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MINISTRY OF NATIONAL DEVELOPMENT PLANNING
ENVIRONMENTAL AND SOCIAL DUE DILIGENCE ON THE TRANSFORMING
LANDSCAPES FOR RESILIENCE AND DEVELOPMENT IN ZAMBIA
PROCESS FRAMEWORK
November 2018
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EXECUTIVE SUMMARY
The Transforming Landscapes for Resilience and Development in Zambia (TRALARD-Zambia) be
implemented in the Northern Region of Zambia(NRZ). The project will build on the programmatic
approach agreed upon by stakeholders for the implementation of the PPCR in Western Province of
Zambia and lessons learnt to cover a number of thematic areas including biodiversity, forest, and
watershed, among others to support one of the poorest regions in the country by integrating
livelihood improvement with natural resource sustainability. The interventions will operationalize
landscape approaches to contribute to the national forest landscapes restoration requirements as well
as enhance resilience and development in the NRZ and deepen the work in southern region of the
country.
This Process Framework (PF) has been prepared to contribute to the smooth execution of the
Project by providing guidelines to address potential adverse social (particularly, livelihood)
impacts. An Environmental and Social Management Framework (ESMF) report and a Resettlement
Policy Framework (RPF) have also been prepared as separate documents.
PURPOSE OF PROCESS FRAMEWORK
This process framework has been prepared because the TRALARD Project may cause restrictions
in access to natural resources in legally designated parks and protected areas. The process
framework applies regardless of the number of people affected; whether or not they will benefit
from project activities; and whether or not they are fully satisfied with the provisions for
compensation, relocation, or rehabilitation, as relevant.
The purpose of this process framework is to establish a process by which members of potentially
affected communities will participate in the design of Project components, determination of
measures necessary to achieve resettlement policy objectives, and implementation and monitoring
of relevant Project activities. Specifically, this process framework describes participatory processes
by which the following activities will be accomplished:
• Project components will be prepared and implemented and briefly describes the Project and
components or activities that may involve new or more stringent restrictions on natural
resource use. It also describes the process by which potentially displaced persons participate
in the Project design;
• Criteria for eligibility of affected persons will be determined. It establishes that potentially
affected communities will be involved in identifying any adverse impacts, assessing of the
significance of impacts, and establishing of the criteria for eligibility for any mitigating or
compensating measures necessary;
• Measures to assist affected persons in their efforts to improve their livelihoods or restore
them, in real terms, to pre-displacement levels, while maintaining the sustainability of the
park or protected area will be identified. It describes methods and procedures by which
communities will identify and choose potential mitigating or compensating measures to be
provided to those adversely affected, and procedures by which adversely affected
community members will decide among the options available to them; and
• Potential conflicts or grievances within or between affected communities will be resolved. It
describes the process for resolving disputes relating to resource use restrictions that may
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arise between or among affected communities, and grievances that may arise from members
of communities who are dissatisfied with the eligibility criteria, community planning
measures, or actual implementation.
Additionally, the process framework describes arrangements relating to Administrative and legal
procedures as well as monitoring arrangements.
PROJECT DESCRIPTION
The development objective of TRALARD is to increase the ecosystem resilience and land
productivity within vulnerable landscapes and, in the event of an eligible crisis or emergency, to
provide immediate and effective response to the eligible crisis or emergency.The PDO will be
achieved through: (a) Institutional Development and Capacity Building for Landscape Restoration
and Resilience, (b) Sustainable Landscape Management Practices, (c) Contingency Emergency
Response, and (d) Project Management and Monitoring.
STAKEHOLDER CONSULTATION
The PF preparation included stakeholder consultations, and the key Project stakeholders identified
for consultations included government ministries, government agencies, NGOs, royal
establishments, community leaders and local communities in the study area. Meetings were held
with key officials and opinion leaders to gauge the level of awareness and involvement with the
proposed Project, concerns of Project implementation, and to obtain relevant documents or baseline
information. The consultations also served to gather information on institutional mandates and
permitting requirements to inform the development of the project.
ENVIRONMENTAL AND SOCIAL BASELINE
The project will be implemented in the Northern region of Zambia (NRZ). This comprises three
provinces namely Luapula; Northern; and Muchinga, and covers a total area of 216, 023 square
kilometres with a total population of 2, 809, 408. The NRZ lies in the third ecological zone with
annual rainfall of about 1200mm. The region is also endowed with natural resources that include
rich biodiversity, natural lakes, rivers and national parks and waterfalls among others.
Notwithstanding these resource endowments, the region ranks poorly in socio-economic
development. The primary economic activities include subsistence agriculture, fishing and
exploitation of forest resource.
PF PROCESSES
The PF was developed by carrying out a number of activities including the following: literature
review; stakeholder analysis; analysis of baseline environmental and social data; site visits and
field assessments; interviews and focus group discussions; and the analysis of WB safeguard
policies and Zambian policies, legislation and international agreements.
This PF details the processes, procedures and requirements through which the project activities will
be implemented to ensure compliance with WB safeguards and Zambian policies and legislation. It
also details the measures through which the livelihoods of the affected persons will be restored, in
real terms, to pre-displacement levels, while maintaining the sustainability of protected areas.
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ACRONYMS AND ABBREVIATIONS
CSA Climate Smart Agriculture
CSO Civil Society Organization/ Central Statistical Office
DDCC District Development Coordinating Committee
DNPW Department of National Parks and Wildlife
DPCU District Program Coordination Unit
EA Environmental Assessment
EAC Environmental Assessment Committee
EIA Environmental Impact Assessment
EIS Environmental Impact Statement
EMA Environmental Management Act
EPB Environmental Project Brief
EPPCA Environmental Protection and Pollution Control Act
ESIA Environmental and Social Impact Assessment
ESMF Environmental and Social Management Framework
ESMP Environmental and Social Management Plan
FD Forestry Department
FMP Forest Management Plans
FR Forest Reserve
GEF Global Environmental Facility
GHG Greenhouse Gas
GMA Game Management Area
GRZ Government of the Republic of Zambia
HDI Human Development Index
M&E Monitoring and Evaluation
MDAs Ministries, Departments and Agencies
MDG Millennium Development Goal
MLNREP Ministry of Lands, Natural Resources and Environmental Protection
MNDP Ministry of National Development Planning
MRV Measuring, Reporting and Verification
MTEF Medium Term Expenditure Framework
NAPA National Adaptation Program of Action
NBSAP National Biodiversity Strategy and Action Plan
NCCRS National Climate Change Response Strategy
NDCC National Development Coordinating Committee
NHCC National Heritage Conservation Commission
NP National Park
NPIU National Program Unit
NRP National Resettlement Policy
NWFP Non Wood Forest Product
OP Operational Policy
PDCC Provincial Development Coordinating Committee
PDO Project Development Objective
PF Process Framework
PIU Project Implementation Unit
PPCR Pilot Program for Climate Resistance
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PPCU Provincial Program Coordination Unit
PPSC Provincial Planning Sub-committee
PPU Provincial Planning Unit
RAP Resettlement Action Plan
REDD+ Reducing Emissions from Deforestation and Forest Degradation
REL Reference Emission Level
RPF Resettlement Policy Framework
SESA Strategic Environmental and Social Assessment
SI Statutory Instrument
ToR Terms of Reference
TRALARD Transforming Landscapes for Resilience and Development
UNCCD United Nations Convention to Combat Desertification
UNCED United Nations Conference on Environment and Development
UNFCCC United Nations Framework Convention on Climate Change
WDC Ward Development Committee
ZEMA Zambia Environmental Management Agency
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Contents
EXECUTIVE SUMMARY ............................................................................................................... 1
ACRONYMS AND ABBREVIATIONS ............................................................................................ 3
1. INTRODUCTION ................................................................................................................ 7
1.1 PROJECT BACKGROUND ................................................................................................. 7
1.2 PURPOSE OF PROCESS FRAMEWORK .......................................................................... 8
1.3 PROJECT DEVELOPMENT OBJECTIVE ........................................................................... 1
1.4 PROJECT DESCRIPTION .................................................................................................. 2
1.5 INSTITUTIONAL ARRANGEMENTS .................................................................................. 5
2. PF METHODOLOGY .......................................................................................................... 7
2.1 LITERATURE REVIEW ....................................................................................................... 7
2.2 STAKEHOLDER ANALYSIS .............................................................................................. 7
2.3 ANALYSIS OF BASELINE ENVIRONMENTAL AND SOCIAL DATA ................................ 7
2.4 SITE VISITS AND FIELD ASSESSMENTS ......................................................................... 8
2.5 INTERVIEWS AND FOCUS GROUP DISCUSSIONS ......................................................... 8
2.6 ANALYSIS OF WORLD BANK SAFEGUARD POLICIES AND ZAMBIAN POLICIES, REGULATIONS AND INTERNATIONAL AGREEMENTS ................................ 8
3. POLICY AND LEGISLATIVE FRAMEWORK ................................................................... 8
3.1 ZAMBIAN POLICY AND LEGISLATIVE FRAMEWORK .................................................... 8
3.2 WORLD BANK RESETTLEMENT POLICY FRAMEWORK ............................................. 11
3.3 COMPLEMENTARITY OF ZAMBIAN LAND LEGISLATION AND THE WORLD BANK RESETTLEMENT POLICY .................................................................................... 12
4. SOCIO-ECONOMIC BASELINE OF THE PROJECT AREA ............................................ 17
4.1 4.1 LOCATION .................................................................................................................. 17
4.2 POPULATION AND DEMOGRAPHIC PROFILE .............................................................. 17
4.3 EMPLOYMENT ................................................................................................................. 18
4.4 ECONOMIC PROFILE ...................................................................................................... 18
4.5 CONSERVATION MANAGEMENT AREAS ...................................................................... 20
4.6 LAND TENURE ................................................................................................................. 21
4.7 LAND USE ........................................................................................................................ 21
4.8 ENERGY USAGE .............................................................................................................. 22
4.9 KEY ISSUES FROM STAKEHOLDER CONSULTATIONS .............................................. 22
5. POTENTIAL PROJECT RESTRICTIONS ON ACCESS TO PROTECTED AREAS,
IMPACTS AND LIVELIHOODS RESTORATION MEASURES ........................................ 27
5.1 POTENTIAL CASES OF RESTRICTIONS OF ACCESS TO PROTECTED AREAS ........ 27
5.2 POTENTIAL SOCIAL IMPACTS ....................................................................................... 27
5.3 POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS .............................................. 28
6. COMPENSATION ELIGIBILITY CATEGORIES ............................................................. 29
6.1 DEFINITION OF AFFECTED PERSONS .......................................................................... 29
6.2 CUT-OFF DATE ................................................................................................................ 30
6.3 ELIGIBILITY CRITERIA .................................................................................................... 30
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7. PARTICIPATORY INSTITUTIONAL ARRANGEMENTS FOR THE
IMPLEMENTATION OF PROPOSED MEASURES TO ASSIST AFFECTED
PERSONS AND COMMUNITIES ...................................................................................... 30
8. PARTICIPATORY MONITORING INCLUDING DESCRIPTION OF INDICATORS ....... 31
8.1 SEQUENCE OF IMPLEMENTATION AND RESPONSIBILITY ......................................... 31
8.2 PROCEDURES FOR IMPLEMENTATION OF ALTERNATIVE LIVELIHOOD SCHEMES ......................................................................................................................... 32
9. MONITORING AND EVALUATION................................................................................. 34
9.1 RPF MONITORING ........................................................................................................... 34
9.2 INTERNAL MONITORING ................................................................................................ 35
9.3 IMPACT MONITORING ..................................................................................................... 35
9.4 EXTERNAL COMPLETION AUDIT ................................................................................... 35
9.5 DEVELOPMENT OF VERIFIABLE INDICATORS............................................................. 36
10. STAKEHOLDER CONSULTATIONS ............................................................................... 37
10.1 STAKEHOLDER ENGAGEMENT PROCESS ................................................................... 37
10.2 DISCLOSURE REQUIREMENTS ...................................................................................... 38
11. REFERENCES/ BIBLIOGRAPHY ..................................................................................... 39
12. ANNEXES: ........................................................................................................................ 41
12.1 ANNEX 1: LIST OF STAKEHOLDERS CONSULTED ...................................................... 41
12.2 ANNEX 2: LESSON LEARNT ........................................................................................... 55
12.3 ANNEX 3: KEY ISSUES FROM CONSULTATIONS ......................................................... 58
12.4 ANNEX 4: PROPOSED CENSUS FORM FOR RAP ......................................................... 71
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1. INTRODUCTION
1.1 PROJECT BACKGROUND
Zambia is making efforts to respond to climate change impacts through various adaptation
and mitigation interventions. In terms of mitigation Zambia’s contribution to global
mitigation efforts lies in the forestry sector. Although Zambia’s contribution to regional GHG
emission levels is relatively low, the rise in land use changes, most of which result in forest
loss (deforestation) lead to increased emission. Hence, one effective pathway through which
Zambia can contribute to mitigation efforts is to reduce deforestation under initiatives such as
REDD+.
The Northern region of Zambia comprises three provinces, namely; Luapula, Northern and
Muchinga. They lie in the third agro-ecological zone with annual rainfall of above 1200mm.
The region is also endowed with natural resources that include rich biodiversity, natural
lakes, rivers and national parks, waterfalls among others. Notwithstanding these resource
endowments, the region ranks poorly in socio-economic development. The primary economic
activities include subsistence agriculture, fishing and exploitation of forest resource. Shifting
cultivation is no longer tenable given the land use change and changing demographics. The
soils are poorly‐drained, deep, dark‐grey soils, and include permanent swamps. The
vegetation mainly consists of savannah woodlands, Miombo forest, swamps, and wetlands.
Southern region of Zambia comprises of Western and Southern provinces is in region two
and one with annual rainfall below 800mm.
Zambia has been implementing the World Bank led Pilot Programme for Climate Resilience
(PPCR) aimed at strengthening Zambia 's institutional framework for climate resilience
(while) improving the adaptive capacity of vulnerable communities in selected sub-basins.
This phase strengthens capacity at both national and local levels, whilst piloting the
mainstreaming of climate risk management into spatial planning. Investments supported by
the Zambia PPCR on the ground include participatory adaptation, climate-resilient
infrastructure and strategic program support in agriculture, water, livestock, fisheries and
natural resources and climate information services. The investments were targeted at helping
the country to manage challenge of land degradation, unsustainable land use and climate
variability and change.
Building on the programmatic approach agreed upon by stakeholders for the implementation
of the PPCR in Western Province of Zambia; scaling up lessons from it, the Transforming
Landscapes for Resilience and Development in Zambia (TRALARD-Zambia) will cover a
number of thematic areas including biodiversity, forest, and watershed, among others to
support one of the poorest regions in the country by integrating livelihood improvement with
natural resource sustainability. The interventions will operationalize landscape approaches to
contribute to the national forest landscapes restoration requirements as well as enhance
resilience and development in the Northern region and deepen the work in southern region of
the country. The impacts of climate change, subtle or gradual as they are, remain persistent.
They are taking their toll on the natural resource base of the region, exacerbating the already
vulnerable context of the people.
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The government of Zambia has embraced an integrated approach to development investments
at landscape level. To respond to the challenges of sustainable livelihoods by restoring
degraded forest lands and through multi-dimension renewable natural resource sustainable
use and restoration, will require a demand for a large scale, landscape approach that could
impact thousands of rural level communities. To achieve this, it will be imperative to have a
better understanding of the complex pathways of transforming landscapes for resilience and
development. Therefore, this project will carry out analytics, diagnostics, vulnerability risk
assessment and feasibility studies to inform mapping of potential opportunities for Zambia in
terms of resilience landscape investment in the three Provinces in the Northern Region.
Given that some of the TRALARD activities related to restriction of access to natural
resources, this Process Framework (PF) has been prepared to address such risks. The Process
Framework (PF) will contribute to the smooth execution of the Project by providing
guidelines to address potential adverse social (particularly, livelihood) impacts. An
Environmental and Social Management Framework (ESMF) report and a Resettlement Policy
Framework (RPF) have also been prepared as separate documents.
1.2 PURPOSE OF PROCESS FRAMEWORK
This process framework has been prepared because the TRALARD may cause restrictions in
access to natural resources in legally designated parks and protected areas. The process
framework applies regardless of the number of people affected; whether or not they will
benefit from program activities; and whether or not they are fully satisfied with the provisions
for compensation, relocation, or rehabilitation, as relevant.
