Draft Environmental and Social Management Framework

Transcription

MINISTRY OF FINANCE
INVESTMENT PROJECTS FOR THE
BAROTSE AND KAFUE SUB-BASINS
UNDER THESTRATEGIC PROGRAMME FOR CLIMATE
RESILIENCE IN ZAMBIA
ENVIRONMENTAL AND SOCIAL
MANAGEMENT FRAMEWORK
Volume I
FINAL DRAFT REPORT
FEBRUARY 2013
PPCR Environment and Social Management Framework Final Draft Report
Page | i
EXECUTIVE SUMMARY
The Government of the Republic of Zambia (GRZ) has commenced implementation of the Pilot
Programme for Climate Resilience (PPCR) which is funded by the Climate Investment Funds
(CIFs).Under this Pilot programme two Investment projects are to be funded: (i) Strengthening
Climate Resilience (PPCR phase II) Project in the Barotse Sub-Basin (Administered by the World
Bank, and (ii) A complimentary project administered through the African Development Bank
focusing on similar intervention but in the Kafue Sub basin.
The World Bank funded sub-projects in the Barotse Sub-basin are expected to commence in
September 2013 and will run until December 2019. The Kafue Sub-basin Investment project under
the funding of the AfDB will be implemented from December 2013 to December 2018.
The geographical scope of the two investment projects is in 17 districts out of 28 in both basins.
In the Barotse Sub basin the eight selected pilot districts are Kalabo, Kaoma, Lukulu, Mongu, Senanga,
Shang’ombo, Sesheke and Kazungula. The nine districts selected in the Kafue Sub-basin are Chibombo,
Choma, Kafue, Kalomo, Itezhi-Tezhi, Mazabuka, Monze, Mumbwa and Namwala.
The eligible project prototypes to be financed by both the WB and the AfDB cut across the
following thematic areas: Agriculture land use and livestock practices, diversification of
livelihoods, Climate information and community preparedness, Community level
infrastructure(small dams, ponds and improved wells), Climate proofing of infrastructure( roads
and canals) and support to participatory adaptation. The emphasis of implementation
arrangements varies from each basin depending on priorities.
In the Kafue Sub basin focus is on strengthening farm level support systems such, (conservation
agriculture, fertility management, crop diversification, promotion of livestock and Fisheries,
upgrading community level infrastructure (reservoirs, small dams, small scale irrigation schemes,
community forestry plantations, flood control and diversion structures) and support to local
government and community groups to help them incorporate climate risk management in local
development plans.
In the Barotse Su-basin the focus is on diversification of Agriculture, livestock practices livelihood
opportunities into sustainable activities that are not climate sensitive, and/or moving them to less
to less climate sensitive locations ( such as bee-keeping, crafts using local , non –timber materials,
processing aquaculture, and livelihood investments in higher grounds. Infrastructure initiatives
for water management to reduce effects of flooding; rehabilitation and / or manage canals to
improve drainage and / or store water to overcome shorter growing seasons and allow for early
planting and full maturation. At ward level strengthening the base of infrastructure such as
schools, health clinics or halls which may also act as flood shelters and facilitation/equipping local
livestock Para-vet centres for vaccination and disease control are some of the priorities.
The core project components and sub components for both the WB and AfDB projects are
similar. The emphasis of implementation however reflects the different priorities in the two
basins, as illustrated below.
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BAROTSE SUB BASIN (WB)
Component
1
Sub-component
Strategic National Programme Support
2
Support
to
Adaptation
Pilot
3
Pilot Participatory Adaptation
1.1
Institutional Support to National Climate Change programme
1.2
Strengthened Climate Information
3.1
Community adaptation sub –grants:participatory adaptation investments
Participatory
actual
funding
to
3.2 Rehabilitation and strengthened management of traditional
canals:-Strengthening of the management of 5 traditional canals
KAFUE SUB-BASIN
(AfDB)
Component
1
Participatory Adaptation
2
Climate Proofing Road Infrastructure
3
Strategic National Programme Support
Sub-component
1.1
Integrated Community-Based Adaptation:-community level
infrastructure to be upgraded to withstand floods or droughts
1.2
Support to participatory Adaptation:-support to local Government
to incorporate climate risk management principles in area plans
Focussed on climate proofing of farm-to-market major roads to be climate
resilient.
Led by the Ministry of Finance and National Planning (MoF), the PPCR involves two phases: Phase
I: Preparation Phase and Phase II: Implementation Phase. The PPCR seeks to:
a) mainstream climate change adaptation into national plans and strategies;
b) assist communities in highly vulnerable areas to identify and address their own climate
change adaptation options as part of local development plans;
c) incorporate climate resilience into existing community development funds to ensure
their sustainability;
d) invest in highly visible infrastructure as a way to rally public support for adaptation;
e) build on partnerships, particularly with private sector and civil society;
f) use the transformative power of communication technologies; and
g) strengthen the institutional foundation for a future climate change programme in
Zambia.
The sub-projects in the selected districts will be community-demand driven (CDD). Therefore the
nature and exact locations of these subprojects is yet to be defined and identified by the
communities. However even if the nature and location of these sub projects is not defined and
not known , Operational Policy 4.01 of the World Bank, the Environmental Policy of the African
Development Bank and the regulations of the Zambia Environmental Management Agency
(ZEMA)require that , the main implementing agency, the Ministry of Finance prepares (i) A
Strategic Environmental and Social Assessment (SESA); (ii) an Environmental and Social
Management Framework (ESMF); and (iii) a Resettlement Policy Framework (RPF).
The objective of the first two frameworks (SESA and RPF) is to review relevant policies and
legislation on environment and climate change and also to assess the potential implications for
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resettlement and compensation respectively. The purpose of the third Framework, (ESMF), is to
assess and determine the potential environmental and social impacts of all sub-project activities
that are to be financed under PPCR in the Barotse and Kafue Sub-basins.
Specifically, the ESMF identifies mitigation, monitoring and institutional measures to be
undertaken in order to ensure that the implementation and operation of the project activities do
not trigger adverse environmental and social impacts. The mitigation and monitoring measures
are intended to offset any anticipated negative effects of the sub-projects or at a minimum
reduce impacts to acceptable levels.
The first two Chapters (Chapters 1 to 2) of the ESMF essentially provide background information
that starts with a description of the Project which is followed by a brief explanation of the
methodology used in formulating the ESMF. The main issues contained in this ESMF are
described below.
The Kafue basin and the Barotse Flood Plains are sub-basins of the Zambezi Basin which is shared
by seven other countries namely; Democratic Republic of Congo, Angola, Botswana, Namibia,
Zimbabwe, Malawi and Mozambique. Both the Kafue and Barotse sub-basins consist of highly
valuable but sensitive ecological resources. These are the Barotse flood plains which have been
designated as a Ramsar site and are currently under consideration to be designated as a World
Heritage Site.
The wetlands in the Kafue sub-basin support a rich variety of flora and fauna which include rare
species of mammals such as the Red Lechwe. The Kafue National Park, the Blue Lagoon National
Park and Lonchinvar National Park all provide one of the largest sanctuaries for mammals and
bird life. The Kafue flats carry huge economic significance for nationally-important industries for
the generation of hydro-electric power, production of sugarcane, fishing and livestock and crop
production.
Both the Kafue and Barotse sub-basins are prone to both floods and drought as they fall under
Agro-ecological Region 2 (high rainfall) and 1 (less rainfall). Recently, parts of the Barotse subbasin experienced frost Climate Change have already increased the frequency and intensity of
both floods and droughts. This will increase the vulnerability of the communities in the two subbasins. The climate resilient sub-projects will provide opportunities for these communities to
reduce their vulnerability to the effects of climate change.
This ESMF has been formulated to ensure that all climate resilient subprojects in the Kafue and
Barotse Sub-basins will comply with all the relevant national environmental policies and
legislation administered by ZEMA while adhering to the Environmental and Social Safeguards
Policies of the World Bank(WB) and African Development Bank(AfDB) which are described in
Chapter 4.
Chapter 4 provides a detailed treatment of the World Bank and African Development Bank
Safeguards Policies. The following World Bank operational safeguards policies are triggered:
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All the African Development Bank environmental and social safeguard policies will be triggered
and apply to sub-projects funded under the Investment Projects in the Kafue Sub-Basin in the
period December 2013 to December 2018.
AFRICAN DEVELOPMENT BANK
Policy Triggered by the Project Investments in the Kafue Sub-basin
1
2
3
4
5
6
7
Policy on the Environment (2004)
Policy on Integrated Water Resources Management (2000)
Agriculture and Rural Development Sector (2000)
Involuntary Resettlement Policy (November 2003)
Gender
Poverty Reduction
Cooperation with Civil Society Organizations
Yes
No
X
X
X
X
X
X
X
The following WB Safeguards Policies that will be triggered will apply to all sub-projects funded
under the Investment Projects in the Barotse sub-basin during the period September 2013 to
December 2019.
WORLD BANK
Policies Triggered by the Project Investments in the Kafue Sub-basin
1
2
3
4
5
6
7
8
10
11
OP 4.01:
OP 4.04:
OP4.09
OP 4.10:
OP4.11
OP 4.12:
OP 4.36
OP 4.37:
OP 7.50:
OP 7.60:
Environment Assessment
Natural Habitats
Pest Management
Indigenous Peoples
Physical Cultural Resources
Involuntary Resettlement
Forestry
Safety of Dams
International Water Ways
Disputed areas
Yes
No
X
X
X
X
X
X
X
X
X
X
Identified environmental and social impacts that may arise as result of the implementation of the
sub-projects include some of the environmental impacts include: land clearing and increased use
of pesticides while social impacts include: increased agricultural productivity due to improved
moisture retention and early planting resulting in increased pressure on land and land conflicts.
Mitigation measures would include use of culturally acceptable conflict prevention and resolution
practices.
Based on community needs and aspirations and essentially small scale in scope, the sub-projects
to be implemented under the PPCR have been assigned either to category B or C (WB); 2 or 3
(AfDB) and schedule 2 under ZEMA. In order to be responsive to the circumstances of the
beneficiary communities in the two sub-basins, individual subprojects will be subject to a
screening process which will involve a number of steps including:
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1.
Assessment of the proximity of the intended project sites to natural habitats, water
resources, natural hazards/disasters, cultural and historical resources and land
acquisitions issues
2. Environmental and social assessment of the various subprojects.
This will provide the basis for the preparation of a simplified (1 page) environmental and social
management plan (ESMP) that describes the activity, location, proponent, the potential
environmental and social impacts (from the screening form), the suggested mitigation measures,
and a mitigation/monitoring plan presented in a simple table.
The list of sub-projects endorsed for approval by the SPIU (and Provincial Administration in
Mongu or Choma for the Barotse Sub-basin and Kafue Sub-basin respectively) would be
submitted quarterly to ZEMA who will consider one of the following actions:
a) endorse them on a no-objection basis;
b) endorse with further recommendations; and/or
c)
recommend the preparation of a full Project Brief.
ZEMA would then have a period of two weeks to communicate their response. In the event that
there is no such response after two weeks, then approval based on a no-objection would be
automatically granted. In the event that ZEMA assigns a different category a project proponent
may be required to prepare and submit the Environmental Project Brief (EPB) to the Zambia
Environmental Management Agency (ZEMA) for review. Although this is highly unlikely,
depending on outcome of the EPB the proponent may also be required to prepare an
Environmental Impact Statement (EIS) and undertake a full Environmental Impact Assessment
(EIA).
Although the ZEMA is responsible for the supervision In the case of the sub-projects under the
PPCR, The PCCR Secretariat and Project Implementation Unit (PIU) will, in consultation with
ZEMA, assume responsibility for the supervision of the implementation of the Environmental
Management and Social Plans (EMSPs). Beyond this supervision, the Ministry of Finance (PPCR
Secretariat) is further required to disclose the ESMF, RPF and SESA in country as three separate
and stand-alone documents so that they are accessible by the general public, local communities,
potential project-affected groups, local NGO’s and all other stakeholders and also at the InfoShop
of the World Bank and the date for disclosure must precede the date for appraisal of the project.
The last two chapters of the ESMF provide guidelines on Environmental and Social Monitoring
Plan (ESMP) and on institutional arrangements for the implementation of the PPCR sub-projects.
During implementation, the ESMP is an important tool that helps to measure the level of
adherence to social safeguards in line with the identified mitigation measures. The ESMP
specifies the activities to be undertaken to ensure that the mitigation measures are efficiently,
effectively and timely implemented. Chapter 7 presents the monitoring plan and indicators
Given that some of the sub-projects have very small budgets, the monitoring of the ESMF will be
done for a group (of sub-projects (e.g. 3-5) on a quarterly basis. The estimated budget for ESMF
monitoring of the subprojects is US$ 7,500 per year per sub-basin.
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While safeguard policies and national environmental and social legislation make adequate
provisions for the implementation of the PPCR sub-projects in the Kafue and Barotse Sub-basins,
the challenges lies in the lack of capacity to monitor and enforce legislative requirements. This is
particularly obvious in the context of climate change which is still a relatively new area and
whose mainstreaming in national sector policies and projects remains at the entry level. ZEMA is
also in the process of developing regulations that specifically address environmental
management challenges within the framework of climate change.
The cost of implementing the ESMF is difficult to determine at this stage as the sub-projects are
be identified by the communities. Since the sub-projects will be community-demand-driven and
“micro” in scope at an estimated cost US $2,500 per sub-project (for the Baroste Sub-Basin), it
can be assumed that these sub-projects will be large in number. It can also be assumed that a
number of such sub-projects are likely to be sited in same geographical or adjacent locality. The
cost of monitoring and implementation of the ESMF would then be spread over a number of the
sub-projects. Based on this, the estimated cost of implementing the ESMF could be US $ 1,000 for
every 5-10 sub-projects depending on the complexity and physical distances from the district
administrative centre.
The final chapter of the ESMF presents a training programme for the PPCR and relevant
stakeholders. The cost required to support the PPCR training is estimated at US$ 825,006.
___________________________
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TABLE OF CONTENTS
CHAPTER 1: INTRODUCTION .................................................................................................................................. 1
1.1
1.2
1.3
1.4
1.5
Environmental and Social Management Framework (ESMF) .............................................................1
Project Description ............................................................................................................................... 3
Aims and Objectives ............................................................................................................................. 3
Description of Project Components and Sub-Components ............................................................... 4
Institutional arrangements .................................................................................................................. 8
CHAPTER 2: ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK METHODOLOGY ...................... 12
2.1
Environmental Methodology .............................................................................................................. 12
CHAPTER 3: BASELINE INFORMATION ...............................................................................................................16
3.1
3.2
Baseline information .......................................................................................................................... 16
Climate Change in Zambia: Challenges for the Kafue and Barotse Sub-Basins ............................... 16
CHAPTER 4: MDB ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES AND ZAMBIAN ENVIRONMENTAL
LEGISLATION ....................................................................................................................................................... 28
4.1
4.2
4.3
4.4
4.5
World Bank Operational Policies and Procedures - Barotse Sub-basin............................................ 28
African Development Bank Safeguard Policies ................................................................................. 32
Overview of Zambian Legislative and Regulatory Framework ........................................................ 35
Environmental Legislation and Policies ............................................................................................. 36
Complementarity between Zambian Legislation, World Bank and African Development Bank
Safeguard Policies .............................................................................................................................. 44
CHAPTER 5: INDICATIVE LISTING, POTENTIAL IMPACTS, ADAPTATION AND MITIGATION MEASURES OF
SUB-PROJECT PROTOTYPES ............................................................................................................................... 46
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
Context ................................................................................................................................................ 46
Identification of PPCR Related Community Demand-Driven (CDD) Eligible Projects ..................... 46
Identification of Potential Projects Preferred by Communities. ...................................................... 48
Stakeholder Participation Event ........................................................................................................ 48
NGO Projects Relevant to Climate Change ........................................................................................ 49
Abbreviated Project Descriptions ....................................................................................................... 51
Environmental impacts ....................................................................................................................... 53
Social impacts ..................................................................................................................................... 59
CHAPTER 6: CLASSIFICATION of SUB-PROJECT PROTOTYPES FOR INVESTMENT IN KAFUE AND BAROTSE
SUB-BASINS ......................................................................................................................................................... 63
6.1
6.2
6.3
6.4
World Bank Classification ................................................................................................................... 63
African Development Bank Classification .......................................................................................... 64
Zambian Legislation Clasiffication .................................................................................................... 65
Screening of Sub-Projects .................................................................................................................. 65
CHAPTER 7: MONITORING PLAN OUTLINE FOR PPCR PROJECTS .................................................................... 76
7.1
7.2
Compliance Monitoring ...................................................................................................................... 77
Impacts Monitoring ............................................................................................................................ 77
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7.3
7.4
7.5
7.6
7.7
Cumulative Impacts Monitoring ........................................................................................................ 77
Monitoring Requirement ................................................................................................................... 77
The Environmental and Social Monitoring Plan and Monitoring Indicators .................................... 78
Monitoring Indicators ......................................................................................................................... 81
Monitoring Responsibility .................................................................................................................. 81
CHAPTER 8: INSTITUTIONAL CAPACITY ASSESSMENT FOR THE ESMF IMPLEMENTATION ......................... 84
8.1
8.2
8.3
8.4
8.5
8.6
8.7
Need for Institutional Capacity .......................................................................................................... 84
National Government Institutions ..................................................................................................... 84
Local Government Institutions .......................................................................................................... 85
Civil Society Organisations ................................................................................................................. 87
Vulnerable Social Groups ....................................................................................................................88
Private Sector......................................................................................................................................89
Implementation Arrangements and Capacity Building Requirements ............................................ 90
REFERENCES ....................................................................................................................................................... 102
ANNEXES............................................................................................................................................................. 105
LIST OF TABLES
Table 1: Institutional Arrangements and functions .............................................................................................. 9
Table 2: Functions and descriptions ................................................................................................................... 10
Table 3: Sample Districts ...................................................................................................................................... 13
Table 4: Summary of Environmental Problems and Impacts ............................................................................. 15
Table 5: Estimated area of the Barotse Floodplain extended wetlands (ha) ................................................... 20
Table 6: Sub-basin Characteristics ....................................................................................................................... 21
Table 7: World Bank Safeguard Policies ............................................................................................................. 28
Table 8: WB Safeguard policies and their relevance to PPCR Project in the Barotse sub-basin ..................... 29
Table 9: African Development Bank Safeguard Policies .................................................................................... 32
Table 10: AfDB safeguard policies and their relevance to PPCR projects in Kafue sub-basin .......................... 33
Table 11 : summary of national legislation .......................................................................................................... 43
Table 12: WB/AfDB policies and Zambian Legislation ........................................................................................ 44
Table 13: List of Eligible Activities under Constituency Development Fund vs. Proposed Activities Eligible for
PPCR Funding....................................................................................................................................................... 46
Table 14: Summary of Projects preferred by the communities. ........................................................................ 48
Table 15: Projects key NGOs have been undertaking and considered suited for PPCR Funding ........................... 50
Table 16: Abbreviated Project Description (AfDB/IBRD) ........................................................................................ 51
Table 17: Potential Environmental Impacts of Sub Project and mitigation/enhancement measures .................. 55
Table 18: Potential Social Impacts and mitigation measures of Sub Projects ......................................................60
Table 19: Indicative list of Eligible Category C Project Prototypes, which may be financed under the PPCR ..............................................................................................................................................................................66
Table 20: Indicative list of Eligible Category B Project Prototypes which may be financed under the PPCR- 67
Table 21: Elements of an ESMP ........................................................................................................................... 78
Table 22: Example of an environmental and social monitoring plan (ESMP) for the sub-projects .................80
Table 23: Roles and Responsibilities ................................................................................................................... 92
Table 24: Estimated budget for ESIA trainings...................................................................................................98
Table 25: Capacity Building Budget Estimates ................................................................................................... 99
Table 26: Programme Support and Budget over the project period ................................................................ 99
Table 27: Elements of an ESMP ..........................................................................................................................134
LIST OF FIGURES
Figure 1: PPCR Pilot Districts, NIRAS Zambia (2012) ............................................................................................ 17
Page | ix
Figure 2: Soils, NIRAS Zambia (2012) ................................................................................................................... 18
Figure 3: Muoyowamo canal near Nayuma Habour........................................................................................... 26
Figure 4: Integrated Development Plans and local Area Plans .........................................................................86
Figure 5: Overview of the Implementation Arrangements. (Source IBRD, Abbreviated Project Descriptions)
.............................................................................................................................................................................. 91
Figure 6: Overview of the Implementation Arrangement (Source AfDB, Abbreviated Project Descriptions)
.............................................................................................................................................................................. 92
Figure 7: Complimentary Projects in the Zambia PPCR Phase II .......................................................................96
Page | x
ACRONYMS
AEZ
AfDB
CC
CDD
CSO
CSO
DACO
DDCC
DDMMU
DIP
DMMU
EA
EIA
EIB
EIS
EMA
EMP
EPB
ESAP
ESMF
ETo
FAO
GMA
HSI
IBRD
IPCC
IPCC WGII
ISP
ITCZ
IUCN
LAC
MAL
MCDMCH
MCTI
MLGH
MLNREP
MMEWD
MSY
MTWSC
NAPA
NCCDC
NCCRS
NEAP
NGO
NPE
NRFA
NTFP
PDCC
PPCR
RDA
SESA
SNDP
PPCR
USCSP
WB
Agro-Ecological Zones
African Development Bank
Climate Change
Community Driven Development
Central Statistical Office
Civil Society Organisation
District Agricultural Coordinator
District Development Coordination Committee
District Disaster Mitigation and Management Unit
Decentralisation Implementation Plan
Disaster Mitigation and Management Unit
Environmental Assessment
Environmental Impact Assessment
Environmental Impact Brief
Environmental Impact Statement
Environmental Management Agency
Environmental Management Plan
Environmental Project Brief
Environmental and Social Assessment Procedures
Environmental Social Management Framework
Evapotranspiration
Food and Agricultural organisation of the United Nations
Game Management Area
Habitat Suitability Index
International Bank for Reconstruction and Development
Intergovernmental Panel on Climate Change
IPCC Working Group 2
Inter-sectoral Stakeholder Platform
Inter Tropical Convergence Zone
International Union for the Conservation of Nature
Local Area Committee
Ministry of Agriculture and Livestock
Ministry of Community Development Mother and Child Health
Ministry of Commerce Trade and Industry
Ministry of Local Government and Housing
Ministry of Lands Natural Resources and Environmental Protection
Ministry of Mines, Energy and Water Development
Ministry of Sport and Youth
Ministry of Transport, Works, Supply and Communications
National Adaptation Plan of Action
National Climate Change Development Council
National Climate Change Response Strategy
National Environmental Action Plan
Non-Governmental Organisation
National Policy on Environment
National Roads Fund Agency
Non-Timber Forestry Products
Provincial Development Coordination Committee
Pilot Programme for Climate Resilience
Road Development Agency
Strategic Environmental and Social Assessment
Sixth National Development Plan
Strategic Program for Climate Resilience
United States Country Study Programme
World Bank
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ZAMSIF
ZAMWIS
ZAWA
ZBS
ZEMA
ZMD
ZRA
ZRB
ZVAC
Zambia Social Investment Fund
Zambezi Water Information System
Zambia Wildlife Authority
Zambia Bureau of Standards
Zambia Environmental Management Agency
Zambia Meteorological Department
Zambezi River Authority
Zambezi River Basin
Zambia Vulnerability Assessment Committee
Page | xii
CHAPTER 1: INTRODUCTION
The Government of the Republic of Zambia (GRZ) has received support from the IBRD and AfDB
for two complementary Investment projects under the Strategic Programme for Climate
Resilience (PPCR). The Investment projects are: (i) Strengthening Climate Resilience (PPCR phase
II) Projects in the Barotse Sub-Basin (Administered by the World Bank, and (ii) Strengthening
Climate Resilience in the Kafue Sub-Basin (Administered through the African Development Bank).
The World Bank funded sub-projects in the Barotse Sub-basin are expected to commence in
September 2013 and will run until December 2019. The Kafue Sub-basin Investment project under
the funding of the AfDB will be implemented from December 2013 to December 2018.
The PPCRis an integral part of the global Pilot Programme on Climate Resilience (PPCR) funded by
the Climate Investment Funds (CIFs).The geographical scope of the Investment Projects isin 17
districts out of 28 in the Barotse and Kafue sub-basins.The sub-projects to be implemented in the
selected districts will be community-demand driven (CDD).
Although the nature and location of these sub projects is not known, Operational Policy 4.01 of
the World Bank, the Environmental Policy of the African Development Bank and the regulations
of the Zambia Environmental Management Agency (ZEMA) require that, the main implementing
agency, the Ministry of Finance prepares (i) A Strategic Environmental and Social Assessment
(SESA); (ii) an Environmental and Social Management Framework (ESMF); and (iii) a Resettlement
Policy Framework (RPF).
The objective of the first two frameworks (SESA and RPF) is to review relevant policies and
legislation on environment and climate change and also to assess the potential implications for
resettlement and compensation respectively. The purpose of the third Framework, (ESMF), is to
assess and determine the potential environmental and social impacts of all sub-project activities
that are to be financed under PPCR in the Barotse and Kafue Sub-basins.
Specifically, the ESMF identifies mitigation, monitoring and institutional measures to be
undertaken in order to ensure that the implementation and operation of the project activities do
not trigger adverse environmental and social impacts. The mitigation and monitoring measures
are intended to offset any anticipated negative effects of the sub-projects or at a minimum
reduce impacts to acceptable levels.
1.1 Environmental and Social Management Framework (ESMF)
The objective of this ESMF is to provide simple and clear environmental and social management
guidelines for the design, planning, environmental and social assessment, monitoring and
management of the community-demand-driven (CDD) Participatory Adaptation activities which
are planned for Phase II of the PPCR. The ESMF applies to CDD sub-projects to be implemented
within the structures of the Provincial and District Administration and sub-districts. The specific
objectives of ESFM are to:
1. Establish clear guidelines and procedures for environmental and social planning, review,
approval and implementation of investments to be financed under the Projects,
Page | 1
2. Clearly define roles and responsibilities for managing and monitoring environmental and
social concerns related to Project investments,
3. Determine the training, capacity building and technical assistance needed to successfully
implement the provisions of the ESMF,
4. Establish the estimated Project funding (budget) required to implement the ESMF
requirements or provisions.
The approach used in developing the framework is built around participatory processes that focus
on: (i) the assessment of anticipated environmental and social impacts of the prototype subprojects of the Participatory Adaptation component, and (ii) procedures for mitigating adverse
consequences of the projects and sub-projects on the natural and social environment. The
approach draws on information generated through review of existing documentation and
literature on climate change and climate resilience. It also draws on the views and perspectives of
communities, local authorities and other local level stakeholders.
Given the far-reaching impacts both actual and anticipated of climate change, the importance of
legislation and policies has also been taken into account in the preparation of this ESMF.
Successful planning and implementation of PPCR projects and activities will depend on an
enabling legal environment. Legislation and policies provide the legal basis for protecting the
environment and supporting the priority responses to climate change. It is also noted that
national laws and policies relevant to the PPCR cut across several sectors and ministries. There is
no single piece of legislation that deals with the complex combination of issues and interests
around climate change.
In that regard, this ESMF therefore draws on relevant Zambian environmental key policies among
which are:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
xiii.
xiv.
xv.
xvi.
Disaster Management Act 2010
Environmental Management Act of 2011 (replacing the Environmental Protection and Pollution
Control Act (EPPCA) No. 12 of 1990)
Fisheries Act;
Forest Act;
National Adaptation Plan of Action(NAPA) of 2007
National Conservation Strategy of 1985;
National Environmental and Action Plan of 1994
National Heritage and Conservation Act of 1989
National Policy on Environment of 2005
National Strategy on Biodiversity and Action Plan
National Water Policy of 1994
National Water Resources Management Act of 2011
Pesticide and Toxic Substances Regulations (1994)
Plant Pests and Diseases Act Cap 233
Water Act Cap 198 of 1948
Wildlife Act,
These environmental policies and legislation are complemented by social policies key among
which are:
Page | 2
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
Agricultural Lands Act
Decentralization Act
Land Act, Chapter 184
Lands Acquisition Act Chapter 189 of the Laws of Zambia
Local Government Act Chapter 281 of the Laws of Zambia
National Agricultural Act
National Agricultural Policy
Public Roads Act (2002)
Town & Country Planning Act Chapter 283 of the laws of Zambia
A more detailed analysis of these national policies and laws is given in Chapter 5 and subsequent
chapters.
1.2 Project Description
Over the past three or four decades, Zambia has experienced increased incidence of climatic
hazards. Drought, seasonal floods and flush floods, extreme temperatures (such as frost) and dry
spells have been the most serious. With increased frequency, intensity and magnitude over the
last two decades, these extreme climate events have severely impacted the livelihoods of rural
communities. Among who are those most vulnerable to the effects of climate change are the
rural communities in the Barotse and Kafue Sub-basin of the Zambezi Basin.
In addressing these climate change challenges, a coordinated and pragmatic approach has been
developed. The strategy:
a) “mainstreams climate change adaptation into national plans and strategies;
b) assists communities in highly vulnerable areas to identify and address their own climate
change adaptation options as part of local development plans;
c) incorporates climate resilience into existing community development funds to ensure
their sustainability;
d) invests in highly visible infrastructure as a way to rally public support for adaptation;
e) builds on partnerships, particularly with private sector and civil society;
f) relies on the transformative power of communication technologies; and
g) strengthens the institutional foundation for a future climate change programme in
Zambia.”
The Participatory Adaptation sub-projects that are planned under the Pilot Programme for
Climate Resilience are part of the coordinated response to Climate Change in Zambia.
1.3 Aims and Objectives
The aim of the proposed Investment projects is to strengthen Zambia’s institutional framework
for climate resilience and to improve the adaptive capacity of vulnerable communities in the
selected pilot areas of the Barotse and Kafue sub basins. The specific objectives are:
i.
ii.
to mainstream climate change adaptation into national and local area plans and
strategies;
to assist communities in highly vulnerable areas of the two sub-basins, to identify and
address their own climate change adaptation options as part of their local area
development plans;
Page | 3
iii.
iv.
v.
vi.
to incorporate climate resilience into existing community development funds to ensure
sustainability;
to invest in highly visible infrastructure as a way to rally public support for adaptation;
to build on partnerships, particularly with the private sector and civil society to use the
transformative power of communication technologies to enhance climate resilience in the
two sub- basins; and finally
to strengthen the institutional foundation for a future climate change programme in
Zambia.
At project completion, it is expected that the Investment projects shall lead to the following
outcomes:
i.
That Zambia will have a fully operational National Climate Change and Development
council or equivalent institution, effectively coordinating climate change, funding
programs and projects, through its own efforts.
ii.
That the Zambian Government will have increased its budgetary allocation in support of
iii.
Climate resilient programs in vulnerable sectors (agriculture; natural resources, transport,
health, water and energy, and disaster risk management) by 25 percent over the 20072012 baseline.
iv.
That, at least two thirds of the households in targeted districts, wards and communities in
the two Su-basins will have used the information, planning tools and resources provided
by the projects to respond to climate change and variability.
v.
That the design and management of up to 5 important traditional canals in the Barotse
sub basin will have been strengthened to near optimum flow (0.6m/s ) to allow for
improved resilience during the flood and dry seasons.
vi.
That selected farm to market access rural roads and other basic Agriculture infrastructure
in the Kafue Sub basin shall be Climate proofed by the application of design parameters
and codes to strengthen their ability to withstand floods and droughts.
1.4 Description of Project Components and Sub-Components
The Zambian version of the Pilot Programme for Climate Resilience (SPCR) is referred to as the
Strategic Programme for Climate Resilience (SPCR). For clarity and consistency, this ESMF uses
the term PPCR in avoid confusion as one of the components is called strategic programme
support.
The Pilot Programme consists of three core components, in the Barotse and Kafue Su-Basins.
These are: (1) Participatory Adaptation; (2) Climate Resilient Infrastructure and (3) Strategic
National Programme Support
These core components are complemented by sub–components reflecting the variation in Project
implementation priorities in the two-sub-basins as described below.
1.4.1
Investment Projects in the Barotse Sub- basin
Page | 4
In the Barotse sub-basin, project implementation will be through the following components :( 1)
Strategic National Programme Support (2) Support to Pilot Participatory Adaptation and (3) Pilot
Participatory Adaptation.
1. Comp0nent (1) Strategic National Programme Support
This component is national in scope, and builds on institutional strengthening started under PPCR
Phase 1. It consists of two sub–components; the first provides institutional support to Zambia’s
emerging National Climate Change and Low Carbon Resilience Programme, and the second
focuses on strengthened climate information and awareness.
Sub Component (1.1) Institutional Support to National Climate Change programme
Implementation will fall directly under the National Secretariat for Climate Change and would
strengthen the umbrella institutional support enabling project activities. The following activities
will be supported under this sub component:
(i)
Mainstreaming climate Resilience into key national sectoral policies, plans and
programs and provision of specialised technical assistance and workshops to develop
screening guidelines for key departments in line Ministries to screen key policies for
climate resilience.
(ii)
Institutional strengthening through selection of national champions for post graduate
training degrees and specialized short term training at international centres of
excellence.
(iii)
Management of External resources and Climate risk Financing and funding to the
National Climate change secretariat for project management costs such as Audit sand
M&E.
Sub Component (1.2) Strengthened Climate Information
This sub-component will support improved early warning and climate information at national
and pilot sites through provision of technical assistance, equipment, training, workshops and
operating costs for items such as:
(i) Social marketing awareness campaigns aimed at the general public and key decision
makers
(ii) strengthened Early warning system in both the Barotse and Kafue sub-basins, involving
two way communication between line agencies and local communities and
(ii) Development of an open platform to facilitate sharing of hydro-metrological,
geospatial, and climate vulnerability data and risk assessment amongst decision
makers.
Component (2) Support to Pilot Participatory Adaptation
The focus of this component is to support local Government and community groups in the
Barotse Sub-Basin to incorporate climate risk management principles into local development
planning coordinated by the Chief Provincial Planner with support from the Barotse Royal
establishment. Activities under this component would include:
Page | 5
(a) Facilitation and strengthening community decision making, using experienced NGO
partners already working in the targeted districts to sensitise and train targeted
community/farmers’ groups in developing climate resilient plans which identify local
adaptation priorities.
(b) Assist targeted districts with training in financial management, procurement, safeguards
and monitoring and evaluation, as well as provide the needed equipment vehicles and
incremental operating cost for field operations.
Component (3) Pilot Participatory Adaptation
This component will deal with funding actual participatory adaptation investments through subgrants, and will be implemented through two sub components, the first focusing on priority
investments identified through climate resilient planning done by communities themselves, and
the second focusing on optimising the drainage functions of traditional canals in the Barotse
flood plain.
Sub-component (3.1): Community adaptation sub –grants
Targeting about 130,000 beneficiaries in 8 districts and 26 wards of the Barotse sub basin, this
sub- component will fund adaptation options identified through mainstreamed Integrated
Development Plans (district level grants), Local Area Plans( ward level grants) and participatory
planning (community level grants). The sub grant process will be demand driven, and channelled
directly to the beneficiaries once they met the requisite eligibility criteria.
Sub-component (3.2) Rehabilitation and strengthened management of traditional canals
This sub-component focuses on strengthening the management of about 5 traditional canals to
optimise their use in climate resilience. Given the cultural and economic importance of these
canals to the Barotse Royal establishment, rehabilitation will be guided by the following
principles:
(a) Strict observance and collaboration with traditional management structures,
(b) Respect and conformity with the floodplain’s status as a Ramsar site and proposed World
heritage Site
(c) Assessment of water resources and hydraulic design
(d) Minimise environmental and social impacts (including on riparian’s downstream)
(e) Maximise the use of local labour, particularly benefiting the most vulnerable households,
and
(f) Ensuring the maintenance of an optimal flow regime to control sedimentation, to reduce
maintenance requirements, and sustain water transport routes for longer periods of the
year.
The implementation structure of the Investment Project for the Barotse Sub-basin is
described in detail in section 8.7.1 in chapter 8.
1.4.2
Investment projects in the Kafue Sub-basin
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In the Kafue sub basin, the focus of project implementation is on three thematic intervention
areas. (1) on production systems which emphasize diversification and intensification in
agriculture, and natural resources innovations at community level, (2) on climate proofing
infrastructure, by applying design parameters and codes that strengthen rural roads to withstand
floods and drought (3) Capacity building focused on institutional strengthening at the local level.
Component (1) Participatory Adaptation
This component will provide a platform to strengthen adaptive capacity of poor rural
communities and natural resources based production systems that are vulnerable to the impacts
of climate change in the Kafue Sub –Basin. It would support community based adaptation
initiatives selected by communities through a demand driven process with the help of NGO’S
working with local government. It will operate under two (2) sub components.
Sub-Component (1.1).Integrated Community-Based Adaptation
Under this sub-component, Community level infrastructure projects will be identified and
upgraded to withstand severe floods or droughts, while opening up opportunities that will
stimulate entrepreneurship and bolster income generation activities for the communities. Focus
will be on micro projects for flood control and diversion structures, water reservoirs and
improved wells. The sub component will also support farm level support systems such as
conservation agriculture training, fertility management, seeds for drought and flood resistant
crop varieties etc. and matching grants for climate change adaptation Investments
Sub-Component (1.2) Support to participatory Adaptation
This sub-component will support local government and community groups in each district to
incorporate climate risk management principles into local area planning. Support will also be
given to local non- governmental organisations to mobilise, train and facilitate communities in risk
and vulnerability assessment.
Component (2): Climate Proofing Road Infrastructure
The focus of this component is on climate proofing farm –to-market access roads in an effort to
strengthen the climate resilience of vulnerable roads and minimise the exposure of the road
investment to climate risk. “The component will support strategic access roads in the Kafue river
Basin which will include: (i) Kalomo Dundumwezi (ii) Itezhi-Tezhi to Dundumwezi through Ngoma
and Nanzhila and (iii) Namwala to Itezhi-tezhi. These roads serve as farm to market access roads as
well as a link to Kafue National Park.
The foregoing components and sub-components of the PPCR will be complemented by an IFC
supported investment project, on Private Sector Support to Climate Resilience, and a parallel
project that will be funded by the Nordic Development Fund to support climate resilient
infrastructure.
These climate resilient interventions are expected to lead to sustainable diversification of
livelihoods, reduction of poverty in the sub-basins and promote the protection of the
environment in the context of climate variability. The scale of most projects envisioned under this
programme will be small-scale in nature designed to be driven by communities at local level.
Page | 7
However, even with such small projects and with such good intentions, the unintended
environmental and social impacts of such projects and programmes no matter how small may
invariably occur. It is against these unintended environmental and social impacts that this
Environmental and Social Management Framework (ESMF) has been developed.
The implementation structure of the Investment Project for the Kafue Sub-basin is described in
detail in section 8.7.1 in chapter 8.
1.5 Institutional arrangements
The implementation structure and institutional responsibilities are clearly articulated in the PPCR
document. Over the next eight years (2013-2020), the PPCR will be administered through the
Ministry of Finance (MoF). A number of government ministries, departments and agencies will be
involved in the implementation of projects and sub-projects under the PPCR either directly or
indirectly. Those involved include:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
The Ministry of Agriculture and Livestock (MAL);
The Ministry of Lands, Natural Resources and Environmental Protection (MLNREP);
The Ministry of Mines, Energy and Water Development (MMEWD)
The Ministry of Local Government and Housing (MLGH);
The Ministry of Transport, Works, Supply and Communication (MTWSC);
The Ministry of Community Development, Mother and Child Health (MCDMCH);
The Ministry of Sport and Youth (MSY)
The Ministry of Commerce, Trade and Industry (MCTI)
Agencies and departments that are already working with climate change include:
i.
ii.
iii.
iv.
v.
The Disaster Management and Mitigation Unit (DMMU) under the Office of the Vice
President (OVP);
Zambia Meteorological Department (ZMD)
The Zambia Environmental Management Agency (ZEMA); and
The Zambia Wildlife Authority (ZAWA)
The National Road Fund Agency(NFRA) and the Road Development Agency (RDA)
Most of these ministries and agencies are either already involved in climate adaptation or
mitigation programmes and projects or have a mandate to undertake climate change
interventions.
Given the complexity, and far reaching implications of Climate Change, the PPCR is a multi-sectoral
programme that requires participation of nearly all government ministries. The legislation and
policies of individual government ministries provide the legal and social mandate on which
respective ministries (and departments falling under them) will participate in the PPCR and
contribute towards the achievement of its goals.
Page | 8
It should, however, be noted that these pieces of legislation and policies are formulated by each
ministry, usually without due consideration to mandates and functions of other sector ministries.
The establishment of The Inter-Sectoral Technical Committee (ISTC) under the PPCR is an
acknowledgement of this fragmentation of policy and legislation. The ISTC is intended to facilitate
coordination and foster collaboration between and among ministries in order to harmonize the
implementation of the PPCR.
This is, and will be the challenge for the PPCR Secretariat (and subsequently, the NCCDC) and the
ISP as harmonization and coordination among ministries has met with limited success in previous
government-led multi-sector development projects. For instance, information from the field
mission affirms that coordination among ministries and government departments tends to start
and end in the planning meetings in the DDCC. There is little collaboration during actual
implementation of projects and activities.
Both the DDCC and the District Councils will require strengthening of planning and
implementation capacities in order to ensure the successful implementation of the PPCR’s
community-driven projects and sub-projects.
As lead, The Ministry of Finance will have an oversight function and carry the responsibility of
“coordination and execution”1 of all PPCR interventions. Beyond this the MoF will also carry and
exercise fiduciary authority for the programme. The implementation of PPCR will be at several
levels: national, provincial, district, sub-district and local area. The various districts councils and
area development committees, the District Disaster Management Committees and Satellite
Disaster Management Committees and the communities (including community based
organisations) will be at the frontline of the efforts to build climate resilience and mitigating the
effects of climate change. The next table summarises the institutional arrangements, their
functions and current status.
Table 1: Institutional Arrangements and functions
Institution
Function
Status
The Committee of Ministers (chaired by the Minister
of Finance)
Will provide policy oversight
for the programme
Not yet operational
Committee of Permanent Secretaries (chaired by the
Secretary to the Treasury)
Will supervise the work of the
Secretariat/NCCDC
Not yet operational
Climate Change Development Council or (The
Board)to be appointed by the committee of
Permanent Secretaries)
Responsibilities
include
working with the Secretariat
and approval plans on the
recommendation from the
inter-sectoral
stakeholder
platforms
Yet to be appointed
The PPCR Secretariat/The National Climate Change
Will serve as programme
Operational
1
but
awaiting
PPCR Main document
Page | 9
Institution
Function
Status
and Development Council (NCCDC)
management
unit
and
operate
in
‘relative
autonomy’ under the MoF
formal ratification
Inter-sectoral stakeholder platforms on climate
resilience which will be structured as technical
working groups on Climate Resilient Agriculture,
Climate Resilient Infrastructure, Climate Information
and Climate Financing
Provide technical oversight
and
support
to
the
Secretariat
Operational
Climate change/DMMU provincial and district subcommittees and Local Area Committees (LACs)
Will serve as the main
implementers
of
PPCR
projects and activities at
district, sub-district and local
level under the participatory
adaptation component.
Operational
Community-driven PPCR projects under the Participatory Adaptation component will be funded
directly by the MoF through local authorities and structures with the participation of the PDCCs,
DDCCs and DMMU committees. The District Councils, however, are unlikely to have the capacity
to manage funding for large projects such as roads for instance. Funding for large infrastructural
and investment projects will be handled by the Ministry of Finance.
The Secretariat (NCCDC) will implement and manage capacity building and institutional
development interventions as part of component 3 on Strategic Support to the PPCR. This will be
done with inputs from relevant government ministries, agencies, other actors from civil society
(NGOs) and service provider’s as outlined in table 1.
The institutional framework of the PPCR has been designed to prioritize the implementation of
PPCR projects and activities which are driven by the communities and local stakeholders within
the provincial, district and sub-district system. This local focus is critical for ensuring sustainable
adaptation to climate change and robust climate resilience that will benefit the poor communities
in the two pilot sub-basins. In the interim the PPCR Secretariat is expected to continue to perform
the functions which are described in the table below.
Table 2: Functions and descriptions
Function
1.
Facilitate activities leading
to the establishment of long term
institutional arrangement for
climate change coordination in
Zambia
2.
In the interim, Coordinate
and oversee the implementation
of climate change activities and
Description






Stock taking and identification of gaps
Consultation with decision makers
Preparation and processing of necessary documents for
high level government approval
Facilitating smooth transition to new institution (NCCDC)
Act as coordinating body for all climate change initiatives in
Zambia
Serving as executing unit for key projects
Page | 10
Function
initiatives
projects
Description
across
sectors
and


3.
Carry over activities that
may remain outstanding under the
climate change initiatives







Mainstreaming
communication
and
management
Resource Mobilisation and Management
knowledge
Formulation of the National Climate Change Policy
Formulation of the legal framework on climate change and
DRR
Facilitate and coordinate inputs into international
agreements and negotiations
Facilitate the development of a harmonised climate change
programme
Facilitate effective implementation of the NCCRS
Facilitate the formulation of the National Communication
Strategy
Facilitate revision of the NAPA and development of NAPs
for medium and long term adaptation needs
Page | 11
CHAPTER 2: ENVIRONMENTAL AND SOCIAL MANAGEMENT
FRAMEWORK METHODOLOGY
2.1 Environmental Methodology
2.1.1
Review of Literature
Secondary sources of information were obtained through a rigorous review of available
documents. Existing literature were also the primary source for defining institutional, policy and
legal frameworks. From the literature, all possible envisaged environmental impacts were listed
and evaluated based on policy and legal requirements using matrices and maps. The data on
geology and soils, climate, water resources, biodiversity, human and ecosystems were obtained
from existing literature, especially maps which cover all the targeted districts.
2.1.2 Analysis of Baseline Environmental Data
The ESMF recognizes the existence of available environmental baseline information. These data
sets were collected with the purpose of describing and evaluating the current environmental
status of targeted project districts in both the Barotse and Kafue sub-basins. The baseline
information included environmental information relevant to all project components. The
description of the baseline environment was therefore based on the following data basis:

Physical environment- the information collected included geology, topography, soils,
climate and ecosystem and hydrology.

