowledge to increase awareness; Cluster 4. Increase Coping Capacity of Local Population to Climate Change Strengthening the Community structures and Easy to coordinate and Communities will gain from Social level of community traditional management implement projects capital organization e.g. systems are already in CONCeRN, Worldwide, existence Water Users Association

ii. Comments/ response on presentation The group should have looked at other projects outside what was already given so that they could provide a broader picture about the kind of projects required.

Group two – Project Prototypes in Kafue Sub-Basin

i. Project Prototypes Identified projects Env. Impacts Social Impacts 1. Constructions of dams so as to 1. There’s a possibilities of affecting 1. Constructions of dams: they will be strengthen winter gardening led by environmental flows downstream, conflicts on water usage/ as well as on community organizations probability of outbreaks of diseases the security dam and when to do the i.e. bilharzia and malaria fishing Mitigation: Awareness and sensitization campaigns, Civic & Health Education, formation of maintenance and operational committee 2. Drilling and Deepening of boreholes 2. Drilling and Deepening of 2. Drilling and Deepening of boreholes and and wells to provide safe drinking boreholes and wells: May deplete wells: difficulties in hygiene, operation water and gardening the ground water aquifers and may and maintenance get contaminated (saline) Mitigation: Awareness and sensitization campaigns, Civic & Health Education, formation of maintenance and operational committee 3. Rain Water harvesting

4. Promotion of climate resilience crops 3. Climate resilience crops and 3. Climate resilient crops and livestock: and livestock; livestock: May introduce some Resistance to change to adapt to the invasive species introduced crops

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Identified projects Env. Impacts Social Impacts Mitigation: sensitization on the importance of diversification 5. Fish Farming 4. Fish Farming: May introduce some 4. Fish Farming: they will be conflicts on invasive species (e.g. Clay Fish) maintenance, usage as well as on the security of the pond and when to do the fishing. May lead to jealousness 6. Bee keeping activities 5. Bee keeping activities: Possible 5. Regular diversified incomes from non- Deforestation & forest degradation agricultural products

7. Processing and preserving of foods 6. Processing and preserving of 6. Increased food security foods: Waste management and over harvesting (Exploitation) 8. Mushroom growing 7. Mushroom growing: May introduce 7. Increased diversification of livelihoods some invasive species

ii. Institution Responsibilities and capacities for Implementation and Monitoring Institutional Roles for Implementation Institutions that do the Needed capacity for Needed capacity for monitoring Implementing strengthening

1. Project identifications (CBOs) 1. CBOs 1. Financial resources Project implementation 2. Contribution of upfront payments as 2. FBOs 2. Technical guidance part of project implementation 3. D-WASHE 3. Awareness By: CBOs, DDCC, 3. Communities to monitor and 4. DDCC 4. Human resource evaluate the project 5. PDCC Traditional and Civic leadership 4. DDCC appraise and approve the 6. Local NGOs identified projects 5. DDCC to facilitate the funding of Monitoring tools: M&E Skills, project Budget tracking 6. PDCC appraise and approve the identified projects Operational, maintenance and supervision

1. Need to address sustainability in all programmes 2. Community benefit sharing

iii. Comments/ response on Presentation: while potential projects were highlighted it was felt necessary to explain why and clarify on whether dam contractions would be part of this programme since these are high level projects which are not part of community activities. However, the group responded that it might be viable because most streams have water during rainy season which was not available during the dry season. Damming of these streams would provide water during the dry season. It was however concluded that damming was a huge endeavour which would not qualify since PPCR is looking at community driven projects. Therefore, there is need to reconcile thoughts on these community driven ideas. There will be need to have an institution that will provide technical assistance for the proposed projects.

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