The purpose of this process framework is to establish a process by which members of
potentially affected communities will participate in the design of Project components,
determination of measures necessary to achieve resettlement policy objectives, and
implementation and monitoring of relevant Project activities. Specifically, this process
framework describes participatory processes by which the following activities will be
accomplished:
• Project components will be prepared and implemented and briefly describes the
Project and components or activities that may involve new or more stringent
restrictions on natural resource use. It also describes the process by which potentially
displaced persons participate in the Project design;
• Criteria for eligibility of affected persons will be determined. It establishes that
potentially affected communities will be involved in identifying any adverse
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• impacts, assessing of the significance of impacts, and establishing of the criteria for
eligibility for any mitigating or compensating measures necessary;
• Measures to assist affected persons in their efforts to improve their livelihoods or restore
them, in real terms, to pre-displacement levels, while maintaining the sustainability of the
park or protected area will be identified. It describes methods and procedures by which
communities will identify and choose potential mitigating or compensating measures to be
provided to those adversely affected, and procedures by which adversely affected
community members will decide among the options available to them; and
• Potential conflicts or grievances within or between affected communities will be resolved. It
describes the process for resolving disputes relating to resource use restrictions that may
arise between or among affected communities, and grievances that may arise from members
of communities who are dissatisfied with the eligibility criteria, community planning
measures, or actual implementation.
Additionally, the process framework describes arrangements relating to Administrative and legal
procedures as well as monitoring arrangements.
1.3 PROJECT DEVELOPMENT OBJECTIVE
The development objective of TRALARD is to increase the ecosystem resilience and land
productivity within vulnerable landscapes in the Northern Region of Zambia and, in the event of an
eligible crisis or emergency, to provide immediate and effective response to the eligible crisis or
emergency. The PDO will be achieved through:
• Institutional Development and Capacity Building for Landscape Restoration and Resilience,
• Sustainable Landscape Management Practices,
• Contingency Emergency Response, and
• Project Management and Monitoring.
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1.4 PROJECT DESCRIPTION
The project will build on the lessons learnt from the successful PPCR already under implementation
in Zambia, upscaling it and extending it a phased approach to additional provinces in the northern
part of the country. The focus will be on ensuring sustainability of poor rural community
livelihoods in an environment already highly stressed by climate change and expected to undergo
further important changes in the next decades. By improving agricultural and forestry practices, the
project will simultaneously yield climate mitigation benefits and will complement the Zambia
Integrated Forest Landscape Project which is helping to create an enabling environment for
emissions reductions purchases in the Northern Region. The project aligns with key national
strategies and the country’s INDC. The proposed project has been conceived around four
components, through which it will offer a combination of interrelated activities that can be tailored
to the participating targetted provincial needs.
Component 1. Institutional Development and Capacity Building for Landscape Restoration
and Resilience
This component is cognisant of the institutional, information and policy challenges that Zambia
faces in transforming landscapes for resilience and development, particularly in rural areas. It will
focus on policy and institutional strengthening, information and knowledge management, building
plans for strengthening managerial skills, unleashing private sector approach entrepreneur potential
and technical knowledge necessary for the natural resource management, preservation and
restoration in the targeted project areas, using a resilient and integrated landscape approach. This
will be done through financing of technical assistance (TA), workshops, trainings, operational costs,
and equipment.
1.1 Policy and institutional strengthening: It will support capacity-building and plans for
strengthening managerial skills and technical knowledge required for natural resource management.
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The activities will align with government priorities in the forest, wildlife and protected areas sectors
to enhance integrated approach to natural resource management and coordinated land use planning
and management. This will also enhance the ability of the government to scale up interventions in
key sectors that hold greater promise to transforming landscapes for resilience and development.
1.2 Strengthening opportunities for private sector engagement: Entrepreneurship is a fundamental
driver of growth and development. Entrepreneurs unleash the potenital for small scale and farmer
groups and transforms low-income economies into dynamic, growing markets. In addition to the
benefits of economic growth, jobs and income generation, entrepreneurs also promote resilience and
inclusion. However, the overall contribution of micro, small and medium enterprises to the
economic growth and development of Zambia remains untapped and below potential. TA will
therefore be provided to strengthen the enabling environment for small and medium enterprise
growth. An important first step is the use of entrepreneurship diagnostic tools to understand the
opportunities and constraints for entrepreneurship. This will also build on and learn from the pilot
being implemented under the Zambia PPCR private sector approcah.
Under this subcomponent, diagnostic tools will be employed for the identification of sector and firm
level constraints to growth and opportunities for productivity gains, private investments and greater
market access for (agro-) forest and fresh water fisheries products and services. It will also support
growth through providing practicable knowledge products, lessons from good practice models and
proposals for innovative financing instruments.
1.3 Strengthen the beneficial use of hydro-meteorological information : This activity wil support
activities to strengthen early warning systems and related institutional systems that will help
improve the resilience of communities to impacts and effects of climate change. Institutions will be
strengthened with aim to improve decision-making processes related to enhance government
preparedness. Specific support would include technical assistance to develop a long term strategic
plan to strengthen the institutions responsible for delivering meteorological and hydrological
information, data management and forecasting systems in countr. This sub-component will
strengthen the use of hydro-met modelling information for both decision making and last mile end-
users with specific focus in the Chambeshi-Luapula catchment area.
Component 2. Sustainable Landscape Management Practices
The component will catalyse efforts to reduce and/or avoid deforestation and forest degradation
through (a) sustainable forest management, (b) protection of environmental services; (c)
enhancement of carbon stocks in forest landscape, (d) agroforestry and sustainable use of non-
timber products, (e) low carbon production systems in agriculture, and (f) evolving towards and
strengthening of enterprises associated with appropriate social schemes.
2.1. Invesment in Integrated Natural Resounce Management Planning(INRMP): An integrated
natural resources management planning will help with a conscious management that guarantees
long-term and sustainable use of natural resources for the future generations. This activityt will
support preparation of an INRMP in the project targeted are; related policies, suport and strengthen
opportunities for private sector engagement; and Sustainable Forest Management.
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Most of the land in the Northern region is in need for the restoration of carbon storage. Lands
around water hotspots such as Lake Mweru, Lake Tanganyika and Lake Bangweulu have near
medium conservation values, while the borders of the North Luangwa national park on the east have
the highest conservation value and greatest need for protection of biodiversity. An INRMP to be
implemented in the context of a natural reouces management would help to enhance dual benefit i.e
community use efficiently and promotion of carbon accumulation in biomass and soil while also
reducing unsustainable land use change that leads to emissions.
2.3. Improved Management of Protected Areas and Reserves : This activity will support the
effective and sustainable development of the PA system in the northern region of Zambia in order to
preserve the biodiversity and ecosystem services for the well-being of people with focus on forest
dependent communities. In addition, it will support enhancing Ecotourism in the project targeted
area. The project targeted area i.e Luapiula, Muchinga and Northern procinvies has tremendous
opportunities to improve the utilization of its natural resource base for a more diversified tourism
product. Essential to optimizing this potential is the creation of ecotourism corridors that link the
main tourism gateways of these three provinves to their natural asset base. The objective of this
subcomponent is will be to to introduce and strengthen eco-tourism aceess through improving
access ,support infrastructure and establishing eco-tourism infrastructures. All of this is geared
towards basic access improvement for visitors coombined with an appropriate interpretation of the
landscape values to endear a balanced utilization and conservation.
2.4. Sustainable and Diversified Resilient Livelihoods: Promotion of community-based and
culturally responsive sustainable activities for income generation to reduce heavy reliance on
natural resources that leads to landscape degradation. The alternative livelihood activities will also
be gender sensitive so that they contribute to lifting up the socio-economic situation of particularly
women who are more heavily using natural resources with inferior financial value compared to
men. Small-scale climate resilient irrigation and aquaculture techniques, improvement of food and
seed storage capacities and developing feeds, among others will be promoted as sustainable and
resilient livelihood sources.
Component 3: Contingency Emergency Response Component (CERC) (Standardized)
This contingency component can be triggered by a joint Government and World Bank agreement in
case of an emergency. This component had been embedded in the project to finance early recovery
and/or specific emergency works, goods, and services, in case of eligible
emergencies/crises/disaster caused by natural or man-made hazard including public health crisis.
The mechanism is designed to support enhancement of preparedness, early recovery activities, and
provision of rapid response to disaster that can be implemented in a relatively short period. This
component was considered necessary because of the inherent in Zambia’s current socioeconomic
and climate related hazards (unexpected flooding or drought, an aggravation of the state of fragility,
as a result of influx of large groups of displaced people ( cross boarder and internal displacements)
could potentially shift priorities. Reallocation of funds to CERC can only be done when there is a
serious disruption of the functioning of a community or society causing widespread human,
economic, or environmental losses that exceed the ability of the affected community or society to
cope using its own resources. Following such a disaster event where both the region and national
resources cannot sufficiently and adequately address the situation, the Government of the Republic
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of Zambia (GRZ) may trigger activation of CERC according to national law and subject to the
World Bank’s activation policy.
Component 4. Project Management and Monitoring
The component will support activities related to the management and implementation of the project.
It will support efforts to oversee, monitor and evaluate project activities and to strengthen internal
systems so that the project implementation process leads to the accomplishment of the development
objective of the project, and without compromising the quality of project outcomes.
1.5 INSTITUTIONAL ARRANGEMENTS
The major investments of the TRALARD project are intended to be decentralized, to the lowest
level possible, in order to have funds managed and controlled by beneficiaries. However, there are
some project investments, which are national in scope such as those related to REDD+ policy,
MRV, policies, national-level institutional strengthening, etc. Implementation of TRALARD
project will therefore require implementing agencies at both the national and Province levels.
At the national level, based on its mandate for climate change policy and project coordination, the
Ministry of National Development Planning (MNDP) will represent the Government of the
Republic of Zambia and will host the National Project Unit (NPU). Working through the PPCR
PIU, MNDP will take overall responsibility for project, execution, oversight and coordination
through the relevant line ministries and provincial administration responsible for specific project
activities. The MoDP through the PPCR PIU has been facilitating the coordination of all climate
change activities across sectors and projects to ensure harmonized approach to addressing climate
change. Implementation arrangements with other ministries and provinces and districts would be
undertaken by the MoDP through the standard government practice. Contracting with private sector
partners will also be undertaken by the MoDP through relevant government policy, agreements and
contracts, prior to finalisation, would be subject to the supervision and oversight of a “no objection”
by the World Bank to ensure compliance with standard fiduciary operating procedures.
At the provincial level, the Provincial Administration of the Northern Province, Muchinga Province
and Luapula Province will host the Project Implementation Unit (PIU). The Provincial
Administration of the 3 provinces will be the Executing Agency of the project. This arrangement
follows the decentralization policy of government and aims to devolve decision-making to sub-
national structures to enable more efficient project implementation.
Annual Work Planning and Budgeting (AWPB) for the project will be submitted through the NPU
for World Bank’s approval after clearance by i) the MNDP Permanent Secretary (PS) for the NPU
national-level activities; and ii) the PS of the 3 Provinces for the sub-national level activities.
National level Overall project policy guidance will be provided by the TRALARD National Project Steering
Committee (NPSC), which will be chaired by the Permanent Secretary of the MNDP. The members
of the NPSC will include PSs from the relevant line ministries, departments and agencies (MDAs),
i.e., MOF; Agriculture, Lands; DNPW; Local Government, representative of the private sector,
CSOs and NGOs. This fits into the existing government structures and current project oversight of
ongoing MNDP programs.
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The National Project Unit (as part of its core mandate, will be directly responsible for most of
Component 1 and its management costs will be covered through Component 3. It will be
responsible for the procurement of major studies and services related to the national component. In
addition, the NPU will manage overall project reporting. The NPU will be responsible for preparing
the Annual Work Plan and Budget (AWPB) for the national component of the investment. In
addition, the NPU will consolidate the AWPB for the entire project for submission to and approval
by the World Bank.
Provincial level
The Provincial Development Coordinating Committee (PDCC) chaired by the PS in each of the 3
Provinces, will be responsible for providing policy support, guidance and advice to the PROJECT
in relation to sectorial issues in the province. The PDCC already in place, will comprise provincial
heads of government ministries including but not limited to Agriculture, Land, DNPW, Forest,
Local Government and representatives from the private sector and civil society. The Provincial
Planning Sub-Committee of the PDCC, chaired by the Provincial Chief Planner will be responsible
for the day to day oversight on the operations of the PIU including reviewing, advising and
approving sub-project activities from the lower levels (districts and communities). The PPSC will
also ensure that project activities are incorporated in the Provincial Integrated Development Plan
(PIDP). The Provincial Planning Sub-Committee is expected to be reinforced by the inclusion of
representatives from traditional authorities, CSOs, and the private sector.
The Project Implementation Unit (PIU)
This unit will be embedded into the Provincial Administration, Provincial Planning Unit (PPU). The
PIU will be headed by a Provincial Project Manager (PPM) and report directly to the Provincial
Chief Planner. For project progress reporting, the PPM will collaborate with the NPM. The PIU will
be responsible for the day-to-day operations of the project’s livelihood investments and will be
supported by the PPSC. The PIU will oversee the planning, provide specialized technical support,
and carry out fiduciary, safeguards and monitoring oversight of the project. The PIU will work in
collaboration with the line ministry technical experts in the PPSC to provide management oversight.
District level
At the district level, the District Development Coordinating Committee (DDCC) chaired by the
District Commissioner provides policy guidance on projects in the district. Like the provincial level,
the DDCC will comprise district heads of government MDAs including but not limited to
Agriculture, Land, DNPW, Forest, Local Government and representatives from the private sector
and civil society. The District Planning Advisory Sub-Committee (DPSC) consisting of technical
staff, traditional representatives and civil society partners will provide the day to day overall
coordination and will be responsible for advising, reviewing and recommending community sub-
projects from Wards and Communities. The District Planning Officers under the guidance of the
DPSC will ensure that the project is integrated in existing institutional structures and mandates of
the district. Districts will be responsible for implementing interventions that fall under their
authority and will provide coordination responsibility over community level micro-projects that cut
across several communities. In such cases, District Development Plans (DDPs) will be prepared as
appropriate. Where government MDAs do not have technical establishments in the districts back
stopping and or implementation support will be provided from the provincial office.
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Community level At the community level, the structure will be similar, with overall coordinating responsibilities
falling under the Ward Development Committees (WDCs) that will be constituted according to
local government electoral procedures. The WDCs will consist of community representatives from
the respective Zones, civic leaders, government agencies (e.g. agriculture camp officers, wildlife
camp officers, traditional authority representatives and civil society partners. Communities will be
responsible for implementing and managing interventions at the community level with managerial
oversight from the districts and the PPU. If not already existing, Ward Development Plans (WDPs)
will be prepared covering plans from the Zones in a given area.
The Ministries, Departments and Agencies (MDAs): The MDAs, i.e. Agriculture, Forest, Lands,
DNPW, Local Government, etc. will play a critical technical role at the sub-national levels and
ensure synergy with their respective national line ministries. They will be responsible for regular
technical back stopping and ensuring linkages of project investments with development plans and
policy. When required, they will provide technical assistance and support, based on agreed annual
work plans with the NPU and PPU, against which regular advances will be made and accounted.
2. PF METHODOLOGY
This PF has been developed together with the ESMF and RPF for the TRALARD Project. A
number of activities have been undertaken in order to meet the safeguards requirements for the
assignment including the following: literature review; stakeholder analysis; analysis of baseline
environmental and social data; site visits and field assessments; interviews and focus group
discussions; and the analysis of World Bank (WB) safeguard policies and Zambian policies,
legislation and international agreements.
2.1 LITERATURE REVIEW
A literature review was undertaken with a view to gathering relevant secondary data, and the key
sources of secondary data are listed under the References/ Bibliography section of the RPF. This
process was crucial in the development of the RPF as it informed the stakeholder analysis, analysis
of baseline environmental and social data, site visits and field assessments, interviews and focus
group discussions, and the analysis of WB safeguard policies and Zambian policies, legislation and
international agreements.
2.2 STAKEHOLDER ANALYSIS
A stakeholder analysis was carried out at the commencement of the assignment with a view to
informing the stakeholder consultations, and the key stakeholders identified and consulted are listed
in Annex 1.
2.3 ANALYSIS OF BASELINE ENVIRONMENTAL AND SOCIAL DATA
Secondary baseline environmental and socio-economic data was gathered through the literature
review, whilst primary data was obtained from the stakeholder consultations and field work. The
purpose of the baseline data collection was to:
• Scope the study area from a framework point of view, rather than obtain detailed
quantitative data that would normally be associated with a site specific assessment; and
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• Provide information on host environment conditions to be able to analyze and predict the
nature and significance of potential Project-related environmental and socio-economic
impacts.
2.4 SITE VISITS AND FIELD ASSESSMENTS
Site visits and field assessments to the study area, Luapula, Muchinga and Northern Provinces were
carried out in order to undertake stakeholder consultations and fill gaps identified during the
literature review.