Biological environment- data on flora, fauna, endemic and endangered species,
critical/sensitive habitats, including protected areas and reserves was collected.
The project components take climate change issues at the core of planning. During the baseline
data analysis, climate change information was analysed to capture issues related to climate
resilience. The analysis endeavoured to determine climate related trends and provide some
guidelines for dealing with these potential adverse impacts.
2.1.3 Site Visits and Field Assessments
Site visits and field assessments were intended to gather relevant bio-physical data and
information on the ground as well as to fill gaps identified during literature review. These sites
were suggested by the affected communities and government agencies. The visits were
conducted in nine sample districts in which the PPCR will be implemented. See Annex 16 for field
mission reports.
The sites visited in the districts were in Sesheke, Mongu, Senanga and Shangombo in Western
province. In southern province, sites visited were in Itezhi-tezhi and Namwala, while Mufulira and
Lufwanyama accounted for the Copperbelt and Solwezi in North-western.
The selected sites in the districts conformed with scoring and ranking assessment criteria used for
the vulnerable assessments based on earlier climate events presented by Zambia Vulnerability
Assessment Committee (ZVAC) assessments in ZVAC 2006, 2007, and 2010 (floods, droughts, food
Page | 12
need areas) and Agro-Ecological Region representation. Other factors considered in the site visits
were PPCR climate resilient infrastructure project locations (identified roads and canals), target
groups defined in the PPCR (women and youth) and population densities based on the available
Census 2010 data and environmental pressure from industrial and mining activities.
2.1.4 Structured Interviews and Focused Group Discussions
Structured interviews formed part of the data gathering process. District officials comprising of
the DACO, Disaster management committees and Meteorological officials were engaged to
discuss appropriate sites based on their experiences and historical information on
environmentally and climate impacted sites prior to site visits.
Focus Group Discussion techniques based on semi-structured checklists was employed in getting
environmental parameters based on their livelihoods. These were interactive discussion
interviews that enabled concerned participants and stakeholders, to provide hands on experience
on environmental concerns related to proposed projects. Group focus discussions were in
manageable sizes of 15-20 to contribute equally to the issues relevant.
2.1.5 Summary of findings from field Mission
A total of 9 districts (Solwezi, Lufwanyama, Mufulira, Mongu, Senanga, Shang’ombo, Sesheke,
Namwala and ItezhiTezhi) were sampled. These are among the 24 districts (16 are in Kafue and 8
in Barotse that have been identified as part of the pilot areas in the two sub-basins. As not all
districts could be visited, 9 districts were selected based on the following criteria:




provincial and Agro-Ecological Region representation
vulnerability of population to effects of climate change (based on earlier experiences) and
the ZVAC reports
PPCR components,
planned investment projects,
Based on this criterion, the districts shown in table 3 below were selected to be assessed.
Table 3: Sample Districts
District
Basin
AE region
Population*
Itezhi-tezhi
Sesheke
Mongu
Namwala
Senanga
Shangombo
Lufwanyama
Mufulira
Solwezi
Kafue
Barotse
Barotse
Kafue
Barotse
Barotse
Kafue
Kafue
Kafue
2a
1
2b
2a
2b/1
1
3
3
3
Total
64,593
94,612
178,454
101,589
126,974
85,288
75,542
161,601
23,9051
1,127,704
*Source: 2010 Census of Population
Page | 13
Assessment visits focused on community consultations. This is partly because poverty reduction
and the targeting of vulnerable groups are a key focus area for the PPCR. The site visits were built
around stakeholder participation. One of the aims of the visits was to collect raw data from the
communities and other stakeholders and carryout assessment of potential sub-project
prototypes, their impacts and possible minimization and, or mitigation measures for such
impacts.
The purpose of the site visits was to assess the situation regarding climate change, how it is
understood and what climate resilience projects exist already and new ones that may be
introduced during Phase II of the PPCR. Equally important, the site visits were intended to get a
sense of the preparedness and adequacy of systems at the provincial, district planning and local
area levels. The discussion also included reflections on capacities that would be required if the
climate resilient projects and activities are to be sustainably implemented and appropriately
managed.
The interactions included meetings with representatives of the planning and implementing
authorities at the provincial and district levels as well as with representatives of the district
disaster management committees and satellite disaster management communities. Others
included provincial staff of the Zambia Meteorological Department (ZMD). The cross-sectoral
nature of the composition of these committees provides a basis for coordinating efforts and
complementary contributions to the establishment of climate resilient initiatives.
It is clear from many of these interactions that the level of awareness of climate change issues at
the Provincial and District planning levels are quite high. Members of both Provincial and District
and Disaster Management and Mitigation are able to articulate the issues of climate change. This
may, in part, be because of exposure and their participation in stakeholder sensitization events
undertaken by teams from the PPCR Secretariat.
While the communities in the districts which were visited had already experienced the effects of
climate change, it was difficult to find many activities that were initiated as part of community
driven adaptation measures. For instance, a number of farmers in the Lukanda community
complained of loss of field crops and fruit trees due to frost, however, there was no adaptation
strategies on to how shield the crops from exposure to frost in the future.
Equally, some members of this same community were unable to appreciate the potential of
adaptation strategies such as introduction of aquaculture or diversification of crops and
livelihoods. Sensitization on climate change and training related to adaptation measures should
be undertaken as a matter of urgency. This will facilitate a more conscious and systematic
approach to building climate resilience that is led and supported by those who are affected by
climate change. This is imperative because the effects of climate change are likely to spread to
areas where they are not currently being felt, while they are already deepening in those areas
which are already prone to extreme climate events.
Page | 14
The impacts of climate change are clear to see in many of the sites that were visited. Table 4
below captures some of the environmental issues (problems and impacts) identified.
Table 4: Summary of Environmental Problems and Impacts
Environmental problems
have become more severe
-
-
Deforestation
Floods
Crop diseases
Livestock diseases
resistance of pests to pesticides
Overgrazing
soil infertility
Poor Quality of drinking water
Soil erosion
Soil degradation
Low levels of ground water
that
Soil erosion
Deforestation
Poor Quality of drinking water
Livestock and crop diseases
2.1.6 Analysis of Environmental Policies and Regulations
Projects funded by the World Bank, should fully comply with environmental safeguard policies.
Relevant policies for the PPCR include OP/BP 4.01 for environmental assessment (EA), OP/BP 4.04
for natural habitat, OP/BP 4.12 for Involuntary Resettlement and OP/BP 4.09 for pest
management. The relevance of safeguard policies in the PPCR planning and implementation of
the components and subprojects in the selected districts was assessed.
The African Development Bank Environment Policy confirms the bank’s commitment to
promoting sustainable development in Africa. This project considered strongly AfDB’s policies to
ensure compliance and mainstreaming environmental considerations in the PPCR subprojects.
The World Bank and African Development Bank Safeguard policies also demand compliance to all
national and international environmental requirements. Nationally, some environmental policies
and regulations need to be satisfied in order to implement the subprojects of the PPCR. All these
were assessed for full compliance. Some of the national policies and regulations on environment
considered were National Environmental Policy (NEP) and Zambia Environmental Management
Agency regulations (EPB, EIAs, and EMPs). Other important documents reviewed on environment
included Climate Change Response Strategy, National Adaptation Plan of Action and Disaster
Management Act.
Page | 15
CHAPTER 3: BASELINE INFORMATION
3.1 Baseline information
Baseline information includes description of the current situation in terms of (a) the socioeconomic environment, (b) biological environment and (c).Physical environment
3.2 Climate Change in Zambia: Challenges for the Kafue and Barotse Sub-Basins
Climate change is a reality in Zambia, whether one derives his/her livelihood in a rural or urban
area. The intensity and frequency of extreme weather events such as high temperatures, frost,
floods, droughts and heavy rainfall has become a common feature. To mitigate against impacts of
climate change events requires coordinated efforts from stakeholders concerned with climate
change issues. This is particularly more urgent given the size2of the country, which is broadly
divided into three (3) Agro–Ecological Regions, each with similar climatic conditions. All the three
(3) Agro-Ecological Regions are represented in the Kafue and Barotse sub- basins.
3.2.1 Social Economic environment
The two basins support 61% of Zambia’s rural poor whose livelihoods and economic well-being are
highly dependent on rain fed agriculture, and their natural resources systems and rural
infrastructure are highly vulnerable to climate change. The population consists mainly of
smallholder farmers (entrepreneurship has been slow to develop), who practice subsistence
farming. Cultivating on average an area of 2 ha, these smallholder farmers follow traditional
agricultural practices characterised by low input- low output production technologies, with a
heavy dependence on family labour.
In the Kafue Sub–Basin maize, groundnuts, cotton cassava tobacco and millet constitute the main
cash and subsistence crops, while livestock (cattle and goats) feature prominently in Mazabuka,
Namwala, Itezhi-Tezhi and Mumbwa. In the Barotse Sub-basin, cattle and goats are prominent, so
are cassava, millet and rice in some districts. In both Sub- Basins, not only cattle are a measure of
wealth, but are also a status symbol. The crops grown are supplemented by fishing in both the
two basins.
Heavy dependence on rain-fed agriculture (including livestock production) and fishing means the
communities in these two basins are most exposed to climate change and its impacts, at the same
time have the least capacity to adequately adapt and protect themselves from the adverse effects
of weather.
3.2.2 The Kafue Sub-basin- Physical environment
The Kafue Sub-basin is a major sub-catchment of the Barotse Sub-basin. It drains most of its
waters into the Zambezi River. The Basin constitutes around 20% of the total land area of Zambia
(Figure 1). It has a large concentration of mining, industrial and agricultural activities. The Kafue
River originating from the north-western part of the basin flows south to the Itezhi-tezhi storage
2
2
2
2
Zambia’s has a total land mass of 752,618km of which 9,220km is covered by water – perennial streams, rivers and lakes 2
while 743,398 km is land.
Page | 16
dam. At Itezhi-tezhi the river flows east and passes through the Kafue Flats, after which it joins
the Barotse Sub-basin, to empty its waters into the Zambezi River.
Five (5) districts in the PPCR pilot programme were selected for field visits which fall in the Kafue
Sub-basin namely: Itezhi-tezhi, Namwala, Lufwanyama, Mufulira and Solwezi. The districts fall
under agro-ecological regions IIa (Itezhi-tezhi and Namwala) and III (Lufwanyama, Mufulira and
Solwezi).
Figure 1: PPCR Pilot Districts, NIRAS Zambia (2012)
3.2.2.1 Topography, Geology and Soils
i.
Topography
The Kafue Sub-basin has an undulating landscape with the terrain sloping gently towards the
plains creating landforms characteristics of open Miombo woodlands which are inundated with
vast contours of grasslands. Lying at an altitude of about 1,000 – 1,200m asl, the Kafue Basin is
part of the central African plateau.
ii.
Geology
The geology of the Kafue Sub-basin represents one of the ancient landmasses of the African
Continent and the underlying rock materials of much of this area are mainly the complexes of
Katanga sediments of the upper (late) Precambrian age (700 million years ago).
iii.
Soils
The soil types in the Basin have been due to the function of interacting factors: parent material,
geomorphology, and rate of weathering. The soils are deep dark clays, called montimorillonite,
and are capable of holding large quantities of water. They are rich in carbon, thereby giving the
characteristic dark colour. These soils are poorly drained and hydrate when wet, but dehydrate
when dry.
Page | 17
Principally, the soil character of Kafue Sub-basin covering the South of Kafue River bank are heavy
alluvial clays near Namwala and Itezhi-tezhi areas, light brown to grey silt or sandy loam in semiarid regions (see Figure below). The region of Lufwanyama and Mufulira is typical mineralized
Figure 2: Soils, NIRAS Zambia (2012)
3.2.2.2 Climate
i.
Seasonal variations
The Kafue Sub Basin has a tropical and sub-tropical climate with two main seasons: the rainy
season (November to April) corresponding to summer, and the dry season (May to
October/November), corresponding to winter. The dry season is subdivided into the cool and dry
season (May to August), and the warm and dry season (September to October).
ii.
Rainfall patterns
Rainfall over the Kafue catchment is derived mainly from a low-pressure system caused by the
convergence of the Trade Winds known as the Inter Tropical Convergence Zone (ITCZ). Annual
rainfall varies from 1,300mm in the north to 800mm in the south. Natural variations in rainfall are
more significant in the southern and western areas where the frequency and duration of dry
spells is greater. This is caused by the inter-annual changes in the southern extent of the ITCZ.
iii.
Temperature
Like most parts in Zambia, the temperatures prevailing in the Kafue Sub-basin are generally warm,
but cooler than in the rift valley areas. The variation is due to differences in altitude; the Flats such
as Kafue flats, Namwala and Itezhi-tezhi are on higher elevation than the low-lying valley areas.
Generally, mean monthly temperature range from 14oC in June/July to 27.5o C in October; the
Page | 18
mean maximum and minimum temperature range from 16 ºC to 34 ºC in October; and, 7 ºC to 24 ºC
in July respectively.
3.2.2.3 Climate Change
Zambia as a whole has not been spared from impacts of climate change on human and
ecosystems and has experienced a number of climatic hazards over several decades. According to
IPCC ( 2007), climate change will result in high frequency and intensity of extreme weather events
(e.g. droughts, floods and storms), declining water resources, increased transmission of vector
borne diseases (e.g. malaria), and loss of biodiversity.
i.
Flood prone areas of the Kafue Sub-basin
The Kafue catchment has two major natural flood control features, which contribute to the low
yield of catchment outflows compared to the catchment average rainfall. The main natural
features of the Basin are extensive dambos - the Lukanga Swamps and the Kafue Flats, which
have been known to be prone to flooding. At the height of rains, flow may be reversed in the
lower Lukanga as water from the Kafue River spills into the Lukanga Swamp. At peak flows the
Kafue River experiences Riverine flooding which is quite extensive in some areas affecting
surrounding human habited environments. This riverine flooding has been known to disrupt ferry
operations and other social and economic activities along the river banks because it makes routes
to the river impassable. The cause of Riverine flooding is the slow discharge of large volume of
water due to among other compounding challenges, siltation. This is seen in the flood prone
areas of Lushiwashi swamp, Busanga swamp, Lukanga flats, Lake Itezhi-tezhi and Kafue flats.
ii.
Floods and droughts in Kafue Sub-basin
The Kafue Flats is a good example of an area which is subjected to flooding and drought. The year
1994 saw severe floods in the Flats when fishing camps and some settlements along the river
were inundated resulting in the displacement of people. Mud brick houses especially those in the
plains collapsed; two bridges in the Kafue Flats were washed away cutting off Monze and
Namwala towns from the rest of the country. All the pontoons on the river were rendered nonoperational due to torrential currents. The earlier floods of 1977/78 and 1988/89 were equally
devastating.
The most recent floods in the Kafue Sub-basin are the flash floods which occurred in various
places in the 2005/2006 rainy season. The flash floods that affected the Kafue Gorge Power
Station in December 2005 rank highly in terms of extent of damage, which disrupted power
generation for a period of two weeks. Wide spread flooding was also reported in months of
February and March 2006 which affected housing units and agricultural fields in Mazabuka,
Monze and Choma.
3.2.2.4 Hydrology
The Kafue river first flows in a south-easterly direction through the Copperbelt, traversing the
Mpatamatu and Itezhitezhi Gorges, crossing the Kafue Flats in a broadly meandering course from
west to east. Near Kafue town, the river leaves the basin and flows through the Kafue Gorge.
Here its annual discharge has on occasion exceeded 28.3 billion m3, representing a sustained
outflow rate of 898 m3/sec over the year.
Page | 19
In its middle course, between the Mpatamatu Gorge and the Kafue Flats, the Kafue River picks up
its main tributaries, the Kafalufuta, Lufwanyama, Lushwishi, Lunga, Lukanga and Lufupa Rivers.
Most of these rivers have narrow floodplains or strip swamps along parts of their upper courses,
and both the Lufupa and Lukanga flow through areas of permanent swampland. The Lufupa
flows into the basin of the Busanga Swamp, from which it sometimes fails to emerge in dry
seasons. Prior to its confluence with the Kafue, the Lukanga River flows through a shallow
depression containing the Lukanga Swamp. This is the largest permanent swamp in the basin
having an area in excess of 210, 000 ha.
East of Itezhitezhi, seasonal flood waters spread over the broad floodplain of the Kafue Flats.
Here the greatly re-enforced river crosses the floor of the basin. The entire basin is riddled with
dambos, with the total water retention capacity which is enormous, so that their influence on the
surface hydrology of the basin is profound.
3.2.3 The Barotse Sub-basin- Physical Environment
The Barotse sub-basin, with an area of 118,931 km2, is an integral part of the Zambezi River Basin.
The Sub-basin hosts Zambia’s second largest wetland3, the Barotse Floodplain also known as the
Bulozi Plain or Lyondo, covering an area of 9000 km2 while the Kafue Flats is second with an area
of 6500 km2 (Hirji et al, 2002). The Barotse Floodplain is flat and influenced by several river
systems. Timberlake (2000) defined the area as extending from Lukulu to downstream of
Senanga, and including the Liuwa Plains National Park, Luena Flats, the Barotse Floodplain, and
the LungueBungo River wetlands. Turpie and others (1999) provide estimates of the area (see
table below). The Barotse Floodplain was listed as a Ramsar site in 2007 and has been proposed
as a World Heritage Site. The floodplain measures approximately 240 km long and 34 km wide,
extending from Lukulu in the north to Nangweshi in the south.
Table 5: Estimated area of the Barotse Floodplain extended wetlands (ha)
Wetland
Barotse Floodplain
LungueBungo wetlands
Luena Flats
Luanginga River
Liuwa Plains National Park
Total
(Source:Turpie and others 1999).
Area (ha)
550,000
70,000
110,000
100,000
366,000
1,196,000
The Zambezi River, the fourth largest River in Africa after the Congo, Nile and Niger drains the
Barotse Sub- basin (Rapid Assessment Report - (Euroconsult Mott MacDonald 2007)). Among the
numerous tributaries of the Zambezi River include the Kafue and Luangwa Rivers. The Zambezi
3
2
2
The main flood plain is 5,500 km but it extends to 10,750 km if the floodplains of tributaries (such as the Luena Flats) are
considered. The landscape is generally flat, from 914 to 1,218 m. Sources: UNESCO,
http://whc.unesco.org/en/tentativelists/5428/ and Wikipedia, http://en.wikipedia.org/wiki/Barotse_Floodplain
Page | 20
River rises from the Kalene Hills in Zambia, and flows south until it spills into the Indian Ocean
some 2,650km to the east in Mozambique.
The Upper Barotse Sub-basin runs from the source, 25km south east of Kalene Hill in Mwinilunga
District in North-West Zambia, through Cazombo in Angola down to Barotseland and Victoria
Falls, where it plunges into the Batoka Gorge. The Liuwa and West Lunga National Parks are
traversed by the mostly pristine Luanginga, Kabompo and Lunga Rivers. Various rapids occur
between Nangweshi and KatimaMulilo. The Ngonye Waterfalls (21m) lie 300 km upstream from
Victoria Falls.
When flooded, the Barotse Floodplain covers an area of 7,500 km². The floodplains of the Upper
Barotse Sub-basin are comparable in size to the Okavango Delta, Kafue Flats and the Bangweleu
Swamps.
In this report, the focus districts accounted for in the Barotse Sub-basin and their respective agroecological regions (AER) are Sesheke (AER I), Mongu (AER 2b), Senanga (AER 2b/1) and
Shangombo (AER 1).
3.2.3.1 Sub-Basin Characteristics
There are significant variations across the whole of the Barotse Sub-basin in terms of rainfall,
temperature, physical characteristics, land use and economic development. However, the mean
annual precipitation from Barotse Sub-basin Delta up to Kabompo River is 1,060mm. The average
lowest temperature recorded in July is 16oC and 23oC in November. The table below shows the
characteristics of various sub-Basins within the main Barotse Sub-basin.
Table 6: Sub-basin Characteristics
Sub-basin
Subbasin
No.
Area
(km2)
Mean Annual Average
Rainfall
Temperature
(mm)
in July (ºc)
Upper Barotse Sub-basin
Barotse Sub-basin Delta
Lungue Bungo
Luanginga
Barotse
Kafue
Luangwa
12
1
11
10
9
7
5
90,359
23,653
46,482
33,931
118,994
157,629
148,286
1,225
1,060
1,120
972
840
1,004
987
Total/Average
(Source:
ZAMWIS, 2007)
1,378,713
17
19
16
16
16
15
16
Average
Temperature
in November
(ºc)
22
24
22
22
23
23
23
16
23
3.2.3.2 Topography, Geology and Soils.
Location
Page | 21
The Barotse Sub-basin is situated within the Zambezi River Basin and is geographically located
between 9-20 South and 18-36 East in Southern Africa.
i.
Topography
The topography of the Barotse Sub-basin is largely flat compared to that of the global Zambezi
River Basin. Most of the Zambezi River Basin is high plateau land of the Gondwana Continent,
with elevations of the high plateau varying between 800 and 1,450m amsl with the most
extensive areas being between 1,000 and 1,300m amsl. Only a very small portion of the basin is
below 100m or above 1,500m. The fact that there are these elevation differences, and that most
of the basin is above 1,000m, contributes to the high hydropower potential of the Basin. Over 30
large dams in the Zambezi River Basin serve domestic, industrial and mining water supply,
irrigation and power generation.
ii.
Geology of the Sub-basin
The Barotse Sub-basin’s physical features are dominated by the geology of the Central and
Southern Africa which is characterized by tectonic movement and rift valley faulting, one of the
oldest landscapes on earth. Within what is now the Barotse Sub-basin, quite a large part was in
existence already in the proterozoicera, some 550 million years ago. Prior to and since that time,
the region also experienced excessive faulting, folding and metamorphosis with associated
weathering and erosion that have led to land surfaces being eroded down to peneplains4, while
leaving only the most resistant parts of the old Gondwanaland in the plateaus and high grounds.
These geological processes have led to a mosaic terrain of the Barotse Sub-basin, encompassing
deep and shallow valleys, steep and flat river profiles and extensive plateaus, sometimes with
their sharp edges protruding, because of the enormous forces exerted including the formation of
long bands of metamorphosed rocks. This also explains why the Barotse Sub-basin and its river
tributaries have relatively long reach stretches.
iii.
Soils
The soil configuration of Barotse Sub-basin varies from the high plateau to low laying valleys and
dambos. In the western part of the basin, Sesheke and Mongu are characterized by Kalahari
sands, and thick sandy-loam towards the north (Shangombo area).
The soil is mostly nutrient-poor Kalahari Aeolian sands, waterlogged during the flood period and
dry most of the year. However, at the same time, the Barotse floodplain supports a rich and
diverse ecological and human landscape, characterized by a network of canals, mounds,
traditional houses, cultural shrines, swamp and evergreen forests, and a variety of natural
landmarks.
3.2.3.3 Hydrology
i.
Rainfall characteristics of the Basin
4
A low-relief plain representing the final stage of fluvial erosion during times of extended tectonic stability.
Page | 22
Rainfall varies throughout the Barotse Basin. It is generally higher in the northern parts and
reaches up to 1,400 mm per year in the upper reaches. It is lowest in the southern parts—such as
the area bordering with Zimbabwe—with a maximum of 500 mm per year.
ii.
Runoff characteristics
Hydrological time series are needed to identify investment opportunities relevant to the major
water-using sectors of the Basin. The study period (October 1962 to September 2002), provided
the series information on the variability of flow both throughout a given year and over the longer
term. Monthly hydrological time series that cover at least a full drought period are the minimum
requirement for the analysis and thus for the viability of any proposed project.
Mean average runoff data have been published in several reports and for the purposes of this
baseline study; the data used are those from the Rapid Assessment Report (Euro consult Mott
MacDonald 2007).
3.2.3.4 Climate
i.
Rainfall
Average annual rainfall across the Basin varies from about 500mm in a small part of the extreme
south and south-west to more than 1,400mm in the Upper Barotse Sub-basin and Kabompo subBasins. In general, rainfall is greatest in the north, with an extensive area receiving over 1,000mm,
and declines towards the south, where most areas receive less than 700mm thereby defining the
agro-ecological zones.
ii.
Temperature
Temperature across the Basin varies according to elevation, and to a much lesser extent latitude.
Mean monthly temperatures for the coldest month, July, vary from just below 14°C for higher
elevation areas in the south of the Basin to some 23 °C for the low elevation areas. Mean monthly
temperatures for the warmest month (November, normally the pre-rains month) vary from
around 19 °C in the highest elevation areas, to 31 °C for the lower parts of the Barotse Sub-basin
valley.
iii.
Potential Evapotranspiration
Potential Evapotranspiration (ETo) varies greatly across the area, being determined by
temperature, relative humidly, wind speed and sunshine. Annual ETo (based on FAO CROPWAT
data) values vary from 1,000mm to almost 2,000mm, with an average of 1,600mm which
sometimes is double the average annual rainfall. Irrigation is thus essential in most areas, both to
grow perennial crops (e.g. sugarcane, bananas, citrus), and, in the drier areas, to guarantee crop
yields for seasonal crops (e.g. maize, rice, cotton).
3.2.3.5 Climate change
Periodic, sometimes extensive droughts have long been a feature in the Barotse Sub-basin. There
is now compelling evidence that an irreversible shift towards a new climatic state, driven by
global warming, is underway (Lovelock, J. 2006).
Page | 23
Climate modelling exercises point to a complex range of possible outcomes as a result of climate
change. However beyond this complexity, there are two recurrent themes. The first is that dry
areas will get drier and wet areas wetter, with important consequences for the distribution of
agricultural production. The second is that there will be an increase in the unpredictability of
water flows, linked to more frequent and extreme weather events. Drought-prone countries in
southern Africa face some of the gravest challenges in the world (John Ashton , undated).
The evidence on climate change effects for the Barotse is necessarily tentative, but it includes:
 Recent data show that temperature in the Barotse sub-basin (like in the rest of the
Zambezi basin) increased by 1-2o C between 1970 and 2004 (IPCC WGII5, 2006). So far,
there is no evidence of long-term change in seasonal rainfall (December-April) or
increased variability (Fauchereau et al, 2003).
 The Zambezi river has a low runoff efficiency (i.e. volume of runoff per unit of area) and
the basin has a high dryness index (i.e. dryness of the vegetation based on remote
sensing), indicating a high sensitivity to climate change. This sensitivity may have
increased due to human-induced desertification over the past fifty years. Reduced runoff
in recent years is now evident.
The predicted impacts of climate change in the region concerns the evaporation from reservoirs,
agricultural productivity and fish production.
3.2.3.6 Agriculture and livestock
Impacts of climate change have been significant in most economic sectors. Region is extremely
vulnerable followed by Region II in terms of arable cropping. Analysis of crop production, suggest
that key varieties, particularly maize, would be compromised due to shortening of the growing
season in agro-ecological Regions I and II, undermining food security in these two regions.
In addition and according to the Assessment of Impacts and Adaptation to Climate Change study of
2002 on livestock, as temperatures rose, the cattle population reduced, and as they fell, the
population increased. This scenario was related to the amount of rainfall; extreme temperatures
are associated with droughts and vice versa. Communities of Western and Southern Provinces
depend mostly on cattle as a source of livelihood and nutrition and also for draught power. This
implies that the households that depend on cattle for livelihood are most vulnerable once the
area experiences climatic hazards.
3.2.3.7 Forestry and wildlife
Using the Habitat Suitability Index (HSI) methodology, the assessment conducted by the United
States Country Study Programme (USCSP) observed that a decrease in rainfall would be very
harsh on wildlife and would affect its diversity and abundance. As regards wildlife, under drought
conditions, reduced soil moisture would give rise to poor quality fodder, stress and uncontrolled
5
The IPCC Working Group II (WG II) assesses the vulnerability of socio-economic and natural systems to climate change,
negative and positive consequences of climate change, and options for adapting to it. It also takes into consideration
the inter-relationship between vulnerability, adaptation and sustainable development. The assessed information is
considered by sectors (water resources; ecosystems; food & forests; coastal systems; industry; human health) and
regions (Africa; Asia; Australia & New Zealand; Europe; Latin America; North America; Polar Regions; Small Islands).
Page | 24
animal migration. Under excessive rainfall, wetland animals like the Lechwe and Puku would be
adversely affected.
3.2.3.8 Fisheries
Fishery sector is a very important economic component of the Barotse Sub-basin. The 2002 USCSP
study on fisheries on the impact of climatic variations on fresh water fishery and fish farming
revealed that lower rainfall would reduce nutrient levels in rivers and lakes impacting negatively
on fish breeding activity as well as depletion of fish species in the long-term. In the drought-prone
agro-ecological region I and II, the most vulnerable fish species are the breams and sardines.
3.2.3.9 Human health
The Vulnerability Assessment6 showed that the entire Zambia is vulnerable to a multitude of other
climate-sensitive diseases such as dysentery, cholera, respiratory infections and malnutrition.
These diseases are more pronounced in areas that are most vulnerable to climate
change/variability in agro-ecological regions I and II.
3.2.3.10 Land Cover and Land use
The terms 'land cover' and 'land use' are often used synonymously. Land cover refers to the
actual coverage of the surface of the earth with natural or man-made environment - forests,
grass, crops, water bodies (lakes, rivers), marshes, rock, sand dunes, roads, urban settlement.
'Land use' on the other hand refers to the usage of the land cover. Commercial forestry, pastures,
irrigated farming, rain-fed cropping, recreational areas, game reserves, mining; urban areas,
industrial estates etc. are examples of land use types.
Land cover/use has a great impact on water resources – it affects how precipitation that falls on
the ground eventually translates into runoff, infiltration, evaporation, and the quality of the
water. The main classes of land cover/use in the Zambezi River basin are summarised in the table
below. Most parts of the basin are covered by forests and bush (almost 75% of the land area);
cropped land (mostly rain-fed agriculture) covers 13% of the land area, and grassland covers
approximately 8% of the land area.
i.
Flood plain agriculture
‘Floods are not only a hazard but also provide a livelihood to some of the poorest people’. This
very much applies to flood plain agriculture in the Barotse basin. The Barotse Sub-(i?) Basin
includes extensive flood plain areas.
In a context of low population density, flood plain agriculture is highly productive when measured
in output per capita, though less in output per land unit. In large parts of the Barotse Basin land is
however not necessarily the limiting factor. Flood recession resource systems moreover have
several other benefits – such as recharging shallow wells; sediment deposits contributing to soil
fertility; regenerating rangeland in outwash areas, sustaining fisheries and maintaining wetland
functions. These should be carefully considered in making a comparison with perennial irrigation.
6
Vulnerability and Needs Assessment, Final Vulnerability Assessment Committee Report (2005)
Page | 25
i.
National Parks, Game Management and Protected Areas
The Upper Zambezi and Zambezi Delta hosts a number of National Parks, Game Management and
Protected Areas of the Barotse Sub-basin.
The Upper Zambezi landscape starts on the Benguela plateau in Angola and extends through
Zambia’s remote western region down to Victoria Falls. Its western side includes the Barotse
floodplain - a Ramsar site; Sioma, Liuwa Plains and West Lunga National Parks; and Lukwakwa
Game Management Areas.
The Liuwa Plains National Park is a large grassy plain and wooded area. It witnesses Africa’s
second largest wildebeest migration between Angola (Mussuma area) and Zambia each year. The
landscape has a total of 13 Important Bird Areas. The Barotse floodplains are a critical water
retention system for recharging the Zambezi River during winter and early periods of summer
before the onset of floods and control flooding downstream.
The vegetation of the Upper Zambezi is diverse and provides a good habitat for a variety of
wildlife such as Sitatunga, wildebeest and the wattled crane. Rare and large mammals like
cheetah, lion, roan antelope and the African wild dog as well as buffalo, hartebeest and zebra are
also found. Its freshwater bodies carry various fish species.
Potential threats to the landscape include agricultural expansion, illegal trade in timber and
wildlife products, wild fires and human wildlife conflicts. Major opportunities are: the existence of
a relatively unexploited natural resource base and its associated tourism potential, including bird
watching; the proposed Liuwa-MusumaTransfrontier Conservation Area (TFCA) that provides
suitable ecological conditions for wildebeest migration between Zambia and Angola; and the
huge upland forests (especially the Crytosepalum) that are suitable for forest carbon trading
through the REDD+ mechanism.
ii.
Physical Cultural Resources of the Barotse Sub-basin
The Barotse floodplain is famous for its fisheries and annual Barotse ceremony of “Kuomboka”
which is characterized by the movement of the Barotse people and their King from the floodplain
(when flooded) to the upland areas.
The Lozi people rely on a complex system of traditional earth lined canals for transport,
irrigation, fisheries, and cultural ceremonies. It is the site of the world-renowned Kuomboko
ceremony, marking the migration of the Lozi king (the Litunga) and his people to higher lands at
the end of the rainy season. The annual floods start around December reaching their peak in 3-5
months later, flooding an area of over 1 million ha. The width of the floodplain averages 30 km,
but reaches 50 km north of Mongu.
Canals
Traditional canals are a key feature of
the Barotse sub-basin. Parts of the
traditional canals built in the late 1880s
have
become
silted,
affecting
agriculture and fisheries production.
Page | 26
Figure 3: Muoyowamo canal near Nayuma Habour
This has, in part, been due to lack of adherence to canal maintenance schedules under the
traditional systems. It has also been partly due the changing climate.
These climate change-related impacts are affecting the livelihoods and water resources of the
Lozi – for example, Muoyowamo canal, where the traditional Kuomboko ceremony is performed
(marking the migration of the Lozi king by boat to higher lands at the end of the rainy season),
has had to relocate parts of the trajectory due to increased erosion and siltation (more detailed
information in Annex 2.)
The Barotse sub-basin is a sensitive area because it is a major floodplain,
a long and rich history with many shrines and burial sites for Lozi Kings
and Indunas. The Lozi people have preserved strong traditional
management systems under the guidance of the Barotse Royal
Establishment (BRE). The BRE appoints traditional chiefs (indunas) who
are responsible for resource management and traditional governance
systems. As such, any project intervention will need to be designed with
careful consideration of social and environmental conditions and with full
endorsement of traditional and local representatives.
Fisheries Canal 1
Page | 27
CHAPTER 4: MDB ENVIRONMENTAL AND SOCIAL SAFEGUARD
POLICIES AND ZAMBIAN ENVIRONMENTAL LEGISLATION
This chapter reviews safeguard policies of the World Bank, the African Development Bank and
Zambian policies and legislation relevant to environmental and social safeguards . The safeguard
policies of the WB will apply to the Barotse sub-basin while those of the AfDB will apply to the
Kafue Sub-basin. The Zambian legislation applies to both the Kafue and Barotse sub-basins.
4.1 World Bank Operational Policies and Procedures - Barotse Sub-basin
As a key financing institution, the IBRD7 is committed to supporting development projects in a
manner that protects people from any form of adverse impacts while ensuring that there is little
environmental damage both in the short and long term. In order to minimize and manage
environmental and social impacts, the Bank’s operational policies and procedures require
“environmental assessment (EA) of projects proposed for Bank financing” as part of their due
diligence.
These safeguards provide a mechanism and tools for ensuring integration of
environmental concerns and social issues into the planning and implementation of development
projects financed by the Bank.
The Bank has a total of ten safeguard policies which are triggered depending on the nature and
complexity of the proposed projects or sub-projects. In the context of the proposed PPCR
community-driven projects and subprojects, five of the ten (10) World Bank Safeguard policies are
relevant to PPCR projects and sub-projects and will be triggered as shown in the table below.
Table 7: World Bank Safeguard Policies
WORLD BANK
Policies Triggered by the Project Investments in the Kafue Sub-basin
1
OP 4.01:
Environment Assessment
2
OP 4.04:
Natural Habitats
3
OP4.09
Pest Management
4
OP 4.10:
Indigenous Peoples
5
OP4.11
Physical Cultural Resources
6
OP 4.12:
7
OP 4.36
Forestry
8
OP 4.37:
Safety of Dams
9
OP 7.50:
International Water Ways
10
OP 7.60:
Disputed areas
Yes
No
X
X
X
X
X
X
X
X
X
X
7
The IBRD includes the IDA and IFC
Page | 28
These are: OP/BP 4.01:Environmental Assessment; OP/BP 4.04:Natural Habitats; OP 4.09:Pest
Management; OP/BP 4.11:Physical Cultural Resources; OP/BP 4.12:Involuntary Resettlement; OP/BP
7.50: Projects on International Waterways.
The table below summarizes the main World Bank safeguard policies and how these relate to the
PPCR’s potential projects and sub-projects in the Barotse sub-basin. A comparative analysis of the
World Bank’s Safeguard policies, AfDB safeguard policies, national policies and regulations are
covered in section 4.5. In the next table, an outline of the WB safeguard policies and relevance of
the PPCR is given.
Table 8: WB Safeguard policies and their relevance to PPCR Project in the Barotse sub-basin
Safeguard Policy
Relevance to PPCR Projects in the Barotse sub-basin
OP/BP 4.01: Environmental Assessment;
This policy is designed to screen projects
and subprojects ensure that, if
implemented, such projects or subprojects are “environmentally sound and
sustainable”
OP 4.01 also requires compliance to
relevant national laws, in this case, those
of the Government of Zambia.
Shared by at least five of Province’s seven districts, the Barotse plain
is a unique wetland that is rich in biodiversity - a fact recognized by
the Ramsar Convention on Wetland Biodiversity and by the UNESCO
World Heritage Convention – having been declared a Ramsar site in
2007 and currently under consideration as a World Heritage site. This
recognition is an affirmation of the value and sensitivity of the
Barotse Flood Plain which must be protected against the likely
adverse impacts of climate change.
The Barotse Sub-basin also supports a number of national parks and
game management areas. These include the Liuwa Plains National
Park, the Sioma-Ngwezi National Park, and West Lunga National
Parks; and the Lukwakwa Game Management Areas. Changes in
weather patterns and climate will have an impact on the wildlife in
these parks and GMAs.
With a population of just over a million people, many of whom will be
involved in the identification and implementation of participatory
adaptation sub-projects that are intended to community vulnerability
to the effects of climate change . Among others, the sub-projects
focus on agriculture and livestock diversification and improved canal
maintenance and management. These projects may also alter the
century-long established practice of environmental conservation
under the patronage of the BRE, a key feature of which has been the
construction and maintenance of traditional canals.
The improvement of these canals may involve dredging, deepening,
widening and construction of embankments and control gates along
some of the canals. These improvements are likely to increase water
traffic and availability of water for irrigation leading to increased
agricultural activities. All these developments are likely to have an
impact on the water flows and flooding patterns in the areas served
by the canals thus introducing changes to the flora and fauna and
Page | 29
Safeguard Policy
natural environment.
There is need therefore to ensure that the rich biodiversity of the
Barotse flood plain and the livelihoods that depend on it, are not
compromised by the community-driven adaptation projects (CDDs)
and mitigation measures as well as other investment projects that
will be introduced under the PPCR.
The intensity and frequency of extreme climate events such as high
temperatures or frost are not likely to increase and will, therefore,
not present any significant climate change environmental and social
risks.
OP/BP 4.04: Natural Habitats;
This policy recognizes that the
conservation of natural habitats is
essential for long-term sustainable
development. The Bank, therefore,
supports the protection, maintenance
and rehabilitation of natural habitats in
projects it funds. The Bank supports and
expects the Borrowers to apply a
precautionary approach to natural
resources management to ensure
environmentally
sustainable
development.
OP 4.09:Pest Management;
The policy defines and restricts pesticide
use and selection in WB projects based
on risks caused by the pesticides. WB
adheres to WHO’s Classification of
Pesticides by Hazard and Guidelines to
Classification (Geneva: WHO 1994-95)
which stipulates that pesticides “must
have minimal effect on non-target
species and the natural environment.”
Unless carefully designed and screened, community-driven climate
resilient adaptation projects and sub-projects, may result in increased
use of natural resources found in the floodplains and in the plateau
area that together constitute the Barotse sub-basin.
While no major deforestation is likely to occur in the Barotse Subbasin as a result of the implementation of the sub-projects, the
promotion of activities that use non-timber forestry products (NTFPs)
such as beekeeping (use of traditional beehives made from tree bark)
and crafts production (reed mats and baskets) may negatively impact
the environmental. These and other adaptation activities may result
in the “significant” conversion of natural resources and worsen the
impacts of climate change in the long term.
On the hand, sub-projects that are eligible for support in the Kafue
sub-basin include community level infrastructure development and
reforestation and the establishment of community game ranching
and wild life estates are likely to impact natural habitats. The need to
adhere to safeguards on natural habitats is important in the
implementation of the sub-projects in both sub-basins.
In the long term, the community-demand-driven adaptation projects
and sub-projects are likely to lead to increased use of pesticides in the
Barotse sub-basin and the Kafue Sub-basin.
However, projects financed through other investment projects such
as the profit-driven private sector projects, small scale irrigation
schemes are all likely to stimulate (medium scale) crop production
(especially of vegetables, rice and high yielding crop varieties) that
may promote introduction of new pesticides and increased use of
existing ones.
The demand for high volumes of produce that are required to satisfy
small and medium scale value addition enterprises in the Kafue Subbasin, is also likely to increase pressure on the use of chemical
Page | 30
Safeguard Policy
fertilisers and pesticides. This is likely to impact the environmental
both in the short and long term unless adequate safeguards are in
place.
OP/BP 4.11: Physical Cultural Resources;
The policy defines protection of cultural
resources that are interest and value in at
the local, provincial or national level, or
within the international community. Such
physical cultural may include movable or
immovable objects, sites, structures,
groups of structures, natural features
and landscapes that have archaeological,
paleontological, historical, architectural,
religious, aesthetic, or other cultural
significance.
The policy will help avoid or mitigate the
adverse impacts on physical cultural
resources during implementation of
PPCR projects.
Many physical cultural resources and heritage sites have been
commissioned and set aside as national monuments in both subbasins. Rock paintings, burial sites, areas which serve as venues of
traditional cultural ceremonies, places of historical significance are
found right across the Barotse Sub-basin and in the Kafue Sub-basin.
OP/BP 4.12: Involuntary Resettlement;
The policy applies in situations where
planned projects or sub-projects involve:
the involuntary taking of land resulting in:
(i) relocation or loss of shelter; (ii) loss of
assets or access to assets; (iii) loss of
income sources or means of livelihood,
whether or not the affected persons
must move to another location;
the involuntary restriction of access to
legally designated parks and protected
areas resulting in adverse impacts on the
livelihoods of the displaced persons.
The displaced persons eligible for
compensation, include:
those having formal legal rights to land,
those not having formal legal rights to
land but have a claim to such land or
assets recognized under the laws of the
country or through a process identified in
the resettlement plan and
those who have no recognizable legal
right or claim to the land they are
occupying.
This safeguard may be triggered because issues of “compensation”
may arise although there may not any resettlement (RPF)
Through close collaboration with the National Heritage Conservation
Commission(NHCC), Ministry of Chiefs and Traditional Affairs and the
traditional authorities (acting through chiefs, indunas and headmen),
especially the BRE, the environmental and social impacts of the
community-driven projects and sub-projects under component 1 of
the PPCR risk of major adverse environmental and social impacts are
not expected.
The safeguard policy will be triggered because the cultural resources
such as burial grounds, sites having archaeological or prehistoric,
paleontological and religious value may be inadvertently or
deliberately exposed to the extreme effects of climate change and/or
damaged during implementation of participatory adaptation subprojects.
Under the Participatory Adaptation Component of the PPCR, no
major displacement of populations and subsequent involuntary
resettlement is anticipated. The canals that are targeted for
improvement and the roads in Sesheke, are unlikely to require
resettlement of communities as no construction of new
infrastructure is foreseen. The community-driven projects and subprojects will be small and will therefore not involve the acquisition of
large tracts of land for activities or for dam construction.
Given the dual land tenure system that is recognized under Zambian
land laws and administration and the elaborate traditional land
tenure system in Barotseland administered through the BRE, there
should be few land disputes and little for compensation related to
involuntary resettlement.
However, there still may be projects and sub-projects that may
emerge later that may involve resettlement. Since the projects are
community-demand-driven, where the need for land acquisition
occurs, the first option will be to use community mediation
Page | 31
Safeguard Policy
OP/BP 7.50: Projects on International
Waterways
This policy applies in situations which a
shared international waterway as is the
case with the Zambezi River. While no
immediate conflicts exist, there is always
a possibility that projects on an
international waterway may in fact affect
the relationships between one or more of
the riparian states.
This policy seeks to protect the interest
riparian states sharing the waterway
through “appropriate agreements or
arrangements for these purposes for the
entire waterway or any part thereof.”
Often The World Bank is prepared to
facilitate notification and any necessary
negotiations regarding new projects on
international waterways before approval
of financing.
structures and local compensation mechanisms. Where these are
inadequate, resettlement and compensation measures described in
the accompanying Resettlement Policy Framework (RPF) are to be
followed.
The Barotse floodplain extends over 200 kilometres along the
Zambezi River, from the confluence of the Zambezi with the
Kabombo and Lungwebungu Rivers in the north, to Ngonye falls in
the south. The floodplain is an integral part of the ‘mighty’ Zambezi
River whose waters are shared by Angola, Botswana, Congo DR,
Malawi, Mozambique, Namibia, Zambia and Zimbabwe. It is an
international waterway with several falls and dams.
As a part of an international waterway, the Barotse sub-basin
requires this safeguard policy although no major impacts on the
hydrological and flood regimes are expected from both the road and
canal improvement projects under the PPCR. However, it is a
requirement to notify other riparian countries regarding the planned
intervention. In this regard,
“the World Bank has provided a policy waiver to the need to notify riparian’s
on January 23, 2013, based on the fact that (a) the proposed Project focuses on
the rehabilitation of pre-existing water canals with no expansion or major
redesign anticipated; and (b) the Project is not anticipated to adversely change
the quality or quantity of water flows to the other Riparian States and will not
be adversely affected by the use of water by other Riparian States.”
4.2 African Development Bank Safeguard Policies
4.2.1 African Development Bank Safeguard Policies Assessed
For PPCR Program, all the main African Development Bank’s Safeguard Policies were assessed,
namely Poverty Reduction, Involuntary resettlement, Environment, Gender, Integrated water
resources management, Agriculture and rural development, Population and Cooperation with
Civil Society Organizations.
The Environment Policy outlines AfDB’s internal mechanisms for ensuring policy compliance and
mainstreaming environmental considerations in AfDB operations. The policy also references
AfDB’s Environmental and Social Assessment Procedures (ESAP) and public consultation
requirements. There are separate Environmental and Social Review Procedures for the AfDB’s
public and private sector lending. The table presents a summary of the AfDB safe guard policies.
Table 9: African Development Bank Safeguard Policies
AFRICAN DEVELOPMENT BANK
Policy Triggered by the Project Investments in the Kafue Sub-basin
1
2
3
Policy on Integrated Water Resources Management (2000)
Agriculture and Rural Development Sector (2000)
Yes
No
X
X
X
Page | 32
4
5
6
7
Involuntary Resettlement Policy (November 2003)
Gender
Poverty Reduction
Cooperation with Civil Society Organizations
X
X
X
X
Like the WB, the African Development Bank also demands compliance to its safeguard policies in
the design, identification, implementation, monitoring and evaluation of projects and subprojects that are proposed for financing. This applies to public and private sector projects and
sub-projects as well as to policy-based lending.
The following African Development Bank safeguard policies8 will apply to the proposed
community-driven climate resilient projects and sub-projects under the Participatory Adaptation
and the Climate Resilient Infrastructure Components in the Kafue Sub-basin. Kindly note that the
AfDB’s main interest is in the environmental assessment and involuntary resettlements which are
described in the first part of the table below.
Table 10: AfDB safeguard policies and their relevance to PPCR projects in Kafue sub-basin
Safeguard Policy
Relevance to PPCR Projects in the Kafue sub-basin
Policy in the Environment(2004)
This policy ensures compliance and the
mainstreaming
of
environmental
considerations in AfDB supported projects.
The
policy
also
describes
AfDB’s
Environmental and Social Assessment
Procedures (ESAP) and public consultation
requirements. It should be noted that there
are separate Environmental and Social
Review Procedures for the AfDB’s public
and private sector lending.
The Kafue Sub-basin has a number of wetlands the largest of which is the Kafue
flats. Others are the Lushiwashi swamp, Busanga swamp and Lukanga flats.
These wetlands are likely to come under increased environmental pressure with the
introduction of climate resilience projects and sub-projects.
Because of the higher levels of economic activities in the Kafue sub-basin, the local
populations, just like in the Barotse sub-basin are likely to engage in climate resilient
projects and sub-projects that may result in the adverse impacts on the environment
especially water resources and other natural resources.
The planned upgrading of roads in ItezhiTezhi, Namwala, Monze and Choma districts
are likely to affect natural habitats in these areas of the Kafue sub-basin. Once
completed the roads will also open up the sub-basin to markets in Lusaka and the
Copperbelt with the possibility of over-exploitation of fish resources.
The policy sets out the principles and
procedures for Bank financed projects
involving involuntary acquisition of land or
other assets that cause: a) Relocation or
loss of shelter by the persons residing in the
project area; b) Loss of assets or involuntary
restriction of access to assets including
national parks, protected areas or natural
resources; or c) Loss of income sources or
means of livelihood as a result of the
project, whether or not the affected
persons are required to move.
The policy also classifies groups entitled to
compensation as: a) those with formal legal
Very little displacement of populations and subsequent involuntary resettlement is
anticipated in as result of the improvements to the roads and the introduction of
community-driven PPCR adaptation projects and sub-projects in the Kafue sub-basin.
Under the Participatory Adaptation Component of the PPCR, the community-driven
projects and sub-projects will be small and will therefore not involve the acquisition
of large tracts of land for activities or for dam construction.
However, there still may be projects and sub-projects that may emerge later that
may involve resettlement. To the extent possible where this occurs the first option
will be use of community mediation structures and local compensation mechanisms.
8
. We understand that the AfDB’s safeguard policies on environment and gender are currently under review.
Page | 33
Safeguard Policy
rights to land or other assets recognized
under the laws of the country, b) those
without formal legal rights to land or other
assets at the time of the census but can
prove that they have a claim to such land or
assets which are recognized under the
customary land tenure laws of the country
and c) displaced persons who have no
recognizable legal right or claim to the land
they are occupying.
Integrated
water
resources
management(2004)
This policy affirms the principle that that
water needs to be treated as an economic,
social and environmental good. Therefore,
policies on water resources management
should be analysed within an integrated
framework.
The
policy
promotes
integrated
management of water resources that
support water supply and sanitation,
biodiversity protection and conservation.
The policy also includes institutional,
technical,
economic,
social
and
environmental strategies for IWRM.
The introduction of small-scale irrigation schemes at Musakashi in Mufulira,
Chanyanya in Kafue and ManyonyoMagobo in NegaNega (Mazabuka) will all have
environmental and social impacts that are likely to shape the design and nature of
PPCR projects and sub-projects under the Participatory Adaptation Component.
Community-driven climate resilience interventions will include adaptation projects
and sub-projects that are intended to reduce the vulnerability of the poorest and
protect their assets against climate change and those that decrease the exposure of
population and/or their assets to climate change.
These may include the climate-proofing of existing infrastructure such as housing,
schools, markets, roads, canals, water harvesting, storage facilities e.g. small
reservoirs/weirs/dams/fishponds. Others include the restoration of wetlands,
protection of forests, trees and plants, the construction of flood control structures
and the siting of new infrastructure in areas that that are not exposed to flooding,
strong winds and storms.
In Namwala district, the large animal populations will require sub-projects that
support improved management of grazing lands.
Agriculture and rural development(2000)
Focusing on agriculture and rural
development, this policy seeks to ensure
that participation of beneficiaries in the
projects or sub-projects. Negative project
impacts on the environment and the
livelihoods of local communities, whether
anticipated or not, are minimized.
The policy emphasizes a) poverty alleviation
and food security; b) accelerated economic
growth; c) natural resources management
and environmental protection; and d)
human and institutional capacity building.
The policy also defines principles for
Agricultural and Rural Development Lending
and focus areas for Bank’s Lending
Interventions.
Increase in community-driven climate smart agriculture projects and sub-projects
(such as conservation farming and organic farming) are unlikely to lead to increased
use of pesticides in the Kafue Sub-basin. However, sub-projects financed through
the private sector (e.g. IFC projects) and increased cultivation area that may result
from increased irrigated land as a consequence of the canal improvement project
and small scale irrigation schemes may promote introduction of new pesticides and
increased use of existing ones.
The agricultural/economic growth in the Kafue sub-basin districts of Mpongwe,
Chibombo, Kafue and Mazabuka is likely to affect the degree of commitment to
climate smart agricultural practices and participation in PPCR adaption projects and
sub-projects.
As most of the Kafue sub-basin is situated in AEZ 2, with reliable rainfall, the
agricultural practices may not be altered significantly because the threats of climate
change impacts is not likely to be taken as seriously outside meetings and discussion
forum.
Gender
Page | 34
Safeguard Policy
This policy promotes gender mainstreaming
in Bank funded programmes and projects.
The policy’s main goal is to promote gender
equality and sustainable human and
economic development in Africa.
The policy defines the Bank’s priority areas
as gender equality in education, agriculture
and rural Development, health and
governance. It also provides operational and
institutional
strategies
for
gender
mainstreaming.
Poverty Reduction
The policy provides guidelines that
mainstream poverty reduction in the Bank’s
lending and non-lending activities.
In practice the policy promotes integration
of poverty reduction in all the main sectoral
priorities namely: Environment, Agricultural
and Rural Development, Infrastructural
Development,
Human
Resources
Development, Population, HIV/AIDS, Private
Sector Development, Governance, as well as
Gender, Water and Sanitation, Vulnerable
Groups.
The policy provides operational and
institutional strategies for mainstreaming
poverty reduction.
Cooperation
with
Civil
Society
Organizations
The policy defines the AfDB’s Commitment
to
involving
African
civil
society
organisations in the identification, design
and
appraisal,
implementation
and
monitoring and evaluation of development
programmes and projects.
Gender inequality between men and women remain a major soci0-economic concern
among the predominantly patriarchal rural communities in the Kafue sub-basin. The
inequality is even more pronounced in communities where levels of poverty are
high.
The mainstreaming of gender at the policy and planning levels is achievable but
challenges arise in the practice and implementation of development projects.
Though community-driven, the adaptation projects and sub-projects are likely to
face similar challenges.
While the promotion of climate resilience is the primary focus of the PPCR, any
climate resilient adaptation projects and sub-projects will only become meaningful if
they can contribute to the reduction of poverty in the communities.
It is understood that reduction in the levels of poverty among the communities of
the Kafue sub-basin will reduce vulnerability to the adverse effects of climate
change. Empowered communities which are less exposed to the vulnerabilities, such
as food insecurity and disease, are less likely to mismanage natural resources and
cause irreversible environmental damage.
The promotion of climate resilient projects and sub-projects presumes that relevant
knowledge and skills are available at the local level. However, experience on the
ground points to a general lack of capacity among local communities where levels of
formal education have remained low.
For many decades, NGOs, CBOs, FBOs and other civil society organisations have
committed themselves to the provision of training and capacity building services to
poor communities in the Kafue sub-basin. They are a useful resource in terms of
leading and supporting sensitisation, awareness raising and skills development
programmes. They have in this regard already started engaging in projects that
promote climate resilient. Examples include, conservation farming, gathering and
dissemination of weather information and early warning systems.
Their participation is likely to bring added value to the planning, implementation,
and monitoring of climate resilient adaptation projects and sub-projects.
4.3 Overview of Zambian Legislative and Regulatory Framework
Zambia has over the past two decades developed a number of policies, plans and legislation to
guide private and public institutions to pursue environmentally and socially sustainable
development agenda in various sectors of the economy. Environmental and social issues are
crosscutting and this is reflected in the various legislative frameworks, policies and legal
structures that are in place.
This chapter outlines some of the policies, plans and current legislation in place that has a bearing
on the Strategic Programme on Climate Resilience (PPCR) program.
Page | 35
4.3.1 Vision 2030
Zambia’s Vision 2030, completed in 2005, is a long-term planning instrument which reflects the
collective understanding, aspirations, and determination of Zambia to become a middle income
country. The Vision 2030 was developed in response to a 15 year focus on macroeconomic
stability and market liberalization which was useful in stabilizing the economy but did little to
address ingrained poverty and socio-economic development. The Vision 2030 signalled a return to
development planning and a focus on poverty reduction in Zambia.
4.3.2 Sixth National Development Plan (2011-2015)
The current Sixth National Development Plan (SNDP) is the second medium-term planning
instrument under Vision 2030. The key theme of the SNDP is “Sustained Economic Growth and
Poverty Alleviation”, to be achieved through infrastructure development, economic growth and
diversification, rural investment and poverty reduction, and enhanced human development.
Under guidance from the Ministry of Finance and National Planning (MoF), a panel of national
experts helped mainstream climate change adaptation, mitigation and disaster risk management
into priority SNDP Programmes – including Crops, Livestock, Fisheries, Natural Resources,
Transport, Energy, ICT, Housing, Water Supply and Sanitation, Health, Mining, Tourism, and Local
Government and Housing.
The mainstreaming of the SNDP (achieved during PPCR Phase I) has generally been seen by
Zambian stakeholders as a success – and provides a critical mandate for Government Ministries to
allocate further staff and budget to climate resilient programmes. This is sorely needed, as the
record of budgetary allocations to climate resilient programmes amongst the most vulnerable
Ministries has generally been weak. Recently, the Zambian Civil Society Network has developed a
tracking tool to monitor budgetary allocations to key sectors which is in the process of being
refined and applied on a yearly basis, in collaboration with the Ministry of Finance and National
Planning.
4.4 Environmental Legislation and Policies
4.4.1 National Policy on Environmental Policy (NPE), 2005
Zambia's National Environmental Policy is aimed at promotion of sustainable social and economic
development through sound management of the environment and natural resources. The policy
seeks, among other things, to: secure for all persons now and in the future an environment
suitable for their health and well-being; promote efficient utilization and management of the
country’s natural resources and encourage, where appropriate long - term self-sufficiency in food,
fuel wood and other energy requirements; facilitate the restoration, maintenance and
enhancement of the ecosystems and ecological processes essential for the functioning of the
biosphere and prudent use of renewable resources; integrate sustainable environment and
natural resources management into the decentralized governance systems and ensure that the
institutional framework for the management of the environment and natural resources supports
environmental governance in local government authorities; enhance public education and
awareness of various environmental issues and public participation in addressing them; and
promote local community, NGO and private sector participation in environment and natural
resource management.
Page | 36
The key principles applicable to the PPCR programme are that:
i.
ii.
iii.
iv.
v.
vi.
every person has a right to a clean and healthy environment;
every person has a duty to promote sustainable utilisation and management of the
environment and natural resources, including taking legal action against any person
whose activities or omissions have or are likely to have adverse effects on the
environment;
women should effectively participate in policy, program and project design and
implementation to enhance their role in natural resource use and management activities;
there is need to use natural resources sustainably to support long-term food security and
sustainable economic growth;
rational and secure tenure over land and resources is a fundamental requirement for
sustainable natural resource management; and
Trade-offs between economic development and environmental degradation can be
minimised through use of EIA and environmental monitoring.
For the proposed PPCR, it is important to recognize the linkage between environment and
development. It is also important to realize that the two are not mutually exclusive but rather
complementary. More important for the PPCR whose key objective is climate resilience and food
security, the programme should integrate gender, children and other vulnerable groups’ concerns
in environmental planning at all levels, to ensure sustainable social and economic development.
4.4.2 The Environmental Management Act (EMA) No. 12, 2011
Enacted in April 2011, The Environmental Management Act (EMA) No. 12 of 2011 replaced the
Environmental Protection and Pollution Control Act (EEPCA) which until then was the supreme
environmental law in Zambia. Under the new act, the Environmental Council of Zambia (ECZ) was
re-named as the Zambia Environmental Management Agency (ZEMA).
The Environmental Management Act provides the legal basis for the protection and management
of the environment, conservation and sustainable utilisation of the natural resources in Zambia.
The functions of the ZEMA are defined as follows:
i.
ii.
iii.
iv.
v.
vi.
The Agency shall do all such things as are necessary to ensure the sustainable
management of natural resources and protection of the environment, and the prevention
and control of pollution.
Without limiting the generality of (i), the Agency –
advises the Minister on the formulation of policies on all aspects of the environment and,
in particular, make recommendations for the sustainable management of the
environment;
co-ordinates the implementation of activities of all ministries, appropriate authorities and
conservancy authorities in matters relating to the environment;
develops and enforces measures aimed at preventing and controlling pollution;
develops, in liaison with the relevant appropriate authorities, standards and guidelines
relating to the protection of the air, water, land and other natural resources and the
Page | 37
vii.
viii.
ix.
x.
xi.
xii.
xiii.
xiv.
xv.
xvi.
xvii.
xviii.
prevention and control of pollution, the discharge of waste and the control of toxic
substances;
advises any private or public body on any aspect of nature conservation;
initiates, conduct and promote research, surveys, studies, training and investigations in
environmental management;
researches or sponsors research on the effects of climate change on human beings and
the environment;
ensures the integration of environmental concerns in overall national planning through
co-ordination with appropriate authorities;
undertakes general educational programmes for the purpose of creating public
awareness on the environment;
reviews environmental impact assessment reports and strategic environmental
assessment reports;
monitors trends of natural resources, their use and impacts on the environment and make
necessary recommendations to the appropriate authority;
collaborates with Government agencies, appropriate authorities and other bodies and
institutions to control pollution and protect the environment;
requests information on projects proposed, planned or in progress and advise
stakeholders on projects, programmes, plans and policies for which environmental
assessments are necessary;
collaborates with such local and international agencies as the Agency considers necessary
for the purpose of the Act;
publicises information on any aspect of the environment and facilitate public access to
information on the environment; and
carries out any other activities relating to environmental management and the prevention
and control of pollution, which are necessary or conducive to the better performance of
the Agency’s functions under the Act.
4.4.3 National Water Policy, 1994
The National Water Policy 1994embraces modern principles of water resources management and
endeavours to deal with the daunting challenges of poverty reduction, all aspects of water
including resource management, development, and service delivery conforming to the current
global and regional trends and the requirements as reflected under the Millennium Development
Goals (MDGs). The overall policy goal is sustainable management and utilisation of water
resources in order to:
1. provide water of acceptable quality and of sufficient quantities,
2. ensure availability of efficient and effective water and sanitation services that satisfy the
basic requirements of every Zambian and;
3. enhance the country’s natural ecosystems.
One of its objectives is to promote public and private sector participation in water resources
management, development, supply and conservation. The principles that will guide the
implementation of the PPCR project include the following:
Page | 38
1.
2.
3.
4.
5.
6.
Management, protection and conservation of water resources to be undertaken in an
integrated manner;
All people to have access to potable water and sanitation services to reduce incidences of
water related diseases;
Water resources shall be optimally, equitable and rationally allocated and regulated to
ensure sustainable optimal economic returns and social enhancement;
Water resources management will be based on the concept of decentralisation and will
promote local participation with the catchment as the unit of water management;
Promote the empowerment of user communities to own, manage and invest in water
resources development;
Pollution of water resources shall follow the “Polluter Pays” principle to ensure water
user responsibility.
4.4.4 The National Forest Policy of Zambia (1998) and the Forestry Act (1999)
This Policy aims at promoting sustainable contribution of national forests, woodlands and trees
towards improvement of the quality of life in the country by conserving the resources for the
benefit of the nation and to the satisfaction of diverse and changing needs of the Zambian
population, particularly rural smallholder farmers and entrepreneurs. The Policy prevents changes
in land-use, which promote deforestation, constrain farm forestry or endanger the protection of
forests with cultural or biodiversity or water catchment conservation values, and it also
discourages excisions in gazetted forest, except in cases of environment friendly public utility, for
which suitable inter-sectoral and local consultations will be established.
The Policy further recognizes environmental impact assessment as an important tool for new
projects as one way of promoting sustainable management of forest resources.
The Forestry Act Cap 199, Part V provides for the protection of customary land forests through
Declaration of Joint Forest Management Areas. It is not expected that these resources will be
under pressure as a result of the PPCR. However it is essential that the PPCR should recognise the
presence of the existing local institutions including the village natural resources management
committees, formed under this Act.
The Act also emphasizes the right of individuals to natural trees which should also be recognised
under the PPCR. Part III of the Act deals with forest reserves and protected forest areas. It
highlights the need for preparing management plans and participatory management of forest
reserves. In this regard the Director of Forestry may enter into agreement with local communities
for implementation of the management plan that is mutually acceptable to both parties. The
PPCR will consider the importance of such existing agreements as one way of protecting forest
reserves and other protected forestry areas, should the need arise.
The PPCR is undertaking an environmental and social impact of the program to ensure that
adverse impacts arising from the program are avoided, minimized and mitigated. However it
should be noted that the PPCR is targeting improved climate resilience on existing small holder
farm land. In this regard, there should be very little or no significant impacts on forest areas.
Page | 39
4.4.5 Water Resources Management Act No. 21 of 2011
The Water Act, 1949 has been repealed and replaced with the Water Resources Management Act
No. 21 of 2011. The Water Act, 1949 was outdated in some respects and did not reflect
Government policy on water resource management. It was inadequate for efficient and
integrated water resources management and was weakly enforced. Effective water resources
management requires appropriate and adequate legislation and a mechanism for it to be
enforced.
The Water Resources Management Act No. 21 of 2011 has provided for the establishment of the
Water Resources Management Authority and defines its functions and powers; provides for the
management, development, conservation, protection and preservation of the water resource and
its ecosystems; provides for the equitable, reasonable and sustainable utilisation of the water
resource; ensure the right to draw or take water for domestic and non-commercial purposes, and
that the poor and vulnerable members of society have an adequate and sustainable source of
water free from any charges; create an enabling environment for adaptation to climate change;
provide for the constitution, functions and composition of catchment council, sub-catchment
councils and water users associations; provide for international and regional cooperation in, and
equitable and sustainable utilisation of, shared water resources; provide for the domestication
and implementation of the basic principles and rules of international law relating to the
environment and shared water resources as specified in the treaties, conventions and
agreements to which Zambia is a State Party; repeal and replace the Water Act, 1949; and provide
for matters connected with, or incidental to the foregoing.
The Water Resources Management Act was assented to, on 15th April 2011 by the President and
the Commencement Order, Statutory Instrument (SI) No. 19 of 2012 for the Act to become
operational was issued by the Minister of MEWD on 9th March, 2012. According to the SI No. 19 of
2012, the Water Resources Management Act entered into force on 1st October 2012.
The PPCR shall be guided by the provisions of the Act to avoid discharge of contaminants into
water courses by mainstreaming mitigatory, monitoring and enforcement guidelines into in the
Environmental and Social Impact Assessments (ESIA) for programmes under the PPCR.
4.4.6 Lands Act (1995)
The Land Act (Cap 184) is the principle legal framework in land administration and management in
Zambia.
Under this Act Land is classified as follows:i.
Public Land
This land includes all land, which is occupied by the government, and any other land, not being
customary land or private land. By implication it also includes:Any land which was public land within the meaning of Northern Rhodesia or Zambian Trust Land)
Orders (Now repealed).
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Any land held by the Government consequent or upon a reversion thereof from any freehold or
leasehold estate.
ii.
Private Land
This includes all land, which is owned, held or occupied under freehold title, or a leasehold title or
a certificate of claim or which is registered as private under the Registered Lands Act (Cap 184).
iii.
Customary Land Tenure
Customary land includes all land which is held, used or occupied under customary law but does
not include public or private land. All Customary land is vested in the President of the Country.
The president delegates his stewardship roles to traditional authorities. Customary land is
governed by customary law which is a complex mixture of community rules of conduct,
leadership roles and principles relating to land control and access. Customary tenure implies that
the land is not owned as such but held in trust by a chief on behalf of the people. Customary
tenure rules vary from area to area but core principles on management, access and control are
similar.
While Zambia covers a total landmass of 75 million hectares; State Land comprises only 4.5 million
hectares (6%) and Customary Land comprises the rest (94%).
The PPCR will mostly relate to the customary land tenure described above. This implies that major
decisions concerning land will basically be made by traditional authorities under the framework of
the Local Government Act No. 22, 1995 Cap 281 of the laws of Zambia. This means that technical
and financial decisions under the PPCR will have to be made in liaison with local authorities.
4.4.7 The Zambia Wildlife Act 1998
The Zambia Wildlife Act, 1998 was enacted on 24th April, 1998. Part II Section 4 (1) of the Act
establishes the Zambia Wildlife Authority (ZAWA) while Section 5 (1) defines its functions as:
To provide for the establishment, control and management of National Parks and for the
conservation and enhancement of wildlife eco-systems, biodiversity, and of objects of aesthetic,
pre-historic, historical, geological, archaeological and scientific interest in National Parks; and for
the promotion of opportunities for the equitable and sustainable use of the special qualities of
National Parks; to provide for the establishment, control and management of Game Management
Areas; to provide for the sustainable use of wildlife and the effective management of the wildlife
habitat in Game Management Areas; to enhance the benefits of Game Management Areas both
to local communities and to wildlife; to involve local communities in the management of Game
Management Areas; to provide for the development and implementation of management plans;
to provide for the regulation of game ranching; to provide for the licensing of hunting and control
of the processing, sale, import and export of wild animals and trophies; to provide for the
implementation of the Convention on International Trade in Endangered Species of Wild Flora
and Fauna, the Convention on Wetlands of International Importance Especially as Water Fowl
Habitat, the Convention on Biological Diversity and the Lusaka Agreement on Cooperative
Enforcement.
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Under the PPCR project, Component 2 – Climate Resilient Infrastructure will comprise upgrading
of Climate Resilient Infrastructure of roads in the Kafue National Park. Activities of this project will
be carried out in areas that could affect natural habitats with wildlife interfaces.
Section 25 (1) of the ZAWA Act provides for the formulation by statutory instrument by the
Minister of regulations in relation to the National Parks. The PPCR shall be guided by the
provisions of the Act to avoid incompatible activities during the upgrading of climate resilient
roads in the Kafue National Park.
4.4.8 Public Roads (Amendment) Act of 2006
The Public Roads Act was enacted in 2002 and later amended in 2006. The Act provides for the
establishment of the Road Development Agency and defines its functions as to provide for the
care, maintenance and construction of all public roads in Zambia. Under this Act, Section 16
recognises park roads as in the following sub-sections:
(1)
(2)
(3)
Park roads shall be the public roads outside a local authority and area provided for the
purposes of internal access into a National park.
Park roads may be designated as park roads, by Minister, on the recommendation of
the Agency, by statutory order, on the application of the Authority.
The Road Authority in respect of any park road shall be authority appointed by the
Agency, with the approval of the Minister, in respect of the park road and the road
authority concerned shall subject to the direction of the agency, be responsible for
the construction, care and maintenance of the park roads within its own area.
The Public Roads Act Read together with Environmental Management Act [Section 29 (1)]
prohibits persons to undertake any project that may have an effect on the environment without
the written approval of ZEMA, and except in accordance with any conditions imposed in that
approval. First and Second Schedule of EIA Regulation of 1997 itemises project requiring either
EPB or EIA. Road upgrading to climate resilient status under the PPCR will adhere to the above
provisions.
4.4.9 Inland Waters Shipping Act Cap. 446 and National Transport Policy 2002
The Department of Maritime and Inland Waterways was established in the Ministry of
Communications and Transport in mid-1994 as an overall authority to be responsible for Maritime
(Ports and Shipping) and Inland Water Transport including infrastructure development such as
the maintenance and development of canals and waterways, Ports and Harbours. In this regard,
the Department is mandated to administer the Inland Waters Shipping Act Cap. 446 and the
Provincial Merchant Shipping Act Cap. 468 of the Laws of Zambia as statutes for maritime and
inland waterways sub-sector of the Zambian economy.
The 2002 National Transport Policy’s goal on waterways and canals is to attain a developed, safe,
efficient and sustainable maritime and inland waterways transport system in order to promote
national economic development and regional co-operation. The PPCR Sub-Component 2.1 (of Pilot
Climate Resilient Infrastructure Investments) will include rehabilitation and strengthen
management of major canals and waterways in Barotse flood plains. These canals play a major
Page | 42
role in ensuring low-cost transport of bulk commodities and people from the hinterland harbors
of the Barotse Sub-basin flood plain.
It is fairly obvious that there are several other pieces of legislation that are relevant to the
implementation of the projects and sub-projects under the PPCR. The table below is a summary of
the legislations/Policy/Action plans with brief comments.
Table 11 : summary of national legislation
Legislation/Policy/Action Plans
Vision 2030
Sixth National Development Plan (2011-2015)
National Policy Environmental (NPE) 2005
Environmental Management Act (EMA) No. 12, 2011
National Water Policy, 1994
Water Resources Management Act No. 21 of 2011
The National Forest Policy of Zambia (1998)
Lands Act (1995)
Lands Acquisition Act Chapter 189
The Zambia Wildlife Act 1998
Public Roads (Amendment) Act of 2006
Inland Waters Shipping Act Cap. 446
National Environmental and Action Plan of 1994
National Transport Policy 2002
National Conservation Strategy of 1985
Wildlife Act
Fisheries Act and
National Heritage Act
Forest Act (2011)
Disaster Management Act (2010)
National Decentralization Policy
Local Government Act Chapter 281
Agricultural Lands Act
National Agricultural Policy (NAP) (2004-2015)
National Climate Change Response Strategy (2010)
National Conservation Strategy (1985)
National Environmental & Action Plan (1994)
National Forest Policy (2012)
National Gender Policy (latest)
National Policy on Climate Change (draft) (2012)
Plant Pests and Diseases Act Cap 233 No. 13 (1994)
Social Security Policy (Latest)
Urban and Regional Planning Bill (2011)
Water Act Cap 198 (1948)
Wildlife Act No. 12 (1998)
National Adaptation Programme of Action (2007)
Observation
Provides the broad national development vision to which all development
projects must ascribe. This is mainly a reference document that is
generally not considered as legally binding.
This provides a development roadmap for the over the current five year
planning period. It lays down development priorities (2011-2016) that are
mostly adhered to by the ministries and government agencies. It is
generally not considered as carrying legal authority over all development
projects and on private investors.
Zambian environmental legislation and policies are on paper generally
considered to have adequate provisions for regulation for the respective
sectors. However, there is inadequate capacity for implementation and
enforcement. Often lack of resources (financial, human and material) has
been cited as the main reason for the weak implementation capacity and
structures. With exception of legislation enacted after post 2007, most of
the existing laws and policies do not incorporate climate change issues or
provide for platforms that promote climate change.
Within the broad framework of PPCR, there is need to cluster and
harmonise legislation on environmental management and protection,
through comprehensive rather than piecemeal legislative reforms. This
would provide an excellent opportunity.
Equally, there is need to harmonise social policies and legislation within
the broader context of increased climate change-related social impacts.
The mainstreaming of climate change strategies in all social policies is
imperative.
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4.5 Complementarity between Zambian Legislation, World Bank and African
Development Bank Safeguard Policies
A comparison between Zambian legislation and the operational safeguard policies of both the
African Development Bank and the World Bank reveals no significant differences or gaps. There
are more similarities than there are differences.
All three sets of policies legislation recognize that the importance of environmental and social
benchmarks in order to mainstream environmental and social issues in development project. They
aim at protecting “people and the environment from adverse effects.” In relation to the PPCR
sub-projects, the polices stand for:



conservation of natural habitats, especially the biodiversity that is found in the Barotse
plains and the Kafue sub-basin wetlands (Lukanga Swamps, Kafue Flats and Busanga
Plains)
preservation of cultural property such as palaeontological, historical, religious and unique
natural values, in a project area.
Management of water resources
The table below lists the policies for WB/AfDB and Zambian Legislation
Legal
Social
Environmental
WB Safeguard Policies
African Development Bank Safeguard
Policies
4.01Environmental
Assessment (1999)
4.04 Natural Habitats
(2001)
4.36 Forests (2002)
4.09 Pest Management
(1998)
4.37 Safety of Dams (2001)
-
4.11 Physical Cultural
Resources (2006)
4.12 Involuntary
Resettlement (2001)
4.10 Indigenous Peoples
(2005)
7.50 International
Waterways (2001)
7.60 Disputed Areas (2001)
-
-
-
Policy on Integrated Water
Resources Management (2000)
Agriculture and Rural
Development Sector (2000)
Involuntary Resettlement Policy
(November 2003)
Gender
Poverty Reduction
Cooperation with Civil Society
Organizations
Zambian Legislation
- The Environmental Management Act (EMA)
No. 12, 2011
- National Policy on Environmental Policy
(NPE), (2005)
- National Water Policy, 1994
- The National Forest Policy of Zambia (2011)
and the Forestry Act (2011)
- Water Resources Management Act No. 21 of
2011
- The Zambia Wildlife Act 1998
- Inland Waters Shipping Act Cap. 446 and
National Transport Policy 2002
- Fisheries Act (
- National Heritage Act (
- Disaster Management Act (2010)
- Agricultural Lands Act
- Plant pests and Diseases Act(1994)
- National Conservation Strategy
- National Climate Change Response Strategy
- Lands Act (1995)
- Lands Acquisition Act (1995)
- Local Government and Housing Act (
Table 12: WB/AfDB policies and Zambian Legislation
Source: Adapted from World Bank (http://web.worldbank.org)
Page | 44
There is need to streamline and harmonise the various pieces of legislation. Currently, the EMA is
probably the closest to overarching legislation for environmental planning and protection. This
would require the amendment of the other sectoral acts recognising the EMA as the main
legislation. This is achievable because, as discussed in the Strategic Environmental and Social
Assessment (SESA), there is coherence and harmony at the broader national level (Vision 2030
and the Sixth National Development Plan).
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CHAPTER 5: INDICATIVE LISTING, POTENTIAL IMPACTS,
ADAPTATION AND MITIGATION MEASURES OF SUB-PROJECT
PROTOTYPES
5.1 Context
Community driven participatory adaptation is the primary focus of the planned projects and subprojects. Though community demand driven (CDD), the planned projects and sub-projects may
themselves lead to both environmental and social impacts. It is in this context that the potential
environmental and social impacts are assessed in this chapter. As the identification of actual
projects and sub-projects has not yet been undertaken by the communities, the analysis below is
based on:
1. Climate resilient sub-projects described in the main PPCR document (Annex 3.);
2. Community identification (in selected districts) of potential climate resilient activities
based on current practices and proposed projects that will not only improve livelihoods
but also promote and support climate resilience;
3. Identification of projects prototypes during the stakeholder participation event held in
Lusaka on December 13, 2012, and
4. The updated Abbreviated Project Descriptions administered for the stakeholder
consultation held on December 13, 2012.
The sub-project lists provide the basis for the analysis of potential impacts which starts with a
description of potential environmental impacts before moving on to look at the potential social,
economic and cultural impacts of the proposed projects and subprojects.
5.2 Identification of PPCR Related Community Demand-Driven (CDD) Eligible Projects
Based on the indicative list of PPCR eligible projects, feedback received in community
participation events and discussions held with the PPCR Secretariat, the Consultant identified a
long list of potentially suitable projects for PPCR. The initial list of projects is summarised in the
table below.
Table 13: List of Eligible Activities under Constituency Development Fund vs. Proposed Activities Eligible for
PPCR Funding
ACTIVITIES ELIGIBLE UNDER CONSTITUENCY INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER
DEVELOPMENT FUND
CLIMATE RESILIENT PLANS
Agriculture and Natural Resources:
Sustainable land management
 Livestock and poultry rearing,
 Scaling-up of conservation agriculture and agro-forestry.
piggeries.
 Physical soil conservation measures.
 Irrigation.
 Marketing activities.
Forest ,grassland management and afforestation:
 Basic farming machinery.
 Beekeeping.
 Agriculture inputs (seeds, fertilizer,  Support to non-timber forest products.
pesticides).
 Grazing management and pasture improvement.
Support to agricultural diversification and commercialization:
 Promotion to climate-tolerant crop varieties.
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ACTIVITIES ELIGIBLE UNDER CONSTITUENCY
DEVELOPMENT FUND
Water supply and Sanitation:
 Construction and rehabilitation of wells.
 Construction and rehabilitation of small
dams.
 Construction and rehabilitation of
boreholes.
 Piped water supply systems.
sanitation systems.
 Drainage systems.
Social Amenities:
markets.
 Construction and rehabilitation of Bus
shelters.
 Rehabilitation of Educational facilities.
 Rehabilitation of Health facilities.
 Health Programmes such as nutrition,
etc.
 Educational programmes such as
literacy programmes.
 Education
sponsorship
for
the
vulnerable.
Other economic activities:
 Income generating (carpentry, tailoring
and designing, etc).
Infrastructure:
 Construction,
rehabilitation
and
maintenance of feeder and community
roads, through labour -intensive
methods.
 Culvert installation.
 Cause way installation.
 Canals, water ways embankments.
Sports and recreation:
 Community halls ,nurses and gardens
Recreational facilities(e.g. welfare halls)
Others
INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER
 Promotion of climate resilient livestock.
 Scale up sustainable aquaculture development.
 Commercialization of small-scale production as a way of
improving livelihoods.
Disease control:
 Early warning and control of livestock and fish diseases linked
to climate change.
Water supply and sanitation:
 Community-based harvesting structures.
 Improve drainage and flood control systems.
Social Amenities:
 Construction, upgrading or retrofitting social --infrastructure
to climate-resilient standards.
 Climate change awareness promotion.
 Control of vector-borne or water-borne diseases sensitive to
climate.
Enhance Private Sector –driven financing:
 Promote out-grower schemes and market linkages linked to
climate tolerant crops and aquaculture.
 Promote index-weather insurance (for small holder farmers).
 Promote savings, loans and micro-finance schemes.
 Promote value added and cottage industry for climateresilient activities.
Infrastructure
 Construction upgrading or retrofitting community roads
and/or water ways to climate-resilient standards.
Sports and recreation:
 Construction, upgrading or retrofitting sports and/or
recreational facilities to climate-resilient standards.
 Reinforcement of community early warning systems.
 Activities which enhance community preparedness.
 Delineation of safety and escape routes.
 Community-based activities that promote<living with floods>.
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ACTIVITIES ELIGIBLE UNDER CONSTITUENCY
DEVELOPMENT FUND
INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER
 Vulnerable mapping.
 Other community based activities promoting climate
resilience.
As the sub-projects are to be funded under the two investment projects in the Kafue and the
Barotse sub-basin, it was imperative to consult the intended beneficiaries in nine of the sixteen
districts which have been identified as pilots.
5.3 Identification of Potential Projects Preferred by Communities.
Through a participatory engagement in the selected districts, communities described climate
impacts and identified projects as well as skills required for the preferred projects. During the
meetings, communities were asked to identify a minimum of 5 most important types of projects
from the list of PPCR eligible projects including other possible projects they considered important
in coping with climate change related weather impacts. In addition, communities were also asked
to identify community skills that would enhance climate resilience.
A summary of the most common sub-projects identified by the beneficiaries is presented in the
table below. The full listing of the sub-projects and skills identified by communities can be found
in Annex 4.
Table 14: Summary of Projects preferred by the communities.
1.
2.
3.
4.
5.
6.
7.
8.
9.
PPCR Eligible Projects
Support to agriculture diversification and commercialization
Water supply and sanitation
Disease Control
Enhance private sector driven financing
Sustainable Land Management
Infrastructure (various local) development
Forest, grassland management and afforestation
Social Amenities
Reinforcement of early warning systems
Other Community Suggested Projects
ix.
Animal husbandry
x.
Aquaculture
xi.
Promotion of renewable energy
xii.
Road development
xiii.
Climate resilient houses
xiv.
Health facilities and services
xv.
Animal husbandry
xvi.
Handicrafts
xvii.
Mobile storage facilities
xviii.
Boat-making
These sub-projects proposed by the communities in the selected districts were presented and
subjected to further discussion during the stakeholder event held in Lusaka in December 2012.
The main outcome of the consultation is summarised below.
5.4 Stakeholder Participation Event
As part of the stakeholder engagement process, a stakeholder event was held on 13 th December
2012 in Lusaka. The event was attended by stakeholders from provinces, selected districts
targeted for the pilot programme in both the Kafue and Barotse sub-basins, and national key
stakeholders and representatives of the client. Representatives of both the African Development
Bank (AfDB) and the International Bank for Reconstruction and Development (IBRD), also actively
participated in the event.
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After group discussions, the following potential projects were presented by the participants:
1.
2.
3.
4.
Afforestation
Agro-forestry
Bee keeping; enhancement of NTFPs
Capacity building for Climate vulnerability
and hazard mapping
5. Community game ranching
6. Fish Farming
7. Infrastructure projects such as construction
of gabions and other stabilization/and
erosion prevention structures, vegetation
planting for sediment and erosion control
construction of small dams to strengthen
winter gardening Livestock production
(small livestock such as goats, chickens)
8. Drilling and Deepening of boreholes and
wells to provide safe drinking water and
gardening, rain water harvesting
9. Rehabilitation and maintenance of existing
canals, ponds and dams
10. Crop diversification (drought resistant
crops and livestock)
11. Development of information management
systems for local planning including GIS,
12. Early warning system, hydrometeorological network and community
communication networks
13. Mushroom production
14. Processing and preserving of foods
15. Strengthening of local planning processes,
participatory land use planning,
development planning, community
planning protected area planning
16. Strengthening the level of community
organisations e.g. Concern Worldwide,
water users association
While the planned investment projects represent a new intervention, the issues which the subprojects address are not new. Local community –based organisations (CBOs) have emerged to
provide interventions aimed at improving their livelihoods. These communities, groups and
associations continue to be supported by national and international NGOs who are committed to
poverty reduction and improved livelihoods. As community livelihoods have come under the
increasing threat of climate change, the NGOshave developed projects that promote community
adaptation to climate change.
5.5 NGO Projects Relevant to Climate Change
NGOs have over time been involved in the promotion of community livelihoods as part of their
poverty reduction philosophy. They are generally considered to be close to communities which
they serve through project support, funding of activities and capacity building. It is widely
acknowledged that capacity building is a major strength, and probably the biggest asset, that
NGOs possess.
The NGOs consulted included the Red Cross, Concern Worldwide, Zambia Climate Change Network
and Care International. The consultations focused on their knowledge and experience in the
targeted pilot areas. They also included discussions on their strategies and methods of
engagement with the communities and partnerships with other stakeholders and the public
sector. The discussion also focused on the NGO’s existing capacities related to specific activities
that are suitable for targeting the youth, women and the vulnerable.
The projects undertaken by NGOs which are relevant to the PPCR are: (i) small scale (community
level) and (ii) based on community needs and aspirations (community demand driven). The main
focus of these projects is the capacity building of local communities, groups and associations. In
Page | 49
providing support to community livelihoods projects in agriculture, irrigation, fish farming natural
resource management, agribusiness and market linkages. Increasingly, though some of the NGOs
are managing projects that promote climate resilience.
The projects that the key NGOs have been undertaking which are suitable for PPCR funding are
presented in the table below.
Table 15: Projects key NGOs have been undertaking and considered suited for PPCR Funding
Project
Activities
NGO/District*
Community Self Help Canal
clearance
Conservation Agriculture
Management of natural
resources for crafts
production
Small Scale AgroProcessing
Food Security Support
Localized Health Care
including HIV / AIDS
Water Harvesting
Structures & Sanitation
Planning
Community Contingent
Planning
Canals 1.5-2 meters wide/1-2 meters deep &
connected to local farming
Dry sand areas: Maize, sunflower, cow peas,
ground nuts, cassava (promoted over maize);
Wetlands: horticulture (cabbages and vegetable
farming), paddy rice (SRI), some cassava; Youth
engagement in conservation agriculture through
schools and demonstration plots bringing in
students to work with communities. Community
driven agro-forestry woodlots with fruit trees
supported by schools.
Reeds, grass, roots; Tree and grass planting
promoted; Support to market places for crafts;
Forming crafts associations for marketing; gender
empowerment
Small scale processing with machines: Ground nut
shelling machines (peanut butter); Processing
machines for rice (polishing & packaging incl.
private sector engagement,
supermarket
purchasing under a registered rice brand Munati);
Cooking oil from sunflower; Solar drier for
vegetables; Mango processing into jam (trainings
by private sector Silver Catering Ltd)
Provision of early maturity varieties of crops;
Diversification of crops; Horticulture (aimed at
August to Feb / March period to cover food
shortages); Small livestock (goats & chickens
including improved indigenous breed that is larger
(Batoka in Southern Province, Choma);
Agricultural training for i) conservation farming
with lead farmers ii) nutrition (to use local
products such as fish).
Community Based Health and First Aid (CBHFA):
traditional leaders lead establishing a community
level program with community priorities
Building and rehabilitating earth dams (6 -8
meters height) forming water collection ponds;
sanitation planning for boreholes.
Localized action plan for climate hazards based
on scenarios: Best case scenario, Moderate case
scenario (50% of community impacted), Worst
case scenario (more than 90 % impacted);
Requires community engagement and ownership
arranged through community volunteers (usually
part
of
Satellite
Disaster
Management
Concern Worldwide: Mongu, Kaoma,
Senanga and Kalabo
Senanga and Kalabo
Concern Worldwide in Western
Province: Mongu, Kaoma, Senanga and
Kalabo
Senanga and Kalabo
Red Cross: Kazungula (3 Agri camps),
Sesheke (5 Agri camps)
Red Cross: Kazungula, Sesheke
Red Cross: Kazungula, Sesheke.
Red Cross: Kazungula, Sesheke
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Project
Agro-dealers programme

Activities
NGO/District*
Committees); local plans formulated based on
focus group discussions and lead by community
leaders
Establishing network of agro-dealers to reach
more distant communities; Niche business
support for SMEs; Capacity for community
facilitation, marketing & business management
skills (record keeping, financial management,
costing, pricing, projection etc.); Linking suppliers
linked with buyers; Diversified production
depending on demand (cattle, vaccines, seeds
etc.) with successes in maize and seed company
linking;
Establishing
District
Agro-dealer
Associations for advocacy and management of
problems; Establishing Outlets in communities.
Care International: Masaiti, Mumbwa,
Chibombo,
Kapiri,
Lufwanyama,
Mpongwe
Only those districts that are in the Barotse and Kafue sub-basin are listed here
Some of these activities are not very different from the sub-projects listed by the AfDB and WB
who are financing the pilot projects in Kafue and Barotse sub-basins respectively. The stakeholder
participation event held in December 2012 also provided a platform for IBRD and AfDB to present
an abbreviated version of the project descriptions which is captured in the following section
5.6 Abbreviated Project Descriptions
The stakeholder participation event provided a platform for both the World Bank and African
Development Bank to share the shortened version of the abbreviated description of projects that
are proposed for implementation in both sub-basins. The table below presents a summary of the
priorities for each of the sub-basins.
Table 16: Abbreviated Project Description (AfDB/IBRD)
Thematic area
Kafue sub-basin (AfDB)
Barotse Sub-basin (IBRD)
Agriculture,
land use and
livestock
practices
 Strengthen farm level support systems e.g.
conservation agriculture, training in soil
moisture/fertility management and in
timely application of inputs
 Promote erosion control and improved
grazing activities
Diversification
of livelihoods
 Facilitate crop diversification through
provision of seeds for drought and flood
resistant crop varieties
 Facilitate livelihoods diversification
through provision of fruit seedlings for
orchards,
 Promote activities that support livestock
and fisheries as part of the diversification
of livelihoods
 Introduce/scale-up conservation tillage and soil
moisture retention - improved management of soil
moisture through use of mulch/organic matter and
conservation of soil organic matter;
 Change timing of application of agriculture inputs
to take advantage of available moisture and
rainfall;
 Diversification of crops/varieties to include
drought or flood tolerant crops;
 Diversification of livestock production
 Promotion of a mixed farming system that
integrates agroforestry and/or crops and livestock
production
 promote sustainable livelihoods activities that are
not climate sensitive
 moving livelihood activities to less climate
sensitive locations (e.g. bee-keeping, crafts using
local,
non-timber
material,
processing,
aquaculture, and livelihood investments on higher
grounds)
 Facilitate access to improved weather (flood,
drought, frost) through strengthened early
warning system
Climate
Information
Page | 51
Thematic area
Kafue sub-basin (AfDB)
 Undertake Social marketing awareness campaign
 Develop Open data platform
 Facilitate activities that promote community
preparedness
and
community
preparedness
Community
level
Infrastructure
 upgrade community level infrastructure
“to withstand severe floods or droughts,”
 stimulate entrepreneurship and income
generation activities for the communities
by rehabilitating feeder roads
 provide support to micro-projects for:
- flood control and diversion structures
- small scale irrigation schemes, water
reservoirs and small dams
- de-silting and restocking of ponds and
water bodies
- improved wells and boreholes
- community forest plantations and
reforestation
- wildlife estates and communal game
ranches
Climate Proof
Infrastructure
 climate proofing of vulnerable farm-tomarket access roads to minimize
exposure of road investments to climate
risks
 The selected roads are (i) Kalomo to
Dundumwezi, (ii) Itezhi-Tezhi to
Dundumwezi through Ngoma and
Nanzhila, and (iii) Namwala to Itezhi-Tezhi
 Provide support to local government and
community groups to:
- incorporate climate risk management
principals into local are development
planning;
- mobilize, train and facilitate communities
in risk and vulnerability assessment and
in integrating climate risk management
principals in local area planning.
 Support medium to large scale investments
in activities that are deemed to add value
and increase climate change resilience.
 Promote value addition activities focusing
on agro-processing and game and wildlife
management
 Provide matching grants (up to 25 per cent
of secured loans or up to a maximum of
US$15,000 per investment) to
entrepreneurs focusing on climate
resilience subprojects
Support to
participatory
adaptation
Other
Responses
Barotse Sub-basin (IBRD)
 Construct/rehabilitate of wells/boreholes to
provide access to water
 Rehabilitate/manage canals to improve drainage
and store water to allow early planting and extend
growing seasons;
 Raise/strengthen the base of dambos,
 Retrofit schools/community halls to withstand
higher levels and longer periods of floods
 Strengthen
or
raise
strategic
mounds/paths/bridges in the flood plains around
the community areas during unusually long floods
 Construct floating platforms for evacuation of
people/livestock
 Strengthen/raise the base of infrastructure such as
schools, health clinics or halls which may also act
as flood shelters
 Construct venues for meetings and farmer field
days to support knowledge on diversification of
agriculture and livestock-based livelihoods
 Facilitate/equip local livestock para-vet centers for
vaccination and disease control
 Rehabilitate strategic canals – Muoyowamo,
Lubitamei, Ngo’mbala, Fisheries and Musiamo
 Improve selected canals9, canal maintenance and
management through “embankment stabilization
(with earthworks and vegetative approaches),
selected mechanized dredging, and erosioncontrol measures.”
 Facilitate/strengthen community decision-making
 Provide specialized technical assistance and
training in vulnerability assessment and mapping
 Provide incremental programme support through
facilitation of training in financial management,
procurement, safeguards and monitoring
 Provide incremental programme support through
provision of equipment, vehicles and operating
costs for field activities
 Provide access to agricultural insurance system
based on weather index
 Facilitate links with micro-finance institutions/tools
to support livelihoods and livestock diversification
9
Of the five selected canals, three will “require specialized mechanized interventions, complemented by manual labour.”
These are Muoyowamo, Fisheries, and Ng’ombala, Lubitamei and Musiamo. Drawing on community labour and resources,
the other two canals- Lubitamei (87 km) and Musiamo (131 km) Are to be rehabilitated using labour intensive approaches.
Page | 52
An analysis of the selected climate resilient sub-projects show consistency that cut across all the
different consultations. These are summarised below:
1.
2.
3.
4.
5.
Agricultural practices based on climate
resilient activities such as diversification of
crops grown and livestock production;
Land use management including moisture
retention and soil management;
Pasture/grazing land management;
Diversification of livelihoods to include
activities that are not climate sensitive;
Forestry, afforestation (in the Kafue Subbasin)
6.
7.
8.
Strengthening
of
both
community
infrastructure such as retrofitting schools,
clinics to climate resilient standards;
Improvement/upgrading
major
infrastructure such as canals in the Barotse
sub-basin and “farm to market” major
roads in the Kafue sub-basin; and
Building the planning capacities among
local institutions and communities to
strengthen
coping
and
adaptation
mechanisms.
The potential environment and social impacts are assessed and analysed in the next sections.
5.7 Environmental impacts
The sub-projects, which will fall mainly under the Participatory Adaptation component, are
expected to generate mainly positive impacts. The potential environmental impacts and
mitigation measures are identified in (Table 16) while the potential social impacts and mitigation
measures are described in (Table 17). Since most implementable projects in the group are in subcomponent 1.1 (AfDB and component 2, the environmental impacts are evaluated in these as
opposed to sub-component 1.2 and component 3 which are functional and transformational as
well as technical systems and skills development in character.
5.7.1 Positive Impacts and Enhancement Measures
The essence of PPCR is to capitalize on the positive aspects of the various projects and subproject components. These positive landmarks of the projects are aimed at alleviating many
stresses arising from impacts of climate related problems. Notably, from cost-benefit-analysis,
sustainable land management, disease control and infrastructure upgrading and water supply and
sanitation programmes among others in the PPCR will improve the social and economic status of
the people in the targeted districts at minimal environmental damage. Table 19 highlights the
environmental positive impacts and their enhancement measures. The anticipated projects are in
Component 1 and 2 of the PPCR projects. Other sub-component projects such as the Revision of
design standards and codes of practice for key infrastructure adapted to climate change will yield
positive environmental impacts resulting from improved standards of material procured for
various works.
5.7.2 Potential Negative Impacts and Mitigation Measures
While the impacts of the adaptation projects and sub-projects will be generally positive some of
the sub-projects may generate some negative environmental impacts. However, some
components and sub-components are more of support programmes in nature. Some of these
projects without direct measurable environmental impacts include Institutional Support to
Zambia’s Climate Change Programme, Strengthened Climate and Information; and Private Sector
Support. These have not been included in the tabulations of the direct potential negative impacts.
Page | 53
This section has concentrated on projects such as upgrading of road infrastructure, canals and
water ways, and other projects that may require environmental alteration (e.g. support to
agriculture and livestock, water and sanitation etc.).
Some of the notable environmental impacts from the analysis of the potential projects are likely
impact on land, water and vegetation. The impacts will affect biodiversity, pollution of water and
soils, degradation of forests and land, as well as aquatic resources.
These negative impacts have been identified, assessed and mitigation measures suggested in
order to minimize damage to environmental integrity. The table below presents an overview of
the environmental impacts, mitigation measures and the required capacity building.
Page | 54
Table 17: Potential Environmental Impacts of Sub Project and mitigation/enhancement measures
SUBPROJECT
Agriculture and Livestock
Practices
Land Husbandry

Introducing/scaling-up
conservation tillage and soil
moisture retention - improved
management of soil moisture
through use of mulch/organic
matter and conservation of soil
organic matter;
Crop Husbandry

Diversifying agricultural
practices such as
crops/varieties grown
including those that can
be drought tolerant or
grown under water
logged conditions or
staggering time of
plantings;

Changing times for
applying agriculture inputs
to take advantage of
available moisture and
rainfall;
Animal Husbandry

Diversifying livestock production
(small livestock raised) and
when appropriate culturally or
land-use wise use /or integration
of crops and livestock (e.g.
goats, sheep, chickens) in a
mixed farming system
ENVIRONMENTAL IMPACTS
 Increased pressure on land as demand is likely
to be triggered by improved incomes from
good soil management and moisture retention
 Intensives use of land may lead to
unsustainable land use practices such as
increased/inappropriate use of pesticides and
fertilisers
 Increased land clearing that may result in
deforestation, land degradation and soil
erosion
MITIGATION/ENHANCEMENT MEASURE(S)






 All year round crop production is likely to
increase demand for water leading to
construction of weirs and small dams which
may affect water flows downstream,
 Diversification to climate resilient crops may
introduce some invasive species
 Use of chemical fertilizers likely impact the
environment and affect the quality of water in
the rivers and streams
 Increased crop production will likely increase
the use of herbicides/pesticides which will
affect the environment and the quality of
water
 Increased crop production likely increase
demand for improvement of market centres
and access (feeder) roads and farm-to-market
road network which will impact the
environment (see section on rural roads
below)

 Clearing of land to create grazing fields
 Increased numbers of climate resilient
livestock may result in over exploitation of
natural resources that include water and
pasture land
 Contamination of water bodies at livestock
watering points/crossing points
 Unsustainable use of wetlands for grazing and
watering animals during dry periods of the













“Composting” of animal manure, grass and plant material for
application to fields – for increased soil moisture retention and
improved soil texture in sandy areas such as those the Barotse
Sub-basin
Use of mulch/organic material to reduce loss of soil moisture
through evapotranspiration
Sensitisation and capacity building on land planning use
management
Promotion of good land use planning and practices such as
terracing on steep slopes
Promotion of agroforestry as part of erosion control measures
Promote erosion control and management of fields and areas
adjacent to the fields
Introduce good practices for water resources sharing and
management that reduce/eliminate water conflicts
Utilise furrows and drainage canals to drain excess water from
fields to allow early planting
Utilise water conservation technologies and strategies to
reduce demand for ground and surface water
Introduce good crop husbandry planning and farming best
practices that include ideal timing for planting and application
of soil nutrients
Promotion of organic farming alongside conservation
agriculture
Introduce management plans for appropriate use of fertilisers
Develop a pesticide management plan (PMP) that adheres to
WB and AfDB safeguard policies and ZEMA regulations
Promote use of integrated pest management and only use
herbicides/pesticides as a last resort particularly rivers,
streams, canals and small dams
Use pesticides/agro-chemicals with short residual period
Avoid introducing alien plant species or crop varieties that
may be invasive
introduce mixed farming approaches by integrating crop and
livestock production systems
avoid overgrazing due to overstocking through effective
control of livestock numbers staying within carrying capacity
of the land
Put in place effective soil erosion control measures for
managing pastures and reduces contamination of water at
livestock watering points
Where feasible and culturally acceptable, consider
RESPONSIBILITY
CAPACITY BUILDING








SPIU
MAL district
extension
staff
DTOs
NGOs/CBOs
SPIU
MAL district
extension
staff
DTOs
NGOs/CBOs













SPIU
MAL district
extension
staff
DTOs
NGOs/CBOs



Sensitisation campaigns on land
management in the context of climate
change
Training in environmental and land
husbandry practices
Training in conflict resolution
Strengthening of extension skills and
mentoring support provided by both
government and NGO facilitators
Sensitisation campaigns on crop and
horticultural production in the context
of climate resilience
Training in climate resilient agricultural
practices
Training in good fertiliser and
pesticide management in
environmentally sensitive
environments
Training in post-harvest technologies,
value addition and marketing
Sensitisation in basic requirements of
environmental safeguard policies and
local legislation
Sensitisation campaigns on livestock
diversification and pasture
management
Training in good livestock production,
including breeding
local legislation
Page | 55
SUBPROJECT

Improved management of
pastures/ grazing land

Livestock production (increase
proportion of climate resilient
livestock or increased livestock
variety)
Small-Scale AquacultureConstruction/rehabilitation of fish
ponds in order to ensure supply of
fish throughout the year
year may disrupt wetland ecological processes



 Poor aquaculture management may disturb
the bio-diversity of the ecosystem
 Aquaculture may result in the introduction of
alien fish species some of which may be
invasive




Restocking of ponds
Community level water
Infrastructure(boreholes , wells
small dams, reservoirs, weirs, small
scale Irrigation Schemes)
 To provide access to water during
prolonged droughts
 Prevent waterlogging and manage
water flows during prolonged
flooding
 Water aquaculture production
 flood control, erosion control
 recreation facility for local tourism
-
Canals

Improvement of traditional canal
maintenance systems for five
selected canals in the Barotse
sub-basin: Muoyowamo,
Lubitamei, Ngo’mbala, Musiamo
and Fisheries canals.

 Inadequate access to water may lead to
inappropriate use or over exploitation of
existing resources such as wetlands
 flooding likely to lead to loss of natural habitat
and altered aquatic life
 Disruption of water flow downstream
 Disruption of fish migration
 Disruption of flow of sediments with a high
nutrient value
 Siltation in the absence of good erosion
control
 Water logging
 Soil erosion and degradation
 Clearing of vegetation to increase irrigated
area
 Increased use of agrochemicals and fertilizers
due to increase agricultural production under
irrigation scheme
 Increased pressure on land because of
increased population due to voluntary
settlement as land for cultivation improves as a
result of drainage of cultivable land
 Increased use of fertilizers as land cultivable
land becomes more available
 Increased use of pesticides as farming
activities increase due to availability of land













introduction of rotational grazing and zero-grazing supported
by production of fodder crops
Mix different livestock species (goats, sheep, cattle, donkeys)
to fully exploit vegetation resources
Where feasible, consider reforestation and replanting of
climate tolerant grass varieties
Community sensitization on good pasture management and
use of communal feedlots and introduction of fodder crops
Select locations which do not have other important land uses
e.g. use of existing depressions, hollows and ditches.
Avoid siting points adjacent to areas with high biodiversity
values
Construct ponds in a manner that ensures good drainage and
erosion control
Plant vegetation (trees and grasses) on the edges and
between ponds
Good aquaculture management should be promoted to
ensure that there are no direct threats to the ecosystem and
to the indigenous fish species.
Rehabilitate boreholes/wells that provide water in all seasons
Construction of small-scale water regulation structures (flood
gates, canals, weirs and small dams)
Construction of ponds/canals for water retention, storage and
drainage
Avoid construction of small water structures near or adjacent
to protected areas or natural habitats e.g. wetlands
Planting of trees and grasses to protect dam walls as soil
erosion prevention measure
Promote appropriate use of fertilizers and agro chemicals in
the area near or adjacent to the small dam or reservoir or
canals
Siting of small irrigation schemes in less climate sensitive
terrain such steep slopes
Promote cultivation of crops that require less water
Ensure full community involvement in the control and
distribution of water
Formulate and implementation environmentally friendly and
culturally sensitive resettlement measures to accommodate
the anticipated voluntary or induced resettlement
Clearing of canals by hand using labour from local
communities
Minimal use of mechanical dredging
Sensitisation campaigns and training on the proper use of
chemical fertilizers
RESPONSIBILITY


CAPACITY BUILDING

Specialised training in aquaculture
management through short courses
and/or exchange visits

Training in biodiversity management
and conservation of fragile
ecosystems through short courses
and/or exchange visits
 SPIU
 MAL district
extension staff
 Water Affairs
Dept.
 DTOs
 NGOs/CBOs

Basic training in integrated water
resources management and
conservation of natural habitats
through short courses and/or
exchange visits
Basic training in water use and
resource management in relation to
smallholder under irrigation through
short courses and/or exchange visits









SPIU
MAL district
extension
staff
Fisheries Dept.
DTOs
NGOs/CBOs
SPIU
MAL district
extension
staff
MTWSC
DTOs
NGOs/CBOs



Basic training in environmental and
natural resource management of
fragile ecosystems
Basic training in canal maintenance &
management
local legislation
Page | 56
SUBPROJECT
after drainage
 Increased canoe/boat traffic likely to affect the
ecosystem in the Barotse plains
 Removal of natural vegetation leading to soil
erosion and siltation
Wild life Sanctuaries,
communal game ranching
Community forests,
reforestation
Effective benefit-sharing ensures
sustainable management of
community forests
 In areas near national parks and game
management areas, infrastructural subprojects may lead to destruction of natural
habitat that result in the
displacement of wildlife;
blocking of wildlife migration routes
competition for pasture between
domestic and wild animals
 Increased pressure on land due to increased
farming and activities may result in
unsustainable utilisation of natural resources
such as deforestation, encroachment on
watershed areas and dambos, soil erosion etc.
 Illegal logging of timber may lead to large scale
deforestation and destruction of natural
habitats
 Introduction of invasive tree species (e.g. black
wattle) may threaten the ecosystem












Roads


Upgrading and maintenance of
community feeder roads in the
Kafue sub-basin
Rehabilitation of community
road infrastructure (farm-tohomestead) to climate resilience
standards
Protection of local
infrastructure and assets

 Increased pressure on natural resources (land,
water, forests) as a result of influx of
population due to voluntary settlement along
the improved roads
 Loss of natural vegetation near
roads/important habitats
 Air pollution (increased dust) during
construction/ rehabilitation of roads
 extraction of road construction materials e.g.
gravel from borrow-pits
 Disruption of water flow /blocked drainage at
culverts and bridges
 Contamination through accidental spillage of
lubricants and fuels
 No major environmental impacts are
anticipated from the sub projects
Climate proofing of local









Develop and implement a pesticide Management plan that
adheres to WB and AfDB safeguard policies and ZEMA
regulations
Planting of vegetation on exposed/damaged canal
embankments
Regulation of boat/canoe traffic
Fencing off of protected wildlife habitats (national parks and
game management areas)
Consider the possibility of establishing wildlife sanctuaries or
wild life estates linked to income generation through tourism
Establish communal game ranching to ensure conservation of
wildlife/natural resources supported by income generation
through tourism and controlled game hunting
RESPONSIBILITY
CAPACITY BUILDING







Establishment of forests managed by the community drawing
on local culture, traditions and indigenous knowledge
Avoid locating forests near or adjacent to protected areas
such as wetlands, watershed and areas with high biodiversity
value e.g. the Kafue Flats and Barotse Plains
Establishment of tree nurseries including fruit-tree seedlings
Tree planting of fast growing indigenous tree species using
local labour
Ensure well-planned harvesting of trees e.g. unconnected
blocks
Promote the use of non-timber forestry products (NTFPs –
e.g. wild fruits, honey, mushrooms, caterpillars)
Promote controlled settlement along improved roads with
assistance of traditional and local authorities
Minimise clearing of vegetation
Institute erosion control measures especially at
culverts/bridges
Design roadside drainage control (culverts/bridges that can
handle anticipated water flows
Ensuring culverts and bridges of correct size and are installed
at strategic points along the road
Ensure adequate and timely maintenance of culverts and
bridges
Put in place measures to prevent spilling of oils and fuels and
where feasible, recycle used oils.


Strengthening of local planning processes, participatory land
use planning, development planning, community planning of
protected area planning
Siting and construction of new buildings in areas which are









SPIU
MAL district
extension
staff
DTOs
NGOs/CBOs
SPIU
MAL district
extension
staff
DTOs
NGOs/CBOs






SPIU
MAL district
extension
staff
MTWSC
DTOs
NGOs/CBOs

SPIU
MAL district
extension
staff






Training in good governance and
conflict resolution
Specialised training in wildlife
management and game ranching
Training in biodiversity management
and conservation of fragile
ecosystems
Training Business management and
entrepreneurial skills through short
courses and/or exchange visits
Basic training in management and
forests and conservation of natural
habitats through short courses and/or
exchange visits
Training in business management and
entrepreneurial skills through short
courses and/or exchange visits
Training in environmental and natural
resources management in relation to
road construction
local legislation
Training in conflict resolution
Sensitisation campaigns on
environmental and natural resources
management
Training in environmental protection
Page | 57
SUBPROJECT

community infrastructure such
as community service centres
(markets, clinics, schools etc)




Enhanced Local capacities for
coping with Climate Change

 No major environmental impacts are
anticipated from the subprojects
Support to community level
climate adaptation






shielded from floods, storms and strong wind
Construction of drainage/storm drains protect fields from
floods
Construction of gabions and other stabilization/erosion
prevention structures to protect fields
Siting and construction of construction of ponds, channels for
water retention, storage and directing running off
Dredging, ditching, construction of cut-off channels direct
water flow
Develop mechanisms’ for Climate vulnerability and hazard
mapping
Strengthening the level of community organisations e.g.
water users associations, traditional structures
Development of climate information management systems
that tap into both modern and tradition weather warning
systems
Strengthening of local climate resilience structures such as
Satellite Disaster Management Committees, Community,
Water User Associations, Village Development Committees,
Marketing Associations, Women Development Groups, Youth
Organizations
Strengthening of community level organisation and
governance
Strengthening of traditional institutions in climate resilience
RESPONSIBILITY



MTWSC
DTOs
NGOs/CBOs
CAPACITY BUILDING







SPIU
MAL district
extension
staff
ZMD
DTOs
NGOs/CBOs


and ecosystems planning and
management
local legislation
Sensitisation and training in climate
information systems change
adaptation including vulnerability and
hazard mapping
local legislation
Page | 58
Having identified the potential environmental impacts, it is also equally important to assess the
extent of the direct and indirect impacts. The environmental and social impacts have been
assessed and rated and summarised in Annex5 .
As climate change has both direct impacts on the environment and natural resources, it is
tempting to place greater emphasis on environmental impacts. However, social impacts are just
as important because some of the environmental impacts have far reaching social implications.
For example, the drying up of the dambo would have a direct effect not only on the ecosystem
but also on the agricultural production systems of the community who depend on it for their
livelihood. The following section assesses the direct social impacts that the sub-projects may
generate.
5.8 Social impacts
The community-demand-driven (CDD) sub-projects will be designed and implemented within the
framework of Participatory Adaptation Component 3 in the Barotse Sub-Basin Investment Project
(funded by the World Bank) and Participatory Adaptation Component 1 in the Kafue Sub-Basin
Investment Project (funded by the African Development Bank).
Policy issues of the social implications relating to the implementation of these sub-projects are
covered in the Strategic Environmental and Social Assessment (SESA) report. In a similar manner,
issues related to resettlement and compensation that may arise as a direct consequence of the
sub-projects (though is unlikely) are dealt with in the Resettlement Policy Framework report.
5.8.1 Assessment of Social Impacts and Identification of Mitigation Measures
Projects are designed to improve the lives of people by reducing their vulnerability to the effects
of climate change. Nearly all development projects, regardless of whether they are large or small,
have an impact on the environment and people. However, impacts on people (social impact) must
be considered crucial, particularly in the context of climate change. This is primarily because
people can either make or break any project.
Community-demand-driven projects are generally perceived as having less negative social impacts
than externally initiated projects. This is not always true and as such the analysis and assessment
of the social impacts ofcommunity-demand-driven sub-projects must be just as systematic and
rigorous.
Table 17 below presents a summary of the social impacts and mitigation or enhancement
measures that are relevant to the sub projects. The description of the ratings of the social
impacts, based on consultations and our interaction with the communities in selected districts is
in annex 5.
Page | 59
Table 18: Potential Social Impacts and mitigation measures of Sub Projects
SUBPROJECT
SOCIAL IMPACTS
Agriculture and Livestock Practices
Land Husbandry
 Formulate and implement conflict resolution measures
 Increased yields may lead to voluntary
 Introducing/scaling-up conservation tillage
and soil moisture retention - improved
management of soil moisture through use of
mulch/organic matter and conservation of soil
organic matter;
Crop Husbandry
 Diversifying agricultural practices such as
crops/varieties grown including those that
can be drought tolerant or grown under
water logged conditions or staggering time of
plantings;
 Changing times for applying agriculture inputs
to take advantage of available moisture and
rainfall





Animal Husbandry
 Diversifying livestock production (small
livestock raised) and when appropriate
culturally or land-use wise use /or integration
of crops and livestock (e.g. goats, sheep,
chickens) in a mixed farming system
 Livestock production (increased proportion of
climate resilient livestock or increased
livestock variety)
 Improved management of pastures/ grazing
land
Small-Scale Aquaculture Construction/rehabilitation of fish ponds in
order to ensure supply of fish throughout the
year

 Restocking of ponds



resettlement which is likely to generate a host of
social conflicts as the value of land will rise
Increased income may lead to a disruption of
traditional lifestyles which may encourage risky
social behaviour like increased alcohol
consumption and promiscuity. This may lead to an
increase in the spread of HIV/AIDS and STIs.
Increased demand for market space and facilities
due to increased yields
Increased health risk resulting from poor water
quality caused by increased use of fertilizers and
agro chemicals.
Increased social/marital conflicts due to
empowerment of women
Increased business opportunities may result in
mixing of people from different back grounds
which may undermine traditional values and
culture.
over grazing of natural resources that may reduce
availability of NTFPs due to increased numbers of
climate resilient livestock
destruction of cultivated crops such as grains,
vegetables, fruit trees by livestock (e.g. goats,
cattle)
Increase in number of diseases from contaminated
animal watering points













 Fish ponds may promote breeding of mosquitoes, the
spread of bilharzia and other water borne diseases such
as dysentery, cholera and diarrhoea.
 Construction of ponds and small dams may also
increases diseases among domestic animals
 May increase conflicts in resources and economic
benefits.
 Blocked access to sites of cultural importance such
based on local traditions and conflict resolution
mechanisms
Provision of training on land-related conflict resolution
and management
sensitisation and training in good land husbandry to
increase yields
Formulate and implement measures to manage public
health aimed at preventing waterborne diseases
Ensure full involvement of entire community (not juts
opinion leaders) to avoid land conflicts
Intensify HIV/AIDS awareness campaigns
sensitization on the dangers of increased interaction
with outside communities and the need for protection
of local culture and traditions
expand/renovate existing market places to make them
climate resilient
sensitisation and training in good crop husbandry and
management of water resources
Post-harvest processing facilities for agro-products to
facilitate marketing
Storage facilities for agro-products to facilitate
marketing
promotion of use of organic fertiliser and
herbal/biological control of pests
sensitisation and training in good livestock
management planning including land use and pasture
management
promotion of best practices in mixed (integrated
farming)
 Institute measures for controlling disease carriers such
as mosquitoes
 Formulate and implement measures to manage public
 Promote conflict resolution and prevention
 Avoid locating aquaculture in areas near or adjacent to
important cultural resources and sites.
RESPONSIBILITY
 SPIU
 MAL district
extension staff
 DTOs
 NGOs/CBOs
CAPACITY BUILDING
Sensitisation/Training in;
 assessment social impacts of climate
resilient sub-projects
 basic requirements of social
safeguard policies and local
legislation
 conflict resolution
 agricultural and livestock
diversification
 climate sensitive crop/livestock
production and management
 best practices and livestock
management practices
 water resources management
 SPIU
 MAL district
extension staff
 Department of
Fisheries
 DTOs
 NGOs/CBOs
 Basic aquaculture management
 Public Health campaigns on
prevention of malaria and
waterborne diseases
Page | 60
SUBPROJECT
SOCIAL IMPACTS
RESPONSIBILITY
CAPACITY BUILDING
a burial grounds or national monuments.
Community level water
Infrastructure(boreholes , wells small dams,
reservoirs, weirs, furrows Irrigation Schemes )
 To provide access to water during prolonged
drought
 Prevent waterlogging and manage water
flows during prolonged flooding
 Water aquaculture production
 flood control, erosion control
 recreation facility for local tourism
Canals
 Improvement of traditional canal
maintenance systems for five selected canals
in the Barotse sub-basin: Muoyowamo,
Lubitamei, Ngo’mbala, Musiamo and Fisheries
canals.
 All year round crop production is likely to increase
 Institute measures for controlling disease carriers such
demand for water leading to construction of weirs
and small dams which may mosquito breeding
malaria and other waterborne diseases
 Community level water infrastructure may block access
to sites of cultural importance such a burial grounds or
national monuments.
as mosquitoes and carry out malaria sensitization
campaigns
 Formulate and implement measures to manage public
 Avoid locating community level water infrastructure in
areas near or adjacent to important cultural resources
and sites
 Establishment of small dams, weirs, boreholes, wells and
furrows may lead to land conflicts
 Improved productivity and incomes due to early planting
because of draining resulting in social problems such as
increase alcohol consumption and marriage conflicts
and gender-based violence
 Conflicts may arise around sharing of benefits accruing
from use of improved canals
Wildlife Sanctuaries/ Estates, Communal
Game Ranching
Community forests, reforestation
 Sustainable management of community
forests
 Management of fragile ecosystems such as
wetlands
 spread of diseases among domestic animals due to
introduction of wildlife
 Fencing off areas for game ranching/wildlife
 Improved gender relations through sensitisation
gender relations and GBV
 Empowerment of women and female youth
 Strengthening of traditional systems for resource use
and distribution of benefits accruing from the
improved canals
 Physical separation of domestic animals from wildlife
through erection of fences
avoid siting sub-projects near significant cultural sites
and
provision for controlled access points for communities
and livestock
Strengthen cultural traditional practices through
recognition and support to cultural ceremonies and
activities
siting of wildlife/communal game ranching is away
from land with higher economic value
estates may block access to sites of cultural
significance and NTFPs
 Increased opportunities for tourism may further
lead to mixing of people with different cultural
backgrounds which may lead to interference in
traditional lifestyles.
 land conflicts due to large amount of land required
 Game ranching may result in benefit -sharing
conflicts

 Conflicts arising from benefit-sharing from forest
 Identify all significant sacred cultural sites in the
resources
 blocked access to important cultural sites/razing
lands
 reduce available land for agricultural purposes
which in turn may lead to social conflicts



project areas, and land with greater
agricultural/economic values
 Land use planning sensitive to demand for land
 SPIU
 MAL district
extension staff
 Department of
Water Affairs
 DTOs
 NGOs/CBOs
 SPIU
 MAL district
extension staff/line
ministries
 DTOs
 NGOs/CBOs
 SPIU
 MAL district
extension staff
 Dept. of
wildlife/ZAWA
 DTOs
 NGOs/CBOs




SPIU
DTOs
Dept. of Forestry
NGOs/CBOs
 Basic water infrastructure
management
 Public Health campaigns on
prevention of malaria and
waterborne diseases
 Irrigation infrastructure and
management
 prevention of malaria and
waterborne diseases
Sensitisation/basic training in;
 the economic importance of canals in
climate resilient
 gender relations and GBV
 conflict resolution on use of canalrelated resources and benefits
 Wild life management
 Community game ranching
 Tourism/Hospitality
management
 management of Community
natural resources
 management of community
forests
 protection of ecosystems
(wetlands)
Roads
 Increased traffic accidents and deaths
Page | 61
SUBPROJECT
 Rehabilitation of community road
infrastructure (farm-to-homestead) to climate
resilience standards
Protection of local infrastructure and
assets
 Climate proofing of local community
SOCIAL IMPACTS
 negative impact on morals, and local culture and
 Sensitization on road safety and consider using speed
traditions due to increased interaction with
outside communities, traders and tourists
 Removal of natural vegetation near roads and
borrow pits may deny communities access to
NTFPs
 increased incidence of malaria and other water
borne diseases due to unfilled borrow pits/quarries
 No major negative social impacts are anticipated
infrastructure such as housing, community
service centres (markets, clinics, schools etc.)
 Platforms for evacuating people and animals
during prolonged floods
Local Climate Change coping capacities
 Support to community level climate




bumps in areas with high population of people
sensitization on the dangers of increased interaction
with outside communities and the need for protection
of local culture and traditions
support to traditional ceremonies and cultural
activities
avoid siting borrow pits near forests rich in NTFPs
sensitization on prevention of water borne diseases.
 Awareness campaigns on climate resilient
infrastructure
 Mainstreaming climate resilience community
infrastructure in IDPs and LAPs
RESPONSIBILITY
 SPIU
 MAL district
extension
staff/MTWSC
 DTOs
 NGOs/CBOs
CAPACITY BUILDING
 Road safety and road regulations
 preservation of local culture and
traditions
 Sensitisation in basic
requirements of social safeguard
policies and local legislation
relevant to road projects
 conflict resolution
 Climate proofing of infrastructure
at community level
 Basic skills in planning,
rehabilitation, maintenance of
climate resilient infrastructure
 Formalisation of climate information systems at
 No major negative social impacts are anticipated
adaptation
community and district levels
 Integrating climate community information in IDPs and
LAPs
Page | 62
CHAPTER 6: CLASSIFICATION of SUB-PROJECT PROTOTYPES FOR
INVESTMENT IN KAFUE AND BAROTSE SUB-BASINS
A number of sub-project prototypes have been identified through a consultative process involving
communities in the pilot districts, NGOs, the PPCR Secretariat, Financiers and other stakeholders.
Based on the classification of the MDBs and ZEMA which are described in detail in Chapter Four of
this ESMF), the sub-project prototypes may require different screening processes and may trigger
different assessment procedures.
6.1 World Bank Classification
All projects proposed for Bank financing are screened for potential environmental and social
impacts. The policy is triggered if a project is likely to have adverse environmental risks and impacts
in its area of influence, and beyond. According to OP 4.01 the Bank classifies proposed projects into
one of four categories, depending on type, location, sensitivity, and scale of the project and the
nature and magnitude of its potential environmental impacts:
Category A: A proposed project is classified as Category “A” if it is likely to have significant adverse
environmental and social impacts that are sensitive, diverse, or unprecedented. These impacts may
affect an area broader than the sites or facilities subject to physical works. Environmental
Assessment for a Category A project examines the project's potential negative and positive
environmental and social impacts, compares them with those of feasible alternatives (including the
"without project" situation), and recommends any measures needed to prevent, minimize, mitigate
or compensate for adverse impacts and improve environmental and social performance. For all
categories of projects. The borrower is responsible for preparing safeguards instruments for all
categories of projects or sub-projects. The safeguard instruments are normally in the form of:
1.
An Environmental and Social Management Framework (ESMF) whenever there is still an
unclear definition of the project intervention footprint; or when such a footprint of project
intervention zone is made known;
2. An Environmental and Social Impact Assessment (ESIA) or a suitably comprehensive or
sectoral Environmental Assessment (EA) that includes as necessary, other elements such as
environmental audits or hazard or risk assessments.
Category B: A proposed project is classified as Category “B” if it’s potential adverse environmental
impacts on human populations or environmentally important areas — including wetlands; forests,
grasslands, and other natural habitats — are less adverse than those of Category “A” projects. These
impacts are site-specific and easy to deal with; few if any of them are irreversible; and in most
appropriate cases mitigatory measures can be readily designed.
The scope of EIA for a category “B” project may vary from project to project, but it is narrower than
that of a category “A” EIA. Like Category A EA, it examines the project's potential negative and
positive environmental and social impacts and recommends any measures needed to prevent,
Page | 63
minimize, mitigate, or compensate for adverse impacts and improve environmental and social
performance.
Category C: A proposed project is classified as Category “C” if it is likely to have minimal or no
adverse environmental impacts. Beyond screening, no further EIA action is required for a Category
“C” project.
Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds
through a financial intermediary, in sub-projects that may result in adverse environmental impacts.
According to the PPCR Sub-Committee review Document of 14th June 2011, some projects under the
PPCR have been classified as Category “B” projects; hence, these may or may not require carrying
out environment and social assessment based on the procedure proposed in section 6.4.2 below.
Due to the high environmental sensitivity, ecological (Ramsar/World Heritage Site) value and cultural
significance of the Barotse Plains, the eligible sub-projects to be funded by the World Bank in the
Barotse sub-basin will NOT include any Category A sub-projects. Any sub-project that is categorised
as falling under category A will become ineligible for funding.
6.2 African Development Bank Classification
The AfDB’s environmental assessment operational policy requires that all projects proposed for Bank
financing are screened for potential environmental and social impacts. The policy is triggered if a
project is likely to have adverse environmental risks and impacts in its area of influence.
According to Operations Complexes (OPs), the Bank classifies proposed projects into one of four
categories, depending on the type, location, sensitivity, and scale of the project and the nature and
magnitude of its potential environmental impacts:
Category 1 Projects require a full Environmental and Social Impact Assessment (ESIA), including the
preparation of an Environmental and Social Management Plan (ESMP). These projects are likely to
induce important adverse environmental and/or social impacts that are irreversible, or to significantly
affect environmental or social components considered sensitive by the Bank or the borrowing country.
The ESIA examines the project’s potential beneficial and adverse impacts, compares them with those of
feasible alternatives (including the “without project” scenario), and recommends any measures needed
to prevent, minimise, mitigate or compensate for adverse impacts and to enhance environmental and
social project benefits.
Category 2 Projects require the development of an Environmental and Social Management Plan (ESMP).
These projects are likely to have detrimental and site-specific environmental and/or social impacts that
are less adverse than those of Category 1 projects and that can be minimized by the application of
mitigation measures or the incorporation of internationally recognised design criteria and standards.
Page | 64
Category 3 Projects require no impact assessment. These projects shall involve no adverse physical
intervention in the environment and induce no adverse environmental or social impact. Beyond
categorisation, no further ESA action is required for this category of project.
Category 4 Projects involve investment of Bank’s funds through Financial Intermediaries (FIs) in
subprojects that may result in adverse environmental and/or social impacts. FIs include among others
banks, insurance and leasing companies, and investment funds that on-lend Bank’s funds to small and
medium size enterprises.
6.3 Zambian Legislation Clasiffication
Zambia’s Guidelines for Environmental Impact Assessment (EIA) of 1997 provide for classification of
projects into either the First Schedule or Second Schedule depending on the size, nature and
perceived environmental consequences of a project or sub-project. The EIA Regulations SI No. 28 of
1997 has provides lists of projects or sub-projects which fall under the two categories.
First Schedule: These are projects or sub-projects with very low negative impacts on the
environment. Examples would include: minor or small scale projects such as beekeeping, crafts
production, small scale fish-farming, raising of climate resilient livestock, climate-proofing of
community level infrastructure e.g. roads, embankments, canal maintenance etc.
Second Schedule: These are projects that require an extensive evaluation of the effects likely to have
significant negative impact on the environment. Examples would include: construction of large
dams, or large irrigation schemes, construction of major roads and establishment of large scale
mining projects, large scale manufacturing or major agro-processing industries.
Where it is clear that project activities fall under the Second Schedule of the Guidelines, an EIA needs
to be carried out. However, it is unlikely that the micro projects planned for implementation under
the two investment projects in the Kafue and Barotse Sub-Basins will be classified under Schedule II.
Any such sub-projects will become ineligible for funding.
The EIA Regulation (SI No. 28 of 1997) is consistent with the WB and AfDB categorisation of projects
or sub-projects such as those which will be funded under the African Development Bank (Kafue SubBasin) and the World Bank (Barotse Sub-Basin).
The screening process described below will be used to determine the appropriate types of
environmental follow-up measures; depending on the nature, scope and significance of the expected
environmental impacts from each SPCR Sub-project activities.
6.4 Screening of Sub-Projects
The screening for environmental and social assessments correspond to the three major categories
(A, B, C –WB; or 1, 2, 3-AfDB) under the classification criteria of the MDBs and two schedules
(schedule 1 or 2) under the ZEMA classification system.
Page | 65
6.4.1 Category C/3; Schedule 2 Sub-projects (Group1)
As the PPCR will be a community demand-driven (CDD) project under the Participatory Adaptation
Component, most of the projects will be small (in size and investment value) and will be, in most
cases, of a short rather than a long duration. Consequently, a number of the sub-projects in both the
Kafue and Barotse sub-basins will fall under category C (World Bank) or 3 (AfDB).
These sub-projects will hardly have any anticipated environmental and social impacts. For these
projects, no action will be required to be taken by the implementing authority. However, written
authorisation or confirmation from ZEMA stating that these sub-projects do not require any
screening for environmental and social impacts will have to be obtained prior to sub-project
implementation. These sub-project prototypes are listed in table below.
Table 19: Indicative list of Eligible Category C Project Prototypes, which may be financed under the PPCR SUB-PROJECT PROTOTYPES
Category C (World Bank) or Category 3 (AfDB)Schedule 2 (ZEMA)
1.
Increased beekeeping, and production of crafts in less climate-sensitive locations
2.
Siting horticulture, aquaculture in less climate-sensitive locations
3.
Conservation agriculture( improved management of soil moisture through use of
mulch/organic matter and conservation of soil organic matter)
4.
Diversification of crop varieties– drought resistant and flood-tolerant crops or through
staggering planting time - production of seedlings of climate resilient crops/fruits 10
Sub Basin
KAFUE
BAROTSE









5.
Improved management of livestock pastures/grazing land

6.
Constructing of transport facilities for land or water transport incl. platforms for
evacuation of people and animals11

7.
Reforestation, community forestry, agro-forestry


8.
Access to agricultural micro-credit and/or agricultural insurance services and
products


9.
Rehabilitation of boreholes, wells in order to provide water during unexpected or
prolonged droughts


10.
Climate vulnerable and hazard mapping; Development of information Management
System for local planning including GIS, Early Warning Systems, Hydro
Meteorological Network and community communication networks

Strengthening of local planning process: participatory land use planning, protected

11.