2.5 INTERVIEWS AND FOCUS GROUP DISCUSSIONS
Stakeholder consultations included engagement with the key stakeholders listed in Annex 1.
Interviews and focus group discussions were conducted in Luapula, Muchinga and Northern
Provinces. The key issues discussed are also given in Annex 2.
2.6 ANALYSIS OF WORLD BANK SAFEGUARD POLICIES AND ZAMBIAN POLICIES,
REGULATIONS AND INTERNATIONAL AGREEMENTS
The PROJECT is required to comply with the WB Safeguard Policies and relevant Zambian
policies and legal framework. An assessment of the WB Safeguard Policies and Zambian policies,
legislation and international agreements was, therefore, undertaken so as to determine the
safeguards and legal frameworks that would guide the implementation of the PROJECT. The
assessment results are given Section 3 of this RPF.
3. POLICY AND LEGISLATIVE FRAMEWORK
This section of the RPF reviews the Zambian policy and legal framework and the WB resettlement
policy framework that is relevant to the TRALARD Project.
3.1 ZAMBIAN POLICY AND LEGISLATIVE FRAMEWORK
Relevant Policies
The Zambian resettlement policy framework consists of the National Resettlement Policy, and the
legal framework for matters related to the compulsory acquisition of property, in particular land and
the alienation of land, is provided for in the Zambian Constitution, Lands Act, and the Lands
Acquisition Act. Whilst these three Acts provide the basis for land acquisition, various other
national laws define the authority and responsibility of specific sectoral agencies. However, there is
currently no specific law pertaining to involuntary resettlement in Zambia. The Zambian policy and
legal framework that are applicable to the TRALARD are as follows:
• The Constitution of the Republic of Zambia
• National Resettlement Policy;
• Constitution of Zambia Cap 1;
• Environmental Management Act of 2011;
• Lands Act Cap 184;
• Lands Acquisition Act Cap 189;
• Local Government Act, Cap 281;
• Urban and Regional Planning Act of 2015;
• Arbitration Act No. 19 of 2000;
• Forests Act of 2015;
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• Zambia Wildlife Act of 2015;
• National Heritage Conservation Commission Act, Cap 173 of 1989;
• Agricultural Lands Act Cap 187 of 2006;
• Land Survey Act Cap 188; and
• Valuation Surveyors Act Cap 207.
Policy and Legislation Assessment
This section of the RPF discusses the priority policy and legislation that is applicable to the
TRALARD in the context of safeguard instruments.
The Constitution of the Republic of Zambia
The Constitution of Zambia, Chapter 1 of the Laws of Zambia, and Article 16 of the Constitution
provides for the fundamental right to property and protects persons from the deprivation of their
property. It states that a person cannot be deprived of property compulsorily except under the
Authority of an Act of Parliament, which provides for adequate payment of compensation. The
Article further provides that the Act of Parliament under reference shall provide that in default of
agreement on the amount of compensation payable, a court of competent jurisdiction shall
determine the amount of compensation.
National Resettlement Policy
The National Resettlement Policy (NRP) sets out the Government objectives, principles and
measures for dealing with resettlement as a strategy for rural development and as a response to
internal population displacements. In addition, it provides a mechanism for dealing with both
voluntary and involuntary resettlements. The policy focuses on employment creation, access to
public social services, increased food security, security of land tenure, stimulating economic growth
in rural areas and compensation and resettlement assistance for internally displaced persons. The
Department of Resettlement in the Vice President’s Office is in charge of implementing the NRP.
However, the policy is not legally binding.
Environmental Management Act of 2011
This is the principal legislation on environmental and social protection and management in Zambia.
Under the provisions of this Act, a strategic environmental assessment report will be prepared and
submitted to the ZEMA for approval prior to the implementation of the TRALARD. Environmental
Project Briefs (EPBs) will also be prepared for all TRALARD Category B sub-projects in
accordance with the provisions of the Environmental Protection and Pollution Control
(Environmental Impact Assessment) Regulations of 1997. An EPB corresponds with the
requirements of a WB Category “B” EA and will serve to identify and evaluate any sub-project's
potential environmental and social risks and impacts in its area of influence, and to outline measures
for preventing, minimizing, or mitigating any adverse environmental impacts identified. The MNDP
will be responsible for the preparation of the EPBs, either internally or through a consultant. The
EPBs will be approved by the ZEMA, through a decision letter with attached conditions, prior to the
sub-project activities being implemented.
It is worth noting that the Project will not support WB Category “A” sub-projects, and these will be
screened out through the use of the EIA Second Schedule and consultation with the ZEMA.
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Following the approval of a subproject, any potential adverse environmental impacts identified by
the ZEMA under the conditions of the decision letter will be subject to licensing and compliance
inspections as provided for under the Environmental Management (Licensing) Regulations of 2013.
Where resettlement is triggered as a result of sub-project activities, a RAP will be prepared as part
of the EPB process. Similarly, where the TRALARD results in restrictions of access to natural
resources in legally designated parks and protected areas, an LRP will be prepared as part of the
EPB process by the MNDP, either internally or through a consultant. Both Plans will be reviewed
and approved by the ZEMA, through a decision letter with attached conditions, prior to the
implementation of sub-project activities.
The Lands Act Cap 184
The Lands Act controls the alienation of land and will guide any land acquisitions for TRALARD
sub-projects and the conversion of land from customary tenure to statutory.
The Act empowers the President of the Republic to compulsorily acquire property. The principles
of compensation are pivoted on the basis that the value of property for the purpose of compensation
shall be the value of the amount which the property might be expected to realize if sold on the open
market by a willing seller at the time of the publication of notice to yield possession of the property.
Land Tenure Systems
There are two main land tenure systems in Zambia, statutory and customary.
Statutory Tenure
Statutory tenure involves State Land, which is administered by the Lands Commissioner through
Local Authorities on behalf of the President. All land in Zambia is vested in the Republican
President who holds it in perpetuity on behalf of the Zambian people.
The President has delegated his execution and disposition powers to the Commissioner of Lands,
who is supported by Agents who plan and sub-divide the land into plots, and select and recommend
suitable candidates to him for issuance of a certificate of title. The Agents are the District,
Municipal, and City Councils, who use the provision of the Urban and Regional Planning Act of
2015 for this purpose.
Customary Tenure
Customary Tenure is applicable in areas under the jurisdiction of Traditional Authorities
(chiefs/chieftainesses). The traditional land tenure system is the most prevalent among the majority
of Zambians who live in the rural areas of the country.
Tenure under customary land does not allow for exclusive rights to land. No single person can
claim to own land, as usually the whole land belongs to the community members for their own use.
In addition, land is considered as a valuable heritage for the whole community.
It is the duty of traditional rulers to ensure that every member of his or her community capable of
owning land is allocated land. Therefore, the issue of access, as in State Land, is tied to capability.
However, being capable is entirely up to the discretion of the Chief, and this has often led to
dissatisfaction among community members, the most vulnerable groups being women, youths and
the disabled.
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Normally, customary land cannot be used as collateral, as in many cases there are no legally defined
physical boundaries, as required under the Land Survey Act. Thus, customary lands are prone to
encroachments, which often result in land disputes.
Forests Act of 2015
The following issues will be addressed under the provisions of this Act and the Forests (Community
Forest Management) Regulations, 2016:
• Recognition of community forest management groups by the Director Forestry Department
through a letter; and
• Registration of Community Forestry Management Agreements with the Forestry
Department.
Zambia Wildlife Act of 2015
Under the provisions of this Act, Park Management Plans will be prepared and approved by the
Department of National Parks and Wildlife, prior to sub-project implementation. In addition, where
it is deemed that Community Resource Boards need to be formed to allow communities to
effectively participate in resource protection and champion conservation awareness campaigns in
the communal areas e.g. in the Chikomeni and Mwasemphangwe areas, these could also be formed
through the provisions of this Act.
National Heritage Conservation Commission Act, Cap 173 of 1989
Under the Act, any project being implemented is required to disclose any new archaeological,
paleontological, or cultural sites it encounters to the National Heritage Conservation Commission
(NHCC) and to follow their procedures for the investigation and/or removal of material from them
prior to continuing construction activities.
Any Project-supported activities that could impact sites of social, sacred, religious, or heritage value
will have to be reported to the Commission prior to the activities being carried out. In addition, the
"Chance finds" procedures detailed in section 4.8 of this report will be followed during the
implementation of the TRALARD.
3.2 WORLD BANK RESETTLEMENT POLICY FRAMEWORK
The World Bank Operational Policy (OP) 4.12 relates to the administration of resettlement issues in
the event of Project activities inducing the displacement of people and disrupting their livelihoods.
The policy may apply to some sub-project activities to be implemented on the project
World Bank OP 4.12
According to the World Bank’s OP 4.12, particular attention should be given to the needs of
vulnerable groups such as the poverty stricken, the landless, the elderly, widows, child-headed
households and other disadvantaged persons. It is also a requirement of the policy that the provision
of compensation and other assistance be effected prior to people’s displacement. This implies that
the acquisition of land for project activities can only take place after those affected have been
compensated. In addition, the policy offers the impacted persons an opportunity to improve their
livelihoods and living standards through participation in the planning, preparation and
implementation of Resettlement Action Plans (RAPs). The policy states that:
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• Resettlement or displacement should be avoided wherever possible or minimized, and all
viable alternative project designs should be considered before finally deciding on
displacement;
• Resettlement or displacement activities should be conceived as sustainable development
programs, providing sufficient investment resources to enable the person displaced by the
project activities to share in project benefits; and
• Displaced persons should be assisted in their efforts to improve their livelihoods and
standards of living or at least restore them, in real terms to pre-displacement levels or to
those prevailing prior to the beginning of project implementation, whichever is higher.
The policy stipulates that the RPF and RAPs should include measures to ensure that the displaced
persons are safeguarded by being:
• Informed about their options and rights pertaining to resettlement or displacement;
• Consulted, offered choices and provided with technically and economically feasible
resettlement alternatives;
• Provided with prompt and effective compensation at full replacement cost for loss of assets
attributed directly to the project. The resettlement plan or resettlement policy framework
should include measures to assure that the displaced persons are provided with: assistance,
such as transport and other allowances during relocation; residential housing or housing sites
or as required agricultural sites for which a combination of productive potential, location
advantages and other factors are at least equivalent to the advantages of the old site;
• Offered support after displacement, for a transition period, based on a reasonable estimate of
time likely to be needed to restore their livelihood and standards of living; and
• Provided with development assistance in addition to compensation measures such as land
preparation, credit facilities or job opportunities.
3.3 COMPLEMENTARITY OF ZAMBIAN LAND LEGISLATION AND THE WORLD BANK
RESETTLEMENT POLICY
Similarities
There are a number of similarities between the Zambian land legislation (i.e. Zambian Constitution,
Lands Act, and the Lands Acquisition Act) and the World Bank’s OP 4.12. These include:
• The requirement to pay compensation in advance where land is compulsorily acquired;
• Compensation being based on full market value or through grant of another plot of land or
building of equal quality, size and value;
• Avoidance, wherever possible, of impacts on forest reserves, national parks and other fragile
ecosystems;
• The requirement to compensate for losses whether temporary or permanent in production or
damage to productive assets and crops; and
• Provision for the rights of appeal and other judicial avenues for resolution of disputes.
Gaps
Gaps do exist between the World Bank OP 4.12 and Caps 1, 184 and 189, and these are as follows:
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• Comprehensive resettlement planning - there is no requirement under the Zambian land
legislation for the preparation of a comprehensive formal resettlement action plan (RAP)
including carrying out a census, social economic survey, consultations with Project affected
people, monitoring, and reporting. The Urban and Regional Planning Act of 2015, which
deals with issues of human settlements and development in Zambia does not refer to
involuntary settlement, but only to the removal of squatters on state lands needed for urban
expansion and development.
• Compensation eligibility in Zambia - under Zambian land legislation, only people and
entities with title deeds are entitled to compensation, including those with registered third
party rights or those who have legally obtained the right to register but have not yet
completed registration. However, under the WB’s OP 4.12 illegal land users without title to
the land are entitled to compensation for land use and affected structures on it (but not
compensated for land). In some cases of illegal development, compensation is provided on
discretional basis on case by case basis.
• Compensation and resettlement assistance - the current Zambian land legislation provides
for the payment of compensation at market value for losses of land, buildings, crops and
other damages arising from the acquisition of land for Project activities. Under the Zambian
law, moving costs or rehabilitation support to restore previous levels of livelihoods or living
standard are not recognized, and there is no government agency charged with that
responsibility.
• Property measurement - under the Zambian land legislation, compensation is equal to the
market value of the property without reference to depreciation. On the contrary, under the
WB Safeguards, compensation for lost properties is calculated on the basis of full
replacement cost i.e. equal to what enables the Project affected people (PAP) to restore their
livelihoods at the level prior to resettlement/ displacement.
• Income restoration - the current Zambian land legislation does not recognize compensation
for lost income contrary to the World Bank’s OP 4.12, which requires that lost income due
to Project activity should be compensated.
• Livelihood restoration – under the WB OP 4.12, displaced persons are require to be assisted
in their efforts to improve their livelihoods and standards of living or at least to restore them,
in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of
project implementation, whichever is higher. However, under the Zambian land legislation
only those with legally-binding rights are entitled to compensation/ livelihood restoration.
Measures to Close the Gaps
This RPF’s requirements are based on the policies of the World Bank and Zambian national
legislation. However, where there are discrepancies between the requirements of World Bank OP
4.12 and the Zambian requirements, the World Bank guidelines and requirements will be followed
during the implementation of the sub-projects, as they are normally considered as de facto standards
by the Zambia Environmental Management Agency (ZEMA).
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Potential Gaps between OP.4.12 Requirements and Zambian Law/Practice - Resettlement
Issue OP 4.12 Zambian Law/Practice Provisions in Resettlement Action Plan to Close Gap
Avoidance or minimization of
displacement
Displacement should be
minimized
Accepted policy is that recourse
to land acquisition is avoided
wherever possible
No gap
Eligibility for compensation
Comprehensive coverage of
all impacts other than fully
voluntary transactions, and
excluding impacts arising
after the agreed cut-off date
Effected date of completion
of census and Asset
inventory
No explicit rights for squatters
and informal uses, but actual
practice is closer to the bank
policy and does not oppose it
In line with the banks policies, RAP should make special
explicit provisions in entitlement matrix and
implementation to identify and fully compensate all
informal uses of assets, incomes, and livelihoods
Consultations
Full consultations and
disclosure required
EMA 2011 Full consultations
and disclosure required
No gap
Impact on squatters
Secure replacement housing
and compensation for lost
assets; assistance with
relocation;
Not guaranteed in law. Squatters
just given adequate notice
(usually 6 months) to vacate
protected area
What is provided for under OP4.12 will take precedence
to ensure that PAPs are not left worse off
Avoidance or minimisation of
impacts
Provides for avoidance or
minimisation of impacts and
where inevitable to impact,
policy provides for adequate
mitigation of impacts as well
as provision of adequate
compensation so that PAPs
are not left worse off
Land Acquisition is last resort
and only compensates titled
Property. Other laws and
policies prefer flexible and
consensual approach in line
with the policy.
Closing the gap depends
on available resources,
political will and
Implementing capacity.
Timely monitoring of the resettlement implementation
process is key to closing off the gap
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Issue OP 4.12 Zambian Law/Practice Provisions in Resettlement Action Plan to Close Gap
Informal salt miners in the national
park
Eligible for compensation for
loss of income or business,
although not clearly stated
No provision in law or practice
as considered to be illegal even
if the practice has been tolerated
for years.
RAP establishes compensation in case of real loss of
income excluding temporary displacement of structures
which are temporal in nature
Existence of comprehensive land
acquisition and resettlement policy
Lays out comprehensive
policy
Environment management Act
empowers ZEMA to enforce
environmental and social
standards; regulations in
preparation expected to cover
resettlement issues in full
compliance with international
best practices
RPFs and RAPs for all project areas will frame
comprehensive approach consistent with OP4.12.
.Restoration of livelihoods OP 4.12 clearly provides for
that:
Section 2(C) - Displaced
persons should be assisted in
their efforts to improve their
livelihoods and standards of
living or at least to restore
them, in real terms, to Pre-
displacement levels or levels
prevailing prior to the
beginning of the project
implementation, whichever
is higher.
There is no clear piece of
legislation or official Policy
document that specifically
provides for restoration of lost
sources of livelihood for those
evicted from forests and other
restricted areas
The social and Environmental safeguard policies of the
World Bank take precedence. All PAPs should be eligible
for full Compensation benefits including restoration of all
lost sources of livelihood as per World Bank Policy
requirement.