10
In the event that new varieties of fruit trees are to be introduced, this sub-project may be classified as category B
This may fall under category B, in the event that there is need to acquire new land to facilitate access to less
climate lo and/or accommodate the people/animals that are evacuated
11
Page | 66
SUB-PROJECT PROTOTYPES
Category C (World Bank) or Category 3 (AfDB)Schedule 2 (ZEMA)
Sub Basin
KAFUE
BAROTSE
area planning
12.
Access to improved weather information, development of capacity and specific
planning skills (GIS, information systems including Early Warning System/Hydro
Meteorological Network)

13.
Strengthening the level of community organization (Satellite Disaster Management
Committees, Agricultural Extension Volunteers, Agricultural Development
Committees, Water User Associations, Village Development Committees, Marketing
Associations, Women Development Groups, Youth Organizations)

14.
Strengthening public sector capacities for agricultural extension services,
dissemination of early warning information, disaster management planning and
meteorological department out-reach services

15.
Establishing farmer field schools / demonstration farming plots; partnerships and
village collaboration with agricultural research institutions.
16.
Development of entrepreneurship and marketing skills for local production






Apart from Category C/3 and Schedule 2, other sub-projects may be classified under Categories B/2
and schedule 2.
6.4.2 Category B/2; Schedule 2 Sub-projects (Group 2)
Under the PPCR, almost an equal number of sub-project prototypes will be classified as either
category B (World Bank) or category 2 (AfDB), while under ZEMA the sub-projects will be classified
under Schedule 2. Sub-projects under this category include those that are to have some
environmental and social impacts. However, these impacts are not widespread or significant. Table
19 below presents a listing of sub-projects that are likely to fall under these categories/schedules.
Table 20: Indicative list of Eligible Category B Project Prototypes which may be financed under the PPCRSUB-PROJECT PROTOTYPES
Category B (World Bank) or Category 2 (AfDB) Schedule 2 (ZEMA)
Sub Basin
KAFUE
BAROTSE
1.
Improved (capture) fisheries management/construction of fish ponds and/or
aquaculture management, restocking of ponds

2.
6
Promotion
of climate resilient livestock or increased livestock varieties which are
culturally appropriate or environmentally sustainable agricultural practices such as
mixed farming including orchards and fruit farming

3.
7
Construction
of animal shelters/ equipping veterinary centres

4.
5.
1
Promotion
of value-addition /constructing post-harvest processing/storage facilities for
2
agro-products
and / or NTFP’s;
1
Rehabilitation
of existing structures by raising base of settlements mounds schools,






Page | 67
SUB-PROJECT PROTOTYPES
Category B (World Bank) or Category 2 (AfDB) Schedule 2 (ZEMA)
Sub Basin
KAFUE
BAROTSE
3
community
halls, health centers, market/trade sites to withstand higher levels and
longer periods of flooding
6.
1
Strengthen/raise
mounds/paths/bridges used for crossing flood plains in areas close to
4
communities
during prolonged floods
7.
1
Rehabilitation
and/or maintenance of canals in order to ensure water availability and
5
distribution
during period of insufficient rainfall/allow early planting when rains come
late
Rehabilitation and/or maintenance of canals to facilitate drainage of flooded fields and
allow for early planting.
8.
1
Developing
watershed management planning and management including water
6
protection,
flood prevention water regulation for various uses
9.
1
Community
game ranching (incl. benefit sharing), wildlife estates fencing of wildlife
7
habitats
in parks and GMA’s
10.
1
Construction
of small scale water regulation structures (flood gates, weirs, canals small
9
dams)
11.
2
Construction
of embankments /flood walls, construction of gabions and other
0
stabilization/erosion
prevention engineering structures, vegetation planting
12.
2
Dredging,
drainage ditching, storm drains or creating cut–off channels for managing
1
water
flow
13.
2
Construction
of ponds/canals for water retention, storage/directing run off













2
14.
2
Rehabilitation
and maintenance of small irrigation schemes, small dams, water
3
reservoirs,
de-silting
15.
2
Construction
of new storm drains (linked to road infrastructure)



4
Sub-projects under this classification are not expected to have major environmental and social
impacts. This is partly because of their small size, simplicity and generally low investment value. For
sub-projects in this category, the SPIU will make a “no objection” application to ZEMA for all the subprojects that are proposed for implementation for each quarter. In view of the lengthy procedures, it
may be necessary to submit applications much earlier prior to implementation of the sub-projects.
For such sub-projects, reporting should be done during the next quarter after sub-project
implementation. Brief quarterly reporting forms can be used for this purpose. More comprehensive
reporting will be contained in the Annual Reports. Templates of both the quarterly and annual
reporting forms are attached in annex 13.
6.4.3
Category A/1; Schedule 1 Sub-projects
Page | 68
Sub-projects falling under these categories are typically those that are likely to have significant
and/or widespread environmental and social impacts. While not many sub-projects of this magnitude
are currently anticipated under the PPCR in both sub-basins, a few sub-projects may fall into
Category A/1 or Schedule 1.
The climate proofing of major farm-tomarket roads in the Kafue Sub-basin may be classified as
Category 1/schedule 1 (AfDB and ZEMA) respectively. The planned upgrading of 251.25 kilometres of
roads will include: (i) Kalomo to Dundumwezi (75.25km), (ii) Itezhi-Tezhi to Dundumwezi through
Ngoma and Nanzhila (124km), and (iii) Namwala to Itezhi-Tezhi D180 (52km).
In the Kafue sub-Basin most of the community-level infrastructure that will be “upgraded to
withstand severe floods and droughts”, will be classified as Category 2. However, the medium to
large scale investments that are intended to promote value addition sub-projects may be classified as
Category 1 (AfDB/ZEMA) as are likely to have significant environmental and social impacts that may
trigger an EIA.
Under the World Bank classification, the improvement of about 300 kilometres of traditional canals
in the Barotse Sub-Basin, are likely to be classified as Category B sub-projects. This would mean that
the corresponding ZEMA classification would be Schedule 2. In all instances, it will be important to
provide detailed background information in the subproject descriptions that is relevant to the
assessment of environmental and social impacts. The Screening Process
Individual subprojects will be subject to a screening process based on the environmental and social
screening form (see below). This will provide the basis for the preparation of a simplified (1 page)
environmental and social management plan that describes the activity, location, proponent, the
potential environmental and social impacts (from the screening form), the suggested mitigation
measures, and a mitigation/monitoring plan presented in a simple table.
The list of sub-projects endorsed for approval by the SPIU (Provincial Administration) would be
submitted quarterly to ZEMA who will consider one of the following actions:
a) endorse them on a no-objection basis;
b) endorse with further recommendations; and/or
c) recommend the preparation of a full Project Brief.
ZEMA would then have a period of two weeks to communicate their response. In the event that
there is no such response after two weeks, then approval based on a no-objection would be
automatically be granted. The following form is to be used for screening of sub-projects:
ENVIRONMENTAL AND SOCIAL SCREENING FORM
Yes
A
No
ESMF
Resource
Sheets
Type of activity – Will the subproject:
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Yes
No
1
2
3
4
Support small scale agricultural activities?
Support small scale animal husbandry or processing?
Involve small-scale aquaculture?
Livelihoods diversification (e.g. beekeeping, production of crafts in less climate
sensitive locations)?
5
Support small scale irrigation schemes?
6
Involve the construction or rehabilitation of ponds, wells, boreholes, small
dams, weirs or reservoirs?
7
Involve rehabilitation/dredging of canals?
8
Build or rehabilitate any community rural roads?
9
Involve community forestry and afforestation?
10
Involve community game ranching/wildlife estate?
11
Rehabilitate community structures or buildings?
12
Be located in or near an area where there is an important historical,
archaeological or cultural heritage site?
13
Be located within or adjacent to any areas that are or may be protected by
government (e.g. national park, national reserve, world heritage site) or local
tradition, or that might be a natural habitat?
If the answer to any of questions 1-13 is “Yes”, please use the indicated Resource Sheets or sections(s)
of the ESMF for guidance on how to avoid or minimize typical impacts and risks
B
ESMF
Resource
Sheets
C14.13
C14.1
C14.8
C14.10
C14.3
C14.2
B8
C14.5
C14.7
C14.12
B5.3
B5.4
Environment – Will the subproject:
14
15
Risk causing the contamination of drinking water?
Cause poor water drainage and increase the risk of water-related diseases
such as malaria or bilharzia?
16
Harvest or exploit a significant amount of natural resources such as trees, fuel
wood or water, fish?
17
Be located within or nearby environmentally sensitive areas (e.g. intact natural
forests, wetlands) or threatened species?
18
Create a risk of increased soil degradation or erosion?
19
Affect the quantity or quality of surface waters (e.g. rivers, streams,
wetlands), or groundwater (e.g. wells)?
If the answer to any of questions 14-19 is “Yes”, please include an Environmental Management Plan
(ESMP) with the subproject application.
C
B5.1, C8
Land acquisition and access to resources – Will the subproject:
20
Require that land (public or private) be acquired (temporarily or permanently)
for its development?
21
Use land that is currently occupied or regularly used for productive purposes
(e.g. gardening, farming, pasture, fishing locations, forests)
22 Displace individuals, families or businesses?
23 Result in the temporary or permanent loss of crops, fruit trees or household
infrastructure such as granaries, outside toilets and kitchens?
24 Result in the involuntary restriction of access by people to legally designated
parks and protected areas?
It the answer to any of the questions 26-29 is “Yes”, please consult the ESMF and, if needed, prepare a
Resettlement Action Plan (RAP)
D
Pesticides and agricultural chemicals – Will the subproject:
33
Involve the use of pesticides or other agricultural chemicals, or increase
existing use?
If the answer to question 33 is “Yes”, please consult the ESMF and, if needed, prepare a Pest
Management Plan (PMP).
B6.1
B6.1
B6.1
B6.1
B6.4
B6.2,
C10
B6.3,
B5.2, C9
Page | 70
Page | 71
CERTIFICATION
We certify that we have thoroughly examined all the potential adverse effects of this subproject. To the best of our
knowledge, the subproject plan as described in the application and associated planning reports (e.g. EMP, RAP, IPP, PMP),
if any, will be adequate to avoid or minimize all adverse environmental and social impacts.
Community representative
Name: _________________________________(signature): _________________________________
Date: ____________________________________
District/SPIU representative (signature):_________________________________
Name: _________________________________(signature): _________________________________
Date:_________________________________
___________________________________________________________________________________
FOR OFFICIAL USE ONLY
Desk Appraisal by Review Authority:


The subproject can be considered for approval. The application is complete, all significant environmental and social
issues are resolved, and no further subproject planning is required.
A field appraisal is required.
Note: A field appraisal must be carried out if the subproject:

Needs to acquire land, or an individual or community’s access to land or available resources is restricted or lost, or any
individual or family is displaced

May restrict the use of resources in a park or protected area by people living inside or outside of it

May affect a protected area or a critical natural habitat

May encroach onto an important natural habitat, or have an impact on ecologically sensitive ecosystems (e.g. rivers,
streams, wetlands)

May adversely affect or benefit an indigenous people

Involves or introduces the use of pesticides

Involves, or results in: a) diversion or use of surface waters; b) construction or rehabilitation of latrines, septic or sewage
systems; c) production of waste (e.g. slaughterhouse waste, medical waste); d) new or rebuilt irrigation or drainage
systems; or e) small dams, weirs, reservoirs or water points.
The following issues need to be clarified at the subproject site:
…………………………………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………………………………
…………………………………
A Field Appraisal report will be completed and added to the subproject file.
Name of desk appraisal officer (print): …………………………….………………………………
Signature: ………………………………………………… Date: ………………………………
It is understood that though that the assigning of the potential sub-projects to the three categories
described above is only indicative and not binding. It is the screening of the actual sub-projects and
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the assessment undertaken by ZEMA that will determine whether the sub-project falls under the “no
objection accompanied by comments/corrections” category or whether the sub-project requires a
full Project Brief (EPB).
Apart from the simple environmental and social screening, two other forms may be required. These
are the site selection form and the Filed appraisal form. An example of the site selection is given
below while an example of the Appraisal form is attached in annex 9.
Example of SITE IDENTIFICATION FORM
Subproject Name:
Subproject Location:
Beneficiaries:
Community Representative and Address:
Extension Team Representative and Address:
Site Identification:
It is imperative to rate the sensitivity of the proposed site when selecting the location of a subproject.
Rating is based on the criteria listed in the table below. Higher ratings do not automatically imply that a site
is unsuitable. Instead, it is taken as a clear indication of the high risk of triggering significant negative
environmental and social effects. It means that more substantial environmental and/or social planning may
be required if the potential negative effects are to be avoided, mitigate or managed.
Issues
Natural habitats
Low
No natural habitats
present of any kind
Site Sensitivity
Medium
No critical natural habitats;
other natural habitats occur
Rating
Critical
present
High
natural
(L,M,H)
habitats
Water
quality
and
water
resource
availability and
use
Water flows exceed any
existing demand; low
intensity of water use;
potential water use
conflicts expected to
be low; no potential
water quality issues
Medium intensity of water
use; multiple water users;
water quality issues are
important
Intensive
water
use;
multiple
water
users;
potential for conflicts is
high; water quality issues
are important
Natural hazards
vulnerability,
floods,
soil
stability/ erosion
Flat
terrain;
no
potential
stability/erosion
problems; no known
seismic/ flood risks
Medium
slopes;
some
erosion potential; medium
risks from volcanic/seismic/
flood/ hurricanes
Mountainous terrain; steep
slopes; unstable soils; high
erosion potential; volcanic,
seismic or flood risks
Cultural
property
No known or suspected
cultural heritage sites
Known heritage sites in
project area
Involuntary
resettlement
Low
population
density;
dispersed
population; legal tenure
is well-defined; welldefined water rights
Suspected cultural heritage
sites; known heritage sites in
broader area of influence
Medium population density;
mixed ownership and land
tenure; well-defined water
rights
High population density;
major towns and villages;
low-income families and/or
illegal ownership of land;
communal
properties;
unclear water rights
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1. Community representative
Name: ____________________________(signature): ____________________Date: __________________
2. NGO/CBO representative
Name: ____________________________(signature): ____________________Date: __________________
It is noted however, that ZEMA may recommend an EIA for a sub-project. Where a sub-project or
projects requires an EIA, ZEMA procedures will be followed including public disclosure.
6.4.4 Environmental Impact Assessment
Where an EIA is required the PC will recommend to the PPCR Secretariat and ZEMA for the EIA study.
After preparation of the EIA report, ZEMA will recommend to the Project Approval Committee (PAC)
on Environment for its approval.
6.4.5 Public Consultation and Disclosure
According to Zambia’s Guidelines for EIA (1997), public consultations are an integral component of
the EIA requirements, and the Guidelines identify the following principal elements:
Developers are required to conduct public consultation during the preparation of Project Briefs and
EIAs.
The Director General of the Environmental Management Agency may, on the advice of the Technical
Committee on Environment (TCE), conduct his or her own public consultation to verify the works of
a developer.
Formal EIA documents are made available for public review and comments. Documents to which the
public has access include Project Briefs, EIA terms of reference, draft and final EIA reports, and
decisions of the Director General of the Environmental Management Agency regarding project
approval. The Director General, on the advice of the TCE, will develop practices and procedures for
making these documents available to the public.
Decision Letter approving projects will be published by the developer and displayed for public
inspection.
Public consultations are critical in preparing an effective proposal for the implementation of the
project activities. These consultations should identify key issues and determine how the concerns of
all parties will be addressed in response to the terms of reference for the EIA, which might be carried
out for construction and rehabilitation proposals.
The Zambian EIA (1997) Guidelines provides details concerning the public consultation methods.
Such methods include information notices, brochures/fliers, interviews, questionnaires, community
meetings and public hearings. In terms of Zambia’s EIA process, public consultation should be
undertaken during (i) the preparation of the EIA terms of reference; (ii) the carrying out of an EIA;
Page | 74
(iii) Government review of an EIA report; and (iv) the preparation of environmental terms and
conditions of approval.
For the PPCR, the first step will be to hold public consultations with the local communities and all
other interested/affected parties during the screening process. These consultations will be aimed at
briefing the communities about the project activities, how the activities will be carried out and what
sectors of the environment are likely to be impacted. The Area LAC, with the assistance of the Local
Leaders, will conduct these public consultations in a participatory manner to encourage the
communities to contribute to the screening process.
During preparation of the Terms of Reference for an EIA, District Councils (or a consultant) will
consult with the ZEMA to ensure that the TORs are comprehensive enough to cover all the sectors of
the environment and that they conform to the EIA procedures as outlined in the EIA Guidelines. The
ZEMA will also ensure that the social and health impacts of the project activities will be adequately
covered in the EIA report.
In the course of preparing the EIA the consultant will conduct extensive public consultations to
attract and capture comments from the stakeholders as well as the communities for incorporation in
the EIA report. The stakeholders and communities, including institutions will be asked to contribute
to the identification of impacts and to proposed mitigation measures for the negative impacts. They
will also be asked to comment on how the positive impacts may be enhanced.
When reviewing the EIA report, the TCE will ensure that the relevant stakeholders, including
potentially affected persons, were adequately consulted with regard to the potential impacts of the
proposed project activities. Consultation methods suitable in for the PPCR would include workshops,
community meetings, public hearings or information notices which would be organized through the
Office of the District Commissioner.
This ESMF has been prepared through public consultations involving the communities in the
proposed project areas, Local Leaders, District Officials, and Provincial, National, farmers and key
Government institutions. Copies of the ESMF will be made available to the public through the above
channels of communication and in the same manner, EIA results would be communicated to the
various stakeholders.
To meet the consultation and disclosure requirements of the World Bank, the Zambian Government
will issue a disclosure letter to inform the World Bank of (i) the Government’s approval of the ESMF
and the RPF; (ii) the actual disclosure of these documents to all relevant stakeholders and potentially
affected persons in Zambia, and (iii) the Government’s authorization to the Bank to disclose these
documents in its Info shop in Washington D.C. The steps towards disclosure of the safeguard
documents have to be completed prior to appraisal of the PPCR as required by the Bank’s Disclosure
Policy OP 17.50.
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CHAPTER 7: MONITORING PLAN OUTLINE FOR PPCR PROJECTS
Adherence to World Bank (WB), African Development Bank (AfDB) and Zambian environmental
and social policies and legislation usually raises challenges during the implementation phase of
most projects. Therefore, the importance of monitoring is critical to the successful
implementation of projects and sub-projects under the PPCR components.
The objectives of the environmental and social monitoring plan (ESMP) for the PPCR projects and
sub-projects are to:
(i)
Generate and provide policy makers, decision makers (at national and provincial level),
implementers (at district and sub-district and community levels) investors12, financiers and
controlling authorities with timely information on the progress being achieved. This
monitoring information will enable implementers to make informed decisions regarding
appropriate adjustments in the implementation of the sub-projects;
(ii) Determine whether the goals and objectives of the adaptation and mitigation measures
designed for the PPCR projects and subprojects have been achieved. This assessment of
performance compares the baseline environmental and social conditions with the actual
conditions at the time of monitoring of the projects and subprojects in order to assess the
extent to which the original environmental and social conditions have been restored,
improved or made worse;
(iii) Ensure that all activities relating to the operation and maintenance are being carried out in a
manner that protects the environmental and social conditions without compromising the
health and social well-being of the beneficiaries and target communities; and
(iv) Ensure, where required, that any changes to the PPCR project and sub-project ESMPs are
made with necessary suggestions for additional training and institutional capacity building in
order to improve the performance of the ESMP implementation.
Monitoring is a key component of the ESMP during project implementation. Monitoring should be
undertaken during the PPCR sub-projects implementation phase to authenticate the
effectiveness of impact management, including the extent to which mitigation measures are
being successfully implemented. An ESMP should have the following components:
1.
2.
3.
4.
5.
Compliance monitoring;
Impact monitoring; and
Cumulative impact monitoring.
The aim of monitoring would be to:
Improve environmental and social management practices;
6. Check the efficiency and quality of the EA processes;
7. Establish the scientific reliability and credibility of the EA for the project; and
12
Investors are mainly from the private sector will financiers in bilateral and multilateral donors and MDBs
Page | 76
8. Provide the opportunity to report the results on safeguards and impacts and proposed
implementation of mitigation measures.
7.1 Compliance Monitoring
This is to authenticate that the required mitigation measures, which are the environmental and
social commitments agreed on by the PPCR Secretariat, district and local implementing agencies.
As the majority of the CDD projects will be small projects, most of which are likely fall within the B
(IBRD) and 2 (AfDB), involving ZEMA in the compliance monitoring of individual projects may
prove to be both time consuming and costly. It is difficult to justify such investment of time and
financial resources and thus it may be advisable to request ZEMA to authorize the Climate Change
Secretariat to manage this on their behalf. A ZEMA representative could participate in compliance
monitoring of selected projects once or twice a year.
7.2 Impacts Monitoring
Monitoring of sub-projects impacts mitigation measures should be the duty of the PPCR
Secretariat and implementing agencies at the Provincial (SPIU) and District level. The
Environmental and Social (E&S) safeguards agreed in the contract specifications should be
monitored to ensure that works are proceeding in accordance with the laid down mitigation
measures. The PPCR Secretariat and other implementing agencies should ensure that the project
implementers submit reports on work progress and any challenges in observing the E&S
safeguards. The monitoring results should form a major part of the reports to be submitted to
ZEMA, MoF.
7.3 Cumulative Impacts Monitoring
The impacts of the PPCR on the environmental and social resources within the Project areas
should be monitored with consideration to other developments which might be established.
There should be collaboration between PPCR Secretariat and proponents of other development
projects to compare E&S safeguards guiding the individual projects implementation to ensure
coordinated and comprehensive management of cumulative impacts.
There are two aspects of monitoring in the PPCR subprojects. The first aspect takes into account
the monitoring at ward or community level (project site) where the project is being implemented
and; secondly, at the larger scale for all sub-projects at district and provincial level.
7.4 Monitoring Requirement
Environmental monitoring needs to be carried out during all phases including construction,
operation and maintenance of subprojects in order to measure the success of the mitigation
measures implemented. Subproject designs must include a monitoring framework, together with
indicators. The monitoring requirements of the ESMF that take into consideration the
environmental and social mitigations measures are:
i.
Mitigations measures outlined in the ESMP are fully implemented in consultation with all
stakeholders involved at national, provincial, district, and ward and community levels;
ii.
Adherence to the policies and legal requirements as outlined in the World Bank, Africa
Development Bank and national legal frameworks;
Page | 77
iii.
The local people’s expectations and regulations are taken into account;
iv.
All the stakeholders and institutions involved in implementations of the subprojects ought
to be familiarized with the challenges of identification of impacts and mitigation measures
prescribed for each subproject or CDD.
7.5 The Environmental and Social Monitoring Plan and Monitoring Indicators
An Environmental and Social Management Plan (ESMP) is required for subprojects that have
distinct mitigation measures such as physical works or management activities. The ESMP must be
included in the subproject application. The main elements of an ESMF are listed in the table
below:
Table 21: Elements of an ESMP
Element
Description
1
Adverse effects
The anticipated negative effects are identified and summarized.
2
Mitigation measures
Each measure is described with reference to the effect(s) it is intended to deal
with. As needed, detailed plans, designs, equipment descriptions, and
operating procedures are described
3
Monitoring
Monitoring provides information on the occurrence of environmental effects.
It helps identify how well mitigation measures are working, and where better
mitigation may be needed. The monitoring program should identify what
information will be collected, how, where and how often. It should also
indicate at what level of effect there will be a need for further mitigation.
How environmental effects are monitored is discussed below.
4
Responsibilities:
The people, groups, or organizations that will carry out the mitigation and
monitoring activities are defined, as well as to whom they report and are
responsible. There may be a need to train people to carry out these
responsibilities, and to provide them with equipment and supplies.
5
Implementation schedule
The timing, frequency and duration of mitigation measures and monitoring
are specified in an implementation schedule, and linked to the overall
subproject schedule.
6
Cost estimates and sources of
funds
These are specified for the initial subproject investment and for the mitigation
and monitoring activities as a subproject is implemented. Funds to implement
the EMP may come from the subproject grant, from the community, or both.
Government agencies and NGOs may be able to assist with monitoring.
7
Monitoring Methods
Methods for monitoring the implementation of mitigation measures or
environmental effects should be as simple as possible, consistent with
collecting useful information, so that community members can apply them
themselves (see example below). For example, they could just be regular
observations of subproject activities or sites during construction and then
use. Are fences and gates being maintained and properly used around a new
water point; does a stream look muddier than it should and, if so, where is the
mud coming from and why; are pesticides being properly stored and used?
Most observations of inappropriate behaviour or adverse effects should lead
to common sense solutions. In some cases (e.g. unexplainable increases in
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illness or declines in fish numbers), there may be a need to require
investigation by a technically qualified person.
Adapted from ESMF Tool Kit – Part C (June 2004)
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Table 22: Example of an environmental and social monitoring plan (ESMP) for the sub-projects
MITIGATION/ENHANCEMENT
MONITORING INDICATOR
SUBPROJECT
FREQUENCY OF MONITORING
RESPONSIBILITY FOR MONITORING
MEASURE(S)
Agriculture and Livestock Practices

Land Husbandry
 Introducing/scaling-up
conservation tillage and soil
moisture retention - improved
management of soil moisture
through use of mulch/organic
matter and conservation of
soil organic matter;
Increased in temperature due
to climate leading to high
evapotranspiration and poor
soil moisture retention

“Composting” of
animal
manure, grass and plant
material for application to
fields – for increased soil
moisture
retention
and
improved soil texture in sandy
areas such as those in the
Barotse Sub-basin





Crop Husbandry
 Diversifying
agricultural
practices
such
as
crops/varieties
grown
including those that can be
drought tolerant or grown
under water logged conditions
or staggering time of
plantings;
 Changing times for applying
agriculture inputs to take
advantage
of
available
moisture and rainfall;

Use of chemical fertilizers
likely impact the environment
and affect the quality of water
in the rivers and streams
Increased crop production will
likely increase the use of
herbicides/pesticides which
will affect the environment
and the quality of water

Use of mulch/organic material
to reduce loss of soil moisture
through evapotranspiration


Promotion of organic farming
Introduce management plans
for appropriate use of
fertilizers
Develop a PMP that adheres to
WB, AfDB safeguard polices
and ZEMA regulations





Number of farmers attending
sensitisation events/training
on making and use of
compost from animal manure
Improvement of soil texture
as result of regular use of
animal/vegetation compost
Number of farmers adopting
improved moisture retention
techniques
Reduced evapotranspiration
due to increased use of
mulch/organic material
Number of farmers receiving
training on organic farming as
an alternative to fertiliser
dependent
Number of farmers trained in
appropriate use of fertilizers
Number of farmers adopting
organic farming techniques
The development/use of PMP
in the sub-project

Depending on the duration of the
sub-project monitoring will be done
in the middle and at the end

Quarterly
(for
subprojects)
Annually (district level)

grouped

Depending on the duration of the
sub-project monitoring will be done
in the middle and at the end

Quarterly
(for
subprojects)
Annually (district level)

SPIU
MAL district staff
DTOs
NGOs
SPIU
MAL district staff
DTOs
NGOs
grouped
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7.6 Monitoring Indicators
The success or failure of any environmental and social management plan (ESMP) depends, to a
very large extent, the quality of the monitoring indicators. Good indicators are verifiable and
should be:
(i) Specific to avoid ambiguity of items being measured;
(ii) Measurable in order to facilitate quantification; and
(iii) Quantifiable to be easily translated into units of measurement and to facilitate
verification.
Selected indicators should be measured in units of, for example, time (i.e. duration), frequency (i.e.
how often), area or volume (e.g. size of area land planted), length (e.g. length of road affected),
quantity (e.g. number of farmers adopting conservation agriculture). Table 22 above gives
examples of specific indicators that could be used for the subprojects.
Quantitative indicators can be used alongside or with qualitative indicators. This is done for
example to compare the conditions after the implementation of the project/subproject against the
baseline conditions.
It is important to measure the overall success of PPCR project or sub-project in terms of the
planned adaptation and mitigation measures and determining whether the desired environmental
and social performance is being achieved. For PPCR projects and sub-projects, the following
general parameters could be used:

Number of subprojects adopted after screening as required by the ESMF;

Efficiency of sub-projects’ maintenance and operation performance;

Percent improvement or degradation in the environmental health of the farmers using or
affected by the subprojects;

Percent improvement or degradation of bio-physical state of the environment;

Number and types of the key benefits to the participating farmers, from the subproject as a
result of using the ESMF and the screening process;

Numbers of women farmers participating in subprojects activities.

Number of stakeholders (including beneficiaries) who have received technical training in
screening methods.
7.7 Monitoring Responsibility
The PPCR Secretariat will have the overall responsibility for coordinating and monitoring
implementation of the ESMF. In addition, this will include conducting sensitization programmes to
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inform stakeholders about the framework and how it is to be implemented in the context of
stakeholder participation. The Secretariat and the Sub-Project Implementation Units in both subbasins will undertake continuous compliance and impact monitoring to ensure that:
All subproject activities are implemented according to the environmental management
requirements of the ESMF and, where applicable, specific Environmental and Social Management
Plans (ESMPs);
Problems arising during implementation are being addressed; and Environmental and social
mitigation or enhancement measures, designed as per the ESMF, are reflected within specific
ESMPs and monitoring plans.
The SPIU, Provincial Administration, supported by DTOs and NGOs, will be responsible for social
and environmental monitoring and reporting. The following elements will constitute part of the
environmental and social monitoring reports:

Implementation schedule;

Extent of community involvement;

Project expenditure

Problems arising as well as solutions devised, during implementation; and

Efficiency of contractors in fulfilling their environmental management obligations.
They will produce quarterly progress reports and annual reports for the PIU. See annex on
annual report form as a guideline.
7.7.1 District and Sub-district level
The subprojects monitoring will be implemented by various stakeholders in different locations.
Although the Secretariat is hosted under the MoF, the three components of the PPCR recognize
the need for stakeholder participation for monitoring at various levels. These include among others
Traditional Authorities (e.g. the BRE and paramount chiefs and headmen), Government Agencies,
Non-Governmental Organizations, Private Sector Organizations, Civil Societies and Development
Partners.
Successful implementation of the ESMF, the EMP and the monitoring plan will require input,
expertise and resources from all the key stakeholders. It will also require the participation and
involvement of the local people and the Local Leaders. Therefore these key stakeholders would
need to collaborate in subproject monitoring at all levels including at national, district and local
levels. Some of the stakeholders will require basic training in environmental management and land
and water conservation practices.
7.7.2 National level
The MoF will be responsible for the overall environmental and social monitoring of the PPCR
subprojects through various implementing structures. The Climate Resilient Infrastructure sub-
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component would be implemented by RDA (for roads) and the Maritime Department (for canals)
in close collaboration with provincial authorities and NGO partners, and overall (national) guidance
of the Climate Resilient Infrastructure platform. These institutions will be expected to submit
environmental and social monitoring and compliance reports to the Secretariat and where
applicable to ZEMA. The PPCR Secretariat will have the overall decision making responsibility
regarding the monitoring outcomes of the subprojects, including approval of work plans and
budgets relating to EMP activities. The Secretariat will be charged with the day-to-day national
level management of the project, and will be strengthened to be able to do so. Therefore,
Secretariat will coordinate and monitor implementation of the Environmental Management Plans.
7.7.3 Provincial, District and Local Levels
The Participatory Adaptation sub-component would be implemented directly by District Councils
and/or Local Area Committees, under the guidance of experienced NGOs, and oversight of
Provincial technical sub-committees of DMMU and the Climate Resilient Agriculture platform of the
NCCDC. These local institutions will equally be expected to report of their monitoring and
implementation of the respective subprojects. In this case, the District Councils and/or Local Area
Committees will be encourage to use the community monitoring participation approach to come
up with all inclusive monitoring report. Box A outlines an example of a community participatory
monitory format.
The PIU in consultation with the SPIU will facilitate annual assessment of the sub-projects in both
the Barotse and Kafue Sub-basins.
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CHAPTER 8: INSTITUTIONAL CAPACITY ASSESSMENT FOR
THE ESMF IMPLEMENTATION
8.1 Need for Institutional Capacity
The success of the Pilot Programme for Climate Resilience in Zambia (PPCR) depends on
the commitment and existing capacities of the institutions charged with the responsibility
of implementation. This is even more pertinent in view of the fact that, climate change is
relative new area of development that presents challenges whose magnitude has not been
experienced before.
The Zambia’s Climate Change Programme is still evolving. Drawing on the NAPA, NCCRS and
the PPCR, The Ministry of Finance has established in interim Secretariat that has been
overseeing the Phase One of the PPCR in the Kafue and Barotse sub-basins. A number of
Ministries, Government Departments and Agencies are already actively involved in the pilot
programme. As the Strategic Programme for Climate Resilience moves up a gear into Phase
II the level of involvement of national level government institutions is expected to increase.
8.2 National Government Institutions
The Government institutions currently involved in the implementation of climate change
programmes in Zambia are the Ministry of Finance (MoF), the Ministry of Lands, Natural
Resources and Environmental Protection (MLNREP), and the Disaster Management and
Mitigation Unit (DMMU) in the Office of the Vice President (OVP).
However, many other Ministries and Government departments are also involved in climate
change-related activities and are critical stakeholders in the national programme. These
include (not in order of importance):

Agriculture and Livestock (MAL);

Lands, Natural Resources and Environmental Protection (MLNREP);

Mines, Energy and Water Development (MMEWD)

Local Government and Housing (MLGH);

Transport, Works, Supply and Communication (MTWSC);

Community Development, Mother and Child Health (MCDMCH);

Sport and Youth (MSY)

Commerce, Trade and Industry (MCTI)
Agencies and departments that are already working with climate change projects and
programmes include:
Draft_ PPCR Environment and Social Management Framework_Dec.2012
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
The Disaster Management and Mitigation Unit (DMMU) under the Office of the Vice
President (OVP);


The Zambia Environmental Management Agency (ZEMA); and

The Zambia Wildlife Authority (ZAWA)

The National Road Fund Agency(NFRA) and the Road Development Agency (RDA)
As indicated, most of these ministries and agencies are either already involved in climate
adaptation or mitigation programmes and projects or have a mandate to undertake climate
change interventions. A full description of the roles and functions of the various ministries
and other public sector institutions is annexed (see annex 15).
However, as most of the projects and sub-projects will be community-driven, the Ministry
of Local Government and Housing has been mandated (through district councils) to play a
key role in the implementation of the participatory adaptation projects and sub-projects.
The next section describes the role of local Government institutions.
8.3 Local Government Institutions
During Phase I of the PPCR, MoF undertook an Institutional Financial Management
Assessment (IFMA) in the pilot districts. The objective was to assess the preparedness of
District Councils to administer funds under the Participatory Adaptation Component of the
PPCR. This was based on the understanding that local institutions needed to have a
practical and sustainable fiduciary capacity in order to disburse funds at the local level,
The IFMA was carried out by key PPCR stakeholders representing the Government, civil
society organizations and partner programmes in Kazangula ,Sesheke and Mongu.
The IFMA focused on:

management capacity of local institution;

financial capacity of local government (e.g. budgeting, accounting, internal
controls, fund flow, financial reporting and external audits. At the same time it
sought to draw lessons on how donor funded projects have been ran and their
application on the anticipated PPCR investments. The IFMA also considered the
outstanding capacity needs that the PPCR would need to support.
The IFMA found that District Councils are at different levels of capacity and preparedness,
although most have basic general knowledge and capacity on planning and budgeting,
followed basic accounting and financial reporting procedures, and had some degree of
internal and external audit structures. However, it is apparent that more capacity building is
required for district staff to improve their skills in managing external resources such as the
PPCR – particularly in accounting software training, and monitoring and reporting of
Draft_ PPCR Environment and Social Management Framework_Feb.2013
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expenditures. In terms of preparedness, the district of Senanga rated reasonably high,
followed by Sesheke, Kazungula and Mongu. At the local (sub-district or ward) levels, some
structures exist – such as Area Development Committees and Satellite Disaster
Management and Mitigation Committees – but their capacities to manage funds remain
limited at this stage. Area Development Committees in general receive funding through
Local Authorities who also administers procurement processes on their behalf.
Fortunately, the pilot districts benefitted from 7 years of experience in the Zambia Social
Investment Fund (ZAMSIF), a Community Driven Development Programme which ran from
2000 to 2005, and, under a different name, up to 2007. This Programme developed the
required fiduciary procedures, manuals and materials that will be adapted for use under the
PPCR. Under ZAMSIF, Area Development Committee representatives co-signed the
authorization and withdrawal of funds. There were also indications in all districts that the
beneficiary communities had contributed labor and in-kind inputs (such as sand, stones,
water, wood, etc) towards project implementation in their areas.
The Local Area Committees (LACs) are considered having an important role in the local
planning process. Based on the recommendations of the IFMA, funding to pilot districts and
Area Development Committees will be phased in as their capacity is strengthened. Qualified
NGOs – preferably with prior experience in the districts – would be contracted for this
facilitation. The PPCR Investment projects include a provision for this overhead.
The planning process described in PPCR for Integrated Development Plans and Local Area
Plans involves several elements which are illustrated in the figure below:
Figure 4: Integrated Development Plans and local Area Plans
In addition, provincial and district sub-committees of Disaster Management Units have a
significant role in the implementation of the projects aimed at risk reduction, adaptation
and early warning systems. These units have satellite members in communities and they
have undertaken disaster assessments on district levels.
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(i)
In brief, different roles for integrated development plans have been identified in
PPCR
(ii)
Districts and Area Development Committees to integrate climate resilience into
the IDPs and LAPs either by retrofitting existing plans or helping incorporate
climate resilience into the local planning process.
(iii)
NGOs to assist districts and Area Development Committees
(iv)
Climate Resilient Agriculture multi-stakeholder platform a) to oversee and
coordinate the component implementation and liaise with the Provincial
Development Coordinating Committee for local level and b) liaise with CGIAR
centers or other international centers of excellence for specialized support (e.g.
advice on specific crop or livestock diseases)
(v)
Provincial Development Coordinating Committee to a) support local level through
specialized sub-committees handling disaster risk management and climate
change adaptation at the provincial level e.g. DMMU/Environmental Provincial
Committee and b) contact the Climate Resilient Agriculture Platform for more
specialized support
(vi)
Specialized Provincial Committees to reviewed the mainstreamed IDPs and LAPs
and send its recommendation to the National Platform
(vii) National Platform undertakes final review of the mainstreamed IDPs and LAPs
against a set of specific criteria
(viii) NCCDC Board (in the interim period the Permanent Secretary of Finance or
Secretary to the Treasury) to formally approve the mainstreamed IDPs and LAPs
(ix)
Provincial and national platform to provide technical assistance supporting the
target districts and sub-districts according to their needs.
(x)
District Council or provincial levels to solve local problems.
While Local Government institutions will play the key in the implementation of the pilot
projects and subprojects, the complex task of building climate resilience in the pilot
projects requires the participation and contribution of several actors, drawn from the
private sector and civil society organisations.
8.4 Civil Society Organisations
Non-Governmental and Civil Society Organisations are highly active in climate changerelated issues in Zambia, particularly at the community level, and in policy/advocacy
processes. They include, amongst others, the Zambia Civil Society Network (ZCSN) which
represents more than 50 NGOs and CSOs involved in climate change issues in Zambia
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Green EnviroWatch, an active advocacy youth group that has organized the first Climate
Change Youth Conference in Zambia who was actively involved in the preparations for
Durban. Concern Worldwide, who has an extensive programme of support to 45,000
farmers in Western Province. The Red Cross Zambia is implementing the Zambezi River
Basin Initiative to strengthen disaster risk management planning at the local level. IUCN is
working on vulnerability assessments in Luapula, Western and Central Provinces-. The
World Fish Center, with an active programme of technical assistance to fisheries and
aquaculture. Pellum is assisting poor and vulnerable farmers with livelihood diversification
and sustainable agriculture.
The CSO stakeholders also include Zabuntu and Machaworks who have organized the
Random hacks of Kindness events (linking ICT experts with climate change and disaster risk
management programmes), the National Heritage Conservation Commission helping
promote Barotse as a World Heritage Site and Peace Parks Foundation aimed at
establishing the Kavango-Zambezi Transfrontier Conservation Area. Together, these NGO
and CSO partners bring a formidable amount of technical and financial resources to
Zambia’s Climate Change Programme.
Under the coordination of MLNREP, there has been active collaboration between the PPCR
and NGOs/CSOs. Key NGO partners participate regularly in PPCR workshops and visits to
pilot sites, and ZCSN provides a respected umbrella for continuing collaboration. Further,
individual NGOs participate actively in the inter-sectoral Platform discussions according to
their area of interest. Both DFID and the Governments of Denmark and Finland support
dedicated Civil Society Funds (of US$240,000 and US$6.3 million equivalent). ZCSN and
other NGOs have been trained in crowdsourcing methods to help them strengthen their
coordination and information with field stakeholders. As the National Climate Change
Programme is established, however, there will be a need to formalize this collaboration,
and optimize NGO interventions according to their comparative advantages. In particular,
the capacity of ZCSN and youth groups should continue to be reinforced. NGOs are
expected to be actively involved in the PPCR at two levels: at the national level, through
advocacy, awareness, and information promotion; and at the field level in the pilot PPCR
sub-basins, as facilitators of community adaptation. The choice of partners is expected to
be facilitated by the fact that NGOs are already specialized by region/district.
8.5 Vulnerable Social Groups
As indicated by the Vulnerability Assessments (ZVAC, 2005), the most vulnerable social
groups for PPCR targeting are women-headed households; widows and elderly (both men
and women); rural youths; and people living with HIV-AIDS or caring for HIV-AIDS orphans.
The current HDI Gender Inequality Index (GII) value for Zambia is 0.752, giving it a rank of
124 out of 138 countries (based on 2008 data). Women are disadvantaged on three
dimensions – reproductive health, empowerment, and economic activity, all of which can
be impacted by climate change. Female participation in the labor market is currently 60%
compared to 79% for men. Yet as discussed before, female-headed households are only one
segment of vulnerable social groups.
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The elderly – both men and women – some men-headed households and the chronically ill
are also highly vulnerable. Rural youth are included in this group because they can be
particularly disadvantaged in isolated parts of the Zambezi basin, where they lack access to
the irrigated land normally reserved for their elders, face high levels of unemployment, and
few alternative livelihood options to farming. In general, the prevailing high disparities in
economic and social standing between these vulnerable groups and the remaining
population make it imperative for the PPCR to design targeted interventions to the benefit
the most vulnerable.
These vulnerable social groups will be particularly targeted by the PPCR; by earmarking at
least 50% of the funds disbursed under climate-resilient Area Development Plans to their
direct benefit. Given the weak capacity at the sub-district level, NGO partners working with
the PPCR on the target sub-basins will need to provide substantial capacity building to
these vulnerable stakeholders, including helping them form groups and assist them in
accessing better services and livelihoods.
8.6 Private Sector
Private sector stakeholders in Zambia range from large corporate, small and medium
enterprises, to farmers. To date, they have had a somewhat limited role in addressing
climate resilience, but given the proper incentives and information, have the potential to
play leading roles in promoting innovative technologies.
Zambia has several agro-business companies that play major roles in the production,
processing and distribution of livestock, eggs, dairy products and staple foods. Through IFC,
the PPCR will explore potential adjustments in the operations of such companies in PPCR
target areas (such as improved water use efficiency) to build resilience to climate change
and reinforce food security.
The Africa Carbon Credit Exchange (ACCE) and Lloyds Financials have recently developed
two climate-related financial instruments, the Low Carbon Africa Fund and the Green
Technology Credit Enhancement Fund to stimulate private investment in climate-friendly
technologies. There is good potential to use financial intermediaries such as ACCE and local
banks to promote climate resilient investments such as rainwater harvesting, drip irrigation,
conservation agriculture, natural capital restoration, the design of climate-resilient
discharge systems in mining operations, and off-grid power, not to mention sponsorship of
climate resilient events.
Already, mining and ICT companies have provided active support to climate change
initiatives such as the Youth Climate Change Conference (November 2010) and the Random
Hacks of Kindness event (December 2010). There is also potential to expand micro-finance
services to benefit vulnerable social groups in the pilot areas. IFC, for example, is already
expanding microfinance services to entrepreneurs in both urban and rural environments
through investments such as in Access Microfinance Holding AG.
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Other relevant private sector players in Zambia include mobile phone platform providers
such as ESOKO, which specializes on providing information to farmers (including weather
information). Development of such platform in Zambia is likely to require an ‘entrepreneur
incubation period’ whereby grant finance supports the training of local entrepreneurs to
establish sufficiently of a users’ network to make it a commercially viable operation in the
medium term.
Finally, the insurance industry has grown considerably in Zambia in the last decade,
including for example Cavmont Capital Insurance Corporation Limited, Goldman Insurance
Limited, Madison General Insurance Company Zambia Limited, NICO Insurance Zambia
Limited, Profession Insurance Corporation Zambia Limited, and ZIGI Insurance Company
Limited. IFC intends to approach such companies to determine the feasibility of establishing
a weather index-based insurance product.
Lastly, Zambia has been the focus of keen stakeholder interest on climate change issues.
The Government of Zambia has taken this challenge head-on by holding extensive
consultations to formulate its National Climate Change Programme. In recognition of the
challenges ahead, the Government has decided to develop a dedicated programme that is
unbiased by sectoral mandates and will help channel resources and advice where they are
most needed. At the same time, the institutional analysis has indicated that, in order to be
sustainable, climate change adaptation must be integrated with emerging decentralization
trends, a task best achieved by integrating climate resilience into local planning and
institutions. The PPCR should support these choices by helping strengthen Zambia’s climate
change framework, and thus ensure that today’s programmes can be sustained well into
the future.
8.7 Implementation Arrangements and Capacity Building Requirements
8.7.1 Implementation Arrangements
As stated above, the Zambia PPCR will follow the institutional arrangements outlined in
Zambia’s Climate Change Programme (PPCR Main document). The Ministry of Finance
(MoF) will take overall responsibility for coordination and execution of the PPCR. During
the interim period prior to the establishment of the Zambia Climate Change and
Development Council, the Government has already established a Secretariat with a staff
establishment of nine.
The detailed implementation structure for the Barotse sub-basin is presented in figure 11.
Page 90
National Climate Change Secretariat
Provide Oversight for all three components
Component 1- Strategic
National Programme
Support
Oversee Implementation of
Component 1 through the
following agencies or external
contracts
Institutional Support to
National CC programmes
(direct mandate)
Component 2 - Support to
Pilot Participatory
Adaptation
Component 3 - Pilot
Oversight for
Barotse Sub-Basin Pilot Area
Sub-PIU in Western Province under Chief Planners’ Office
Provides TA, M&E, Financial Management
Provincial Committee reviews and selects sub-grant proposals and
recommends to Secretariat for signature
DMMU
Early Warning System and
Climate Information Platform
External contract for
Awareness Campaign
External contract and
consultations for Climate
Finance Instruments
Academic network of experts
to advise on mainstreaming
and specialized training
M. of Transport – policy oversight for canal
management
NGO Partners - Community facilitation
BRE - Community engagement and
motivation
Councils (under District Planner) - integration of
climate resilient into local/district development
plans, technical oversight
Beneficiaries: districts, wards, groups,
individual champions – formulate and
implement sub-grants
Figure 5: Overview of the Implementation Arrangements. (Source IBRD, Abbreviated Project
Descriptions)
The implementation structure and mechanisms for projects and subprojects in the Kafue
sub-basin which will be financed by the African development Bank are identical but slight
different. Based on the assumption that the main implementation agency will the Ministry
of Finance through the PPCR Secretariat (and later, the Climate Development Council), we
have taken the liberty to borrow from the illustration showing an overview of the
implementation arrangements in figure 12 below.
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Figure 6: Overview of the Implementation Arrangement (Source AfDB, Abbreviated Project
Descriptions)
Based on this implementation structure the roles and responsibilities of each stakeholder
are described in the table below.
Table 23: Roles and Responsibilities
Agency/institution/organisation
The National Climate Change
Secretariat(operating under the
Ministry of Finance (MoF)
Role/Responsibility
coordinate all climate change projects in Zambia
overall PPCR project execution
overseeing and coordinating project implementation
(including the management of the Special Account)
direct implementation of the sub-component on
“Institutional Support to National Climate Change
Status
Though
awaiting
ratification, Secretariat is
already operational and
has a staff complement
that includes:
PPCR Project Coordinator,
Page 92
Role/Responsibility
Program”,
oversee the social marketing campaign.
mainstream key policies and programs
facilitate specialized training for qualified national
champions with the potential to contribute to the
PPCR
identify key gaps that need to be addressed if Zambia
is too eligible for direct financing from global climate
funds (such as the Green Climate Fund).
Commission studies on risk financing instruments,
Oversee and manage sensitization and awareness
campaigns which are scheduled to commence at
during the second year of project implementation
Oversee formulation and application of sector
screening guidelines
DMMU
Oversight for early warning and information platform
activities
Oversight for coordination of disaster risk
management
ZMD
Coordination of meteorological information;
Ministry of Lands, Natural
Resources and Environmental
Protection
Lead role in policy coordination
responsible for mitigation (Directorate of Forestry,
MLNREP)
Ministry of Agriculture and
Lead role in climate resilient agriculture
Status
Advisor,
Procurement Specialist,
Information Specialist
an intern in monitoring
and evaluation,
Administrative Assistant.
Financial
Management
Specialist to be hired in
January 2013
Eight sector specialists
drawn from
ministries
which are “most affected
by climate change” will
provide advisory support
to the Secretariat
The
Secretariat
will
“operate under a National
Climate
Change
Development Council or
equivalent board” with
representation
from
public and private sector
and civil society
DMMU is fully operational
under the Office of the
Republican Vice President.
The proposed refocusing
from
mitigation
and
management of disasters
to disaster risk reduction
will be proactive by place
emphasis
on
early
warning and disaster
preparedness.
ZMD is fully operational
department under the
Ministry of Transports,
Works,
Supply
and
Communication.
There is need to assess
capacity in gathering and
disseminating
climate
change
relevant
information timely
The role of this ministry in
climate is recognized in
the NAPA and NCCRS
capacity in mainstreaming
climate change
This is the ministry that is
Page 93
Livestock
Role/Responsibility
Ministry of Transport, Works
Supply and Communication
Lead role in climate resilient infrastructure
Ministry of Energy and Water
University
of
Zambia,
Mulungushi University and
Copperbelt University all of
which offer courses in climate
change and disaster risk
management.
Lead role in energy and water
Participate in the selection of the trainees and
international centers of excellence would be done
jointly by the Secretariat and an
UNDP
Work closely with the Secretariat to oversee “ a
specialized study to determine the viability of
selected climate risk financing instruments”
Working closely with the Secretariat in the
implementation of the Climate Information subcomponent. This will include participation in
awareness and sensitization campaigns
Civil society Organisations
Status
probably the most directly
affected
by
climate
change. Its role in
mitigation and adaptation
is critical as recognized in
the NAPA and NCCRS.
capacity in promoting
climate
resilient
agricultural practices.
Like
agriculture
and
livestock, this ministry is
among those that are
most directly affected by
climate change because
infrastructure. Its role in
mitigation and adaptation
is critical as recognized in
the NAPA and NCCRS
and enhance capacity in
promoting
climate
resilient infrastructure –
design,
construction,
maintenance and repair.
8.7.2 Coherence between PPCR Phases
Like other PPCR countries, the Zambia PPCR consists of two phases- Phase I and Phase II
which are expected to overlap and use similar institutional mechanisms:

Phase I (approved in March 2010 value-US$1.5 million) is expected to run from 2010
to mid-2013.The objective with this preparatory phase was to formulate Zambia’s
Strategic Programme for Climate Resilience (PPCR). The phase focused on five
strategic components: (a) Mainstreaming climate resilience into national
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development planning; (b) Strengthened institutional coordination; (c) Improved
information for decision makers; (d) Targeted awareness and communication; and
(e) Preparation for Phase II.