Additional support for those OP4.12 provides that where Much a the government usually What is provided for under OP4.12 will take precedence
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Issue OP 4.12 Zambian Law/Practice Provisions in Resettlement Action Plan to Close Gap
displaced. necessary, compensation
should also include measures
to ensure that displaced
persons are offered support
after displacement for a
transition period, based on a
reasonable estimate of the
time likely to be needed to
restore their livelihood and
standards of living. The
displaced persons should
also be provided with
development assistance such
as land preparation, credit
facilities, training, or job
opportunities, in addition to
the other compensation
measures stipulated.
provides additional support in
form of land preparation, seeds
and fertilizers for the displaced
families, there is no policy
compelling the developers or
government to provide support
beyond land preparation and
provision of seed to the affected
families.
to ensure that PAPs are not left worse off.
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4. SOCIO-ECONOMIC BASELINE OF THE PROJECT AREA
This section of the RPF provides a description of the socio-economic environment in the Northern
Region of Zambia. The descriptions are based on the literature review and consultations and
observations made during the site visits.
4.1 4.1 LOCATION
The TRALARD Project will be implemented in the Northern Region of Zambia, and more specifically
in the Muchinga, Luapula and Northern Provinces as shown in Figure 1 below.
Figure 1: TRALARD Project Area
4.2 POPULATION AND DEMOGRAPHIC PROFILE
The graph below shows the human population statistics for the 3(three) TRALARD Provinces.
According to the information presented in this table, which is derived from the 2010 population census,
the population of the NRZ was 2, 809, 408. Northern Province was the most populated, accounting for
39 percent of the total NRZ population. Luapula Province accounted for 35 percent while Muchinga
18
Province accounted for 25 percent of the population of NRZ. The distribution of the population in the
NRZ is shown in the graph below:
The population for NRZ has grown steadily overtime. The population grew at an average annual rate of
3.2 percent in Northern Province, 2.5 percent in Luapula Province and 2.3 percent in Muchinga Province
during the 2000-2010 inter-censal period. A consequence of this population increase is that due to the
communities’ dependence on agriculture, new lands are opened-up to cultivate food and provide income
for the increasing population. In addition to agriculture, charcoal production is a key livelihood activity
and an increase in population entails an increase in demand.
81.7 percent of the population in Northern Province resides in rural areas and 18.3 percent in urban
areas. The province has a population density of 14.2 persons per square kilometre. 83.0 percent of the
population Muchinga Province resides in rural areas while 17.0 percent resides in urban areas. 80.4
percent of the population in Luapula Province resides in rural areas while 19.6 percent resides in urban
areas.
4.3 EMPLOYMENT
There are high levels of unemployment in the Project area, with a large portion of the population being
engaged in informal economic activities such as subsistence farming practices, fishing (in the rainy
season), production and selling of charcoal, casual work (particularly in the agricultural sector), informal
trading activities (such as vending foodstuffs) and the production of handcrafted items.
4.4 ECONOMIC PROFILE
Most of the livelihoods in the NRZ are in agriculture and related activities. The primary economic
activities in the NRZ include subsistence agriculture, fishing and exploitation of forest resource.
Subsistence farming, subsistence and commercial fishing and trading are the mainstay of the majority of
the population in Northern Province. According to the 2015 Living Conditions Monitoring Survey, 81.7
% of households in Northern Province were involved in agriculture in the 2013/2014 farming season
(CSO: 2015). The major crops grown include cassava, millet, sorghum, groundnuts, beans, maize and
rice.
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Commercial fishing is done on Lake Tanganyika and Lake Bangweulu; whose fisheries are among the
largest in Zambia. This accounts for the highest population densities of mainly commercial fishermen
that have settled around the lakes. Lake Tanganyika has over three hundred species of fish most of
which are endemic. Species of particular interest include the Giant Nile Perch and Small Nile Perch
which are important commercial and sports fishing species. Others are Goliath Tiger and the English
Fish or Lake Tanganyika yellow-belly, the Kapenta, and the rare Bichir. Fishing is also done by small-
scale fishermen who sell their small catches to local traders. Commercial fishing activities are limited to
Lake Tanganyika and are associated with production of kapenta.
The main economic activity of the people in Muchinga Province is subsistence farming. 78.2 % of
households were involved in the 2013/2014 farming season (CSO: 2015). Major crops grown include
cassava, maize, groundnuts, sweet potatoes, millet, mixed beans and tobacco. The province is also
traditional livestock area and has a number of poultry, beef, and pork and dairy farmers at smallholder
level. Fish farming is also practiced on a small scale in the province with development programmes
focused on conservation and research in order to improve yields, marketing and distribution (Zambia
Review, 2011).
Fish and crop farming are the main economic activities in Luapula Province. 73.1 % of households were
involved in agriculture in the 2013/2014 farming season (CSO: 2015) while about 60 percent of the
people in the province are directly or indirectly involved in the fishing industry. Despite cassava being
the main food crop grown, the province also has maize, groundnuts and sweet potatoes cultivated.
Notable industries in the province include Kawambwa Tea and Mununshi Banana Scheme. The province
has a lot of potential for tourism development and mining.
Rainfed agriculture is the main economic mainstay of the NRZ and remains vulnerable to weather
shocks related to climate change currently manifesting in increased variability and change in the
seasonality and length of the rain season(CSO:2018). Irrigation which is promoted to reduce dependence
on rain fed agriculture continues to be susceptible to weather shocks as well. Adaptive research and
promotion of climate smart agriculture may substantially contribute to increased crop production and
yields. This is currently being promoted.
Forests are very important for rural livelihoods in the Project area as forest goods and services provide
food, medicine, shelter, fuel and cash income for the rural population. Forest-based activities such as
carpentry, beekeeping and timber and rattan sales provide more than 50 percent of the average
household income in some parts of the province. Mushrooms, fruits, leafy vegetables, tubers and insects
collected from the province’s miombo woodlands are widely consumed by rural households and enrich
their starch-based diets with important vitamins and minerals. These foods are often available at the start
of the rainy season and thereby serve as an important source of nutrition when food stocks are low. Most
forest product harvesting and sale is seasonal, providing cash income at different times of the year.
However, the province’s increasing deforestation rates pose threats to the forest economy (World Bank,
2016a).
20
The majority of people in the NRZ live in poverty, exacerbated by the effects of climate change. Results
from the 2015 Living Condition Monitoring Surveys (LCMS) show that 81.1 percent of people in
Luapula province are poor, 69.3 percent in Muchinga are poor and 79.7 percent in Northern Province
live in poverty are poor.
4.5 CONSERVATION MANAGEMENT AREAS
NRZ encompasses over 35% of managed lands which strongly contribute to protecting and maintaining
large intact natural landscapes. This also includes half of the wetlands of international importance listed
under the Ramsar Convention. These wetlands contain habitats for several important fauna and flora
species including some endemic and endangered species. For instance, Bangweulu Swamps provides a
breeding ground for birds, fish and wildlife (e.g., the African Elephant Loxodonta africaca, the buffalo
Syncerus caffer, and Sitatunga Tragelaphus spekei, and Black Lechwe Kobus leche). It is home to the
threatened Wattled Crane (Grus carunculatus), and the threatened Shoebill (Balaeniceps rex).
Furthermore, the Bangweulu swamp and other wetlands are a natural flood controller and important for
groundwater recharge.
Northern Province is home to some of the biggest game reserves and rich wildlife resources in the
country. These include the Nsumbu National Park covering an area of over 2000 square and the Kasanka
National Park. The Nsumbu National Park provides a strong wild life habitat for hippo, crocodile,
flamingo and other water birds while the Kasanka National Park provides habitat to a great variety of
unusual birds and mammals.
Muchinga Province has both natural and plantation forests. The province is in the high rainfall zone,
with average annual rainfall of above 1200 mm. The province is home to the South Luangwa national
parks which are rich in wildlife. There are natural landmarks such as the Muchinga escarpment which is
the second largest escarpment in Zambia.
Luapula province is endowed with a lot of natural resources and has approximately 60 percent of
Zambia’s water resources. It has one main river, Luapula, and two big lakes namely Mweru and
Bangweuru. It has 8 waterfalls namely Lumangwe, Ntumbacushi, Kabwelume, Chilongo, Finkula,
Kundabwika, Mumbuluma and Mubotuta falls. The sandy beaches of Lakes Mweru and Bangweulu are
a tourist attraction. The province has wildlife and birds.
Conservation management areas in NRZ are vulnerable to the impacts of climate variability and other
human influence-related activities. The sectors most affected are forestry, fisheries, wildlife and water.
Economic drivers form a larger share of factors that affect biodiversity loss in Zambia, with agricultural
expansion alone accounting for 90% of forest cover loss due to subsistence and commercial agriculture
production (Joshua Mabeta, Bruno Mweemba & Jacob Mwitwa, 2018). Extensive clearing of forests and
woodlands for agriculture, use of wood in tobacco curing. The annual deforestation rate in Zambia is in
the range of 79,000 to 270,000 ha of the total forest cover largely due to an increase in the urbanization
rate of 3.2% per annum which is likely to compound the deforestation rates as the need to develop
infrastructure in such areas such as housing, energy, transport and irrigation increases (Joshua Mabeta,
Bruno Mweemba & Jacob Mwitwa, 2018). Stakeholder consultations in the NRZ confirmed that the
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climate variability and other human influence-related drivers of deforestation and degradation of
landscapes includes unsustainable utilisation of natural resources, delayed implementation of policies
and inadequate service provision.
High demand for charcoal is leading to excessive and unsustainable production of charcoal and wood
fuel use for energy consumption and for brick kilns. Charcoal production is often considered a quick and
easy business for obtaining income that has a ready market, mostly in the respective district centres and
the major towns across Zambia (DFNRMP: 2014). Most of the charcoal is sold at the roadside.
Deforestation from fuelwood harvesting and smallholder agriculture expansion have also reduced the
suitable habitat area for effective wildlife management. Human encroachment is extending toward
national parks from major roads as fast as 2 km/year. This is threatening protected buffer zones,
decreasing wildlife connectivity, eliminating viable TFCAs and driving accelerated deforestation and
associated GHG emissions (World Bank, 2016a).
4.6 LAND TENURE
Like the rest of Zambia, the land tenure system in Zambia consists of two systems: Customary tenure
applying to Customary Land and the Leasehold tenure applying to State Land. Customary Land is held
under the traditional leadership (Chief) as regulator of the acquisition and use of the land. The traditional
leadership is however, required to act with the consent of the people. The land under leasehold tenure is
under the control of the Republican President and can only be acquired by a direct grant from him
through the commissioner of lands. State Land is generally leased for a 14 year or a 99-year renewable
period. However, the lack of clear land tenure is a major underlying driver of agriculture expansion into
forest land. According to the Integrated Land Use Assessment (ILUA) survey, forest ownership in
Zambia is divided amongst the following entities: customary authorities, i.e., forests on communal land
or “customary forests” – about 63% of total forestlands in the country; state, i.e., forests on state land or
“state forests” – about 24%; private land, i.e., “private forests” – about 10%); and the rest (3%) has
undefined/ unknown ownership (Mukosha and Siampale, 2008).
4.7 LAND USE
Another underlying driver of agriculture expansion into forest land is the lack of land use planning as
there are no proper processes for the allocation of land for different uses at various jurisdictional levels.
In addition, there are no enforcement provisions for dealing with illegal allocations. This leads to
inconsistencies in managing land use activities within districts and chiefdoms. As a result, forests are
easily converted to agricultural land use including through government channels, especially when they
are degrading or degraded.
Customary forests often do not have management plans or guidelines. This also applies to the Forest
Reserves that are managed by the District FD officers. Therefore, forests are generally very vulnerable
to encroachment for agriculture and charcoal burning as there is no planning or any structured
management processes. However, an exception to this is that some communities in the Project area have
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received external support from the non-profit company Community Markets for Conservation
(COMACO), and conservation management plans have been developed for Community Conservation
Areas (CCAs) in a some of the chiefdoms.
4.8 ENERGY USAGE
80% of the Zambian population is still reliant on wood biomass for energy (MNDP, 2016), and in terms
of contribution to direct cash income for rural communities, fuelwood is the most important forest
product obtained from the forests, followed by Non- Wood Forest Products (NWFPs) such as wild meat,
honey, mushroom and caterpillars. This is due to the fact that it is fairly easy to enter into the fuelwood
business for short-term income or as a long-term income generating activity because most fuelwood
producers (both firewood and charcoal) operate without any license, especially those who sell fuelwood
that is harvested when clearing land for agriculture, and if required a license can be obtained at short
notice from the FD district offices (Gumbo et al., 2013). However, most charcoal producers opt not to
get one, therefore, produce charcoal illegally.
Generally, there are relatively minimal entry barriers into the fuelwood business. In addition, the
business of producing and selling charcoal itself requires minimal monetary and technical inputs.
Therefore, producers are often opportunistic, and begin to produce when extra cash is needed, or when
no alternate employment opportunities exist. Migrant or landless families are also responsible for
significant charcoal production, as it is considered as an easy-to-get income activity. Whilst this may be
beneficial in terms of providing a quick poverty mitigation solution, it means a large population is
involved in unregulated extraction of wood from the forests, thus, driving forest degradation.
4.9 KEY ISSUES FROM STAKEHOLDER CONSULTATIONS
This section of the baseline summarizes the key issues from the stakeholder consultations that are given
in Annex 1, and review of lessons learnt that have been incorporated in the various aspect of this
ESMF.
Various stakeholders were involved during consultations in all 3 Provinces, in selected districts as well
as at community level. The consultation meetings further enhanced the engagement with the
stakeholders. Based on the submissions from the participants, the following are the issues needing
attention and forms the basis of the probable activities to be undertaken should funds be secured.
• Reduced fish stocks
• Restrictions on access to the river(s).
• Loss of sources of livelihood
• Reduced agriculture production
• Charcoal production in the national park
• Impact on wildlife
• Forest encroachment
• Impact on subsistence agriculture production
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In addition, there is overwhelming evidence from lessons learnt and supported by stakeholder
consultation that devolved sustainable natural resource management implemented through integrated
multisectoral approach provides sustainable solutions to the sustainable management of vulnerable
landscapes in Zambia. Similar projects such as the recently implemented Decentralised Forest and Other
Natural Resource Management (DFNRMP) and the USAID funded Community Forests Program (CFP)
in Lusaka and Eastern Provinces of Zambia offers valuable lessons learned.
The DFNRMP Introduction Project was a three-year collaboration between the Government of Finland
and Government of Zambia, with an overall goal to contribute to the reduction of poverty and inequality
and improvement of environmental conditions through devolved integrated sustainable forest and other
natural resources management. The project was implemented in Chinsali, Shiwangandu and Nakonde
districts of Muchinga Province and Kasempa, Ikelenge and Mwinilunga of North-Western Province
from February 2015 to December 2017, targeting forest dependent individuals and households including
women, vulnerable groups and households living in extreme poverty.
The DFNRMP in brief demonstrated that a devolved sustainable forest and other natural resources
management (FNRM) model can help conserve sensitive but vulnerable ecosystems and help
communities derive sustainable benefits.
The CFP is a 5 year USAID funded Cooperative Agreement jointly implemented by the Forestry
Department (FD), Department of National Parks and Wildlife (DNPW) and Biocarbon Partners (BCP)
Ltd in Lusaka and Eastern Provinces. The CFP began on February 1st 2014, and is anticipated to run
until January 31st, 2019. The CFP is designed to exemplify and support the Government of Zambia’s
(GRZ) Reducing Emission from Deforestation and Degradation (REDD+) strategy by establishing the
largest REDD+ program to-date in Zambia. The CFP aims to establish REDD+ project areas across a
minimum of 700,000 hectares within the Zambezi and Luangwa Valley ecosystems, and in so doing, to
support deforestation mitigation activities taking place on a total of up to 2 million hectares, involving
up to 10,000 households.
The main objectives of the CFP are to reduce emissions from deforestation through participatory natural
resource management of globally biodiversity significant forested landscapes; reduce poverty through
improvements in smallholder farmer agricultural productivity, development of non-timber forest
products and expansion of markets and value chains; and support the Government of the Republic of
Zambia(GRZ)to develop a legal framework and pilot project to demonstrate the viability of REDD+ as a
replicable forest management strategy.
The CFP has demonstrated that conservation fees from Carbon offsets provides an incentive for
conservation of forests through supporting community livelihood activities and infrastructure
development for social service delivery which results in improved standard of living of the rural people
through improved access to education, health, water and sanitation; reduced child mortality and disease
transmission. This reinforces the value of forest in improving rural livelihood.
Below is a detailed summary that sets pace for the implementation of the proposed mitigation measures:
• The drivers of deforestation and land degradation are multifaceted and interlinked. The impact
of one action or land use can have a significant effect on other land areas and environmental
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resources and therefore livelihoods of a much larger number of people. Therefore, an integrated
landscape planning approach to operationalize devolved sustainable natural resource
management, concentrating planning for scale and impact at landscape level is key to addressing
landscape development issues.