Phase II (US$110 million - submitted for approval in June 2011), will focus on the
implementation of the PPCR based on the three strategic components. This phase is
expected to run from mid-2013 to 2020 when components (a) to (d) will be
embedded into the Strategic Programme Support component of the PPCR
8.7.3 PPCR Investment Projects
While the three strategic components of the PPCR are closely integrated and respond to
the priorities of Zambia’s Climate Change Programme, they need to be packaged into
coherent investment projects. In particular, PPCR investments within each sub-basin need
to be closely coordinated. For example the improvement and management of canals in
Barotse sub-basin, cannot be implemented in isolation of the Participatory Adaptation
activities taking place in surrounding districts.
The same applies to upgrading of strategic roads, particularly Kafue which will link several
strategic agriculture and natural resource management areas within target districts. The
two sub-basins involve distinct socio-cultural and economic challenges and therefore
require dedicated approaches. It is also beneficial to develop distinct investment projects
under the PPCR under which the experiences of the two sub-basins can be compared, and
later up-scaled to the national level.
Since the PPCR will support three distinct Investment Projects, taking into account the
MDB’s comparative advantages:
Investment Project 1, Strengthening Climate Resilience in Zambia and the Barotse Sub-Basin
(US$50 million),would involve Strategic Programme Support (Component 3 of the PPCR) as
well as support to the Barotse sub-basin – including both Participatory Adaptation and
Climate Resilient Infrastructure investments. It would be administered by the International
Bank for Reconstruction and Development (IBRD), who, as lead MDB for the PPCR, has a
comparative advantage on institutional programme support.
Investment Project 2, Strengthening Climate Resilience in the Kafue River Basin (US$45
million), would support Participatory Adaptation and Climate Resilient Infrastructure in the
Kafue sub-basin (Kafue River Basin). It would be administered by the African Development
Bank who is already active in the energy and water sectors in the Kafue sub-basin.
Investment Project 3, Private Sector Support to Climate Resilience (US$15
million),administered by the International Finance Corporation, implemented by IFC, would
support the various private sector support activities to the PPCR (Component 3.3).
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The relationship between the Investment Projects and the strategic components of the
PPCR are shown in the figure below. Given the specific relationship between the PPCR and
Zambia’s Climate Change Programme, and the need to work coherently within this
programmatic framework, the MDB-supported projects would be stand-alone, rather than
additional investments of existing sectoral programmes. The figure below illustrates the
link between the main components and investment projects.
NDF Support to Transport
Infrastructure Norms
Figure 7: Complimentary Projects in the Zambia PPCR Phase II
8.7.4 Capacity Building Requirements
Capacity building should be viewed as more than just training. It involves human resource
development that includes equipping individuals with the conceptual understanding, skills
and access to information, knowledge and training that enables them to perform
effectively in achieving project/programme goals. It also involves organisational
development and institutional strengthening, an in-depth understanding of the
management structures, relevant policies, legislation and procedures.
In this regard, the capacity of the Ministry of Finance, line ministries, district councils and
other stakeholders to carry out design, planning (including obtaining approvals,
permissions), monitoring and implementation functions will, to a large extent, determine
the success, sustainability or otherwise of the PPCR.
In implementing climate resilient projects and sub-projects in the Barotse and Kafue subbasins, it will be difficult to achieve the objectives and provisions of this ESMF in the
absence of relevant knowledge, adequate skills and competencies on environmental and
social management within PPCR Secretariat, SPIURDA, DMMU, ZMD and other
stakeholders. The following sections makes recommendations on capacity building relevant
to the PPCR’s environmental and social management objectives.
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The first step in undertaking capacity building of various stakeholders will be to assess the
capacity building needs relevant to climate change, climate resilience and environmental
and social assessment and management.
8.7.4.1 ESIA Capacity Needs
Planning, designing and implementing climate resilient projects and sub-projects in the pilot
sub-basins require an understanding of the environmental, social impacts and mitigation
measures at community and district level. Training events focusing on these thematic areas
will take the form of courses, workshops and specific seminars at national, provincial and
district level. Where necessary awareness campaigns may be used to complement or
reinforce the trainings.
Specific workshops on the ESMF/RPF and the MDBs safeguard policies OP 4.12 and OP 4.01
would be organised for the PPCR Secretariat and RDA; the Department of Maritime and
Inland Waterways (head office and provincial offices) as well as the private sector (project
consultants/contractors).
The following additional training topics are proposed:
1.
2.
3.
4.
Environmental and social Screening Process and Checklists
Zambian EIA Procedural Frameworks
Preparation of Terms of Reference for ESIA
Environmental and Social Clauses in Contractors’ contract and bidding documents.
The environmental and social officers or the coordinators within the SPIU will have
sufficient knowledge and understanding of the implementation of the World Bank policies
of OP 4.12, OP 4.01 and OP 4.09 and participate in the training of provincial and officers.
The awareness creation, capacity building and training workshops will focus on (a)
Mainstreaming climate resilience into national development planning; (b) Strengthened
institutional coordination; (c) Improved information for decision makers; and (d) Targeted
awareness creation. The target group will consist of selected officers directly involved in
the implementation of PPCR projects and sub-projects and will include:
i.
ii.
iii.
iv.
v.
PPCR Secretariat and the SPIU;
RDA and Department of Maritime and Inland waterways and other implementing
agencies;
Provincial DMMU committees; and
District/Sub-district
NGOs and, where relevant, CBOs
The cost of these trainings is estimated at US$370,000 as explained in the table below:
Page 97
Table 24: Estimated budget for ESIA trainings
Activity
Description
Unit
cost,
US$
No
Total
Cost,
US$
1.
Mainstreaming
climate resilience into
national development
planning
15,000
3
45,000
2
Best practices and
local
institutional
coordination
LS
-
10,000
3.
Improved
environmental
and
social
safeguarding
for decision makers
Targeted awareness
and communication
for Provincial, District
and
Sub-district
levels.
Awareness creation
and
information
dissemination
workshops
Monitoring
and
evaluation
Staff training course on PPCR
implementation and environmental
and social safeguards with ESIA
procedures – planners and decision
makers.
Study tours (local) for selected social
and
environmental
champions
participating in PPCR to visit and learn
from other successful projects. .
Training workshops for Provincial and
District Planners on environmental
and social impact screening of subprojects
Provincial and District level training
workshops on ESIA procedures
10,000
Biannual
20,000
5,000
5
25,000
Investors, consultants, general public
on
environmental and social
requirements relating to PPCR
10,000
2
20,000
Safeguard monitoring in projects by
Secretariat, SPIU, government, NGOs
and third parties
7500
20
150000
4
5
6
370,000
8.7.4.2 Safeguard Compliance in participatory project planning, implementation and
community engagement
Community driven projects and community ownership are essential in ensuring compliance
to environmental and social safeguards. It was observed during consultations with
communities in the districts which were visited service provision by the public sector
institutions felt short of expectations. A case in point was the agriculture extension
services. NGOs , CBOs and to some extent private sector players have attempted to fill the
gap left by public sector institutions in providing support services and undertaking capacity
building interventions for the communities.
These support and capacity services are critical in empowering communities to take
responsibility for their own development through planning and managing their own
projects – in this case, projects and sub-projects that promote climate resilience. When
communities get empowered in this way, it follows that they will take greater responsibility
for the ensuring compliance to environmental and social safeguards.
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Specific courses and participation meetings will be arranged between communities and
district officers, NGOs/CBOs and the private sector representatives (service providers for
agro-processing and other sustainable livelihoods, early warning information). The following
training topics are proposed:







Avoiding and Mitigating Environmental and Social Impacts in Community Planning
Establishing and Enforcing Community Rules for Safeguarding
Community Development Planning and Responsibilities
Defining Sustainable Development Projects
Inclusion of Vulnerable Groups in Community Planning and Projects
Conflict Resolution in Community Decision Making
Roles and Responsibilities of District Councils and Community in Safeguarding and
Conflicts
The participants include community members and district officers who should work in close
collaboration with the communities in designing, formulating local development plans. The
emphasis of the trainings will be on safeguards which will include community participation,
sustainable planning and management of the projects through enforcement of local
safeguards.
Table 25: Capacity Building Budget Estimates
Activity
Description
1
Capacity building for Community
Leaders, Key Community Groups
district and extension officers
Practical participatory courses in
communities for planning and
defining community projects
Conflict Resolution in Planning
and Implementation
Monitoring and evaluation
2.
3.
4.
Unit
cost,
US$
No
Total
Cost,
US$
Training course on sustainable projects,
safeguards and inclusion in community planning
10,000
10
100,000
Trainings for community members and
community groups on planning and safeguards
compliance
Roles, responsibilities and conflict resolution
strategies
Training community members and district
officers for monitoring enforcement of
safeguards and conflict resolution
7,500
20
150,000
5000
20
100,000
5000
15
75,000
425,000
Table 26: Programme Support and Budget over the project period
Activity
Description
1
Procurement
for
sustainable projects
and PPCR activities
2.
Private
engagement
sector
and
Training course on the procurement
requirements in relation to project
safeguard requirements and project
cost(see table 27 below)
Selected trainings* for PPCR implementers
to define and manage service provider and
Unit
cost,
US$
No
Total
Cost,
US$
10,000
10
100,000
LS
75,000
Page 99
3.
4.
consultancy
assignments
with
safeguards
Trainings and specific
safeguard
assessments
by
service providers
Monitoring
and
evaluation
consultancy assignments in relation to
safeguards and specific assessments
Training courses on specific environmental
and social assessments and application of
safeguard policies in monitoring and annual
reviews of sub-projects and activities
Trainings on application of safeguard
policies in ESMF monitoring and annual
reviews of sub-projects and activities for
District level DTOs, Provincial Administration
officials, NGOs.
LS
10000
500,000
15
150,000
825,000
*the training is to be conducted under the supervision of the environmental and social safeguards specialists
engaged by the PPCR Secretariat to support the Sub-project Implementation Units in Mongu (Barotse) and
Choma(Kafue). NGOs and Research/training institutions – University of Zambia, Mulungushi and Copperbelt
Universities may be engaged to provide the training. Consultants (both firms and individuals) are to be
contracted through the PPCR Secretariat to provide specialist training as may be required.
As the budgets will be implemented through the PIU and respective SPIUs (in Mongu and
Choma) the costs will be shared between the MDBs based on agreed cost-sharing
agreement between them and the PPCR Secretariat.
8.7.5 Cost of Implementing the ESMF
Sub-projects have not been identified; the number of sub-projects is still to be determined
as is the size of individual sub-projects, their exact locations and number beneficiaries. The
cost of the implementation of this ESMF is therefore difficult to determine at this stage
unless several assumptions are made.
Since the sub-projects will be community-demand-driven and “micro” in scope at an
estimated cost US $2,500 per sub-project (for the Baroste Sub-Basin), it can be assumed
that these sub-projects will be large in number. It can also be assumed that a number of
such sub-projects are likely to be sited in same geographical or adjacent locality. The cost of
monitoring and implementation of the ESMF would then be spread over a number of the
sub-projects. Based on this, the estimated cost of implementing the ESMF could be US $
1,000 for every 5-10 sub-projects depending on the complexity and physical distances from
the district administrative centre.
For sub-projects with ‘bigger’ budgets, experiences from the region suggest that costs for
implementing an ESMF can be estimated at between 2% to 5% of the total cost of the subproject.
Page 100
8.7.6 Overall Financing
Level of financing for subprojects in the Barotse sub-basin based on the IBRD Abbreviated
Project Descriptions
Table 27: level of funding for sub-projects in the Barotse sub-basin
Implementation Level
District-level grants
Ward-level grants
Community or group-level grants
Level of Funding
US$125,000/district/year
US$50,000 /ward/year
US$10,000/unit (for structural adaptation)
US$2,500/unit (for non-structural or “soft” adaptation)
Individual grants to champion innovators,
A contingency fund, to reward well
performing groups
US$100/person*
US$1.3 million to fund preparedness
ca. US$2.0 million in the event of an early warning of a disaster
* This is an average estimate
Page 101
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African Development Bank, Cooperation with Civil society Organisations (1999)
African Development Bank, Gender Policy (2001)
African Development Bank, Involuntary Resettlement (2003)
African Development Bank, Policy on the Environment (2004)
African Development Bank, Poverty Reduction (2004)
Associated Programme Flood Management (APFM) (August 2007). Strategy For Flood Management
For Kafue River Basin. WMO, MEWD, Lusaka, Zambia.
Beilfuss, R. And C. Brown (Eds) (2006).Assessing Environmental Flow Requirements Of The Zambezi
Delta: Application Of The DRIFT Model (Downstream Response To Imposed Flow Transformations).
University Of Eduordo Mondlane. Maputo, Mozambique.
Chenje, M. (Ed) (2000).State Of The Environment 2000. Zambezi Basin.SADC/IUCN/ZRA/SARDC
2000.Maseru/Harare/Lusaka.
Chidumayo, E.N. (2011). Climate Change And Wildlife Resources In East And Southern Africa. In:
Emmanuel Chidumayo, E., Okali, D, Kowero, G. and Mahamane, L. (eds.), Climate change and African
forest and wildlife resources. African Forest Forum, Nairobi.
Denconsult (1998).Sector Studies Under ZACPLAN, Introductory Volume, Final Report. Zambezi River
Authority. Lusaka, Zambia.
Euroconsult Mott Macdonald (December 2007). Integrated Water Resources Management Strategy
For The Zambezi River Basin. SADC-WD/Zambezi River Authority, SIDA, DANIDA, Norwegian Embassy,
Lusaka.
Government Republic Of Zambia (2006,) ‘Vision 2030’. A Prosperous Middle-Income Nation By 2030.
Government Republic Of Zambia (2011) National Health Strategic Plan 2011-2015, Towards Attainment
Of Health Related Millennium Development goals And Other National Health Priorities In A Clean, Caring
And Competent Environment, Government Republic Of Zambia.
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Henkbecker (1997), Social Impact Assessment, Social Research Today Vol. 10, UCL Press.
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QMwAA
Http://Www.Afdb.Org/En/Documents/Project-Operations/Environmental-And-Social-SafeguardsPolicies-And-Procedures/#C
Jonathan Timberlake (February 1998). Biodiversity Of The Zambezi Basin Wetlands – Review And
Preliminary Assessment Of Available Information Phase 1 Final Report. IUCN-ROSA - Harare,
Zimbabwe.
Ministry Of Agriculture And Cooperatives (2010) (Unpublished) Irrigation Development And Support
Program Environmental And Social Management Framework.
Ministry Of Agriculture And Livestock (2011), Livestock Development And Animal Health Project,
Environmental And Social Management, Framework, Volume I, Government Republic Of Zambia.
Ministry Of Environment And Natural Resources (1993) National Biodiversity Strategy And
Management Plan, Government Republic Of Zambia.
Ministry of Finance Zambia: Strategic Programme for Climate Resilience (PPCR), 2011
Ministry Of Tourism Environment And Natural Resources (2007) (Unpublished) Formulation Of The
National Adaptation Programme Of Action On Climate Change, Government Republic Of Zambia.
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Ministry Of Tourism Environment And Natural Resources (2010) National Climate Change Response
Strategy, Government Republic Of Zambia.
Mukelabai Ndiyo & Mwase Phiri In Consultation With FAO (2010). Livelihood Zones Analysis – A
Scenario For Agricultural Water Management Interventions. Farming Systems Association Of Zambia
(FASAZ), Lusaka, Zambia.
Government Republic Of Zambia National Climate Change Response Strategy (2010)
National Heritage Conservation Commission (2012) (Unpublished) The Barotsecultural Landscape
Application For Inclusion On The World Heritage List, Barotseland Cultural Landscape Nomination
Dossier.
Patriotic Front (2011) 2011 - 2016 Manifesto
Government Republic Of Zambia. The Environmental Management Act, 2011.
Government Republic Of Zambia. The Forests Act, Cap. 199
Government Republic Of Zambia. The National Heritage Conservation Commission Act, Cap
173.
Government Republic Of Zambia. The Water Resources Management Act, 2011
Government Republic Of Zambia. The Zambezi River Authority Act, Chapter 467 Of The
Laws Of Zambia
Government Republic Of Zambia. The Zambia Wildlife Act Of 1998
Transfrontier Conservation Consortium (October, 2006). Pre-Feasibility Study Of The
Proposed Kavango-Zambezi Transfrontier Conservation Area – Final Report. Peace Parks
Foundation, South Africa.
Turpie, J., Smith, B., Emerton, L., & Barnes, J. 1998. Economic Value Of The Zambezi Basin
Wetlands. Phase 1 Report. IUCN-ROSA, Harare.
Vanclay Frank (2002) Conceptualising Social Impacts, Environmental Impact Assessment
Review 22 183– 211, Elsevier Science Inc.
Walmsley, B And Tshipala, K.E (2007) ‘Handbook On Environmental Assessment Legislation
In the SADC Region. Published By The Development Bank Of Southern Africa In
Collaboration With The Southern African Institute For Environmental Assessment, Midrand,
420pp.
World Bank (2004) (An Unofficial Document) World Bank safeguard Policies overview
World Bank (2011) Social Resilience &Climate Change: Operational Toolkit
World Wide Fund For Nature (July, 2012). Miombo Eco-Region Programme Conservation
Strategy For 2011 – 2020. WWF, Harare, Zimbabwe.
Page 103
Zambezi River Authority (Unpublished) Integrated Water Resources Management Strategy
And Implementation Plan For The Zambezi River Basin.
Zambia Vulnerability Assessment Committee (2007) Poverty And Vulnerability Assessment
Report.
Page 104
ANNEXES
ANNEX I: FIELD APPRAISAL METHOD AND GUIDANCE
Strategic Assessment and Framework (SAF) for
Strategic Program for Climate Resilience of Zambia (PPCR)
These assessments are to cover planned projects, development sites and areas with climate
impacts. GPS positions and photographs are needed from all sites. Knowledgeable district
representative (such as DACO) and / or community member is needed to provide local
background information of the social and environmental aspects in the site assessment.
The aim is to assess
1) Selected sites for Canals and Roads under PPCR Component 2
- Site assessment and transect along the project site
2) Sites for suggested village development based on district and/or community meeting
- Site visit & assessment
3) Sites for known impacts of weather based on community meeting
- Site visit & assessment
This Site Assessment has been designed for site assessments for collecting data and
information in the field for assessing the actual sites of

Currently known PPCR investment projects for roads and canals (in PPCR Climate
Resilience Infrastructure Component)

Locations for community development projects identified in the district meeting
and/or community participation that are suited for PPCR implementation (PPCR
Participatory Adaptation Component)

Sites identified by the district or community participation as having the most severe
weather impacts
The aim of the assessment is to describe the sites and identify environmental impacts,
social impacts and climate change vulnerability of the site in question that are used in for
setting the Environmental and Social Management Framework. The developed method is
also testing the checklists developed for the assignment.
Page 105
The form is aimed also at assist project implementers, reviewers and consultants in
collecting more information on major environmental and social risks and opportunities in
the sites. In addition, it will contribute to the site specific information collection of
Geographic Hotspots of High Environmental and Social Sensitivity as well as determination
of requirements for further environmental work in relation to WB and AfDB Safeguard
Policies, national legislation requirements and social work (such as RAP) as necessary. The
form serves in collecting information of site specific characteristics, identifying potential
environmental and socio-economic impacts requiring specific attention, mitigation
measures and/or possible resettlement and compensation.
GUIDELINES FOR FIELD APPRAISAL
The evaluator should undertake the assignment after:
1. Having held the district meeting with DACO and disaster management committee for
identifying areas
2. Gaining adequate knowledge of baseline information of the area.
3. Gaining knowledge of proposed development, community development ideas or climate
impacts of the site
PLEASE NOTE PART C IS FILLED IN OFFICE, NOT IN THE FIELD.
PART A: GENERAL INFORMATION OF THE SITE
Name of Site:
Name of Community:
GPS Coordinates (taken when error margin Date of Field Assessment:
10 m)
S:
E:
Name of District:
Way Point Number:
Time:
Project Type:
Development Project suggested by district
or community: Yes/No, name:
(see also PPCR project list)
Site Identified as impacted by weather by Private Sector Engagement Needed or
community, which community:
Beneficial:
Yes, No
Proposed Main Project Activities:
Notes on Required Skills / Capacity
Community:
District:
Private Sector Services:
Name of Surveyor:
How many photos taken:
Estimated project costs (ZMK), provide
breakdown if possible:
Page 106
Name of Site:
Name of Community:
DESCRIPTION OF PROJECT SITE CHARACTERISTICS
1. General description of the site
Specific geographical or site-specific features of the site (e.g. if the site is a dambo, flood
plain, has ground water influence, has slopes, if there are any signs of erosion) :
Main uses and climate relevance of the site (if community is using for water, irrigation,
grazing etc. and what are the weather caused problems such as floods):
Page 107
PART B:
SITE AND IMPACT APPRAISAL
AREAS OF IMPACT
1.
Are
the
project
site/activity within and/ or
will it affect the following
environmentally sensitive
areas?
N
Y
1.1
National parks
and
game
reserve
1.2
Wetlands
including
dambos
Productive
traditional
agricultural/gra
zing lands
Areas of high
biodiversity or
with rare or
endangered
flora or fauna
Areas
with
outstanding
scenery/tourist
site
Within
steep
slopes/mountai
ns
How
steep
slopes:_______
% and where
1.3
1.4
1.5
1.6
EVALUATION
Brief Description & Potential
Mitigation Measures
Extent or coverage (on
site, within 1km or
beyond 1km)
Significance
(Low,
Medium,
High)
Onsite
L
Within
1 km
Beyond 1
km
M
H
Estimate
by
using
how
many meters
elevation per
100 meters.
1.7
1.8
Arid or semiarid vegetation
Dry
tropical
forests such as
miombo
Brachsystegia
species
Along
lakes,
aquifers,
riverine
Page 108
AREAS OF IMPACT
1.9
1.10
1.11
1.12
1.13
2.
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
Near industrial
activities
Near
human
settlements
Historic,
archaeological,
sacred
or
cultural
heritage sites
Near
ground
water
or
ground water
influenced
Within prime
ground water
recharge area
Does the site suffer from
/ project generate the
following
externalities/costs
/impacts?
N Y
EVALUATION
Mitigation Measures
Extent or coverage (on
site, within 1km or
beyond 1km)
Significance
(Low,
Medium,
High)
Onsite
L
Within
1 km
Beyond 1
km
M
H
Deforestation
Soil erosion and
siltation
Siltation
of
watercourses,
dams
Environmental
degradation
from
smallholder
agricultural
improvement or
of feeder roads
rehabilitation/
construction
materials
Damage
of
wildlife species
and
habitat
(sites
of
specific
importance for
wildlife)
Pollution from
pesticides
Reduced water
quality
Soil
contamination
Page 109
AREAS OF IMPACT
2.9
2.10
2.11
2.12
2.13
2.14
2.15
2.16
3.0
3.1
3.2
3.3
EVALUATION
Loss of soil
fertility or soil
erosion
Influence
in
water
treatment
Reduced flow
or availability of
water
Depletion
of
water resource
Incidence
of
flooding
Changes
in
migration
patterns of wild
animals
Introduce alien
plants
and
animals
Increased
incidence
of
plant
and
animal diseases
SURVEYING CRITERIA FOR SOCIAL AND ECONOMIC IMPACTS
Will the implementation
and operation of the Short
description
of Estimation
project activities within impact
of Impact
the selected site generate
the
following
socioeconomic costs/impacts?
N Y
L
M H
Loss
of
land/land
acquisition for
traditional use
(e.g.
settlement,
farming,
grazing land)
Loss of assets,
property,
houses,
agricultural
produce etc
Loss
of
culturally
significant
sites,
e.g.
graveyards,
monuments
Mitigation Measures
Potential Mitigation Measures
Page 110
AREAS OF IMPACT
3.4
3.5
3.6
3.7
3.8
3.9
3.10
3.11
3.12
3.13
3.14
EVALUATION
Mitigation Measures
Loss
of
livelihoods (if
yes,
specify
which groups
are
affected
and how)
Require a RAP
Outsiders will
move to / settle
in the area, e.g.
settlers
or
migrant
workers
disruption
of
social fabric
Negative
impacts
anticipated
from
new
settlers
/
migrant
workers. What
kind?
Increased
incidence
or
other negative
change
in
communicable
diseases
Likelihood of
increased
spread
of
HIV/AIDS
Health hazards
to
workers
and/or
communities
Changes
in
human
settlement
patterns
Conflicts over
use of natural
resources e.g.
water, forest,
etc.
Specify
which ones.
Conflicts
on
land ownership
Disruption of
important
pathways,
Page 111
AREAS OF IMPACT
3.15
3.16
3.17
3.18
3.19
3.20
3.21
EVALUATION
Mitigation Measures
roads
Changes
to
labour markets
Loss of cultural
identity and/or
sense
of
community
Loss of income
generating
capacity
Loss
of
business
or
other
commercial
venture
Impact
on
women (note,
can be positive
or negative)
Impact
on
youth
(note,
can be positive
or negative)
Impact
on
vulnerable
groups:
extreme poor,
disabled (note,
can be positive
or negative)
Page 112
NOTE: PART C BELOW IS TO BE FILLED IN OFFICE
PART C: ENVIRONMENTAL BASELINE INFORMATION OF THE PROJECT SITE
CATEGORY OF BASELINE INFORMATION
GEOGRAPHICAL LOCATION
 Name of the Area (District, T/A, Village)
 Proposed location of the project
(Include a site map of at least 1:10,000
scale)
LAND RESOURCES
 Topography and Geology of the area
 Soils of the area
 Main land uses and economic activities
WATER RESOURCES
 Surface water resources (e.g. rivers,
lakes, etc) quantity and quality
 Groundwater resources – quantity and
quality)
BIOLOGICAL RESOURCES
 Flora (include
threatened/endangered/endemic
species)
 Fauna (include
threatened/endangered/ endemic
species)
 Protected areas (e.g. national parks
and forest reserves)
 Sensitive habitats (including protected
areas e.g. biodiversity hotspots, fish
breeding areas and botanical reserves)
CLIMATE
 Temperature
 Rainfall
 Start and end of rainy season (length
of dry season)
 Intra-seasonal variability in rainfall
BRIEF DESCRIPTION
Page 113
PART D: DESCRIPTION OF THE PROPOSED PROJECT ACTIVITIES BASED ON SITE
CHARACTERISTICS
1. Provide information on the type and scale of the construction/rehabilitation activity (e.g.
area, land required and approximate size of structures) that is feasible. Define the
characteristics that are specific to the site affecting the activity implementation.
2. Provide information on the agricultural improvement and/or rural
construction/improvement activities that are considered suitable for the site including
support/ancillary structures and activities required to build them, e.g. need to quarry or
excavate borrow materials, water source, access roads etc.
3. Describe how the agricultural and/or construction/rehabilitation activities will be carried
out. Include description of support/activities and resources required for the project
activities.
Page 114
ANNEX 2: BRIEF DESCRIPTION OF THE SELECTED CANALS UNDER THE PPCR
CANAL
Muoyowamo
Length/Width/
Main Function(s)
Depth
L: 28km
- Used for Kuomboka
ceremony;
W: 3-30 Metres
- Drainage of
D:30cmagricultural fields
5Metres
during
floods/irrigation of
fields
- Navigation
Lubitamei
L: 87km
W: 3 Metres
D:30cm1Metre
- Drainage
- Agriculture
- Fishing
Ng’ombala
L: 44 km
- Transport
- Drainage
Navigability
Major Problems
Possible Solutions
Economic Potential
- Good – the
canal has been
dredged
recently
particularly
close to
Nayuma
Harbour at
Limulunga
where the
Litunga has his
Winter Palace
- Can support
motorised
boats
- Narrow
- Canoe traffic
- Passage along Canal is
completely blocked by
the small culverts
where it intersects with
the Mongu-Kalabo
Road – road
construction needs to
take this into account.
- Sand siltation especially
near Nayumahabour,
Limulunga
- Low water levels near
Nayuma
- Control of sand erosion
on road which is north
east of the
Nayumahabour
- Construction of sand
traps
- Construction of gates
to control flows and
levels of water at
Limulunga
- Regular canoe
maintenance
programme
- High tourist potential which can be
extended beyond the two main
traditional ceremonies of
Kuomboka (movement from Nalolo
in the plain to Limulunga on the
Plateau) and Kufuluhela
(movement from Limulunga on the
Plateau to Nalolo in the plain) e.g.
tours can be conducted throughout
the year as this is linked to the
traditional museum at Limulunga
- Has not been regularly
maintained in last few
years
- Sometimes clogged
with vegetation during
and after floods
- Vegetation control
through Machine
dredging (once year)
complemented by
regular hand-clearing
(2-3 times and year
- Construction of sand
traps
- Prevention of sand
erosion
- Vegetation control
through Machine
- Provides crucial link between Usha
in the north east and the rest of
canal network which can spur
agricultural productivity
- Narrow
- Canoe traffic
Draft_ PPCR Environment and Social Management Framework_Dec.2012
- Has been hand-cleared
recently but still
- Provide a short link between canal
network and the main Zambezi
Page 115
CANAL
Length/Width/
Depth
W: 3Metres
D:30cm-3
Metres
Main Function(s)
Navigability
- Fishing
Major Problems
Possible Solutions
clogged with
vegetation
-
Musiamo
L: 131 km
W: 3 Metres
D:30cm-3
Metres
- Drainage
- Agriculture
- Fishing
- Narrow
- Canoe traffic
Fisheries
L: 10 km
W: 3-30 Metres
D:30cm-3
Metres
- Drainage
- Agriculture
- Fishing
- Transport
- Good for most
parts
- Was dredged
recently (AprilMay 2012)
- Can support
motorised
boats
- Has not been
maintained in last few
years
- Clogged with
vegetation in several
places, making it
impossible to navigate
- Sustaining water flows
is difficult e.g. canoes
cannot reach the new
mini-harbour which is
under construction at
Namushakende
-
-
-
complemented by
(2-3 times and year
Control of sand erosion
Construction of sand
traps
Vegetation control
through Machine
complemented by
(2-3 times a year
Vegetation control
through Machine
complemented by
(2-3 times and year
Construction of sand
traps
Economic Potential
- Apart from supporting
agricultural/farming activities, this
canal can provide a vital link from
Limulunga, through Mongu
(Mulamba)
-
This is already proving to be a
shorter link between
Namshakende where a new
mini harbour is already under
construction and the main
Zambezi
Page 116
ANNEX 3: INITIAL LIST OF PROJECT PROTOTYPES BASED ON LIST OF PPCR ELIGIBLE PROJECTS
Agriculture and Livelihood Support(incl. sustainable land use management, forest & grassland
management, agricultural diversification and commercialization)
 Conservation agriculture and agro-forestry

Soil conservation measures

Beekeeping
 Support to NTFP harvesting, usage and marketing
 Grazing management and pasture improvement
 Increased cultivation areas for climate resilient crop varieties
 Increased proportion of climate resilient livestock or increased livestock variety
 Increase of sustainable agricultural practises incl. broader variety of crops, livestock and NTFP
 Commercialization of small scale production

Constructing and locating Post Harvest Processing or Storage Facility for agro- products and / or
NTFP,
What:

Constructing and locating animal shelters

Constructing and locating abattoirs

Constructing and locating animal transport facilities for land or water transport

Constructing and locating market / trade centers for NTFPs, livestock and crops

Construction of small fish ponds
Disease Control and Early Warning
Early warning system of livestock and fish diseases through information & veterinary centers /
supply of services AND
Early warning system of waterborne diseases through information & health centers / supply of
services






Construction of telecommunication centers in communities
Major rehabilitation of existing centers (health care, schools etc. for enhanced communication)
Minor rehabilitation (health care, schools etc. for enhanced communication)
Supply of medical equipment & utilities
Construction of telecommunication cabling / large antennas
Installation of smaller, local telecommunication antennas
Possible Supporting Projects


Construction and locating livestock shelters
Construction of medical waste disposal facilities
Page 85

Construction of waste pits
Water Supply, Sanitation and Regulation
 Community water harvesting structures
 Community water storage structures
 Construction and locating sanitary enhancing latrines
 Sanitary planning / rehabilitation of boreholes or springs

Construction of local water regulation structures (flood gates, weirs, small dams)
Construction of flood walls / embankments
Construction of gabions or other stabilization / erosion prevention engineering structures
Dredging, drainage ditching or creating cut-off channels for altering water flow
Construction of small scale irrigation canals





Construction and locating water pumping stations for irrigation / local flood control
Construction of ponds / channel series for water retention, storage and directing runoff
Construction of small waste water treatments
Rehabilitation of existing canals and dams
Rehabilitation of wetlands
Artificial extension of wetland area through engineering for enhanced water retention / support
to local livelihoods
Construction of new storm drains
Rehabilitation of flood control barriers
Vegetation planting for flood control








Social Amenities and Infrastructure with Climate Resilience






Construction of community facilities and centers (health care, school) with climate resilient
standards and materials
Construction of new accession road with climate resilient standards and materials
Constructing and locating of new bridge(s) incl. climate resilient standards and materials
Construction of new water way / channel with climate resilient standards and materials
Construction of new sports venue or recreational area with climate resilient standards and
materials
Major rehabilitation of main structure based on climate resilient standards and materials
 Health care
 School
 Accession road
 Water way / channel
 Bridge
Page 86

Sports venue
 Recreational area,
what:
 Minor rehabilitation of infrastructure based on climate resilient standards and materials
 Health care
 School
 Accession road
 Water way / channel
 Bridge
 Sports venue
 Recreational area,
what:
 Construction of market place / trade center
 Sports or recreational facility
 Establishment of safety or escape route
Projects Aimed at Private Sector Engagement
Out Grower Scheme Project

Improved local infrastructure(s), describe the infrastructures:
to improve access to markets in
(describe where):

Contract farm area ha for
_______ha _____________ crops
_______ha _____________ crops
_______ha _____________ crops

Storage or other post-harvest processing facilities, what:
Tick the correct one
Micro Financing / Weather Insurance / Cottage Industry Support Project

Needed local structures, infrastructure(s), facilities or Information, Telecommunication and
Computing (ITC), describe what:

Construction of structures / facilities / infrastructure,
what:
Page 87

Major rehabilitation of structures / facilities / infrastructure,
what:

Minor rehabilitation of structures / facilities / infrastructure,
what:
Community Preparedness and Adaptation Projects
 Vulnerability and climate risk / hazard mapping
 Housing project to live with floods (such as houses elevated by poles),
describe what:
 Transport project to live with floods (such as increased boat production or water traffic),
describe what:
Page 88
ANNEX 4: PROJECTS AND SKILLS IDENTIFIED BY COMMUNITIES
District
Community
Projects considered most important
Mongu
Namushakende
1.
2.
3.
4.
5.
6.
7.
8.
Shang’ombo
Kabula 1 & 2
1.
2.
3.
4.
5.
Senanga
Lukanda
6.
1.
2.
3.
4.
5.
Sesheke
KalobolelwaNakakwa
1.
2.
3.
4.
5.
6.
Itezhitezhi
Masasabi
7.
1.
2.
3.
4.
5.
Support to agricultural
diversification
Disease Control
Social Amenities
Infrastructure development
Private Sector Driven Finance
Reinforcement of early warning
systems
Sustainable Land management
Water Supply and Sanitation
Water Supply and sanitation
Disease control
Infrastructure
Enhance private Sector driven
financing
Support to agriculture
diversification
Sustainable land management
diversification
infrastructure
Private Sector Driven Finance
Disease Control
diversification
Disease control
financing
Reinforcement of community early
warning systems
Infrastructure
diversification and
commercialization
Disease control
financing
Other
projects
Animal
husband
ry
Promotion
of
renewa
ble
energy
Road
develop
ment
Skills for development
projects
Animal Husbandry
Entrepreneurship skills
Agricultural Skills
Banking
Environment and health
Promotion
of
renewa
ble
energy
Animal
husband
ry
Fish farming
value
chain
Machine operating skills,
Improved farming and
aquaculture
production skills
Livestock management
Beekeeping
Horticulture skills
Agro processing
Mechanical operating
skills
Growing Climate resilient
crops
Health
facilities
and
services
Water maintenance and
supply
Agricultural Skills
Page 89
District
Community
Projects considered most important
Namwala
Showgrounds
1.
2.
Solwezi
Tundula
3.
4.
5.
6.
1.
2.
3.
4.
Mufulira
Murundu
5.
1.
2.
3.
4.
5.
Lufwanyama
Mwelushi Block
(Lumpuma)
1.
2.
3.
4.
5.
diversification
Infrastructure
Disease Control
Social Amenities
Water supply and Sanitation
Enhance private sector driven
finance
diversification and
commercialization
Infrastructure
Forest, grassland management and
afforestation
Enhance private sector-driven
finance
Infrastructure
diversification and
commercialization
Water supply and sanitation
diversification and
commercialization
Enhance private sector-driven
finance
Other
projects
Skills for development
projects
Borehole operation
Agricultural practices
Road and drainage
maintenance
Crop diversification
Climate
resistan
t houses
Conservation Farming
Water harvesting
Operation and
maintenance of
water wells
Animal
husband
ry
Entrepreneurship
Animal
husband
ry
Page 90
ANNEX 5: SIGNIFICANCE RATING TABLE FOR ENVIRONMENTAL AND SOCIAL IMPACTS
I.
ENVIRONMENETAL IMPACTS
Impact characterization
x
x
x
x
3.
Wildlife disturbances
x
x
x
x
4.
x
x
x
x
5.
Exposure to Agro-Chemicals
(fertilisers/pesticides)
Loss of fragile ecosystems
6.
Water Quality
x
ENVIRONMENT IMPACTS FROM
CLIMATE RESILIENT
INFRASRUCTURE IN THE KAFUE
SUB-BASIN (ROADS)
Clearing of Vegetation
Soil and Land Degradation
Wildlife disturbances.
Loss of fragile ecosystems.
Ambient air quality
Water Quality
Temporary Visual Intrusion
ENVIRONMENT IMPACTS FROM PPCR
SUB-PROJECTS IN THE BAROTSE
AND KAFUE SUB-BASINS
x
x
x
x
x
x
x
x
x
x
x
7.
8.
9.
10.
11.
12.
13.
14.
15.
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
High
x
Moderate
x
Low
x
2.
Baseline Change
Regional
1.
ENVIRONMENT IMPACTS FROM
IMPROVEMENT OF CANALS IN THE
BAROTSE SUB-BASIN
National
Localised
x
Permanent
Reversible
x
Spatial extent
Indirect
Long Term
Change
Direct
Medium
Term
Duration
Adverse
No.
Effect
Short term
Beneficial
Type
x
x
x
x
x
x
x
x
x
x
X
x
x
x
x
x
x
Page 85
19.
20.
21.
x
x
High
Moderate
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Low
Regional
National
Baseline Change
x
x
x
Localised
x
x
Permanent
x
Spatial extent
x
x
x
Reversible
x
Medium
Term
x
x
Change
Long Term
x
x
Short term
Wildlife disturbances.
Exposure to Agro-Chemicals
(fertilisers/pesticides)
Loss of fragile ecosystems.
Effluent and Solid Waste (esp. in
settlements due to increased
populations)
Water Quality
Duration
Indirect
16.
17.
18.
Direct
No.
Effect
Adverse
Beneficial
Type
x
x
x
x
Page 86
II.
SOCIAL IMPACTS
No.
1.
2.
SOCIAL IMPACTS FROM
IMPROVEMENT OF CANALS IN THE
BAROTSE SUB-BASIN
Loss of assets or access to assets
3.
Loss of access to natural and cultural
heritage sites
Disruption of canal access
4.
Human health and safety
5.
Impacts of canal alignment and dredging on
fishermen, farmers or other
stakeholders
Employment opportunities
6.
7.
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
1.
Improvement in livelihoods and local
economies
Conflicts over natural resources (water, land
and grazing lands)
SOCIAL IMPACTS FROM CLIMATE
RESILIENT
INFRASRUCTURE IN THE KAFUE SUB-BASIN
(ROADS)
x
x
2.
Loss of natural and cultural heritage.
x
x
x
3.
Disruption of footpaths (borrow pits)
x
x
x
8.
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
High
Moderat
e
Low
Baseline Change
Regional
National
Localise
d
Spatial extent
Permane
nt
Change
Reversib
le
Duration
Indirect
Short
ter
m
Medium
Ter
m
Long
Ter
m
Direct
Effect
Adverse
Benefici
al
Type
x
x
Page 87
No.
Impacts of road upgrading activities on local
communities and other stakeholders
Noise
6.
7.
1.
Social misdemeanour by road
improvement/construction workers
Employment opportunities(incl. incomes
from improved market access)
economies
Conflicts over access to natural resources
(water and Grazing lands)
SOCIAL IMPACTS FROM PPCR SUBPROJECTS
IN THE BAROTSE AND KAFUE SUB-BASINS
2.
Loss of natural and cultural heritage.
3.
Employment opportunities
4.
economies
Conflicts over natural resources (water and
grazing lands)
8.
9.
10.
5.
x
x
x
X
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
High
Moderat
e
x
x
x
Low
x
Baseline Change
Regional
x
National
x
Localise
d
x
Spatial extent
Permane
nt
Reversib
le
5.
Change
Indirect
Short
ter
m
Medium
Ter
m
Long
Ter
m
Human Health and Safety
Duration
Direct
4.
Effect
Adverse
Benefici
al
Type
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Page 88
-
ANNEX 6: RESOURCE SHEETS
C14.1: SMALL-SCALE ANIMAL HUSBANDRY
Scope of Projects
Small-scale animal husbandry can be on a commercial basis using intensive stall-fed
operations, extensive rangeland grazing, or a mixture of the two. It can also involve mixed
farms, traditional pastoral systems or nomadic herding. A variety of animals may be
included: cattle, sheep and goats for meat or milk; pigs, poultry and other farmyard
animals; camels and draught animals. Land, a supply of feed and water, and often
buildings and fencing are required. It can involve farming equipment that must be fuelled,
maintained and operated. Cultivating feed may entail the use of agro-chemicals
(fertilizers, herbicides and pesticides), and drugs may be used in maintaining animal health.
Products include meat, milk and hides as well as manure and liquid waste. Manure, liquid
waste and agro-chemicals may be washed into ground or surface waters.