• A landscape approach entails viewing and managing multiple land uses in an integrated manner,
considering both the natural environment and the human systems that depend on it. Mobilizing
district stakeholders into multi-stakeholder platforms and strengthening their capacity for
integrated sustainable natural resource planning, coordination and implementation is
fundamental in adopting a district integrated landscape approach
• Using the district multistakeholder teams is key to implementation of integrated landscape
planning, addresses weak district level coordination among the institutions with oversight
responsibilities on forests, other natural resources and livelihoods. The integrated multi-sector
approach has the advantage of drawing on the wide ranging experience and skill sets of officials
from different sectors.
• Devolving the governance functions of forest and other natural resources to local communities
who are highly dependent on these resources for their livelihoods increase local people’s access
to and control over forest benefits. It encourages transparent and participatory local governance
of forest and other natural resources, ensure that community priorities regarding forests and other
natural resources are accounted for in district planning and returns from forest products accrue to
the communities. The local communities themselves who are close to these resources oversee
access, conservation and sustainable utilization of the forests and other natural resources which
coexist with their communities in accordance with the principles of sustainable management.
• Market-oriented natural resource-based enterprise development that has a direct link to forests
and natural resources, involving and benefiting local communities provides an incentive for
conserving natural resources. Promoting sustainable market linkages for community level
producer groups to markets is key in assisting people in achieving sustainable livelihood systems
so that their households and community economic assets could be increased and natural resource
management improved.
• The integrated, multi-sector approach and service delivery mechanism which includes working
with officials from the Ministry of Community Development and Social Welfare, ensures gender
mainstreaming, tracking, focus on inclusion of marginalised groups in participatory process, as
well as reinforces national policies and processes relative to equality.
• The decentralised integrated approach helps build understanding of the policy and legal
framework for different sectors across the planning and implementation team. This evidenced by
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non-foresters advocating for implementation of the new National Forestry Policy and Forests
Act.
• Conservation fees from Carbon offsets can support infrastructure development and social service
delivery which results in improved living conditions of the rural people through improved access
to education, health, water and sanitation; reduced child mortality and disease transmission. This
reinforces the value of forest in improved rural livelihood.
• The Decentralisation Policy, the revised Forests Act of 2015, the National Forestry Policy of
2014, Community Forestry Regulation of 2018 and Wildlife Act of 2015 provides a legal basis
for greater community involvement in sustainable management of vulnerable landscapes. These
therefore provides a conducive legal framework for implementing decentralised and sustainable
FNRM providing the policy and. Through these policies, the Government of Zambia seeks to
manage productive landscapes to enhance forest products and services for improved income
generation, poverty reduction, job creation and protection and maintenance of biodiversity, and
contribute to mitigation of climate change. This therefore, forms basis for a firm socio-economic
and legal engagement in the collective management, including the private sector to transform
landscapes for resilience and development in Zambia.
• Most of the rural population lives on customary lands, comprising 60% of total land ownership,
and are highly dependent on forest resources for food security and livelihoods, including non-
wood forest products (NWFPs), such as nuts, fruit, mushrooms, caterpillars, medicines, grass,
and other products as well as wood resources for construction and energy (DFNRMP, 2017).
However, poverty is also a major underlying driver of deforestation and of degradation of natural
resources through unsustainable natural resource utilization.
• Sustainable livelihoods and enterprise development based on natural resource utilization requires
secure and exclusive access to natural resources. The investment in secure rights provided by the
new Forests Act through provides the incentive to communities to manage natural resources
sustainably and thereby result in improved livelihoods and poverty reduction.
• Trying to replace this massive livelihood contribution with alternatives (to natural resources)
may not be realistic and also may not be desirable as has been experienced in other similar
projects in Zambia and neighbouring countries. In the consultation conducted in all the
communities during the community engagement exercise, they stated that with control of the
forest, sustaining a high level of benefits was key to motivating communities to maintain the
forest and not convert it.
Recommendations
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Based on the analysis of the lessons learned, implementing the model for devolved sustainable natural
resource management will therefore help conserve the 23 percent of land in the Northern Region that
needs prioritization for conservation and a total area of 51 percent of land that is vulnerable to land
degradation. This will entail:
• Adopting an integrated landscape planning approach to operationalize devolved sustainable
natural resource management, concentrating planning for scale and impact at landscape level is
key to addressing landscape development issues.
• Mobilizing district stakeholders into multi-stakeholder platforms and strengthening their capacity
for integrated sustainable natural resource planning, coordination and implementation is
fundamental in adopting a district integrated landscape approach
• Using the district multistakeholder teams is key to implementation of integrated landscape
planning to addresses weak district level coordination among the institutions with oversight
responsibilities on forests, other natural resources and livelihoods, drawing on the wide ranging
experience and skill sets of officials from different sectors.
• Devolving the governance functions of forest and other natural resources to local communities
who are highly dependent on these resources for their livelihoods to increase local people’s
access to and control over forest resources and benefits. The local communities themselves who
are close to these resources should be empowered to oversee access, conservation and
sustainable utilization of the forests and other natural resources which coexist with their
communities in accordance with the principles of sustainable management.
• Adopting a market-oriented natural resource-based enterprise development that has a direct link
to forests and natural resources, involving and benefiting local communities to provide an
incentive for conserving natural resources. Promoting sustainable market linkages for
community level producer groups to markets is key in assisting people in achieving sustainable
livelihood systems so that their households and community economic assets could be increased
and natural resource management improved.
• Relocation of households should be done within the framework of implementing devolved
sustainable natural resource management. This entails engaging the traditional leaderships and
governance structures to find alternative land and relocate the affected households. Livelihood
restoration programmes should be linked to incentivizing natural resource management.
Livelihood restoration for communities that have encroached on forests should be based on
forest-based resources. Defined and sustainable access and utilisation of forest resources should
be promoted with the engagement of stakeholders
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5. POTENTIAL PROJECT RESTRICTIONS ON ACCESS TO PROTECTED AREAS,
IMPACTS AND LIVELIHOODS RESTORATION MEASURES
WB OP 4.12 is triggered in anticipation of the sub-project activities impacting on assets and livelihoods
and resulting in economic restrictions. This PF makes provisions to minimize impacts through the
involvement of landowners, traditional authorities, farmers and communities as a whole, where
practical, in order to minimize livelihood impact concerns. The PF outlines the means by which the
affected communities will participate in the further planning and implementation of the sub-projects that
are deemed to have impact on restriction of access. The PF approach is consistent with the overall
Project approach of involving communities in identification and management of activities, which will
reduce forest degradation.
5.1 POTENTIAL CASES OF RESTRICTIONS OF ACCESS TO PROTECTED AREAS
The development of the Process Framework is a requirement for Projects that may entail restricted
access to legally designated parks and protected areas that result in adverse impacts on the livelihoods of
affected persons. Some activities to be undertaken under the project may restrict access of communities
to legally protected areas which could result in adverse impacts on their livelihoods. Sub-component 2.3:
Improved Management of Protected Areas and Reserves will specifically support some activities that
might restrict access.
5.2 POTENTIAL SOCIAL IMPACTS
As part of the Project preparatory activities, there has been extensive consultation with Project
institutions and communities, and some of the significant potential social impact issues from community
consultations and subsequent analysis are as follows:
• Lack of job opportunities;
• Poverty and dependence on agriculture;
• Low productivity on existing agricultural lands; Weak tenure and land use planning;
• Inadequate agricultural support;
• Fuelwood dependency; Inefficient fuelwood use;
• Ease of entry into the fuelwood production;
• Weak regulatory and institutional structures; Forest fires;
• A breakdown in the authority of traditional leaders;
• Inadequate capacity of fire control programs;
• Inadequate knowledge and appreciation of fire impacts on forest; and Weak tenure.
• The implementation of project activities may result in the following potential adverse impacts:
• Illegal encroachment into the protected areas may present asset and livelihood claims;
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• Illegal farmers may be displaced and food/ cash crops as well as farm structures or farm
settlements may be affected;
• Income from Illegal activities inside protected areas may be affected;
• Land acquisition for climate-smart agricultural activities may lead to compensation claims.
5.3 POTENTIAL IMPACTS ON ASSETS AND LIVELIHOODS
Livelihoods-related support during project implementation will be provided to people affected by
project-induced restrictions of access to natural resources within protected areas. As part of this process,
project implementation will include the preparation and subsequent implementation of Livelihood
Restoration Plans, which will provide tailored livelihood support and benefit sharing for nearby
communities. In cases where well-organized communities have produced their own investment plans
(e.g. CRBs), this livelihood support will be channelled through the appropriate community mechanisms.
Communities and households around the project-supported protected areas will be provided with
opportunities to restore their livelihoods to at least pre-project levels. The LRPs prepared under this
project will take into account any ongoing livelihoods-related support from other sources, and partner’s
active in NRZ including those projects under implementation by GoZ.
This preliminary analysis provides guidance on eligible activities and recipients for the livelihood
restoration assistance. These criteria may be refined further through site-specific community
consultations through which the affected persons will identify adverse impacts, establish mitigation
measures, eligibility criteria and choose eligible mitigation measures, and procedures for specific
activities and their phasing for particular areas.
• An LRP will be prepared and the restoration activities may include:
• Provision of agricultural inputs and extension to improve productivity of legally
• held lands /non encroachment areas; Alternative land allocation;
• Assistance with land preparation;
• Assistance with alternative livelihood schemes; and Assistance to access alternative resources.
Through Sub-component 2.4: Sustainable and Diversified Resilient Livelihoods, the project will support
community-based and culturally responsive sustainable activities for income generation to reduce heavy
reliance on natural resources that leads to landscape degradation. The alternative livelihood activities
will also be gender sensitive so that they contribute to lifting up the socio-economic situation of
particularly women who are more heavily using natural resources with inferior financial value compared
to men. Small-scale climate resilient irrigation and aquaculture techniques, improvement of food and
seed storage capacities and developing feeds, among others will be promoted as sustainable and resilient
livelihood sources.
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The project will include the preparation and subsequent implementation of Livelihood Restoration
Plans, which will provide tailored livelihood support and benefit sharing for nearby communities. In
cases where well-organized communities have produced their own investment plans (e.g. CRBs), this
livelihood support will be channelled through the appropriate community mechanisms. Communities
and households around the project-supported protected areas will be provided with opportunities to
restore their livelihoods to at least pre-project levels. The LRPs prepared under this project will take into
account any ongoing livelihoods-related support from other sources.
The assets that could be considered are physical and non-physical assets such as productive lands, farm
lands, communal resources, income earning opportunities, social and cultural networks and activities,
and the categories of affected persons or communities may include:
• National Forest fringe communities;
• National Park fringe communities;
• Communities with no legal rights to resource (squatters);
• Persons without formal legal rights to resource but have claims to property recognized by
community leaders; and
• Persons with no recognizable legal right or claim to resources.
Persons or communities encroaching on forest resources after the notification of boundaries will not be
eligible for compensation or any form of assistance.
Funding of Livelihood Restoration Plans
Funding of PF related activities including Livelihood Restoration Plans will be derived from the project,
as well as other related projects under implementation in NRZ. Other active players in NRZ should be
consulted to enhance coordination of these livelihood activities.
The LRP for a sub-project would include an itemized, indicative budget and the implementing agency
will finance this budget through the administrative and financial management rules and manuals like any
other activity eligible for payment under the TRALARD. This budget will be subject to the approval by
the implementing agency. The implementing agency will have to finance the LRP because they will be
impacting on the people’s livelihoods.
6. COMPENSATION ELIGIBILITY CATEGORIES
6.1 DEFINITION OF AFFECTED PERSONS
Affected persons are those persons who, as a direct consequence of an activity or sub-project would,
without their informed consent or power of choice either: (a) physically relocate or lose their shelter, (b)
30
lose their assets or access to assets, or (c) lose a source of income or means of livelihood, whether or not
they physically relocate to another place.
6.2 CUT-OFF DATE
Upon identification of the need for involuntary resettlement in a sub-project, the MNDP will be
responsible, in collaboration with relevant local authorities, to carry out a census to identify the persons
who will be affected by the sub-project. This will help the sub-project proponent to determine who will
be eligible for assistance early enough in the Project cycle. It will also help to prevent an inflow of
ineligible people living outside the sub-project area of impact but who might want to take advantage and
claim for assistance. The form to be completed to conduct the survey is included in 3. The completion of
the census will mark the cut off-date for eligibility for compensation. Those who will come into the area
after the cut-off date will not be eligible for compensation.
6.3 ELIGIBILITY CRITERIA
For purposes of determining eligibility criteria, displaced persons will be classified in one of the
following three groups, depending on the type of right they have to the land they occupy:
• Any person(s) with formal legal rights to land. According to Zambia's land tenure system, this
group consists of two types of people: those with title deeds and a 99-year renewable leasehold
of state land, and the land they own has legally recognizable commercial value; and those who
occupy land under the customary land tenure system, and the land is controlled and allocated to
them by traditional authorities (chiefs) - the owners do not have title deeds but they have a
'customary' legal claim to it, and they may not involve themselves in land transactions without
the consent of the chief;
• Any person(s) who do not have formal legal rights to land at the time the census begins but
have a claim to such land or assets. This group of people mostly comprises those who have
bought land or other immovable property, but have not yet completed the process of acquiring
title deeds. The other group consists of those in legally established voluntary relocation areas
who have not yet reached the retirement age, at which point they become eligible for title deeds;
and
• Those who have no recognizable legal right or claim to the land they are occupying prior to
the cut-off date - these are mostly encroachers into state land or those who may or may not
occupy customary land without permission or recognition by the local authority (chief).
7. PARTICIPATORY INSTITUTIONAL ARRANGEMENTS FOR THE IMPLEMENTATION
OF PROPOSED MEASURES TO ASSIST AFFECTED PERSONS AND COMMUNITIES
The MNDP has the overall responsibility for preparing and implementing the PF with World Bank
approval. It will ensure that all compensation, restoration and rehabilitation activities are carried out
satisfactorily.
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The PPU will organize the regional and district orientation and training for the PPIU, DPIU and the
various government departments likely to be involved in the process, to be ready to implement
alternative livelihood schemes and the payment of compensation, and other activities in a timely
manner. The PPU will ensure that progress reports reach the MNDP regularly. The Project
administration and restoration planning will run concurrently.
Most of the work will be done at the district level. The PPU (through the DPIU), will ensure that:
• Communities are properly and adequately informed (timely, and also their rights and options
relating to their properties that may be affected by the Project);
• Coordinate activities between different communities implementing the restoration or
compensation plans;
• Ensure timely implementation of plans and provision of compensation, in cash and/ or kind; and
• Attend to any grievances submitted by the affected persons/ communities.
The DPIU through the CAC and community leaders will engage and involve all sections of the
community in discussions on the Plan. They will:
• Schedule open meetings to ensure that all community members are informed and fully aware
of their rights and options regarding the restoration activity; and
• Identify impacts on lands and assets and the members of the community to be affected and to
what extent they will be affected.
To boost the capacity of MNDP, safeguards and stakeholder engagement specialists should be hired.
The Compensation Committee members will consider the allocation of portfolios and ensure clear
management and reporting lines - monitoring could be one of the portfolios. The Compensation
Committee will receive operational support from the MNDP.
8. PARTICIPATORY MONITORING INCLUDING DESCRIPTION OF INDICATORS
8.1 SEQUENCE OF IMPLEMENTATION AND RESPONSIBILITY
The sequence of implementation activities and responsibilities is summarized in the table below:
Sequence of Implementation Tasks and Institution
REF. TASK INSTITUTION
1. Identification of sub-projects and preparation of plans Communities (through CAC)
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2. Preliminary assessment of restoration issues DPIU
3. Assessment of the need to re-design sub-project PPIU/ DPIU/ Communities(through CAC)
4. Re- design of sub- project MNDP/ PPU/PPIU/ DPIU/ Communities (through CAC)
5. Confirm need for restoration/ compensation actions PPIU/ DPIU/ Communities(through CAC)
6. Assess the restoration options
PPIU/ DPIU/ Communities(through CAC)/ Land Valuation Officers(Department of Government Valuation or Independent private sector practitioners)
7. Assess the number of affected persons DPIU/ Communities (through CAC)
8.
Prepare Livelihood Restoration/ Compensation Plan for World Bank approval MNDP/ PPU/ Consultant
9. Land acquisition and compensation payments MNDP/ PPU
10. Review Plans ZEMA/ MNDP/ PPU/ PPIU/ DPIU
11. Budgeting of costs MNDP/ PPU/ PPIU
12. Confirm arrangements for managing funds MNDP/ PPU/ PPIU
13. Implement Plans DPIU/ Communities (through CAC)
8.2 PROCEDURES FOR IMPLEMENTATION OF ALTERNATIVE LIVELIHOOD SCHEMES
Participatory plans for mitigation of restriction of community access to resources by provision of
alternative livelihoods will consist of the mechanisms discussed below.
Livelihood Restoration Committee
This committee will be responsible for the oversight and implementation of the livelihood restoration
process. The committee will be convened by the implementing agency, in and when livelihood
restoration cases arise, and will comprise expert representatives from local government and relevant line
ministries e.g. Ministry of Agriculture, and the area chief. The Livelihood Restoration Committee
should have the following membership: at least 30% women members; 30% members from vulnerable
groups. The Committee will be supported by Task Teams and Sub-Committees as required for defined
tasks. These groups will be specifically mandated by the Committee, with a clear brief and reporting
structure. In addition, discussions about livelihood restoration will include both the husband and wife,
when a male-headed household is impacted.
The Committee members will be able to consider the allocation of portfolios, ensuring clear
management and reporting lines. Monitoring could be one of the portfolios, and the Committee will
receive operational support from the MNDP.
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Consultations
The affected persons/ community should be engaged in active consultations at the beginning of the
Project and any planned or proposed access restriction should be well explained in advance. Their input
to the process is essential and their cooperation will be forthcoming when the Project objective is
adequately explained to them. They should have access to the LRP and be encouraged to provide input.
Notification
Affected persons will be notified through both formal (in writing) and informal (verbal) manner, for
example at community meetings called by various stakeholders.
Documentation
The names and addresses of affected persons in the community will be compiled and kept in a database
including claims and assets. The DPIU, PPIU, PPU and MNDP will maintain records of these persons.
The records are also important especially for future monitoring activities.
Time Provisions
Compensation will be paid/ livelihood restoration activities undertaken prior to communities being
impacted by Project activities.
Redress of Grievances
1. Procedure
Despite best efforts with regard to the public consultation and community relations, there will be times
when the Project sponsor and stakeholders disagree. All Project affected persons will be informed of
their rights to raise grievances pertaining to the project.
Mechanisms will be put in place to ensure that grievances are recorded and considered fairly and
appropriately. These include:
• A register of grievances which will be held by the Community Liaison Officer or any other
appointed person by the MNDP;
• Receipt of grievances will be acknowledged as soon as possible, by letter or verbal means;
• The grievance will be reviewed by the Compensation Committee and appropriate action will be
implemented. The preferred course of action will be discussed with the person bringing the
grievance. Wherever possible, grievances will be resolved at this level;
• Relevant details of grievances, with outcomes, will be made available to the affected parties
through the MNDP, who will develop a communication strategy for the grievance redress
mechanism for the Project, which should include an explanation of the methods used to carry out
the Project’s activities and compensation payments.
2. Unresolved Grievances
Unresolved issues will be referred to a credible and independent person or body for arbitration. Where
disagreements are severe, disputes could be resolved through community-recognized local institutions
34
such as senior church officials, or other respected civil society figures. There are three main ways in
which grievances will be resolved, and these are discussed below.
3. Arbitration
The Arbitration Act makes provisions for aggrieved parties to agree to settle disputes out of court
through arbitration. In order to use arbitration in the settlement of disputes, the parties ought to make a
written agreement to submit a present dispute, or future disputes to arbitration. The parties are at liberty
whether or not to name an arbitrator in the agreement. Where an arbitrator is not named in the
agreement, the agreement should designate a person who would appoint an arbitrator.
4. Courts of Law
It should be noted that arbitration only works where the parties to a dispute agree to resolve a difference
through arbitration. Where there is no consent, then a court of jurisdiction may be used to resolve a
dispute.
5. Grievance Redress Committee
The Project will set up a grievance redress mechanism (GRM) building on both traditional conflict-
resolution flows as well as administrative and Project based steps to ensure community members or any
stakeholders have an opportunity and means to raise their concerns or to provide suggestions regarding
Project-related activities. From the community to the national level, there will be focal persons to
receive, record and address grievances, queries and suggestions.
A reporting line of received (and addressed) grievances will also be clearly defined, so that the MNDP
(national level project unit) will have a full set of data. Complaints will be categorized and recorded at
each level of the structure, and consolidated periodically in a national-level grievance database. The
database will also be an effective management tool to monitor progress and detect potential obstacles in
the Project implementation.
During the participatory assessment process for sub-project preparation and sensitization sessions, the
Project's GRM ("communication steps" for beneficiaries) will be explained so that all stakeholders are
aware and encouraged to use the mechanism for transparency and better Project implementation. To
better inform stakeholders, the Project will prepare materials (e.g., posters, leaflets) in a widely spoken
local language and displayed in public accessed areas as part of the communication activities. More
detailed plans on the GRM will be explained in the Project Implementation Manual (PIM).
9. MONITORING AND EVALUATION
9.1 RPF MONITORING
The MNDP will carry out the monitoring of the RPF to ensure compliance with its provisions by
stakeholders. In addition, the MNDP will design and put in place the monitoring mechanism, which will
include the monitoring of resettlement activities such as compensation valuation and compliance with
the WB involuntary resettlement policy.
35
9.2 INTERNAL MONITORING
To enable the sub-project proponents to measure progress against set targets, performance monitoring
will be carried out as an internal function by the organization(s) responsible for the implementation of
the RAPs. In this regard performance monitoring reports will be prepared at monthly, quarterly, half
yearly and yearly intervals depending on the issues to be monitored. Performance targets will include:
• Public meetings held;
• Compensation disbursed;
• Census surveys completed;
• Assets inventories and socio-economic studies completed;
• Compensation agreements signed;
• Number of people impacted;
• Number of people with land title, amount of land available for crops;
• Proportion of displaced people relocated;
• Income restoration and development activities initiated; and
• Feedback from affected people (presented in the resettlement implementation report).
If the volume of work involved in performance monitoring is beyond the capacity of the RAP’s
implementing organization to carry out, then the monitoring function will be sub-contracted to a
consultant.
9.3 IMPACT MONITORING
The impact monitoring to be undertaken by the sub-project proponent, or an independent agency, will
provide an assessments of the effectiveness of the RAP strategies in meeting the affected population’s
needs. Quantitative and qualitative indicators will be used to compare the effects of the RAPs activities
with the baseline conditions of the affected populations before and after the resettlement exercises. The
satisfaction of the affected population with the resettlement initiatives will be assessed for their
adequacy or deficiency, while the census asset inventories and socio-economic studies will constitute the
baseline for the affected population, for the purpose of evaluating impacts.
9.4 EXTERNAL COMPLETION AUDIT
Completion audit(s) will be carried out after the completion of all RAP inputs. The main aim of the
completion audit or external monitoring will be to assess: how far the sub-project proponents’ efforts
have gone in the restoration of the living standards of the affected population; and whether the strategies
for the restoration of the living standards of the affected people have been properly conceived and
implemented.
The issues that need to be verified in the external monitoring will include:
36
• Physical inputs committed in the RAPs;
• Delivery of services provided in the RAPs;
• The effects of mitigation measures prescribed in the RAPs;
• The affected populations and host populations social economic status; and
• Plan for any mitigation that may be required to comply with requirements.
9.5 DEVELOPMENT OF VERIFIABLE INDICATORS
In order to ensure that the monitoring of the impacts of the compensation and resettlement activities for
the Project are done successfully, a number of objectively verifiable indicators (OVI’s) will be used.
These indicators will be targeted at quantitatively measuring the physical and socioeconomic status of
the PAPs, to determine and guide improvements in their social well-being. Therefore, monitoring
indicators to be used for the RAP will have to be developed to respond to specific site conditions. As a
general guide, the table below provides a set of indicators that can be used.
Table 4: Types of Variable Indicators
REF. MONITORING EVALUATION
1. Outstanding compensation or resettlement Outstanding individual
contracts not completed before next agricultural compensation or resettlement
season contracts
2. Communities unable to set village-level Outstanding village compensation
compensation after two years contracts
3. Grievances recognized as legitimate out of all All legitimate grievances rectified
complaints lodged
4. Pre-Project production versus present production Equal or improved production per
(crop for crop, land for land) household
Indicators to Determine the Status of Affected People
A number of indicators will be used in order to determine the status of affected people (land being used
compared to before, standard of house compared to before, level of participation in Project activities
compared to before, how many kids in school compared to before, health standards, etc.). Therefore, the
resettlement and compensation plans will set two major socio-economic goals for the evaluation of their
successes:
37
• Affected individuals, households, and communities are able to maintain their pre-Project
standard of living, and even improve on it; and
• The local communities remain supportive of the Project.
Indicators to Measure RAP Performance
In order to assess whether the goals have been met, the resettlement and compensation plans will
indicate parameters to be monitored, institute monitoring milestones and provide the resources necessary
to carry out the monitoring activities. The following parameters and verifiable indicators will be used to
measure the resettlement and compensation plans performance:
• The Local Governments, with support from the PIU, will maintain a complete database on every
individual impacted by the sub-project land use requirements including relocation/ resettlement
and compensation, land impacts or damages;
• Number of individuals receiving cash or a combination of cash and in-kind compensation;
• Number of payments made in a month/ year;
• The number of contentious cases out of the total cases;
• The number of grievances and time and quality of resolution;
• Ability of individuals and families to re-establish their livelihood (activities, land and crops or
other alternative incomes) to the same level as prior to pre-Project level or better;
• Mining and agricultural productivity of new lands; and
• Number of impacted locals employed by the Project activities.
Indicators to Monitor and Evaluate Implementation of RAPs
Financial records will be maintained by the Local Governments and the executing agencies to permit
calculation of the final cost of resettlement and compensation per individual or household. Each
individual receiving compensation will have a dossier containing:
• Individual bio-data information;
• Number of people s/he claims as household dependents; and
• Amount of land available to the individual or household when the dossier is opened.
Additional information will be acquired for individuals eligible for resettlement/ compensation such as:
level of income and production; and inventory of material assets and improvements in land and debts.
10. STAKEHOLDER CONSULTATIONS
10.1 STAKEHOLDER ENGAGEMENT PROCESS
A stakeholder engagement process was followed during PF preparation, which included interactions
with communities in the NRZ. The methodology included desk studies to determine the types of
stakeholders and qualitative surveys in the Project areas. The field work was based on focus groups and
in-depth interviews with communities of the Project areas, local NGOs, representatives of local
38
commercial enterprises, government officials and representatives of local government. A list of the
stakeholders consulted is given in Annex 3.
The objective of the meetings was to:
• Assess the existing social conditions;
• Determine the potential negative impacts of the proposed Project;
• Serve as a vehicle for community consultations and participation on the Project; and
• Inform the ongoing Project design.
10.2 DISCLOSURE REQUIREMENTS
Copies of the PF will be made available to the public at selected District Council Offices of NRZ. The
LRPs will also be disclosed to various stakeholders in a similar manner.
To meet the consultation and disclosure requirements of the WB, the implementing agency will issue a
disclosure letter to inform the general public and key stakeholders of the approval of relevant
environmental assessment reports. This stage of disclosure will also serve as Government’s
authorization to the World Bank to disclose such documents in its Info shop in Washington D.C. The
steps towards disclosure of the safeguard documents have to be completed prior to appraisal of the
project as required by the Bank’s Disclosure Policy OP 17.50.
39
11. REFERENCES/ BIBLIOGRAPHY
Central Statistical Office, 2012, 2010 Census of Population and Housing, Population Summary Report
Gumbo, D. J., Moombe, K. B., Kandulu, M. M., Kabwe, G., Ojanen, M., Ndhlovu, E. and Sunderland,
T.C.H., 2013, Dynamics of the charcoal and indigenous timber trade in Zambia: A scoping study in
Eastern, Northern and Northwestern provinces, Occasional Paper 86, CIFOR, Bogor, Indonesia
IAPRI (2016) Rural Agricultural Livelihoods Survey. 2015 Survey Report
Interim Climate Change Secretariat (Ministry of Finance), 2016a, Environmental and Social
Management Framework, Displaced Persons and Border Communities Project – Zambia Component
(P152821)
Interim Climate Change Secretariat (Ministry of Finance), 2016b, Resettlement Policy Framework,
Displaced Persons and Border Communities Project – Zambia Component (P152821)
Interim Climate Change Secretariat (Ministry of National Development Planning), 2016c, Zambia
Integrated Forest Landscapes Project, Safeguards Consultancy Inception Report
Interim Climate Change Secretariat (Ministry of National Development Planning), 2016d, Zambia
Integrated Forest Landscapes Project, Safeguards Consultancy Terms of Reference
Ministry of Agriculture and Cooperatives, 2011, The National Agriculture Policy
Ministry of Energy and Water Development, 2008, National Energy Policy
Ministry of Finance, 2013, Environmental and Social Management Framework, Investment Projects for
the Barotse & Kafue Sub-Basins under the Strategic Program for Climate Resilience in Zambia
Ministry of Finance, 2014, Revised Sixth National Plan 2013-2016
Ministry of Lands and Natural Resources, 2014, Process Framework, Forest Investment Program (FIP) -
Enhancing Carbon Stocks in Natural Forests and Agro-forest Landscapes, Republic of Ghana
Ministry of Lands, Natural Resources and Environmental Protection, 2014, National Forestry Policy
Ministry of Lands, Natural Resources and Environmental Protection, 2016, Final REDD+ Strategy
Ministry of Local Government, 2011, Decentralization Implementation Plan (DIP) 2011-2015
Ministry of Mines and Minerals Development, 2016, Environmental and Social Management
Framework, Zambia Mining Environment Remediation and Improvement Project
Ministry of Mines and Minerals Development, 2016, Resettlement Policy Framework, Zambia Mining
Environment Remediation and Improvement Project
40
Ministry of National Development Planning, 2016, Zambia Integrated Forest Landscapes Project, Vision
Document
Ministry of Tourism, Environment and Natural, 2007, Formulation of the National Adaptation Program
of Action on Climate Change
Ministry of Tourism, Environment and Natural, 2007, The National Policy on Environment
Mukosha and Siampale, 2008, Integrated Land Use Assessment 2005-2008, Forestry Department,
Ministry of Tourism, Environment and Natural Resource, Zambia
National Assembly of Zambia, 2016, Acts of Parliament at parliament.gov.zm/acts/volume
Office of the President, Cabinet Office, 2002, The National Decentralization Policy
Republic of Zambia, 2006, Vision 2030
Sitko, N., Chapoto, A., Kabwe, S., Tembo, S., Hichaambwa, M., Lubinda, R., Chiwawa, H., Mataa, M.,
Heck, S., and Nthani, D., 2011, Technical Compendium: Descriptive Agricultural Statistics and
Analysis for Zambia in Support of the USAID Mission’s Feed the Future Strategic Review, Food
Security Research Project, USAID, Lusaka
Tembo, S., and Sitko, N., 2013, Technical Compendium: Descriptive Agricultural Statistics and
Analysis for Zambia, Working Paper 76, INDABA Agriculture Policy Research Institute, Lusaka,
Zambia
The Federal Democratic Republic of Ethiopia, 2013, Environmental and Social Management
Framework, Sustainable Land Management Project II
USAID (2016) Impact Evaluation of the Community-Based Forest Management Program. Report on
Baseline Findings
Vinya, R., Syampungani, S., Kasumu, E.C., Monde, C. and Kasubika, R., 2011, Preliminary Study on
the Drivers of Deforestation and Potential for REDD+ in Zambia. A consultancy report prepared for
Forestry Department and FAO under the national UN-REDD+ Program, Ministry of Lands & Natural
Resources, Lusaka, Zambia.
World Bank, 2016a, Zambia Integrated Forest Landscapes Project, Project Information Document
World Bank, 2016b, Safeguard Policies, at
worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL
Zambia Environmental Management Agency, 2012, Zambia Atlas of our Moving Environment
Zambia Environmental Management Agency, 2014, Fire Management Assessment of Eastern Province,
Zambia
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12. ANNEXES:
12.1 ANNEX 1: LIST OF STAKEHOLDERS CONSULTED
42
43
44
45
46
47
48
49
50
51
52
53
54
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12.2 ANNEX 2: LESSON LEARNT
LESSONS LEARNT FROM SUSTAINABLE NATURAL RESOURCE MANAGEMENT PROJECTS:
DFNRMP & CFP
Overview of DFNRMP & CFP
The DFNRMP Introduction Project was a three-year collaboration between the Government of
Finland and Government of Zambia, with an overall goal to contribute to the reduction of
poverty and inequality and improvement of environmental conditions through devolved
integrated sustainable forest and other natural resources management. The project was
implemented in Chinsali, Shiwangandu and Nakonde districts of Muchinga Province and
Kasempa, Ikelenge and Mwinilunga of North-Western Province from February 2015 to
December 2017, targeting forest dependent individuals and households including women,
vulnerable groups and households living in extreme poverty.