Environmental Concerns
Human Environment





Human settlements near the project
Existing land uses to be displaced/converted (e.g. forestry reserves, recreational
areas)
Human health
Animal pests and diseases transmitted to humans in the water supply, insects,
edible vegetation, and directly
Chicken, pigs and other animals close to households
Animal production using wastes (crop by-products and residues)
Sensitivity of local population
Land tenure system
Security of livelihoods
Traditional livelihoods (e.g. tribal people)
Cultural values
Gender division of labour
Natural Environment

Forests and wilderness areas (areas relatively undisturbed by human development)
proposed to be cleared to create grazing land
Habitats for indigenous animal species
Number and variety of plant and animal species

Important environmental services (e.g. control of erosion, recharge
groundwater)
Livelihood of indigenous peoples
Vulnerable to the pressures of population growth, landlessness and economic
development
Sustainability: cleared moist tropical lowland forest areas are likely
unsustainable for animal production and susceptible to irreparable land
degradation
Vulnerability of arid and semi-arid (marginal) lands to overgrazing and soil erosion
Areas supporting critical habitats or rare, ecologically or commercially/domestically
important plants and animals
Other areas of special concern, officially designated or recognized nationally and/or
internationally
Environments already significantly degraded
Soil structure and productivity
Vulnerable to inappropriate stocking, stocking densities or extended grazing
periods
Soil improvement with manure
Wildlife
Competition for natural fodder
Persecution and hunting of wildlife by farmers
Water bodies and hydrology
Change in infiltration and runoff rates, overall volumes, and timing
Degradation of water quality through erosion and release of agro-chemicals
MITIGATION MEASURES
8.7.6.1 Potential
Environmental Effects
Human Environment

-
-
Human health hazards
Introduction of diseases to
humans and contamination of
water supplies for human use
by animal manures and urine
Pollution and environmental
disruption from inappropriate
use of agro-chemicals






Collect and store manure for
composting and later application
to fields
Keep manure and urine away from
household areas and water bodies
Consider using a bio-gas system
Provide protective clothes to
minimize danger to field workers
applying agro-chemicals
Avoid overuse of fertilizers
Apply herbicides and pesticides at
Page 89
MITIGATION MEASURES
8.7.6.1 Potential


Transformation
of
indigenous
(sometimes
communal)
tenure
systems and organizations
MITIGATION MEASURES
8.7.6.1 Potential

recommended times and doses
Consider
integrated
pest
management
Water Points
Comprehensive
community
participation and attention to
rights and needs of all groups


Soil and Vegetation



Degradation of vegetation due to
Too
many
animals
and
overgrazing, possibly as a result
of
stock
improvement
measures
Excess harvesting of fodder
and forage resources
Decrease in favoured fodder
species and increase in inedible
weedy species
Increased soil erosion due to
Clearing and degradation of
vegetation
Trampling and loosening of soil
Animal paths scarring hillsides
and
triggering
erosion,
sediment-laden runoff and,
possibly, gully formation
Increased rapid runoff due to
Vegetation clearing
Soil compaction diminishing
infiltration capacity







Limit animal numbers
Control length of grazing time and
succession of use on particular
areas
Rotational grazing
Development of dry-season
grazing areas and grazing
reserves
Mix animal species to maximize use
of vegetation resources
Reseed and produce fodder
Use cut-and-carry feed from
elsewhere
Restrict animal access to unstable
areas (e.g. by defining and fencingoff critical slopes)
Use soil erosion control measures
(e.g. reforestation, reseeding of
grasses,
land
preparation,
terracing)


Degradation
or
depletion
of
vegetation and soil around water
points
Too much use of surface and
groundwater sources results in
reductions in surface flow and the
water table
Lowering of the immediate water
table and degradation of local
vegetation through drilling wells and
use of boreholes
Aggravation of the effect of
droughts through poor planning,
placement, management and control
of water points





Place water points strategically to
spread the effect
Develop many small-capacity water
sources
Control use of water points (animal
numbers and time of year)
Fence off permanent water
sources when temporary pools and
streams are available
Limit well capacity by choice of
technologies (e.g. handpumps or
buckets instead of motor pumps)
Water Quality



Increased muddiness of surface
water courses due to soil
disturbances from grazing and
increased soil erosion
Contamination of surface and
groundwaters -- and negative effects
on wildlife, vegetation, crop yields,
aquatic ecology and wildlife -- by
agro-chemicals used to control pests
and diseases
Contamination of water supplies
from leaching or runoff of animal
urine and manures




Use biological pest controls before
chemical controls to reduce adding
toxic residues to the environment
Choose agro-chemicals that are
species-specific, with short active
period and low impact on other
plants
Choose
appropriate
spraying
measures and timing to minimize
water pollution
Fence off waterbodies from
grazing animals
Wildlife


Deterioration of soil fertility and
physical characteristics due to
Removal of vegetation
Increased erosion
Soil compaction


Displacement or reduction of wildlife
populations by loss of habitat
Disruption of migratory stop-over
points
Competition for food and water
resources

Plan
and
implement
range
management strategies (choice of
species, animal numbers, grazing
areas) that minimize adverse
effects on wildlife and avoid
excessive competition
Page 90
MITIGATION MEASURES
8.7.6.1 Potential


Increased poaching and killing of
wildlife considered as pests or
predators to animals, or as human
food sources
Introduction of diseases to wildlife
MITIGATION MEASURES
8.7.6.1 Potential



Rehabilitate degraded areas nearby
as wildlife habitat
Investigate management of wildlife
ranching which will help protect
wildlife resources
Consider wildlife ranching, tourism
and
controlled
hunting
as
alternatives to animal production


National environmental standards
and controls concerning the use and
application of agro-chemicals
Alternatively,
internationally
recognized standards (e.g. World
Health Organization)
8.8 Pollution



Concentrations of pollutants in air
and surface and groundwaters
Concentrations
of
suspended
sediments in surface waters
Noise levels
Environmental Health

Variety and numbers of plant,
animal and bird species (degree of
biodiversity)

Extent of critical habitats
8.9 Human Wellbeing
Animal Processing






Degradation of surface waters by
effluents with high biochemical
oxygen demand (BOD), chemical
oxygen
demand
(COD),
and
suspended and dissolved solids
Introduction of diseases to humans
through bacteria in discharge
effluent
Land
degradation
through
inappropriate disposal of solid
wastes on- or off-site
Damage to aquatic ecosystem and
water supply quality from equipment
washing detergents
Human health effects within the
facility
Attraction
of
predators
and
scavengers
ENVIRONMENTAL STANDARDS


Liquid and solid waste disposal or
treatment
to
prevent
contamination of water supplies by
effluent from tanneries, abattoirs
and other animal processing
facilities

Proper management of animal
processing facilities to reduce
health impacts
Institute
hygienic
work
practices
Ensure adequate refrigeration
Clean machinery
Implement an operational
health and safety programme
Monitor for changes in
humanwork
health
and water
Unhygienic
conditions
Spread ofquality
animal diseases to humans

Incidence of human and animal
illness or disease
Poverty levels
Sources:
EC Sectoral Environmental Assessment Sourcebook (1993)
World Bank Environmental Assessment Sourcebook (1991)
Field Guidelines for EA of Rural Credit Loans in Viet Nam (2000)
ENVIRONMENTAL QUALITY INDICATORS
Page 91
-
C14.2: Small Dams and Reservoirs
Scope of Projects
Small dams and reservoirs can have many purposes, for example to provide water for
irrigation, water supply and aquaculture, to control erosion or floods, and to generate
micro-hydro power. They may involve relatively low structures (weirs) to divert water to
other uses without creating a reservoir. Higher structures raise water levels and flood land
upstream, and can significantly alter the timing and perhaps temperature of downstream
flows. The latter may require resettlement of people, land clearing, and the relocation of
roads. Structures that divert water to other uses reduce downstream flows with
consequent effects on surface and groundwater hydrology, aquatic habitats, and water
users. New roads to access dam and reservoir sites can have their own environmental
effects (see Rural Roads resources sheet)
Even small dams can have complex and significant environmental effects. Planning
and design need to be comprehensive and thorough, and will likely involve specialists in a
variety of fields (e.g. engineering, hydrology, aquatic ecology, soil and water conservation,
sociology, economics).


Altered timing, quantity, quality and temperature of downstream water flows,
and thus the quantity and quality of aquatic habitats
Reduced nutrient-rich sediments in the released water
Altered rates and locations of bed and bank erosion and deposition
downstream
Reservoir area:
Conversion of aquatic species from those that require flowing water to those
that need still water, and effects on dependent fisheries
Siltation of reservoir if erosion rates in the upstream watershed are high
Loss of important habitats and numbers and variety of aquatic species
Terrestrial environments:
Raised water table and lowered agricultural productivity beside the reservoir
MITIGATION MEASURES
8.9.1.1 Potential
Environmental
Effects
8.9.1.2
8.9.1.3 Human Environment
ENVIRONMENTAL CONCERNS
Human Environment



Human settlements above, in and below the dam and reservoir area:
flooding of homes, agricultural land, roads, and areas of traditional or cultural
importance
local livelihoods
downstream water uses such as irrigation, water supply and aquaculture
traditional or commercial fisheries

Human health:
creating habitats for disease carriers such as mosquitoes and snails
increases in water-related diseases such as malaria, schistosomiasis (bilharzia),
onchocerciasis (river blindness), dysenteries, fevers and worms

Increases in farm animal diseases
Natural Environment


Aquaticenvironments:
Blockage of fish migration and access to spawning areas; fish population
decreases downstream
Loss of productive land (e.g.
agriculture, grazing, forestry)
Displacement of people and
families
Loss of local livelihoods




Consider alternatives to a new dam
and reservoir, for example:
Upgrading and renovating
existing water supply and
irrigation systems
Alternate locations and/or
dispersed, smaller dams in less
sensitive areas
Watershed improvement
program to enhance retention
of precipitation in soils (see
below)
Compensate for taken land and
structures, and resettlement
(including re-housing, reestablishment of livelihood activities,
water and sanitation, training)
Avoid areas of significant economic or
cultural value to local people
Ensure that downstream water users
Page 92
MITIGATION MEASURES
8.9.1.1 Potential
Environmental
Effects
(e.g. water supply, irrigation,
livestock watering) are partners in
planning the dam and
mitigation/compensation measures

MITIGATION MEASURES
8.9.1.1 Potential
Environmental
Effects

Loss of natural areas, important
habitats, and number and variety
of species (biodiversity)

Threatened water source(s) for the
reservoir
(e.g.
siltation,
evaporation losses)

Avoid:
Protected natural areas
Critical habitats or areas with
significant biodiversity (e.g.
wetlands)

Assess state of the watershed, and
plan and implement appropriate
water conservation program, perhaps
including:
Watershed
improvement
measures (e.g. revegetation,
reforestation,
afforestation,
controlled use) to reduce
erosion and increase infiltration
of precipitation
Training to ensure effective
tending
of
improvement
measures
(e.g.
watering,
protection from grazing)
Agricultural
methods
that
maximize
soil
moisture
conservation (e.g. mulching,
terracing, contour cropping,
maintaining soil cover)

Ensure thorough analysis and
assessment of potential impacts to
develop and plan, as part of the
project, an acceptable combination
of:
water releases required to
Reduction of water available to
downstream water users
8.9.1.4
8.9.1.5 Human Health


Creating habitats for disease
carriers such as mosquitoes and
snails
Increases in water-related diseases
such as malaria, schistosomiasis
(bilharzia), onchocerciasis (river
blindness), dysenteries, fevers and
worms



Assess the ecology of disease carriers
in the watershed
Employ suitable prevention and
mitigation
measures,
including
education of local people and
construction workers, e.g.:
Ensure all construction sites,
borrow pits and quarries are
properly drained
Finish and manage reservoir
margins for proper drainage
Vary the reservoir water level
Proper design and operation of
dam spillways and gates (timing
and volume of discharges)
Monitor disease and public health
indicators,
during
and
after
construction, and take corrective
measures (e.g. education, medical) as
needed
8.9.1.6 Aquatic Environment
– River/Stream

Natural Environment (General)

Reduced or altered timing,
quantity, quality and temperature
of downstream water flows
Altered rates and locations of bed
and bank erosion and deposition
downstream
Page 93
MITIGATION MEASURES
8.9.1.1 Potential
Environmental
Effects



Reduction in quantity and quality
of aquatic habitats and fish
production
Reduction/loss of downstream
subsistence
or
commercial
fisheries
Blockage of fish migration and
access to upstream spawning areas
by dam; decreases in fish
populations downstream
MITIGATION MEASURES
8.9.1.1 Potential
Environmental
Effects
-

sustain habitats and fish
production
habitat improvements to sustain
production and fisheries
development assistance to
people dependent on reduced
fisheries

Consider alternate dam locations and
possibility of fishway around dam

Clear vegetation from reservoir area
before flooding
Train farmers in soil and water
conservation, and in appropriate use
of fertilizers
8.9.1.7

8.9.1.8 AquaticEnvironment
- Reservoir

Conversion of aquatic species in
reservoir from those that require
flowing water to those that need
still water, and resulting effects on
fishing activities




Deterioration of reservoir water
quality


Assess fish production potential of
reservoir, and implement feasible
measures to enhance production (e.g.
habitat design, stocking, aquaculture)
Provide development assistance to
local people to benefit from reservoir
fisheries
Provide areas for bathing, laundering,
and animal watering away from
reservoir
Ensure local sanitation facilities do
not release pollutants to surface or
groundwaters reaching the reservoir
Prevent livestock access to reservoir
Deterioration of reservoir water
from:
Decomposition of flooded
vegetation
Nutrients in eroded soils and
agricultural fertilizers
8.9.1.9
8.9.1.10 Terrestrial
Environment

Raised water table around the
reservoir,
waterlogging
and
salinization of soils, and lowered
agricultural productivity


Project
support
to
improve
agricultural land drainage and
production around reservoir
Develop tolerant fodder and crop
species around reservoir
Page 94
MITIGATION MEASURES
8.9.1.1 Potential
Environmental
Effects






National legislation on protected
areas (natural, cultural and built
environments)
National legislation on protecting
natural resources (e.g. fish,
wildlife, forest cover)
International
environmental
conventions
(e.g.
heritage,
wetlands)
National water quality standards
and controls
National controls on use of
fertilizers,
pesticides
and
herbicides
Health and safety standards for
construction activities
8.10



Pollution
Fish deaths
Concentrations
of
suspended
sediments and contaminants (e.g.
pesticides) in surface waters and
reservoir
Reservoir oxygen levels

Degree of biodiversity (numbers of
plant, fish, animal, and bird species) in
the watershed

Small irrigation schemes can serve a few families or an entire community. They can
involve new irrigation for existing rain-fed agriculture, the development of uncultivated
areas, and changes or expansions to existing schemes. Water may be pumped from lakes,
ponds or underground, or be diverted from streams or rivers13. Pipes, channels or ditches
carry the water to farmers’ fields where it is distributed to crops by gravity on the soil
surface, by hand, or by other means.
Irrigated agriculture involves complex soil-water-plant relationships, and should not
be undertaken without thorough, informed planning, even at a small scale. While the
benefits of irrigation can be obvious and impressive, the adverse environmental effects
can be significant, long-term, and perhaps permanent.
The most significant environmental issues with small irrigation schemes concern
threats to human health and soil productivity. Health effects arise from stagnant water in
canals, ditches or fields that provide habitats for water-borne disease carriers. Losses of
soil productivity result from over-irrigation or poor soil drainage. These lead to
waterlogging and salinization of the soils, and a reduction or complete loss of their
usefulness for cropping. Salinization is the build-up of mineral salts in the soil as water
evaporates from the soil surface.
ENVIRONMENTAL CONCERNS
Human Environment
8.11 Human Wellbeing


Incidence of human and animal illness
or disease
Poverty levels
Sources:
Environmental Screening of NGO Development Projects for Small Dams / Reservoirs (CCIC
1990/91)



Concerns about:

Community management relationships

Land tenure system

Security of livelihoods

Gender division of labour
Health effects of water-borne diseases and infections, and agro-chemicals
Conflicting demands on surface or groundwater supplies
Natural Environment



Groundwater supply for other crops and vegetation
Quality of surface and groundwaters receiving excess irrigation water; or drainage
carrying nutrients, agro-chemicals, salts and minerals
Soils:

Waterlogging

Salinization
C14.3: SMALL IRRIGATION SCHEMES
13
For diversions, see Small Dams and Reservoirs resources sheet
SCOPE OF PROJECTS
Page 95


Erosion
Wetlands affected by irrigation or drainage, and threats to their environmental
services, biodiversity, and ecological productivity
MITIGATION MEASURES
8.11.1.1 Potential
Environmental
Effects
8.11.1.4 Human Health

MITIGATION MEASURES
8.11.1.1 Potential
Environmental
Effects

8.11.1.2

8.11.1.3 Human Environment


Upsetting existing social and
economic community
management relationships, land
tenure system, security of
livelihoods, and gender division of
labour

Avoid sites that require:
Resettlement
Displacement of other
important land uses, or
Encroachment on historical,
cultural, or traditional use areas

Locate and size irrigation schemes:
Where water supplies are
adequate and the scheme will
not conflict with existing
human, livestock, wildlife or
aquatic water uses, especially
during dry seasons
So that withdrawals do not
exceed “safe yield” from
groundwater resources
Encourage crops with lower water
demands
Ensure effective community
organization for equitable
distribution of water
Conflicting demands on surface or
groundwater supplies


Creating habitats in canals and
ditches for disease carriers such as
mosquitoes and snails responsible
for spreading diseases such as
malaria and schistosomiasis
(bilharzia)
Spreading infection and disease
through the inappropriate use of
irrigation canals for water supply,
bathing or human waste disposal
Health effects from improper
storage, handling, use or disposal
of agro-chemicals (pesticides,
herbicides)




Assess ecology of disease carriers in
the project area, and employ suitable
prevention and mitigation measures,
e.g.:
Site and orient water works,
fields and furrows to ensure
adequate natural drainage of
surface water
Use lined canals and pipes to
discourage vectors
Avoid unsuitable gradients, and
creating stagnant or slowly
moving water
Construct straight or only
slightly curved canals
Install gates at canal ends to
allow complete flushing
Ensure adequate sub-surface
drainage of fields
Avoid over-irrigation
Maintain water works, and clear
sediment and weeds, regularly
Provide/ensure alternate facilities for
domestic water supply, bathing and
human waste disposal
Provide education and training for
farmers and other community
members on:
Irrigation health risks
Efficient use of irrigation water
Maintenance of irrigation and
drainage works
Proper storage, handling, use
and disposal of agro-chemicals
Integrated pest management
Monitor disease/infection occurrence
and public health indicators, and take
Page 96
MITIGATION MEASURES
8.11.1.1 Potential
Environmental
Effects
corrective measures (e.g. physical
changes to irrigation scheme,
education, medical) as needed
8.11.1.5 Soils

Waterlogging









MITIGATION MEASURES
8.11.1.1 Potential
Environmental
Effects
Thoroughly assess project soils and
their management needs under
irrigated agriculture
Apply water efficiently. Consider drip
or dawn/evening sprinkler irrigation.
Install and maintain adequate surface
and sub-surface drainage
Use lined canals or pipes to prevent
seepage
Avoid waterlogging (above)
Mulch exposed soil surfaces to
reduce evaporation
Flush irrigated land regularly
Cultivate crops having high tolerance
to salinity

8.11.1.6 Water Bodies and
Aquatic Ecosystems





Design and layout of furrows
appropriately
Avoid unsuitable gradients
Avoid over-irrigation
Install sediment traps in fields and
canals to capture sediment for return
to fields
Minimum tillage, contour cropping,
terracing and other methods of
conserving soil moisture
Reduced quality of surface and
groundwaters receiving excess
irrigation water or drainage
(nutrients, agro-chemicals, salts
and minerals)



Loss or damage to wetlands and
their
environmental
services,
biodiversity,
and
ecological
productivity

Avoid
Locating irrigation schemes on
or near important wetlands
Developing irrigation water
sources that may reduce
wetland water supply
Draining irrigated fields into
wetlands

Follow Soils mitigation measures
(above) to minimize risks of
waterlogging and salinization
Use agro-chemicals appropriately
(see Human Health above)
Prevent surface drainage of fields into
nearby water bodies (streams, ponds,
etc.)


Salinization

Erosion
environments)
International
environmental
protection
conventions
(e.g.

8.12


Pollution
Water quality (nutrients, agrochemicals, salinity) in water supply
and drainage canals, and wells
Physical and chemical properties of
irrigated soils
Page 97


heritage, wetlands)
and controls
National controls on storage,
handling, use and disposal of agrochemicals

Water table levels in project area

Rate of occurrence of disease carriers
Human Environment
8.13


Human Wellbeing
Incidence of human and animal illness
or disease
Poverty levels




Sources:
Environmental Screening of NGO Development Projects for Irrigation (CCIC 1990/91)
Human settlements near the road
Existing land uses (e.g. agriculture, grazing, forestry, recreation)
Sites of cultural, religious or historical importance
Sensitivity of local people to:
Induced development and resource exploitation along the road
Public health consequences during construction and use of the road (e.g. STDs,
TB)
Capacity of local public infrastructure and services to support increased traffic,
travellers and induced development
Security of local and traditional livelihoods, and cash income generation
C14.5: Rural Roads
Natural Environment
Scope of Projects
Rural roads can have substantial economic and social benefits. They can also have
significant negative and long-term impacts. Many of these impacts can be avoided or
minimized through careful and comprehensive planning and design. Roads that involve
relocation of existing routes, or new access into previously inaccessible areas, can create
particularly difficult impacts on communities and land use, both directly and indirectly.
Indirect impacts include the economic, social and environmental effects, whether planned
or spontaneous, induced by the improved access and lower transportation costs a road
creates. Such new roads and relocations are large projects beyond the scope of this
resources sheet.
CIDA-supported rural roads generally involve upgrading existing roads or tracks to
improve access to markets, or to services such as health care or schools. They are usually
built with local labour, are unpaved, and are narrower and can have tighter curves and
steeper grades than highways. They may be all-weather or seasonal, and often include
fords or ferries rather than bridges. Close management of construction work is important
to avoiding most construction impacts. Adequate road maintenance is essential to avoid
environmental problems, and is often inadequate due to lack of funds or well-trained
personnel.
The most important direct impact of rural roads is typically erosion -- during
construction and then operation. Because traffic intensity is low, air and water pollution
and noise are generally not significant problems. Indirect impacts need to be considered,
but are unlikely to be as significant as those caused by new roads or relocations.





Protected areas (e.g. nature reserves, parks)
Areas supporting:

Critical habitats for rare or ecologically important species, or significant
biodiversity (e.g. wetlands)

Commercially or domestically important species (e.g. fish, locally hunted
wildlife)
Wilderness areas (habitats for indigenous animal species)
Soil structure, stability, susceptibility to erosion
Surface water quality (e.g. rivers, ponds)
MITIGATION MEASURES
8.13.1.1 Potential
Environmental
Effects
Page 98
MITIGATION MEASURES
8.13.1.1 Potential
Environmental
Effects
MITIGATION MEASURES
8.13.1.1 Potential
Environmental
Effects
Human Environment


Negative social and economic
effects on local people and
communities, such as:

Unplanned
commercial
development

Demand for local public
infrastructure and services
increases beyond existing
capacities

Disruption
of
traditional
lifestyles
Induced population movements and
natural
resource
exploitation
activities, due to improved access
(e.g. conversion of forest to
pasture, or of sustainable land use
to
unsustainable,
short-cycle
cropping; illegal or unsustainable
hunting)



Work with affected communities to
anticipate and plan for enhanced
access to and demand on local public
infrastructure and services
Provide project funds to strengthen
local public infrastructure and
services (e.g. health clinics, markets,
schools)
Avoid creating congested and unsafe
road conditions at intersections, and
in villages and towns
Social
disruption
during
construction
(e.g.
enhanced
transmission of STDs and TB)




Creation of stagnant water in
construction borrow pits and
quarries, and on road sides, that
breed disease carriers
Comprehensive
community
participation
in
construction
planning and management
Education
on
avoiding
communicable diseases
road corridor, and employ suitable
mitigation measures (e.g. proper
drainage of construction areas and
road
sides,
effective
road
maintenance)
Health risks during road use due to
herbicides used to control road-side
weeds

Minimize use of road-side herbicides

Avoid infringing on:

Protected natural sites and
wilderness areas

Critical habitats or areas with
significant biodiversity (e.g.
wetlands)

Avoid:

Areas of soil, slope or
geological instability

Unstable river crossing sites
Soil and Vegetation

habitats, biodiversity

Landslides, slumps and slips

8.13.2 Human Health


Increased soil erosion leading to
sediment in runoff and, possibly,
gully formation from:

Construction activities such as
grading, excavations, and
borrowing/quarrying

Inadequate design of culverts
and drainage controls

Inadequate maintenance of
road
surface,
ditches,
borrow/quarry
sites,
and
drainage and erosion control
measures

Design:
Use surface drainage controls
and mulch on vulnerable surfaces
and slopes

Size and locate roadside drainage
and culverts to handle maximum
anticipated flows

Line receiving surfaces with
stones or concrete

Locate and design borrow/quarry
sites for erosion control during
road construction and future
maintenance operations
Construction:


Page 99
MITIGATION MEASURES
8.13.1.1 Potential
Environmental
Effects


Limit earth movement and soil
exposure to the dry season

Balance cut and fill for minimum
deposition of earth

Provide sedimentation basins

Resurface
and
revegetate
exposed surfaces
Ensure
proper
and
timely
maintenance of erosion control and
drainage measures along the road
and at borrow/quarry sites
8.13.3 Surface
and
Groundwater



MITIGATION MEASURES
8.13.1.1 Potential
Environmental
Effects
Disruption of natural surface and
subsoil drainage patterns, especially
in flood-prone or wetland areas
Increased runoff from road surface



Contamination by spills oil, fuels and
lubricants
from
construction
equipment
Minimize soil compaction and time
that soil surfaces are exposed
Provide adequate surface drainage
control for both construction and
operation
Size and place culverts and bridges
correctly



Collect and recycle used lubricants
Establish
measures
to
avoid
accidental spills, and contain them if
they do happen


Aquatic Environments


Soil erosion leading to:

Increase in the turbidity of
surface water courses
Temporary or permanent covering
of riverbed organisms and habitats
Watercourse
and
8.13.4 Animals
Wildlife
and
Blocked animal and
movements
Animal/wildlife road kills
wildlife



blockages at culverts and bridges
Erosion of embankments and
roadside slopes


Follow Soil and Vegetation and
Surface and Groundwater mitigation
measures above
Install culverts and bridges in dry
season
drainage


environments)
International
environmental
protection
conventions
(e.g.
heritage, wetlands)
and controls
Health and safety standards for
road construction and use

Ensure adequate maintenance of:

Culverts and bridges

Roadside slopes, drainage
control
measures
and
vegetation

Road surface

Avoid fencing across known animal
and wildlife movement routes
Animal/wildlife crossing warnings,
nighttime speed limitations or
perhaps closures

8.14

Pollution
Concentrations
of
suspended
sediments in surface waters

plant, fish, animal and bird species)
in road vicinities

8.15
Human Wellbeing
Page 100



Occurrence of illness or disease
Frequency of traffic accidents
involving vehicles or pedestrians
Poverty levels





Human settlements in or near project site
Existing land tenure and uses (legal or illegal) (e.g. agriculture, grazing, recreation)
Common lands
Sites of cultural, religious or historical importance
Security of local and traditional livelihoods, and cash income generation
Natural Environment
Sources:
World Bank EA Sourcebook, Volume II (1991)
CIDA Handbook on EA of NGO Programs and Projects, Rural Roads Checklist (1997)
USAID Environmental Guidelines for Small-Scale Activities in Africa, 2nd Edition (Draft) (2001)
C14.7: COMMUNITY FORESTRY
Scope of Projects



Protected species
Protected areas (e.g. watersheds or water basins, nature reserves, parks)
Areas supporting:

Critical habitats for rare or ecologically important species, or significant
biodiversity (e.g. wetlands)

Commercially or domestically important species (e.g. fish, locally hunted
wildlife)
Wilderness areas (habitats for indigenous animal species)
Soil structure, stability, susceptibility to erosion
Surface water quantity and quality (e.g. streams, rivers, ponds,
lakes)
Community forestry projects may be undertaken for a variety of reasons including
timber and fuel wood production, soil and water conservation, and micro-watershed
protection. They may also include tree nurseries or elements of agro-forestry that yield
forest products besides wood (e.g. fruits, nuts). They typically involve afforestation and
not existing forests. Reforestation, upgrading and management of existing forests and
forestry operations are not considered in this resources sheet.
Clearly, such projects can provide substantial economic and environmental benefits.
At the same time, if they are not planned and carried out sensitively, they can also create
environmental problems, particularly soil erosion and conflicts over land use and the
distribution of project benefits.
MITIGATION MEASURES
8.15.1.1 Potential
Human Environment
8.15.2 Human
Environment
Page 101
MITIGATION MEASURES
8.15.1.1 Potential

Displaced human settlements




Conflicts over:

Land tenure and use (legal or
illegal)

Security of local and traditional
livelihoods, and cash income
generation
MITIGATION MEASURES
8.15.1.1 Potential







Avoid areas that require significant
or involuntary resettlement
Provide compensation for resettled
families
and
lost
livelihood
opportunities (e.g. cash, in-kind,
employment, training)
Avoid existing land use areas that
are economically productive or
important for subsistence or
traditional livelihoods
Consider use of already cleared or
barren lands for tree planting
Consider sites currently used
unsustainably (e.g. agriculture,
grazing)
Plan and operate the forest to
ensure an equitable distribution of
benefits to all community members,
and to not exacerbate economic
disparities within the community
Account for differing tree product
needs between women and men
Provide for intercropping, agroforestry and other measures that
will accelerate the flow of benefits
to, and support of, a range of local
people
Train and use local labour in the
development and operation of the
forest
Avoid such sites, or incorporate
them in the project sensitively and
to local people’s satisfaction

Disruption of sites of cultural,
religious or historical importance
8.15.3 Terrestrial
Environment


habitats, biodiversity
Unsustainable forest production

Avoid infringing on:

Protected
natural
sites,
watersheds and wilderness
areas

Critical wildlife habitats or areas
with significant biodiversity
(e.g. wetlands)

As much as possible, use a variety of
multipurpose and fast-growing
indigenous tree species to enhance:

Effective use of site microclimates and soil conditions

The diversity and flow of
benefits to local people

Soil and water conservation
Page 102
MITIGATION MEASURES
8.15.1.1 Potential
MITIGATION MEASURES
8.15.1.1 Potential











Resistance
to
significant
outbreaks of disease and pests

Wildlife habitat and species
diversity
Draw upon local cultural knowledge
and values in planning and operating
the forest
Adapt imported technology (e.g.
erosion control, forest management
and harvesting) to local conditions,
rather just adopt it
Use low impact equipment and
methods for forest management
and harvesting, and minimize skid
trail distances
Select sites where the benefits from
the new forest can help reduce
illegal or unsustainable uses of
nearby forests
If a heavy reliance on cash crops is
anticipated, ensure that a thorough
market analysis is carried out during
project planning
Avoid areas of fragile or unstable
soils/slopes
Avoid any project activities within
20-40 metres of streams, ponds, etc.
unless they are for rehabilitation and
conservation of the riparian zones
Leave existing grass/shrub cover on
lands that are very steep or have
shallow soils
Use techniques such as bunding to
strengthen control of surface water
flows and erosion, and enhance
infiltration
Harvest trees in small, unconnected
blocks to minimize exposed soils
and enhance opportunities for


Soil erosion
natural regeneration from adjacent
forest
Road and track development (also
see Rural Roads resources sheet):

Construct during the dry
season

Keep gradients low but
sufficient for natural drainage

Locate as far away from
waterbodies as possible

Leave vegetated strips along
roadsides,
and
reseed
disturbed areas

Coordinate
development
schedule with overall plan for
forest
development
and
operation
8.15.4 Water Quantity
and Quality

Reductions in down-slope water
supplies


Avoid watercourses
Retain existing tree and grass/shrub
cover, and harvest selectively,
sustainably and carefully, where
down-slope water supply is a critical
concern

Avoid overusing fertilizers,
herbicides and pesticides
Avoid any use near waterbodies


Pollution of groundwater, and of
surface waters and habitats
Page 103
CIDA Handbook on EA of NGO Programs and Projects, Forestry Checklist (1997)
C14.8: SMALL-SCALE AQUACULTURE
Scope of Projects
8.15.4.1 Environmental
Standards







National and local planning
regulations (e.g. land use, forestry,
watersheds)
environments)
International
protection
conventions
(e.g.
heritage,
wetlands)
and controls
National controls on use of
fertilizers,
pesticides
and
herbicides
Alternatively,
internationally
recognized standards (e.g. World
Health
Organization,
United
Nations Environment Programme)
8.15.4.2 Environmental Quality
Indicators
8.16

Pollution
Concentrations
of
suspended
sediments and contaminants (e.g.
pesticides) in surface waters

plant, fish, animal, and bird species) in
the watershed

8.17

Human Wellbeing
Poverty levels
Sources:
ADB Environmental Guidelines for Selected Agricultural and Natural Resources Development
Projects (1991)
Aquaculture projects raise aquatic organisms in fresh, brackish or salt marine waters
for part or all of their life, and then harvest them for human consumption. The organisms
may be fish (e.g. trout, salmon, carp, tilapia), crustaceans (e.g. fresh water crayfish,
shrimp, prawns), or molluscs (e.g. oysters, mussels, clams).
Culture methods vary considerably. Intensive methods raise high-value organisms in
large numbers in man-made structures. With ponds, fresh or seawater is channelled or
pumped in, and old water is discharged through ditches or canals. Use of groundwater
may lower water tables. Artificially produced seed, specially made feed, antibiotics to
control disease, chemicals to inhibit plant growth, and high initial costs are typical. Waste
water and bottom sludge can become toxic and, if not properly treated and managed, can
contaminate soil, water and marine resources.
At the other end of the scale are extensive methods that tend to use traditional, lowtechnology cultivation methods, wild seed stock and naturally available feed. Input and
output levels, and start-up costs, are much lower than with intensive methods. Extensive
aquaculture is frequently developed to satisfy local fish protein needs rather than
commercial markets, and is the focus of this resources sheet. The products may be
distributed fresh or dried.
Human Environment




Existing or planned land uses (legal and illegal)
Community water management practices and relationships
Human health concerns for water-borne diseases and infections
Natural Environment


Quality of surface and groundwater supplies
Natural aquatic environments, especially wetlands and mangrove forests
Page 104
MITIGATION MEASURES
8.17.1.1 Potential
MITIGATION MEASURES

8.17.1.1 Potential

Land use conflicts








Water supply conflicts:

Social
and
economic

human, livestock, wildlife or
aquatic water uses, especially
during dry seasons
So that withdrawals do not
exceed “safe yield” from
groundwater resources
8.17.3 Human Health
8.17.2 Human
Environment

disruptions
to
existing
community
water
management practices and
relationships
Conflicting
demands
on
surface
or
groundwater
supplies
Avoid project sites that require:

Resettlement

Displacement
of
other
important land uses, or

Encroachment on historical,
cultural, or traditional use
areas
Encourage
use
of
existing
depressions, hollows and ditches
Limit areas converted to ponds
Good pond design, construction and
maintenance to avoid premature
abandonment and digging of new
ponds
Ensure
adequate
community
participation in the planning and
operation of the project
Site ponds to avoid disrupting
existing/traditional uses of water
(e.g. drinking, washing, animal
watering)
Develop ponds with other activities
to combine water uses (e.g. pond
water used for irrigation of crops)
Develop supply sources:

Where water quantities are
adequate and the project will
not conflict with existing

Illness or disease due to pollution of
water sources from aquaculture
wastes

See Water Quality below

Creating habitats for disease carriers
such as mosquitoes and snails, and
increasing the prevalence of waterrelated diseases such as malaria and
schistosomiasis (bilharzia)

the project area
Employ suitable prevention and
mitigation
measures,
including
education of local people, e.g.:

Good surface drainage around
project water supply, ponds
and drainage works

Use fish species that feed on
disease carriers


Monitor disease occurrence and
public health indicators, and take
corrective measures as needed (e.g.
change project works, improve
maintenance, education, medical)
8.17.4 Terrestrial
Environment
Page 105
MITIGATION MEASURES
8.17.1.1 Potential

Loss of ground cover and erosion at
project site







Depletion of local fuelwood to dry
fish

Pollution of surface waters with
aquaculture wastes
Restrict area cleared for ponds
Construct ponds during dry season
Stabilize exposed soil with grasses
and other ground cover
Ensure good drainage and erosion
control around ponds
Careful project planning and
management to ensure sustainable
source of fuelwood
Consider the need for a small,
complementary forestry project (see
Community
Forestry
resources
sheet)
MITIGATION MEASURES
8.17.1.1 Potential
8.17.6 Aquatic
Environments

Deterioration of water quality from
aquaculture
discharges
causes
contamination or decline of aquatic
habitats and resident species

Loss
of
wetlands,
mangrove forests






Keep fish densities at moderate
levels to reduce disease risk and
need for antibiotics
Pump air through the water to
speed up decomposition
Release pond water into water body
with adequate dilution and dispersal
capability
Dilute pond water prior to release
Time releases with period of high
water levels or flows
Use shorter retention time of water
in ponds – i.e. more frequent
exchange and flushing of pond
water
Consider using pond bottom sludge
as agricultural fertilizer if properly
decomposed and non-toxic
Ensure adequate pollution control
(see Water Quality above)

Site project well away from
wetlands
Design project features to prevent
disturbing water flows to and from
wetlands (e.g. flow regulating
works, access road crossings on
trestles or pilings)
Enhance or protect other nearby
wetlands to offset losses at project
site
especially

8.17.5 Water Quality





Accidental or deliberate release of
aquaculture stock leads to decline in
wild species important for local food
supply
or
restocking
and
improvement of domestic stock

Use local, wild species rather than
introduced species as seed stock
Ensure aquaculture stock is kept
healthy
8.17.7 Effects of the
Environment on
the Project
Page 106
MITIGATION MEASURES
8.17.1.1 Potential





UNEP Environmental Guidelines for Fish Farming (1990)

Contamination
of
aquaculture
operations, and deterioration of
culture environment, from poor
source water quality due to:

Pollution
(e.g.
pesticides,
heavy metals)

Suspended sediments from
upstream erosion

Nutrients from agricultural runoff and livestock, detergents,
sewage
8.17.7.1 Environmental
Standards
environments)
International
environmental
protection
conventions
(e.g.
heritage, wetlands)
and controls
Sources:
Analysis of source water quality and
threats
Careful location of the project within
the community and watershed

Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA
2000)
C14.10: FOOD PROCESSING
SCOPE OF PROJECTS
Small-scale food processing may be home-based or small enterprises that use a wide
variety of processes and technologies to convert animal and plant products into human
food.
8.17.7.2 Environmental Quality
Indicators
8.18

Pollution
Water quality (nutrients, chemicals,
salinity) in pond drainage

Surface water flows and groundwater
table levels in project area

Incidence of disease carriers
8.19


Food processing of all kinds can create environmental problems if not managed properly.
Solid and/or liquid wastes can be highly polluting and create offensive odours. Water use
can place excessive demands on local supplies. Wastewater containing organic and other
wastes can degrade streams and rivers, and contaminate groundwater. Stagnant pools of
polluted water can be highly odorous and provide breeding grounds for mosquitoes.
Human Wellbeing
Amount of human and animal illness
or disease
Poverty levels
Human Environment











Existing or planned land uses (legal and illegal)
Community water management practices and relationships
Human health concerns sensitivities to:
Polluted water
Odours
Water-borne diseases and infections
Worker health and safety due to:
Dust
Machinery noise and vibration
Exposed wires and overheating of electric equipment
Page 107
Natural Environment


Potential Environmental Effects
Mitigation Measures

Quality of surface and groundwater supplies
Natural aquatic environments

Mitigation Measures

General Measures





Good overall planning, design and
management can address a
number of potential environmental
effects14:
Minimize water use (and
processing costs)







Minimize liquid waste
Drain stagnant pools of liquid or
water from holding pens and working
areas
Consider treatment ponds to
decompose waste and reduce
disposal costs. Ensure ponds are
large enough for effective
decomposition and odour control
Use “dry cleanup” (e.g. sweeping,
wiping down) of solid wastes before
washing
Regulate water flows (e.g. valves,
high pressure nozzles)
Reuse water
Minimize water use (see above)
Separate fats, grease and other solids
from wastewater before reuse or
disposal (e.g. use oil separators/traps)
14
See also Rural Water Supply and Sanitation and Solid Waste Management
resource sheets.

Improve processing methods to
recover more product and reduce
waste (e.g. better meat trimming and
food cutting)
Reuse organic wastes (e.g. as animal
fodder or fuel)
Compost organic waste for fertilizer
Air dry waste in controlled area then
dispose in approved landfill or safe
burial
Minimize product spoilage by using
secure, screened, and well-ventilated
storage areas
Minimize solid waste (and lost
product)
Human Environment


Water supply conflicts:
Negative social and economic
effects on existing community



Minimize water use (see above)
Develop supply sources:
Where water quantities are adequate
Page 108

water management practices and
relationships
Conflicting demands on surface or
groundwater supplies
Mitigation Measures

and the project will not conflict with
existing human, livestock, wildlife or
aquatic water uses, especially during
dry seasons
So that withdrawals do not exceed
“safe yield” from groundwater
resources
Mitigation Measures




Deterioration and contamination
of aquatic habitats and resident
species from waste discharges


Human Health

Illness or disease due to pollution
of water sources from food
processing wastes



Damaging worker health


Follow General Measures above to
minimize water use and provide good
management of solid and liquid
wastes
Provide/strengthen health and safety
training, accident prevention and
equipment (e.g. face masks, rubber
gloves, boots, ear plugs, good
ventilation)
Practice good housekeeping (e.g.
clean floors regularly, install drip
trays)
Repair and maintain machinery for
safe and quiet operation
Screen waste liquids to remove solids
Install grease traps and skim tanks
Locate waste disposal sites away
from surface and groundwater
sources, watercourses, housing and
town centres
Ensure receiving waters for liquid
wastes are able to absorb and
naturally decompose the effluent
Ensure waste that is stored before
transport to treatment facility or
landfill cannot leak into the ground
Environmental Standards
Environmental Quality Indicators

Pollution


National/local standards and
regulations for the discharge of
industrial wastewater to i) sewers
and ii) streams and rivers
and controls
Workplace health and safety
regulations

Quality (nutrients, chemicals, salinity)
of liquid effluent and receiving waters

Surface water flows and groundwater
table levels in project area

Productivity of aquatic environments
receiving liquid waste
Human Wellbeing

Incidence of human illness or disease
Sources:
Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA
2000)
Water Quality

Degradation of groundwater,
streams and rivers from solid and
liquid wastes, and consequent

Follow General Measures above to
minimize water use and solid and
liquid wastes
Environmental Sourcebook for Micro-Finance Institutions (CIDA 1997)
USAID Environmental Guidelines for Small-Scale Activities in Africa, 2nd Edition (Draft) (2001)
Page 109
C14.12: STRUCTURES AND BUILDINGS
TO COME
C14.13: SMALL SCALE AGRICULTURE
TO COME
Page 110
ANNEX 7: AGRO-INDUSTRY (PROCESSING AGRICULTURAL PRODUCTS)
No.
1.
2.
POTENTIAL NEGATIVE IMPACTS
Soil erosion


3.
Increased soil erosion due to clearing of
vegetation and trampling.
Increased siltation of surface waters.
Siting of plant or facility complex on/near sensitive
habitats
MITIGATING MEASURE







Proper design and layout of structures avoiding too steep a
gradient.
Land leveling.
Design of terraces on hillside minimizing surface erosion hazard.
Restriction of construction activities to good ground.
Soil erosion control measures (e.g., reforestation, terracing).
Location of plant in rural area away from estuaries, wetlands, or
other sensitive or ecologically important habitats, or in industrial
estate to minimize or concentrate the stress on local environment
and services.
Involvement of natural resource agencies in review of siting
alternatives.
Site selection examining alternatives which minimize environmental
effects and not preclude beneficial use of the water body using the
following siting guidelines:
o
on a watercourse having a maximum dilution and waste
absorbing capacity
o
in an area where wastewater can be reused with minimal
treatment for agricultural or industrial purposes
o
within a municipality which is able to accept the plant wastes
in their sewage treatment system
o
Improved water management; improved agricultural
practices and control of inputs.
o
Proper handling of waste.
o
Imposition of water quality criteria.
4.
Siting of agro-industry along water courses leading to
their eventual degradation.

5.
Siting of agro-industry so that air pollution problems
are aggravated.
Location of plant at a high elevation above local topography, in an area
not subject to air inversions, and where prevailing winds are away from
populated areas.
6.
Environmental deterioration (erosion, contamination
of water and soil loss of soil fertility, disruption of
wildlife habitat, etc.) from intensification of
agricultural land use.
Aggravation of solid waste problems in the area
Control of agricultural inputs and cropping/grazing practices to minimize
environmental problems.
Water pollution from discharge of liquid effluents
 Plant: TSS; temperature; pH
 Materials storage piles runoff: TSS; pH

Most agricultural, livestock, agro-industries,
packaging and marketing operations produce

7.
8.


For facilities producing large volumes of waste, incorporation of the
following guidelines in site selection:
o
plot size sufficient to provide a landfill or on-site disposal
o
proximity to a suitable disposal site
o
convenient for public/private contractors to collect and haul
solid wastes for final disposal
Laboratory analysis of liquid effluent (including cooling water
runoff from waste piles) in O/G, TDS, TSS, BOD, COD and in-situ
temperature monitoring.
Seek guidance of local environmental officers to identify acceptable
disposal sites.
Page 111
9.
10.
11.
12.
solid waste.
Steam and hot water boilers produce
ash
Fresh food and processed food
markets, waste from canning
Livestock production units produce manure, dairy
waste, waste from slaughter houses
Particulate emissions to the atmosphere from all
plant operations.
Gaseous and odor emissions to the atmosphere from
processing operations.
Accidental release of potentially hazardous solvents,
acidic and alkaline materials.
Occupational health effects on workers due to
fugitive dust, materials handling, noise, or other
process operations.
Accidents occur at higher than normal frequency
because of level of knowledge and skill.

Control of particulates by fabric filters collectors or electrostatic
precipitators.
Control by natural scrubbing action of alkaline materials; an analysis of
raw materials during feasibility stage of project can determine levels of
sulfur to properly design emission control equipment.
Maintenance of storage and disposal areas to prevent accidental release;
provide spill mitigation equipment.
Development of a Safety and Health Program in the facility designed to
identify, evaluate, and control safety and health hazards at a specific
level of detail to address the hazards to worker health and safety and
procedures for employee protection, including any or all of the
following:

site characterization and analysis

site control

training

medical surveillance

engineering controls, work practices and personal protective
equipment

monitoring

information programs

handling raw and process materials

decontamination procedures

emergency response

illumination

regular safety meetings

sanitation at permanent and temporary facilities

Wastewater treatment (e.g., settling ponds) prior to use.

Establishment and enforcement standards for wastewater use in
crop production.

Siting of project to prevent loss.

salvage or protection of cultural sites.
13.
Disease and health problems from use of wastewater
to irrigate crops.
14.
Threat to historic, cultural or aesthetic features.
15.
Temporary Visual Intrusions

Rehabilitation and upgrading of agricultural facilities
like Warehouses, processing plants and other possible
facilities will change the characteristics of the area
and leave marred landscapes.

Noise





13.



Noise and vibration caused by machines, site
vehicles, pneumatic drills etc
Noise from the chicken, pigs or whatever animals
which are being raised.
Noise from the processing of agricultural
produce.
Waste from agricultural activities can be further processed into
other uses, e.g. organic manure. Reuse and recycling must be
preferred over disposal of the waste.