The CFP is a 5 year USAID funded Cooperative Agreement jointly implemented by the Forestry
Department (FD), Department of National Parks and Wildlife (DNPW) and Biocarbon Partners
(BCP) Ltd in Lusaka and Eastern Provinces. The CFP began on February 1st 2014, and is
anticipated to run until January 31st, 2019. The CFP is designed to exemplify and support the
Government of Zambia’s (GRZ) Reducing Emission from Deforestation and Degradation (REDD+)
strategy by establishing the largest REDD+ program to-date in Zambia. The CFP aims to establish
REDD+ project areas across a minimum of 700,000 hectares within the Zambezi and Luangwa
Valley ecosystems, and in so doing, to support deforestation mitigation activities taking place on
a total of up to 2 million hectares, involving up to 10,000 households. The main objectives of the
CFP are to reduce emissions from deforestation through participatory natural resource
management of globally biodiversity significant forested landscapes; reduce poverty through
improvements in smallholder farmer agricultural productivity, development of non-timber
forest products and expansion of markets and value chains; and support the Government of the
Republic of Zambia(GRZ)to develop a legal framework and pilot project to demonstrate the
viability of REDD+ as a replicable forest management strategy.
Findings
The DFNRMP in brief demonstrated that a devolved sustainable forest and other natural
resources management (FNRM) model can help conserve sensitive but vulnerable ecosystems
and help communities derive sustainable benefits. The CFP has demonstrated that conservation
fees from Carbon offsets provides an incentive for conservation of forests through supporting
community livelihood activities and infrastructure development for social service delivery which
results in improved standard of living of the rural people through improved access to education,
health, water and sanitation; reduced child mortality and disease transmission. This reinforces
56
the value of forest in improving rural livelihood. Below is a detailed summary that sets pace for
the implementation of the proposed mitigation measures:
• The drivers of deforestation and land degradation are multifaceted and interlinked. The impact
of one action or land use can have a significant effect on other land areas and environmental
resources and therefore livelihoods of a much larger number of people. Therefore, an integrated
landscape planning approach to operationalize devolved sustainable natural resource
management, concentrating planning for scale and impact at landscape level is key to
addressing landscape development issues.
• A landscape approach entails viewing and managing multiple land uses in an integrated manner,
considering both the natural environment and the human systems that depend on it. Mobilizing
district stakeholders into multi-stakeholder platforms and strengthening their capacity for
integrated sustainable natural resource planning, coordination and implementation is
fundamental in adopting a district integrated landscape approach
• Using the district multistakeholder teams is key to implementation of integrated landscape
planning, addresses weak district level coordination among the institutions with oversight
responsibilities on forests, other natural resources and livelihoods. The integrated multi-sector
approach has the advantage of drawing on the wide ranging experience and skill sets of officials
from different sectors.
• Devolving the governance functions of forest and other natural resources to local communities
who are highly dependent on these resources for their livelihoods increase local people’s access
to and control over forest benefits. It encourages transparent and participatory local
governance of forest and other natural resources, ensure that community priorities regarding
forests and other natural resources are accounted for in district planning and returns from
forest products accrue to the communities. The local communities themselves who are close to
these resources oversee access, conservation and sustainable utilization of the forests and other
natural resources which coexist with their communities in accordance with the principles of
sustainable management.
• Market-oriented natural resource-based enterprise development that has a direct link to forests
and natural resources, involving and benefiting local communities provides an incentive for
conserving natural resources. Promoting sustainable market linkages for community level
producer groups to markets is key in assisting people in achieving sustainable livelihood systems
so that their households and community economic assets could be increased and natural
resource management improved.
• The integrated, multi-sector approach and service delivery mechanism which includes working
with officials from the Ministry of Community Development and Social Welfare, ensures gender
mainstreaming, tracking, focus on inclusion of marginalised groups in participatory process, as
well as reinforces national policies and processes relative to equality.
• The decentralised integrated approach helps build understanding of the policy and legal
framework for different sectors across the planning and implementation team. This evidenced
by non-foresters advocating for implementation of the new National Forestry Policy and Forests
Act.
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• Conservation fees from Carbon offsets can support infrastructure development and social
service delivery which results in improved living conditions of the rural people through improved
access to education, health, water and sanitation; reduced child mortality and disease
transmission. This reinforces the value of forest in improved rural livelihood.
• The Decentralisation Policy, the revised Forests Act of 2015, the National Forestry Policy of
2014, Community Forestry Regulation of 2018 and Wildlife Act of 2015 provides a legal basis for
greater community involvement in sustainable management of vulnerable landscapes. These
therefore provides a conducive legal framework for implementing decentralised and sustainable
FNRM providing the policy and. Through these policies, the Government of Zambia seeks to
manage productive landscapes to enhance forest products and services for improved income
generation, poverty reduction, job creation and protection and maintenance of biodiversity, and
contribute to mitigation of climate change. This therefore, forms basis for a firm socio-economic
and legal engagement in the collective management, including the private sector to transform
landscapes for resilience and development in Zambia.
• Most of the rural population lives on customary lands, comprising 60% of total land ownership,
and are highly dependent on forest resources for food security and livelihoods, including non-
wood forest products (NWFPs), such as nuts, fruit, mushrooms, caterpillars, medicines, grass,
and other products as well as wood resources for construction and energy (DFNRMP, 2017).
However, poverty is also a major underlying driver of deforestation and of degradation of
natural resources through unsustainable natural resource utilization.
• Sustainable livelihoods and enterprise development based on natural resource utilization
requires secure and exclusive access to natural resources. The investment in secure rights
provided by the new Forests Act through provides the incentive to communities to manage
natural resources sustainably and thereby result in improved livelihoods and poverty reduction.
• Trying to replace this massive livelihood contribution with alternatives (to natural resources)
may not be realistic and also may not be desirable as has been experienced in other similar
projects in Zambia and neighbouring countries. In the consultation conducted in all the
communities during the community engagement exercise, they stated that with control of the
forest, sustaining a high level of benefits was key to motivating communities to maintain the
forest and not convert it.
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12.3 ANNEX 3: KEY ISSUES FROM CONSULTATIONS
Emerging themes
Key Issues proposed mitigation measure(s) Remarks
Northern Province
Reduced fish stocks (fishing)
✓ Reduction in rainfal pattern and high temperatue and the subsequent drying up of rivers and lakes especially the Mweruwantipa has affected the fish population and livelihoods.
✓ High poverty levels contributes as most people are extreme poor in the rural communities of Kaputa District and are caught up in a vicious circle of poverty. Their main source of livelihood is fishing which is now depleted.
✓ Illegal fising taking place even in breeding areas which has affected the fish stocks. The reduced fish stock has gone down forcing people to resort to alternative sources of livelihood such charcoal burning, poaching etc..
✓ Given the background of the community, promotion of fish farming (e.g. the introduction of fish ponds) would help in improving adherence levels of the community to the fish ban. Implimentation of this measure will, however depend on the availability of funds.
59
Reduced agriculture production
✓ Unpredictability of rainfall pattern due to climate change has affected agricultural production.
✓ Drought has resulted in recurring food shortages and famines.
✓ Reduced production among peasant farmers has contributed to the depletion of natural resources such as wildlife in a protected areas
✓ High cost of chemical fertilizers has posed a challenge to farming in Kaputa District. The high cost of fertilizers coupled with late input delivery, by government through the Farm Input Support Program (FISP) contributes to decreasing production.
✓ Promote conservation farming. ✓ Government to ensure timely
delivery of inputs
▪
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Charcoal production in the national park
✓ Demographic changes and high demand for land for human settlement and farming.
✓ Significant portion of forest resources have been encroached for wood fuel and charcoal burning to support livelihood.
✓ Extension of village boundaries towards national parks for human development and farming possing a great risky to wildlife.
✓ Delayment in disbursement of Social Cash Transfer payments to vulnerrable households making them resort to other sources of livelihood such as, charcoal burning, cutting down trees for firewood and fish preservation.
✓ Flooding of rice fields in the basin of the lake which left women with no choice but to resort to charcoal burning in the national park, thereby depleting forest resources.
✓ Promote conservation of resources.
✓ Introduction of alternative sources of livelihood (e.g. goat keeping program) to ensure that the communities around Game Management Areas stay away from game parks
Cutting down of trees in the national park in Kaputa District is done by women and not men.
During the consultative meeting with women involved in charcoal production in the national park, it was confirmed that only women and not men have ventured into cutting down of trees for charcoal production and the reasons given are that,-firstly, women provide for their families more than men and agreed to take the risk on behalf their families.
The second reason cited by women themselves is that, the Department of Wildlife and National Parks has been considerate and lenient on women caught cutting trees
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in the national park than men. The punishment given to women is lighter and only involves sweeping government offices while men are sentenced to prison.
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Impact on wildlife
✓ Increased human activities in the Game Management Areas has impacted negatively on wildlife. Notable activities include salt mining,peasant farming
✓ The game management area has rich deposit of salt. People have encroached the Game Management Area to mine salt as an alternative source of livelihood.
✓ Poaching.
✓ Relocate those who have settled in the national park.
✓ Provide alternative source of
income to those mining salt in the national park
Muchinga province
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Forest encroachment
✓ Increased demand for land in the new Muchinga province which has led to increased demand for land for human development and farming, and this has resulted in the encroachment of forest reserves and other protected areas.
✓ Increased deforestation activities due to shifting cultivation activities within and outside the forest area.
✓ Increase in the demand for forest products and population increase has posed a challenge on forest areas.
✓ Political interference in the allocation of land mainly in gazetted and other protected areas.
✓ Demographic changes which has put pressure on local authorities to allocate land to meet the growing demand.
✓ Lack of proper demarcation of boundaries of forest reserve areas which has made people to encroach in forest areas.
✓ Weak laws to enforce proper measures of land use and management
✓ Lack of land use plans ✓ Increasing practise of cutting down of
trees by encroachers in the forest has caused changes in climate affecting the rainfall partners.
✓ Sensitise communities on importance of conservation of forests.
✓ Promotion of good forest management practices.
✓ Through the Department of Forest, engage politicians and traditional leaders through workshops and conferences with signed dedications and commitment to respect land use plans and integrity of the forests.
✓ Increasing forest protection and management of regeneration
✓ Increase forest patrols and involve community members in carrying out patrol measures as provided for in the decentralisation policy.
✓ Immediate development and formalization of land use plans for forests.
✓ Expand on what Muchinga Provincial Forest Officer embarked on with regard to sustainable management of forest resources. So far, the provincial office has signed two agreements with the communities for pilot purposes and agreed that whatever the community collects from the forest they can use to support their livelihoods provided sustainable forest management and utilization principles are adhered to.
✓ Hold national indaba with all the key stakeholder on land use, planning and conservation management of natural resource.
✓ Encourage community participation in management of forest resources.
✓ Promotion of alternative sources of livelihood based on available natural resources.
▪
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Impact on subsistence agriculture production
✓ Subsistence farming is affected by poor rainfall patterns which has made communities resort to using farming land near streams in protected areas such as, forest and game reserve areas.
✓ Flooding of certain areas affecting houses along the banks of the river and livelihood. A case in point is the flooding in disaster of the houses and fields for the in Chama district for the people who settled on the river banks)
✓ Government to build permanent structures for the affected families who are still in tents. Government with help from cooperating partners, to resettle the affected families on the land set aside by the Disaster Management and Mitigation Unit (DMMU) for victims of flooding and other effects of climate change.
✓ Ensure that environmental matters are part of the conditions governing issuance of title deeds.
✓ Development of a framework for land administration at customary tenure which should be inclusive of all (because land degradation starts at customary level).
▪
Luapula
Forest encroachment
✓ High population density (leading to encroachment of forest).
✓ Political interference behind the allocation of land in forests
✓ High poverty Levels (leading people to degrade natural resources to sustain livelihood).
✓ High demand for forestry products ✓ Loss of trees due to shifting cultivation
due poverty as families are unable to afford the high cost of buy chemical fertilizers
✓ Over dependency on charcoal production as an alternative source of livelihood.
✓ Develop a legal framework and institutional structures to ensure that all the relevant institutions are made to work together to develop and improve the forestry sector
✓ Engage Traditional leaders and politicians to support Department of Forest in forest management.
✓ Supports the establishment of Joint Forest Management (JFM) with local communities
✓ Engagement of Local Traditional Leaders and Politician in the use and management of forest
✓ The provincial
stakeholders complained that all protected forest reserves in the province are either heavily encroached or threatened. The problem is being escalated by lack of well-defined forest boundaries, poor inter-institutional cooperation by
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✓ Negative attitudes and practises towards forest by the local communities
resources. ✓ Encourage sustainable use of
forest products (harvesting, regeneration), Forest conservation and restoration, packaging, processing and storage techniques.
institutions such as Ministry of Agriculture and traditional leaders who have been issuing farms for agriculture purposes and human settlement in forest reserves. Other factors that are contributing to the degradation of the forests include illegal exploitation of forest resources especially the famous Mukula tree and other suitable timber species for construction, increased demand for energy (charcoal and fuel wood production). Forest foods are also particularly important to the poor during the most intense food deficit periods. Communities gather fruits, mushrooms, edible insects, small animals and birds. The Forest also
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provides fuel and fodder supplements to the farm enterprise, and raw materials (timber and fuel) for small-scale rural enterprises. Fuel wood and charcoal from both the Customary Land and Protected Forest Reserves are the principal energy source.
✓ The Lubufita National Forest in Kawambwa is the most encroached forest in Luapula province for human development and settlement, followed by Mentapala forest where the government has even set up a refugee camp. The least encroached are Mbereshi Forest, Samfya and Kapweshi National forests.
Impact on subsistence agriculture production
✓ Reduced productivity due to unpredictable rainfall pattern
✓ Promote Conservation Agriculture (CA) ✓ Promote agro-forestry with Faidherbia
✓ Poor market linkages or absence of it and
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✓ Drought and general dry spells taking longer than usual affecting the farming calendar
✓ Desertification due to overgrazing and the making area is susceptive to run off and subsequently, soil erosion. Vulnerable farmers can not affort to buy and suppliment forage for animals
✓ Absence of an organised market system for small scale farmers
✓ Unavailability of infrastructure to support alternative livelihoods
✓ manifestation of pests such as army worms Presence of pests
Albida (Musangu tree) to address the primary concern of soil infertility (e.g. Nchelenge district, the farmers are been trained to employ environmentally friendly agricultural practices)
✓ Creation of infrastructure to support alternative sources of livelihood (e.g. livestock arraying.
how mitigating this gap can help address effects of climate change was highly discussed and emphasised by stakeholders. Vulnerable Small scale farmers who are the majority in the province have no voice, therefore lack capacity to bargain for better prices
✓ The main losers when
there is an emergence of army worms are small scale farmers who depend on fertilizer and seeds from the government through Fertilizer Input Support Program (FISP).They have no capacity to buy pesticides.
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Reduced fish stocks (fishing) and Restrictions on access to fishing grounds
✓ Rainfall variability characterised by excessive storms and prolonged dry spells has affected the fish stocks in the main water bodies.
✓ Increased household demand for fish (for income and for home consumption).
✓ Overfishing ✓ Increase in use of illegal fishing gears
catching even juvenile fish. ✓ Fishing in restricted areas such as breeding
area. ✓ Community disregard of the official fish
ban
Because permanent restriction to the river will negatively affect people’s livelihoods, it is proposed that:
✓ Sensitization of the surrounding communities,
✓ Facilitate alternative livelihood strategies and programmes which are in line with and appropriate to the local tradition, culture, resources, capacity and interest.
✓ Establishing local production systems for high quality fingerlings
✓ Promote and support alternative sources of livelihood.
✓ Strengthening the capacity for aquaculture extension services.
✓ Confiscate illegal fishing gears, intensify sensitisation of dangers and legal implication of using illegal fishing gears.
✓ Improve staffing levels in the Department in order to enhance monitoring and surveillance of fish breeding grounds.
✓ Relocate and resettle those who have settled and are trading in fish breeding areas.
✓ Intensify patrols during fish ban on the main water bodies, and prosecute anyone found fishing.
✓ Intensify road patrols and increase the number of road blocks and check points in selected transit points.
✓ Construction of an alternative market for the affected community atlest 10km from the Tuta bridge.
✓ It was reported that the major constraint to effective monitoring and enforcement of fish ban and control illegal fishing in restricted areas has been and still is inadequate funding to effectively enforce the ban. What provincial and district stakeholders said to have helped in controlling the situation is the coordination and suppport from the Marine Unit (a Marine division of the Zambian military wing). To mitigate the situation, government has undeniably introduced the use of force in order to restore order.
✓ The need to relocate
the trading community from Tuta Bridge which is a breeding ground for fish was widely expressed by all provincial and Samfya district stakeholders. Senior Provincial district government officials have confirmed holding meetings with the affected community regarding relocating from the Bridge.
✓ The impact on local
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Impact on wildlife (due to poaching)
✓ Poverty and demographic changes ✓ Belief that wildlife is God given and the
community has the right to kill ✓ Disregard for laws
✓ Improve staffing levels in the Department in order to enhance their capacity to conduct patrols.
✓ Government to increase funding to the Department in order to enable them preserve wildlife resources.
✓ Relocate and resettle those who have settled in the Game Management areas.
✓ Intensify road patrols and increase the number of road blocks and check points in selected transit points.
✓ Engage traditional authorities in the management of protected areas.
✓ The department submitted that much as people are allowed to settle in Game Management Areas by law, the problem is that they indulge in poaching,which is illegal and punishable by law.
✓ The department further submitted that areas for fishing have also reduced in number, and those fishing resort to killing hippos and other wildlife due to failure in production upland. Failure in production upland is caused by changes in climate.
✓ Settling in a GMA is allowed but what warrants relocation is indulgence in poaching.
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12.4 ANNEX 4: PROPOSED CENSUS FORM FOR RAP Census/Socio-economic/Asset Inventory Questionnaire
INSTRUCTION
Your main duty as an enumerator in the survey is to collect data from affected households using this questionnaire. You will interview the Head/Spouse or any knowledgeable adult member of affected households. A Household refers to a group of people who normally live and eat together. These may or may not be related by blood, marriage or adoption, but make common provision for food or other essentials for living and they have only one person whom they all regard as the head. During the interviews, you are required to circle the codes (number) or indicate the code in the responses. Only where it is stated, all questions require single responses. Where the question is open-ended, you are required to summarize the response in the space provided. You must always check your work before you leave the household. This entails: - (i) checking your work for completeness- there should not be any omissions. (ii) Checking your work for legibility-you should record answers in a clear and legible format. The person entering the data in the computer should be able to read your writing. (iii) Checking your work for consistency; there should be consistency between answers recorded in the various sections of the questionnaire. (iv) You should only handover a completed questionnaire to your supervisor after checking your work and ensuring that it is error free.
INFORMED CONSENT
My name is ________________I am working with the TRALARD Project. I have come to your house today because your household will be affected by the project. The purpose of this survey is to collect data that will be used to assess the livelihood and economic status of affected households. This survey will also help us collect data for developing and inventory affected movable and immovable assets. This is a requirement for updating the updating Resettlement Action Plan (RAP) for the expansion of Phase II of the project. I would therefore like to ask you questions on people who live here, livelihoods, economic activities, assets and your opinion regarding the project. Your participation in this survey will have no bearing on whether you receive any assistance from the project in the future. In addition, there are no costs to you for participation in this survey, and you will not be paid for participation. However, your responses will help the project to develop a better understanding of your household for better planning of the resettlement process. This interview should take about 30 minutes. If it is okay with you, can we start this interview? Yes [ ] No [ ], If No, THANK Participant, secure appointment and PROCEED to the next eligible household.
A. CONTROL INFORMATION
Name of Interviewer:
_______________________________________________________________ Surname First Name
Date (dd/mm/yyyy)
Name of Respondent:
_______________________________________________________________ Surname First Name
Respondent Type
1….Head of Household 2---Other
Name of Village Name of Chief
Interview Start Time
Interview End Time
GPS Coordinates latitude longitude
B. HOUSEHOLD DEMOGRAPHIC PROFILE
1. Name of Head of Household
____________________________________________________________ Surname First Name
2. Sex of Head of Household First Name
Male-------1 Female-----2
3. Date of birth Head of Household (dd/mm/yyyy)
4. Marital Status of Head of Household
Single -------------1 Married -----------2 Divorced----------3 Widowed ---------4
5. Educational level of Head of Household (What is the highest grade Head of Household has acquired)
1=None 2=Primary 3=Secondary 4=Tertiary
6. Household size(include Household Head)
Number of Male------- Number of Female-----
7. Is Head of Household disabled or chronically sick?
Yes-----1, No-------2
6. Is there any other member of
household who is
disabled or chronically sick?
Yes-----1, No-------2
6. If Head of Household or any other member of this household is disabled or chronically sick, what is the vulnerability category?(CIRCLE ALL THAT APPLIES)
Disabled as evidenced by ZAPID/disability assessment form------------1 Disabled but not assessed--------------2 Terminally ill & other related diseases---------------3
C. LAND SIZE, OWNERSHIP & USE
8. Is Head of Household the owner of this land?
Yes-----1, No-------2
9. If the answer to question 8 is yes, what proof of ownership?
Title Deeds----1 Offer letter from Lands---2 Other, specify_________________________3
10. If the answer to question 8 is No, who
_________________________________
11a. What is your relationship to the
Tenant--------1, Caretaker------2, Relative------3 Other, specify--------
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is the owner? _ Surname First Name
owner? 4
11a. If you are not owner of this land, what do you own on this land (CIRCLE ALL THAT APPLIES)?
1=Dwellings only 2=trees 3=all built structures
12. If the answer to question 11 is tenant, what is the monthly rental payment?
Monthly Payment _____________________________
13. What is the size of this plot? (indicate length X width if easier)
____Hectares
14. Land owner NRC & Contact No. ______________________________________ NRC Mobile Phone Number
15. What is the total size of land available for agricultural production (owned and rented) to this household IF NO LAND WRITE ‘0
_____________ hectares owned ______________hectares rented out
16. How long has this family been living on this land? ______years
D. ECONOMICAL PROFILE
D1. HOUSING CHARACTERISTICS
17. What kind of dwelling does your household live in? (OBSERVE)
1=Traditional Hut 2=Improved Traditional House 3=Temporal 4=Other (Specify)……………
18. What kind of material is the roof of the dwelling made of? (OBSERVE)
1=Asbestos Sheets 2= Iron Sheets 3= Grass/Straw/Thatch 4= Wood 5= Other (Specify
19. What kind of material is the floor of the dwelling made of? (OBSERVE)
1= Concrete only 2= Covered Concrete 3= Mud 4= Other (Specify
20. What kind of material is the wall of the dwelling made of? (OBSERVE)
1= Pan Brick 2= Concrete Brick 3= Mud Brick 4= Burnt Brick 5= Pole 6= Mud 7= Grass/Straw 8= Other (Specify….
21. How many rooms is the dwelling/housing structure?(indicate number on dwelling)
1. Dwelling 1---------------------- 2. Dwelling 2--------------------- 3. Dwelling 3---------------------- 4. Dwelling 4---------------------
1=One, 2=Two, 3=Three, 4= Four, 5=Five, 6=Six, 7=Other, specify_______________
D2. AGRICULTURE
22. Which crops did you grow in the 2017/18 season? CIRCLE ALL THAT APPLIES
Area planted in 2017/18 season (hectares(indicate length X
width in metres if easier))
Quantity Produced in 2017/18 season IF Production = 0, skip to next CROP
Unit: 1= 50 kg bag, 2=25kg bag, 3=10 kg bag, 3=Tin 4=Head, 5=Other, specify
1 Maize
2 Sorghum
3 Millet
4 Beans
5 Groundnuts(indicate shelled/unshelled)
6 Rice
7 Irish Potato
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8 Sweet Potato
9 Cassava
10 Tobacco
11 Cowpeas
12 Green Beans
13 Amaranths
14 Cabbage
15 Chinese Cabbage
16 Carrot
17 Impwa
18 Okra
D3. HOUSEHOLD INCOMES AND EXPENDITURE
23. Name the most important non-farm source(s) of income/cash to your household? CIRCLE ALL THAT APPLIES
Remittance ---------1 Skilled trade/artisan------2 Casual non-agriculture labour --------3 Petty trade (cooking oil, soap,, etc.)---------4, Savings and leading ( SILC)-----5 Med/large business-------6 Brewing Beer-----7 Formal salary/wages------8 None-------9 Begging-------10 Others (specify): 88________________________
24. Considering all your non-farm sources of income, what is your average monthly non-farm income?
ZMK________________________
25. Name the most important farm source(s) of income/cash to your household CIRCLE ALL THAT APPLIES
Rainfed Crop sales------1 Casual agriculture labour-----2 Livestock sales-------3 Fishing-----4 5.=Dividends, 6=own irrigated garden, 7= Other, specify
26. Considering all your farm sources of income, what is your average annual farm income?
ZMK________________________
27. How many (ITEM)s does your household own? (Indicate zero if HH has none. Do not count permanently broken items)
READ OUT QUANTITY
READ OUT QUANTITY
Cattle Bicycle
Goat Motorcycle
Sheep Motor vehicle
Pig Tractor
Poultry (Chickens, ducks, guinea fowls, pigeons, rabbits, etc)
Plough
Donkey/Horses Ox cart
Radio Grind mill
TV Genset
Solar Panel Water pump
Cell phone Treadle pump
Other, Specify_______ Other, Specify_______
28 What is your average household expenditure? Expenditure Item Circle appropriate Reference Period Total Amount Spent
(per Reference Period)
A. Food 1=Weekly 2=monthly, 3=annually
B. Fuel for light (kerosene, gas) 1=Weekly 2=monthly, 3=annually
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C. Water 1=Weekly 2=monthly, 3=annually
D. Communication(talktime) 1=Weekly 2=monthly, 3=annually
E. Clothing/Footwear/beddings 1=Weekly 2=monthly
F. Electricity 1=Weekly 2=monthly
G. School 1=Every Term, 2=annually
H. Transportation 1=Weekly 2=monthly
I. Medical Needs 1=Weekly 2=monthly
J. House/land rental 1=Weekly 2=monthly
K. House Maintenance/repair 1=Weekly 2=monthly
L. Recreation 1=Weekly 2=monthly
M. Agriculture(Seeds, fertilizer, labour) 1=Weekly 2=monthly
Q. Others, ________________ 1=Weekly 2=monthly
R. Others, ________________ 1=Weekly 2=monthly
S. Others, ________________ 1=Weekly 2=monthly
D24 FOOD SECURITY
29. How many staple meals excluding snacks do you normally have in a day?
1=One, 2=Two, 3=Three, 4=More than three
30. In the past 4 weeks, was there ever no food of any kind to eat in your house because of lack of resources to get food?
1=No, 2=Rarely (Once or twice), 3=Sometimes (3 to 10 times), 4=Often (More than 10 times)
31. In the past 4 weeks, did you or any member of the household go the whole day and night without eating anything because there was not enough food?
1=No, 2=Rarely (Once or twice), 3=Sometimes (3 to 10 times), 4=Often (More than 10 times)
D5. WATER AND SANITATION PROFILE
32. What is the MAIN source of drinking water for this household? (Circle only one MAIN source)
1=Borehole at own plot/land, 2=Protected well, 3=Unprotected well, 4=Protected spring 5=Unprotected spring, 6=River, Pond, Dam, 7= Direct faucet/tap to house 8. Public faucet/tap in the community, 9=Other Specify
33. How far (one-walking distance in metres) is your main water source?
………………metres
34. How many minutes do you take to reach the nearest place where you collect your water?
---------------minutes
35. What type of toilet facility does this household USUALLY use?
1=VIP toilet, 2=Pit latrine, 3=Bush 4=Other Specify______________________________
36. What do you do when a family member is sick? 1=Self –medication 2=Go to public clinic 3=Go to private clinic 4= None 5=Others, specify__________________
37. Was there any death in the family in the last two years
1=Yes 2=No If yes, What were the causes _______________________________________________________________________________________________________
E. ACCESS TO SERVICES AND PLACE OF EMPLOYMENT
Facility 38. Distance(Km) from House to Facility
39. Travel Time(hrs) from House to Facility
40. Type of Transport Used:1=Foot, 2=bicycle, 3=public transport 4 Other specify,_____
Cost of Transport to facility (41)
_____________Hospital
_____________Clinic
School(Indicate name) 1. _________________ 2. _________________
1.____________2. ___________ 3.
1.____________ 2. ___________ 3. ___________ 4. ___________
1.____________ 2. ___________ 3. ___________ 4. ___________
1.____________ 2. ___________ 3. ___________
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3. ________________ 4. ________________ 5. ________________
__________ 4. ___________ 5. __________
5. ___________ 5. ___________ 4. ___________ 5. ___________
District centre
Market/Shopping Centre
Police Station
Hammer Mill
Work Place
Banks
Grave yard
Postal Service
Others, specify:
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F. ENERGY
41. What is the source of energy for lighting the household?
1=State electricity 2=solar 3=Kerosine/Gas
4=None 5=Other, specify_________________
42. What is the main source of energy for cooking?
1=State electricity 2=Charcoal 3=Firewood
4=None 5=Other, specify_________________
43. If the main source of energy for cooking is firewood, what is the source and how many minutes walk is this?
Name of source_________________________________________Time taken to reach source____________Minutes
G. IMPACT INFORMATION
G1 LAND ACQUISITION
44. How much land will be acquired by the project?
1=whole land, 2=if partial, how much land will be acquired? _______________ hectares
45. What kind of acquisition will be this? 1=Permanent 2=Temporary 3=both
46 If the answer is both, specify the size in either case
_______hectares will be permanently acquired
_______hectares will be temporary acquired
47. Circle the code of the structures on plot that will be lost due to land acquisition & indicate the number of these structures
Name of structure Number of structures
Comments if any
1. Dwellings: i. Two rooms ii. Three rooms iii. Four rooms iv. Five rooms v. Other, specify_____
_______________
i. --------
- ii. --------
- iii. --------
- iv. --------
- v. --------
-
Indicate total floor area(length x width ) i. --------- ii. --------- iii. --------- iv. --------- v. ---------
2. Kitchen shelter Indicate total floor area(length x width )
Material used & current cost of replacement
3. Bath shelter Indicate total floor area(length x width )
Material used & current cost of replacement
4. Shop/store No. of employees_________
monthly income___________
Material used & current cost of replacement
5. Toilet mentioned
6. Bore hole
7. Protected well
8. Unprotected
9. Kraal current cost of replacement
10. Chicken coop current cost of replacement
11. Grain Store current cost of replacement
12. Goat pen current cost of replacement
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13. Fence current cost of replacement 14. Other, specify_____
_______________
current cost of replacement
15. Other, specify_____
_______________
current cost of replacement
16. Other, specify_____
_______________
48 Circle the code of the trees that will be lost due to land acquisition & indicate the number of these trees
Name of Tree Number of mature/fruiting trees
Number of non-mature/non-fruiting trees
Income from sale of fruits in 2017/or estimated income
1. Banana
2. Mango
3. Pawpaw
4. Orange
5. Lemon
6. Guava
7. Masau
8. Avocado
9. Sugar canes
10. Mulberry
11. Cactus
12. Leeches
13. Sugar cane
14. Other:
15. How many non fruit tress does the household have?
16. Do you have a Garden?
1=Yes, 2=No
16b Is garden on affected plot?
1=Yes, 2=No 17. Total monthly sale from the garden? ZMK_________
G. GENERAL INFORMATION
49. What do you think of the project? 1=Very Good, 2=Good, 3= Bad, 4=No answer
50. If the answer to question 49 is very good or good, why do you say so?
51. If the answer to question 49 is bad, why do you say so?
47. In case of relocation, which would PAP prefer?
1=Relocate to site of choice 2=Relocate to site identified by project, 3=Don’t know at this time
48. How would PAP prefer to be compensated for land
1=Land for Land 2=Cash for Land 3=Not Applicable
49. How would PAP prefer to be compensated for built structures?
1= Replacement 2=Cash 3= Not Applicable
50. How would PAP prefer to be compensated for fruit & non fruit trees (if applicable)?
1= Replacement 2=Cash 3= Not Applicable
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APPENNDIX I – ASSET FORM: BUILT STRUCTURES
Photo of the Owner
Photo Occupant/Representative
Front and Side View of The House/ Structure
Rear and Side View of The House/ Structure
Roof_________________________________________________________________________________
_____________________________________________________________________________________
Walls _______________________________________________________________________________
____________________________________________________________________________________
Floor ________________________________________________________________________________
_____________________________________________________________________________________
Fittings ______________________________________________________________________________
_____________________________________________________________________________________
APPENNDIX I– ASSET FORM: SKETCH FOR BUILT STRUCTURES
Sketch:
51. If PAP is to receive any cash compensation (if applicable), how do they want to be paid?
1=Through the Bank 2=Direct Payment 3=Not Applicable 3=Other, specify: ___________________________________
52. How much would be required to move personal effects to relocation site?
ZMK_________Specify mode of transport_______1=Oxcart, 2 tractor, 3=van, 4=other, specify______________