Contractor should ensure minimum footprint of construction
activities and provide decent accommodation for workers.
All altered landscapes (Sand pits, borrow pits, brick molding sites
etc) should be rehabilitated by the contractor.
Contractor to avoid old equipment.
Heavy duty equipment to be minimized.
Noisy operations to be limited to certain times.
Noise levels to be limited to within acceptable levels.
Animal raising to be in designated areas to avoid being a nuisance to
the general public.
Processing plants should be sited away from residential areas.
Page 112
14.
Social misdemeanor by construction workers
Impacts associated with the contractor’s camp
include:

disposal of liquid and solid wastes.

theft, alcoholism and sexually transmitted
diseases (especially HIV/AIDS).



As a contractual obligation, contractors should be required to have
an HIV/AIDS policy and a framework (responsible staff, action plan,
etc) to implement it during project execution.
Contractor to curb thefts and misbehaviour through a code of
conduct.
Contractor to manage any of its waste properly.
Page 113
ANNEX 8: STAKEHOLDER CONSULTATION PARTICIPANTS
1.
ATTENDANCE REGISTER FOR FOCUS GROUP DISCUSSIONS
NAME
GENDER
AGE
PHONE
SURVEYOR:
DISTRICT: MUFURILA
COMMUNITY: MURUNDU
1
Annie Kaunda
F
50
0971-563641
2
Maria Kaskula
F
61
3
Agness Mumba
F
50
0965-824051
4
Rudia Mwila
F
23
0965-803820
5
Rose Nkandu
F
43
6
Veronica Chama
F
30
7
Magret Kamnukese
F
50
8
Mumba Judith
F
9
Mazinga Kawangu
F
10
Ronica Kalumba
F
11
Keline Mubanga
F
33
0962-226571
12
Gideon Musondah
M
28
0967-827997
13
Josen Habgam
M
80
14
Josephin Lubo
F
62
15
Charity Nkandu
F
29
16
Beatrice Kupeya
F
40
0978-921093
17
Bwalya Joseph
M
48
0965-553774
18
Hildah B Kulokoni
F
40
0964-037528
19
Mumba Kasoka
M
41
20
Martin B Kampamba
M
27
0968-288668
21
Jonathan Chama
M
48
0968-496586
22
Arnott Sikanyima
M
53
Agric officer
23
Constance Mkandawire
F
30
24
Conceptor Bwalya
M
27
25
Innocent Musonda
M
19
26
Castro Mwila
M
16
27
Shadrick kasonga
M
17
0964-705015
NAME OF SURVEYOR: Clement Raphael Banda
DISTRICT: SOLWEZI
COMMUNITY: TUNDALA (MUTANDA)
1
Thomson Chababa
M
19
2
Collins Sonkasonka
M
29
3
Kamayani Musama
M
16
4
Mr Kachimpu
M
5
Mrs Yolamu
F
35
Page 114
NAME
GENDER
AGE
6
Givenes Kazhimba
F
below 40
7
Mrs Mufumbila
F
below 40
8
Peggy Kinaka
F
below 40
9
Daliwe Kinaka
F
below 40
10
Gelis Sonkasonka
F
below 40
11
Eva Kalembo
F
below 40
12
Catherine Katonto
F
below 40
13
Justina Matalayi
F
below 40
14
Alice Ntambu
F
below 40
15
Ester Kanseni
F
below 40
16
Mervis Kambumba
F
below 40
17
Ms Muyumba
F
below 40
18
Juliet Kishiki
F
below 40
19
Sylvia Chiliboyi
F
below 40
20
Meliti kambumba
F
below 40
21
Maida Kifita
F
below 40
22
Mbuyu Kikukula
F
below 40
23
Agness Mulela
F
below 40
24
Bridget Malasha
F
below 40
25
Peter Chiliboyi
M
15
26
Chrispin Kilifwaya
M
below 40
27
Lulea Kangamba
M
below 40
28
Lulea Jilambwe
M
below 40
29
Roger Mulongo
M
below 40
30
Kinaka Benido
M
below 40
31
Jimmy Kyembe
M
below 40
32
Martin Payisoni
M
below 40
33
Kikukula Seke
M
below 40
34
Gilbert Muzhila
M
below 40
35
Victor
M
below 40
36
Junes Lungenda
M
below 40
37
Zhethy Kiroka
F
below 40
38
Josephine Jilambwe
F
below 40
39
Hildah Shijila
F
below 40
PHONE
SURVEYOR:
DISTRICT: MUFURILA
COMMUNITY: MURUNDU
1
Annie Kaunda
F
50
2
Maria Kaskula
F
61
3
Agness Mumba
F
50
0965-824051
4
Rudia Mwila
F
23
0965-803820
0971-563641
Page 115
NAME
GENDER
AGE
PHONE
5
Rose Nkandu
F
43
6
Veronica Chama
F
30
7
Magret Kamnukese
F
50
8
Mumba Judith
F
9
Mazinga Kawangu
F
10
Ronica Kalumba
F
11
Keline Mubanga
F
33
0962-226571
12
Gideon Musondah
M
28
0967-827997
13
Josen Habgam
M
80
14
Josephin Lubo
F
62
15
Charity Nkandu
F
29
16
Beatrice Kupeya
F
40
0978-921093
17
Bwalya Joseph
M
48
0965-553774
18
Hildah B Kulokoni
F
40
0964-037528
19
Mumba Kasoka
M
41
20
Martin B Kampamba
M
27
0968-288668
21
Jonathan Chama
M
48
0968-496586
22
Arnott Sikanyima
M
53
Agric officer
23
Constance Mkandawire
F
30
24
Conceptor Bwalya
M
27
25
Innocent Musonda
M
19
26
Castro Mwila
M
16
27
Shadrick kasonga
M
17
0964-705015
NAME OF SURVEYOR: Clement Raphael Banda
DISTRICT: LUFWANYAMA
COMMUNITY: LUMPUMA
1
Rosemary Musonda
F
46
2
Majory Chibebe
F
22
3
Justina Mulinga
F
54
4
Jilian Kapopo
F
30
5
Abud Kapopo
M
37
6
Kunda Sanwell
M
71
7
Osfad hachilala
M
22
8
Mwelaisha Josphat
M
39
0979-717615
9
Robby Muzembo
M
32
0979-656863
10
Mudenda Rapeal
M
50
0977-193399
11
Kunda Elisheba
F
26
12
Helic Lwaisha
M
37
13
Ridness Kayelu
F
28
14
Alice Njovu
F
38
15
Sara Chimbotela
F
28
0978-576360
0974-282549
Page 116
NAME
GENDER
AGE
16
Rokia Chimbotela
F
13
17
Mavis Bizile
F
20
18
Catherine Chandele
F
50
19
Sydney Bizile
M
30
20
Chimbalanga Dawin
M
29
0973-223049
21
Sammuel Sinonge
M
18
0966-781209
22
Filda Mutenda
F
67
23
Fatima Hangandu
F
30
24
Enock Sondwapo
M
30
25
Chirito Vincent
M
35
26
Elastus Bwanga
M
17
0964-354037
27
Sholai Siachisumo
M
21
0963-230940
28
Chawana Katoyo
M
19
29
Harriet Hamansanji
F
15
30
Angela Chombela
F
12
31
Gilbert Puma
M
33
0962-061213
32
James Chikuti
M
38
0961-986751
33
Chombela Jane
F
34
34
Obed Chunga
M
26
35
Mattews Bizile
M
30
36
Mazlen Gaika
M
22
37
Bicko Moono
M
32
0974-899275
38
Nyanga harrison
M
34
0975-275229
39
Musonda Fwaku
M
19
40
Mubishi Grewa
M
36
41
Wilson Chilimina
M
36
42
Precious Chikwe
M
29
43
Sinyangwe Osiyana
M
41
44
Chambula Davy
M
36
45
Chipotela Justin
M
38
46
Chimbotela Mbunda
M
29
47
Hangandu Linos
M
46
48
Cleopatra Malisopo
F
22
49
John Chitutu
M
18
50
Agrena kayamba
F
25
51
Mumba Alfred
M
27
52
Chandele Jonathan
M
38
53
Fwaku Pathias
M
30
54
Sylvia Chilimina
F
31
55
Fenia Chilimina
F
40
PHONE
0966-565201
0962-817844
0964-710816
0962-305232
0975-128028
Page 117
DISTRICT NAME: SHANG'OMBO
DATE: 21/08/12
S/N
NAME
SEX
AGE
VILLAGE
1
Hildah Mubita
F
31
Kabula 2
2
Namasiku Mabuku
F
41
Kabula 2
3
Nanjala Mubita
F
44
Kabula 2
4
Grace Mtonga
F
49
Kabula 2
5
Sarah Kuyanwa
F
22
Kabula 2
6
Wamundila Mweze
F
25
Kabula 2
7
Zansi Mweze
F
22
Kabula 2
8
Nasilimwe Likezo
F
43
Kabula 2
9
Namasiku Muyuwano
F
23
Kabula 2
10
Mutumba Mubiana
F
35
Kabula 2
11
Angela Songiso
F
19
Kabula 2
12
Takazo Ngombo
F
20
Kabula 2
13
Maungulo Muyakamino
F
65
Kabula 2
14
Nambula Munyeka
M
32
Kabula 2
15
Nyambe Mongola
M
44
Kabula 2
16
Kenneth Sifunda
M
19
Kabula 2
17
Macaliso Muyunda
M
18
Kabula 2
18
Twambo Lubunda
M
34
Kabula 2
19
Mary Sitamalonge
F
33
Sabelo
20
Namitondo Masiye
F
62
Kabula 2
21
Malamo Likando
F
48
Kabula 2
22
Komelo Muzumi
F
61
Kabula 2
23
Muzwamasimu Majelelezo
F
40
Kabula 2
24
Mugala Muyoya
F
28
Kabula 2
25
Kulila Kacana
F
35
Kabula 2
26
Joyce Muyalo
F
28
Kabula 2
27
Ireen Mtonga
F
38
Kabula 2
28
Monde Mulalelo
F
20
Kabula 2
29
Maria Lusinde
F
28
Kabula 2
30
Nakweti Kangongolo
F
24
Kabula 2
31
Tabo Nyambe
F
24
Kabula 2
32
Mwangala Kakumbo
F
29
Kabula 2
33
Akatama Matakala
M
Kabula 2
34
Godwin Mongola Kuyumbelwa
M
Kabula 2
35
Kalaluka Kuzana
M
Kabula 2
36
James Namangolwa
M
Kabula 2
Page 118
DISTRICT NAME: SHANG'OMBO
DATE: 21/08/12
S/N
NAME
SEX
37
Chrispin Sitobolia
M
Kabula 2
38
Everisto Munene
M
Kabula 2
39
Sililo Nyamba
M
Kabula 2
40
Siyumbwa Kunyemwa
M
Kabula 2
41
Nyambe Kumoyo
M
Kabula 2
42
Royd Kangumu
M
Kabula 2
43
Monde Muyoba
M
Kabula 2
44
Malamo Nolonge
M
Kabula 2
45
Mwinke Macaliso
Kabula 2
46
Namasiku Wambinji
Kabula 2
47
Mwendabai Mulalelo
Kabula 2
48
Grace Mabuku
49
Mumbeko Manyando
50
Liseho Nyambe
51
Dorica Manyando
52
Liyuwa Muyenga
Kabula 2
53
Mwamuma Nyamba
Kabula 2
54
Zita Maswabi
Kabula 2
55
Mbvu Chikomba
Kabula 2
56
Mufalali Muyoba
Kabula 2
57
Namukonde Muyunda
Kabula 2
58
Malamo Nyambe
Kabula 2
59
Manga Sitali
Kabula 2
60
Nakengo Masendo
Kabula 2
61
Anayawa Mizimo
Kabula 2
62
Melelo Mulauli
Kabula 2
63
Mate Lubasi
Kabula 2
64
Hildah Sililo
F
Kabula 2
65
Patson Muyunda
M
Kabula 2
66
Nalishebo Sitali
M
Kabula 2
67
Innocent Mabote
M
Kabula 2
68
Johnson Songiso
M
Kabula 2
69
Steven Mayalo
M
Kabula 2
70
Enock Mongola
M
Kabula 2
71
Actor Kebby Lifunga
M
Kabula 2
72
Musiwa Mbwainga
73
Castor Domiso
M
Kabula 2
74
Jimmy Kapalo
M
Kabula 2
F
AGE
19
VILLAGE
Lisiye
Kabula 2
Kabula 2
F
Kabula 2
Kabula 2
Page 119
District Name: Senanga
Date: 22/08/12
NAME
SEX
AGE
COMMUNITY
75
George Itwi
M
68
Lukanda
76
Nyambe Macwani
M
56
Lukanda
77
Kebby Tutalunega
M
45
Lukanda
78
Tolosi Mafo
M
42
Lukanda
79
Makai Makai
F
55
Lukanda
80
Ngule Mulyata
F
46
Lukanda
81
Mbiji Lubinda
M
49
Lukanda
82
Sitali Kufekisa
M
47
Lukanda
83
M. Mubila
F
55
Lukanda
84
Limpo Nawa
F
44
Lukanda
85
Mundia Muyunda
M
56
Lukanda
86
Lungowe Muyoyeta
F
38
Lukanda
AGE
COMMUNITY
DISTRICT NAME: MONGU
Date: 23/08/12
NAME
SEX
87
Mufato Gilland W.
M
Namushakende
88
Joseph Matongo M.
M
Namushakende
89
Timothy Matongo
M
Namushakende
90
Isiteketo Mukufute M.
Namushakende
91
Kapanda K.
Namushakende
92
Lisoli Akamandisa
Namushakende
93
Namayonga Lizazi
94
Sitali Nawa
F
Namushakende
95
Franco Mulonha
M
Namushakende
96
Nolukiu Lubinda
97
Saviour Indala I.
M
Namushakende
98
Mwakamui Mumeka T.
M
Namushakende
99
Mulako Simbula
100
Mufalo Memory L.
F
Namushakende
101
Ronicar Mbumwae
F
Namushakende
102
Mainza Chibuwa
M
Namushakende
103
David Amwalana M.
M
Namushakende
104
Teddy Akakandelwe
M
Namushakende
Namushakende
Namushakende
Namushakende
Page 120
DISTRICT NAME: MONGU
Date: 23/08/12
NAME
SEX
AGE
COMMUNITY
105
Muliya Ikasama
Namushakende
106
Mubuna Minyoi
Namushakende
107
Charles Mwala
M
Namushakende
108
Sydney Musinga
M
Namushakende
109
Mundia Kagwala
110
Alice Mumbuna
F
Namushakende
111
Maria Katonda
F
Namushakende
112
Gloria Chatumbo
F
Namushakende
Namushakende
DDCC COMMITTEE MONGU
S/N
NAME
OCCUPATION
EMAIL
CELL NO
1
Moses Namusunga
ZMD
Mnamusunga2006@Yahoo.Com
979568831
2
Everisto Muhau
WVI
Muhau.Atha@Gmail.Com
979646581
3
Enock Ntoka
AHA
Enockutoka@Gmail.Com
977405686
4
Mukeya Liwena
RLV
Mliwena@Yahoo.Co.Uk
969950638
5
Phiri Numel
FISHERIES
Numelphiri@Yahoo.Com
962992244
6
Chiyala Kane
Kanechiyala@Rocketmail.Com
977226444
7
Chabalanga Ng'ambi
Nchabalang@Yahoo.Com.Au
977279947
Sesheke District
#
1
2
3
4
5
6
7
8
9
10
11
13
14
15
16
17
18
19
20
21
22
23
DACO
NAME
Kacama Kacama
Sinvula Malindi
Manyando Malindi
Samson Malindi
Mwaka Mutuwamezi
Nalukui Liwanga
Akashemweta Makala
Kongwa Mushimbei
Mumunga Kangumu
Namukolo Zambo
Mumeka Mumeka
Basazi Lukonde
Sikufele Kamukwa
Mwangala Matomola
Kulela Liutwelo
Chuma Kweleza
Maria Masialeti
Musepani Mate
Oliver Namabunga
Mumeka Kagumu
Lubinda Mbaimbai
Munyaze Manyando
AGE
27
51
68
97
26
37
73
54
43
37
47
34
30
31
26
45
31
72
65
45
GENDER
M
M
M
M
F
F
F
F
F
F
M
M
M
F
F
F
F
M
M
M
M
M
Page 121
#
24
25
26
NAME
Mubala Lukonde
Eric Lumonga
Malindi Malindi
Namwala District
#
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
Name
Bonwell Masumba
AGE
39
42
72
Age
Regina Kalanda
Ester Mukoto
Molephy Mwinde
Nezya Nzala
Joyce Moonga
Precious Muntanga
Joyce Mukumbuta
Kingsley Kaluya
Bennard Ndumba
Alfred Mutapila
Annah mwanda
Keshas Mudenda
Geshome Mupeta
Ben Hamoomba
Odenes Nzala
Antony Kalonda
Chinyemba Kapalu
Kenny Simatanda
Mumbuna Katyamba
Dellah Ahimanza
Doris Kaputula
Tenday Mpofu
Mable Kaabwe
Florence Hamaimbo
Exilda Kaluwe
Evans Phiri
Phillip Maambo
Abraham Simukoko
Sellina Hagwalya
Violet Kalulu
Rose Machai
Mutinta Simatanda
Dolifa Kpalli
Lista Chinyama
Oliver Hagwalya
Thomas Hagwalya
Clive Milimo
Kazhila Kapalu
Joyce Matale
Mubita Matale
Ireen Chilwa
Handley Kamizhi
Eunice Mapulanga
Itezhi Tezhi Distirct
#
Name
GENDER
M
M
M
Gender
M
F
F
F
F
F
F
F
M
M
M
F
M
M
M
M
M
M
M
M
F
F
M
F
F
F
M
M
M
F
F
F
F
F
F
M
M
M
M
F
M
F
M
F
Age
Gender
Page 122
#
1
2
3
4
5
6
7
8
9
10
11
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
Name
Headman Lengalenga
Headman Shapama
A. C. Muchimba
Mukuta Leonard
Johns Shilumamba
Benson Nyama
Andrew Bulongo
Godwin Kongwa
Mayoyeta Mayoyeta
Golden Siakakoma
Evans Libingi
H. Hamasuki
Maureen Nyanda
Wilson Siboli
Kanyawinyawi A.
Choobe Richard
Makani Simoni
Charles Shachibengu
Edith Shumbwamuntu
Esineya Mwanza
Godwin Mpansi
Bagrey Shimukuwala
Mambo Joynet
Samuel Suulwe
Mutinta Miyoba
Moobola Charles
Age
56
73
70
73
60
78
60
61
65
50
69
36
74
75
36
55
73
49
63
56
27
59
43
73
65
59
Gender
M
M
M
M
M
M
M
M
M
M
M
m
F
M
M
M
m
M
F
F
M
M
M
M
F
M
Page 123
2. PPCR Stakeholder workshop – Strategic Environmental and Social Assessment (SESA) Project Prototypes
Sandy’s Creation 13TH DECEMBER, 2012
S/N
1
NAME
Serah C Lunda
2
3
Anna Stumfels
Christopher Chileshe
ORGANIZATION
Provincial Forest
Western
G17
MMEWD
4
5
6
7
Munkayumbwa Munyima
Morris Moono
Kelvin Simukondwi
David C Kaluba
Niras
Social welfare-Southern Province
Namwala District Council
PPCR-MOF
8
Martin N Sishekanu
PPCR-MOF
9
10
11
12
13
14
Chasaya Gentile
Mukumwa Jean
Kandandu Rex
Derrick Chikasa
IndunaSayowaMeebeloLubinda
Mudenda Wisford
NIRAS
PPCR-MOF
DDCC Representative
PDCC Representative
B.R.E
Zambia Red Cross
15
Muyumbwa Ndiyoi
N.H.C.C
16
17
18
19
ThokozileWonani
ZookMuleya
George W Sikuleka
Gabriel Mushinge
PPCR
ZAWA
FASAZ
NIRAS
20
21
22
23
Florence Phiri
Diana Banda
Mwambana Joseph
Luapula Pasmore
ZNFU
NIRAS
DC Masiti
Kafue District Council
24
Mufale Jackson
District Admin
25
Moono I.M Kanjelesa
ZEMA
office North
DESIGNATION
Extension officer
E-MAIL
serahchila@gmail.com
PHONE
0977-613220
advisor
Ag.
Director
Water
Researcher
PSWO
DPO
National
coordinator
Anna.stusmfels@g17.dc
cchileshe@mewd.gov.com
0975-873241
0966-433430
munyimam@yahoo.co.uk
moonomorris@gmail.com
simukondwi@zambia.co.zm
dckaluba@gmail.com
0966-393632
0966-902960
0977-858096
0979-403037
Participatory
Adaptation
Advisor
Consultant
Moe Intern
DPO
Senior rep AST
IndunaSaywa
Disaster
Mgt
Coordinator
Chief
Natural
Heritage office
Office Manager
Head of Planning
Member
GIS Consultant
masishekanu@gmail.com
0965-701023
Chasaya.gentile96@gmail.com
mukumwajay@gmail.com
rkandandu@yahoo.com
derekchikasa@yahoo.com
Wisfordmudenda@yahoo.com
09733-80425
0974-032216
0977-472014
0979-299933
0977-597135
0977-758616
ndiyoi@yahoo.co.uk
0975-112523
twonani@yahoo.co.uk
Zook.muleya@zawa.org.zm
gwsiluleka@gmail.com
gmushinge@gmail.com
Senior manager
Consultant
DC
District Planning
Officer
District
Admin
Officer
Acting Principle
florencephiri@znfu.org
Diana.banda@unza.zm
mashikap@gmail.com
0977-303194
0977-718282
0977-777573
0976-027045/0955781976
0977-434312
0978-048569
0963-954555
0977-901900
Js-mufale@yahoo.com
0967-945495
mkaiyelesa@zema.org.zm
0955-753320
Page 124
S/N
NAME
ORGANIZATION
26
27
28
29
30
31
MuketoiWamunyima
Paul Lupunga
Thandi Gxaba
Sofia Bettencourt
Kisa Mfalila
Allan Dauchi
Pelum Zambia
MOF
World Bank
World Bank
AFDB
MLNREP
32
Deuteronomy Kasaro
FD/MLNREP
33
34
35
Godwin F Gondwe
Grace Ngulube
Excellent Hachileka
MLNREP/NREPD
District commissioner Kafue
UNDP
36
37
38
LenyanjiSikaona
Noah Zimba
ChilukushaGershom
DMMU, OVP
ZCCN
RDA
39
Benny Zimba
Niras
40
41
42
Twisema Muyoya
Kasanga Kavimba
Davies Chipilipili
Niras
Niras
Niras
43
Elina C Phiri
Niras
DESIGNATION
Inspector
Coordinator
CEM
ENV Specialist
Tosh Team leader
Env. Specialist
Environment
Officer
National
Redd
coordinator
Acting Director
DC Kafue
AC
Policy
Assistant
PRPO
Chair person
Environmental
officer
Country Rep
E-MAIL
PHONE
Muketoi@yahoo.com
paulmlupunga@gmail.com
tgxaba@worldbank.org
sbettencourt@worldbank.org
kmfalila@afdb.org
Duchi45@yahoo.com
0977-700034
0977-758141
0964-957069
0977-750771
0962-716772
0978-516974
deutkas@yahoo.co.uk
0977-654130
figogmel@yahoo.co.uk
Excellent.hachileka@undp.org
0978-793309
0978-214793
0977-225246
Lenganji.sikaona@gmail.com
gbnaturals@gmail.com
gchilukusha@roads.gov.zm
252697
0977-873073
0966-433665
Senior Consultant
Project Officer
Accounts
Manager
Admin/accounts
assistant
Page 125
ANNEX 9: ENVIRONMENTAL AND SOCIAL FIELD APPRAISAL FORM
Application Number:
NAME OF PROJECT
PART 1:
IDENTIFICATION
Project Name:
Project Location:
Project Beneficiaries:
Reason for Field Appraisal: Summarize the issues from the ESMF Checklist that determined the need for a Field
Appraisal.
Date(s) of Field Appraisal:
1.
2.
3.
PART 2:
4.
PART 3:
Field Appraisal Officer:
_______________________________________________________
District/SPIU Representative: ______________________________________________________
Community Representative and Address: ___________________________________________
_______________________________________________________________________________
DESCRIPTION OF THE PROJECT
Project Details: Provide details that are not adequately presented in the subproject application. If needed to
clarify subproject details, attach sketches of the subproject component(s) in relation to the community and
to existing facilities
ENVIRONMENTAL AND SOCIAL ISSUES
5. Will the project:

Need to acquire land?

Affect an individual or the community’s access to land or available resources?

Displace or result in the involuntary resettlement of an individual or family?



Yes
No
If “Yes”, tick one of the following boxes:
The Resettlement Action Plan (RAP) included in the subproject application is adequate. No further action
required.
The RAP included in the subproject application must be improved before the application can be considered
further.
A RAP must be prepared and approved before the application can be considered further.
6.Will the project:

Encroach onto an important natural habitat?

Negatively affect ecologically sensitive ecosystems?
Yes
No
Page 126



7.



The Environmental Management Plan (EMP) included in the subproject application is adequate. Nofurther action
required.
The EMP included in the subproject application must be improved before the application can be considered
further.
An EMP must be prepared and approved before the application can be considered further.
Are there indigenous people living in the subproject area who could benefit from, or be
adversely affected by, the subproject?


Will this project involve or introduce pesticides?





10.


11.
Yes
No
The Pest Management Plan (PMP) included in the subproject application is adequate. Nofurther action is
required.
The PMP included in the subproject application must be improved before the application can be considered
further.
A PMP must be prepared and approved before the application can be considered further.
9.

No
The Indigenous Peoples Plan (IPP) included in the subproject application is adequate. Nofurther action required.
The IPP included in the subproject application must be improved before the application can be considered further.
An IPP must be prepared and approved before the application can be considered further.
8.

Yes
Will this project involve or result in:
Diversion or use of surface waters?
Construction and/or rehabilitation of latrines, septic or sewage systems?
Production of waste (e.g. slaughterhouse waste, medical waste, etc.)?
New or rebuilt irrigation or drainage systems?
Yes
No
The application describes suitable measures for managing the potential adverse environmental effects of these
activities. No further action required.
The application does not describe suitable measures for managing the potential adverse environmental effects of
these activities. An Environmental Management Plan must be prepared and approved before the application is
considered further.
Will this project require the construction of a small dam or weir?
Yes
No
The application demonstrates that the structure(s) will be designed by qualified engineers, and will be built by
qualified and adequately supervised contractors. No further action is required.
The application does not demonstrate that the structure(s) will be designed by qualified engineers, and will be
built by qualified and adequately supervised contractors. The application needs to be amended before it can be
considered further.
Will this project rely on water supplied from an existing dam or weir?
Yes
No
The application demonstrates that a dam safety report has been prepared, the dam is safe, and no remedial work
is required. No further action is required.
 The application does not demonstrate that a dam safety report has been prepared, the dam is safe, and no
remedial work is required. A dam safety report must be prepared and approved before the application is
considered further.
12. Are there any other environmental or social issues that have not been adequately addressed? Yes
No

If “Yes”, summarize them:__________________________________________________
________________________________________________________________________
________________________________________________________________________
and tick one of the following boxes:
Page 127


Before it is considered further, the application needs to be amended to include suitable measures for addressing
these environmental or social issues.
An Environmental Management Plan needs to be prepared and approved before the application is considered
further.
PART 4:
FIELD APPRAISAL DECISION

The subproject can be considered for approval.
Based on a site visit and consultations with both interested and affected parties, the field appraisal determined
that the community and its proposed project adequately address environmental and/or social issues as required
by the Project’s ESMF.

Further subproject preparation work is required before the application can be considered further.
The field appraisal has identified environmental and/or social issues that have not been adequately addressed.
The following work needs to be undertaken before further consideration of the application:
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
All required documentation such as an amended application, EMP, RAP, IPDP or PMP will be added to the subproject
file before the subproject is considered further.
Name of field appraisal officer (print): …………………………………………………….
Signature: ……………………………………………..
Date: ………………………….
_________________________________________________________________
Page 128
ANNEX 10: ENVIRONMENTAL AND SOCIAL APPRAISAL PROCESS FOR CDD SUBPROJECTS (AfDB)
Subproject Appraisal Process
Application for subproject
bycommunity
Corresponding Safeguard Requirements
 Identification of subprojects
Reject requests based on exclusion list (box 2.4)
Step 1:
Site
Identification
No risk
Subproject Environmental
and Social Assessment
Step
2:
EnvironmentalSoci
alAssessment
Low risk
High risk


Develop generic
mitigation and
monitoring measures
for subproject
sectors (e.g
wastewater , rural
roads, irrigation, etc)
Apply
environmental
conditions in contract
agreements
(construction
and
supervision)
Step
Subprojects Approval
(Local government)

3:
Environmental
and social review


Subproject Monitoring
Subproject
implementation
5:

Environmental
and
social
Monitoring

Step
Apply environmental
conditions in contract
agreements(construc
tion and supervision)
EMPs (and RAPs) reviewed by local
Environmental and social Specialists (or
technical service providers e.g NGOs)
Subproject approved on the basis of
environmental and social review findings
Implement mitigation measures under the EMP
(and RAP) for subprojects
Training of project staff, local Govt officers, and
communities in EMP(and RAP) implementation
Step 4:
Subproject Approval
(Local government)

Carry out a
subproject
specific EA study
Develop
subproject
specific EMP’s
(and RAPs if
applicable)
Monitor environmental and social compliance,
pollution abatement, and EMP(and RAP)
implementation
Carry out annual environmental and social audits
for subprojects
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ANNEX 11: COMMUNITY SUBPROJECT MONTHLY REPORT
Instructions: This form must be sent to the Project Officer for your project every month
without fail. Attach additional information as needed should the form below not provide
enough space.
Progress report for the month of: _________________________
Project name: _______________________________ Project number:
____________________________
Village/area: ________________________________ District:
___________________________________
PHYSICAL PROGRESS: (List all the project components and the progress to day, (e.g school
one - completed construction of walls: school two – cement poured).
Component
Description of project to date
1.
2.
3.
4.
Etc
Comments on project progress: (Report if there have been any problems that require the
attention and assistance of the Regional or project officer).
Problem/Issue
Comments
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ANNEX 12: GUIDELINES FOR ANNUAL REVIEWS
Annual Report Form
NAME OF PROJECT
Application No:
1.
Name of District:
2.
Beneficiaries:
3.
Name and Position of Review Authority Completing the Annual Report:
4.
Reporting Year:
5.
Date of Report:
6.
Community Subprojects:
Specific TA
IDP
RAP
PMP
ESMP
Field Appraisal
Types of Activities
Application included an ESMF
checklist
8.20
Approved this year
Please enter the numbers of subprojects in the following table. (Note: The types of sub projects should be Based on list
in Chapter 5 of the ESMF.)
Community Level Infrastructure
Water point rehabilitation
Hand dug wells
Earth dam rehabilitation
Community reservoirs
Small dams
Small canals
Water harvesting facility
Hand pumps and mechanized boreholes
Windmills for pumping water
Community access roads
Agriculture and Livestock Diversification
Improved moisture retention
Fish landing sites
Cattle watering facilities
Vegetable/Livestock markets
Vaccination services
Agro-forestry
Agro-processing facilities
Post harvest handling facilities
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Specific TA
IDP
RAP
PMP
ESMP
Field Appraisal
Types of Activities
Application included an ESMF
checklist
8.20
Approved this year
Market places
Natural Resources Management
Community tree nurseries
Afforestation
Erosion preventioninterventions
Soil moisture/fertility restoration
Beekeeping/crafts production
Water shed protection
Stream and river bank protection
Wetland protection
Rangeland improvements
Wildlife estates
Community game ranching
Eco-tourism and hunting areas
Ac
tio
ns
to
be
tak
en
Subproject
Ac
tio
ns
tak
en
Were there any unforeseen environmental or social problems associated with any subprojects approved and
implemented this year? If so, please identify the subprojects and summarize the problem(s) and what was or will
be done to solve the problem(s). Use a summary table like the one below.
Pr
obl
em
(s)
6.
7.
Have any other environmental or social analyses been carried out by other public or private agencies in your
district/province? If so, please describe them briefly.
……………………………………………………………………………………………………………………………………
…………………………………………………………………………
8.
Have you noticed any particular problems with implementing the ESMF in the past year (e.g. administrative,
communications, forms, capacity)? If so, please describe them briefly.
……………………………………………………………………………………………………………………………………
……………………………………………………………………………………
9.
Training: Please summarize the training received in your district/province in the past year, as well as key areas of
further training you think is needed.
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Group
Training Received
Training Needed
Review Authority
Approval Authority
Extension Teams
Communities
Page 133
ANNEX 13:GUIDELINES FOR AN ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN
An Environmental Management Plan (ESMP) is required for sub-projects that have distinct mitigation
measures such as physical works or management activities. The ESMP must be included in the subproject
application. The main elements of an ESMF are listed in the table below:
Table 27: Elements of an ESMP
Element
1
2
3
4
5
6
7
Description
Adverse effects
The anticipated negative effects are identified and summarized.
Mitigation measures
Each measure is described with reference to the effect(s) it is intended to
deal with. As needed, detailed plans, designs, equipment descriptions, and
operating procedures are described
Monitoring
Monitoring provides information on the occurrence of environmental effects.
It helps identify how well mitigation measures are working, and where better
mitigation may be needed. The monitoring program should identify what
information will be collected, how, where and how often. It should also
indicate at what level of effect there will be a need for further mitigation.
How environmental effects are monitored is discussed below.
Responsibilities:
The people, groups, or organizations that will carry out the mitigation and
monitoring activities are defined, as well as to whom they report and are
responsible. There may be a need to train people to carry out these
responsibilities, and to provide them with equipment and supplies.
Implementation schedule
The timing, frequency and duration of mitigation measures and monitoring
are specified in an implementation schedule, and linked to the overall
subproject schedule.
Cost estimates and sources of
funds
These are specified for the initial subproject investment and for the
mitigation and monitoring activities as a subproject is implemented. Funds to
implement the EMP may come from the subproject grant, from the
community, or both. Government agencies and NGOs may be able to assist
with monitoring.
Monitoring Methods
Methods for monitoring the implementation of mitigation measures or
environmental effects should be as simple as possible, consistent with
collecting useful information, so that community members can apply them
themselves (see example below). For example, they could just be regular
observations of subproject activities or sites during construction and then use.
Are fences and gates being maintained and properly used around a new water
point; does a stream look muddier than it should and, if so, where is the mud
coming from and why; are pesticides being properly stored and used? Most
observations of inappropriate behavior or adverse effects should lead to
commonsense solutions. In some cases (e.g. unexplainable increases in illness
or declines in fish numbers), there may be a need to require investigation by a
technically qualified person.
Adapted from ESMF Tool Kit – Part C (June 2004)
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ANNEX 14: GOVERNMENT INSTITUTIONS THAT WILL BE INVOLVED IN THE IMPLEMENTATION OF
THE PPCR
Ministry of Finance and National Planning (MoF)
The Ministry of Finance (MoF) is the focal point for the PPCR. MoF is responsible for the mobilization, planning and
distribution of Government and external resources, and therefore in a strategic position to promote climate change
mainstreaming. As senior Ministry, it also has convening power over other participating Ministries. However, given its
multiple commitments, MoF would need to assign a dedicated team, contracted and/or seconded from technical
agencies, to manage the Programme.
Ministry of Lands, Natural Resources and Environmental Protection (MLNREP)
The Ministry of Lands, Natural Resources and Environmental Protection (MLNREP), is Zambia’s climate change and
environmental focal point. It presently houses the Climate Change Facilitation Unit (CCFU) and has provided technical
and administrative support to the development of the Climate Change Response Strategy, the National
Communications on Climate Change, the Economics of Climate Change study and the NAPA. It also leads climate
change negotiations. MLNREP’s main constraint lies in its ability to mobilize other powerful Ministries, like the Ministry
of Transport, Works Supply and Communication. MLNREP also has a relatively weak presence in the field, unlike MACO
or DMMU, and has not yet fully absorbed CCFU into its structure.
Disaster Management and Mitigation Unit (DDMU)
The Disaster Management and Mitigation Unit (DDMU) under the Office of the Vice President (OVP), is responsible for
disaster preparedness, response, mitigation and prevention. It is housed within an influential Ministry with convening
powers conferred by an Act of Parliament, and has regional offices at the provincial, district and satellite (sub-district)
level. It chairs the Vulnerability Assessment Committees, and is presently developing a geospatial information system
for climate risks, in collaboration with WFP. However, DMMU addresses all types of disasters (including refugee issues)
and has not historically been at the lead in climate change issues.
Ministry of Agriculture and Livestock
The Ministry of Agriculture and Livestock (MAL) is responsible for agriculture policies and programmes at the local
level. MAL is one of the key climate change Government stakeholders with strongest on-the-ground presence, having
representatives in each district. However, its mandate is focused on a particular aspect of climate resilience
(agriculture).
Ministry of Local Government and Housing (MLGH)
The Ministry of Local Government and Housing (MLGH) is responsible for promoting local government systems and
increasing the responsibility of local authorities (at provincial and district levels) through devolution of powers and
financing. It is presently responsible for the Constituency Development Fund, which disburses the equivalent of US$1.1
million per district per year for local projects such as rehabilitation and maintenance of water and sanitation facilities;
feeder and community roads (particularly using labor-intensive methods); markets and bus shelters; community-based
health and education facilities and programmes; and agriculture and marketing activities. Once the Regional and Urban
Planning Bill is passed and decentralized budgeting is adopted, it is envisaged that the funds will go straight from the
Treasury to local governments.
The Zambia Meteorological Department (ZMD) under the Ministry of Communications and Transport (MCT) is
responsible for climate change assessments, early warning information, insurance risk assessments and crop yield
predictions. It works collaboratively with DMMU in the dissemination of early warnings.
Department of Water Affairs (DWA)
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The Department of Water Affairs (DWA) under the Ministry of Mines, Energy and Water Development (MMEWD), is
responsible for the formulation of policies on, and sustainable development of water resources. It is also responsible
for ensuring an effective approach to hydrological data collection and monitoring. It has historically been one of the
Ministerial Departments with the highest degree of climate mainstreaming.
Ministry of Transport, Works, Supply and Communications (MTWSC)’ and Road Development Agency (RDA)
The Ministry of Transport, Works, Supply and Communications is one the Ministries that carry a wide mandate covering
public works, roads, maritime and inland water transport, railways, aviation, meteorology, transport and
communication. While the Department of Maritime Affairs and Inland Water Ways focuses on the management of
transport on rivers and lakes and is therefore a key stakeholder in the implementation of the pilot for climate
resilience. Specifically, the Ministry has a critical role to play in the Improvement of selected Canals in the Barotse subbasin.
The Ministry’s role in the Kafue sub-basin will focus in the improvement and upgrading of access (feeder roads) as well
as the upgrading of three main roads that under the farm to market subcomponent. The Ministry will also work
through the Road Development Agency (RDA) and the National Road Fund Agency (NRFA).
The NFRA’s mandate is to mobilize and manage funds for the development, periodic maintenance and repair of the
national road network. The RDA is responsible for managing and overseeing major road construction and applying
safety standards in public infrastructure projects, particularly in the Road Transport Sector.
Zambia Bureau of Standards (ZBS)
The Zambia Bureau of Standards (ZBS), under the Ministry of Commerce, Trade and Industry (MCTI), is the statutory
organization responsible for establishing safety standards for buildings and other infrastructure.
Zambia Environment Management Agency (ZEMA), formerly Environmental Council of Zambia (ECZ)
The Zambia Environment Management Agency (ZEMA), formerly known as Environmental Council of Zambia (ECZ),
which was established as an autonomous body through an Act of Parliament, is the main institution in charge of
environmental management affairs and Environmental Impact Assessments and Audits. It has been actively involved in
the preparation of National Communications to the UNFCCC.
Presently, the PPCR activities are being implemented directly by MoF, with the support of multi-stakeholder platforms.
The leading Ministries (MoF, MLNREP and OVP) actively collaborated in formalizing the Secretariat that is now
operational. This will be followed by the formalization of the Steering and Technical Committees and, ultimately, the
Council. The future NCCDC is expected to be established at around the time of implementation of the PPCR Investment
Projects. It is expected that the NCCDC will require considerable institutional strengthening from the PPCR and other
complementary donor-funded projects.
While the other sector ministries, departments and agencies will play an important role at the level of sectoral policy
and legislative oversight, the key responsibility for the implementation of the PPCR projects and sub-projects will rest
with the Ministry of Local Government and Housing (MLGH) which oversees the work of all district councils. The
Ministry will implement the PPCR CDD project through district councils under the legal framework provided by the
National Decentralization Policy of 2003. The Ministry of Local Government and Housing will work closely with the
DMMU15 in the Office of the Vice President and the Provincial Administration which falls under the Office of The
President.
A key challenge that must be addressed by the PPCR Secretariat (and subsequently the NCCDC) is the capacity of the
MLGH and the district councils to implement the PPCR projects and sub-projects. Over the past decades, it has been
15
Plans are underway to transform the DMMU into the Disaster Risk Reduction Management Unit (DRRMU)
which will have more proactive programmes.
Page 136
widely acknowledged that district councils have lacked the necessary financial resources, adequate administrative
muscle. The decentralization implementation plan (DIP) was only recently formulated and is yet to be operationalized.
It is imperative for stakeholders to ensure that the decentralization policy is fully operationalized as this would be key
to the successful implementation of the PPCR project and sub-projects. The establishment of new districts – five new
ones in Western Province alone – will put additional pressure on the National Treasury to provide adequate man power
and resources. Equally important will be the strengthening of capacities of the district councils through capacity
building and attractive conditions of service.
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ANNEX 15: GUIDELINES FOR DEVELOPING TERMS OF REFERENCE FOR THE ENVIRONMENTAL
AND SOCIAL MITIGATION SPECIALIST
Below is a broad guideline for the formulation of actual/detailed terms of reference for an
environmental and social management specialist (one for each sub-basin) who could be assigned
to the SPIU in Mongu and Choma for the Barotse Sub-Basin and Kafue Sub-basin respectively.
Objective
To provide over all guidance and technical advice on environmental, social management and
mitigation, for the successful implementation the projects and sub-projects under the Strategic
Programme for Climate Resilience (PPCR) in the Barotse/Kafue Sub-basin.
Proposed Tasks

Provide technical advice to the SPIU, Provincial and District Planners, District Councils and
district technical officers on all technical issues related to environmental and social
management of the community demand driven PPCR projects and sub-projects which will
be identified by the communities in the two sub-basins.

Provide specific technical inputs on mitigation measures for sub-projects.

Provide oversight for the implementation of the ESMF and compliance to environmental
and social safeguards;

Working in collaboration with NGOs/CBOs and private sector actors participate in the
design and delivery of training and sensitization programmes for SPIU officers, District
technical officers, traditional leaders ( representatives of the BRE and Paramount Chiefs
and headmen) and the communities.

Facilitate mutual sharing of experiences and learning on climate resilience between the
two sub-basins on all issues related to environmental social management and adherence
to safeguards.

Participate in the monitoring of adherence to social safeguards and mitigation measures
for the projects sub-projects

Identify and suggest strategies for enhancing mitigation measures and the screening
checklists as may be required.

Provide technical link between the PPCR Secretariat and the SPIU.

Perform other duties that may further enhance the work of PPCR.
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ANNEX 16: PUBLIC CONSULTATION REPORTS
Below are minutes from the public consultations held in the selected districts.
NOTHERN CIRCUIT
The Background of SESA, ESMF and RPF
The Pilot Program for Climate Resilience (PPCR) was born out of the need to mitigate effects of
climate change. Under the PPCR, the MoF plans to carry out a Strategic Environmental and Social
Assessment (SESA) of Zambia’s climate change investment framework. The SESA is awaiting
completion of the inventory of projects and programmes included in the investment framework.
Once the framework is completed, the SESA will encompass:
• Potential concerns of environmental, socio-economic and institutional effects related to the
Investment projects
• Review Zambia’s regulatory framework on social and environmental safeguards, and
recommend where necessary strengthening measures to address the above concerns.
• Provide alternatives in the case of non-realization of key investments
• Recommend a list of environmental and social norms that should be considered as minimum
benchmarks for all projects under Zambia’s Climate Change Programme
• Provide the basis of an Environmental and Social Management Framework and Plan (ESMF/P)
be used in the implementation of specific SPCR investment.
The districts earmarked for the PPCR in the northern circuit include Solwezi, Lufwanyama and
Mufulira.
Research Methodology
The methodology which was used in the study was based on community participation through
focus group discussions .The names of participants of the Focus Group Discussions are in the
Register. Site assessments of projects and climate impacted sites were done with GPS
coordinates also taken. Photos of the site were also taken.
Field Report for Solwezi
The field work for PPCR SESA, ESMF and RPF started with a district meeting with officers from
DACO’s office and Meteorological Department. The list of the officers in attendance was follows:
Mr. Francis Mwansa, Tel office: 08821338
Senior Agricultural Officer,
Mr. Shadreck C.Mubanga-0977681230, mubangashadreck@yahoo.com
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Acting District Marketing Officer
Mr. Billy Mulima-0977413510,billymulima@yahoo.com
Mr. Mbela-0979 719054
Acting Crop Husbandry Officer
Mr.K.R .Manjomba 0978704867 manjoba1@yahoo.com
Meteorological Officer
Mr. Gentile Chasaya outlined the purpose of our visit. He also asked the officers in attendance to
identify main sites for site visits, that is projects and/ or climate impacted sites in Solwezi. In
response they identified Musele which was affected by Hailstorm. They said that the Hailstorm
affected the crops. Musele is located about 170 km from Solwezi town.
They also identified Tundula in Mutanda area as being another site worth visiting as it
experienced floods. It was learnt these floods led to houses collapsing. We opted to go to
Mutanda as most people in Musele have been resettled elsewhere.
In Tundula we were welcomed by the Camp Extension Officer
for Mutanda, Mr. Kingford
Mweemba who took us to the area which was affected by flooding. Pictures were then taken of
the site. The Mr. Mweemba said that the area is waterlogged during rain season. To the east of
the area 6 km there is Mushingashi streams and there is a dambo 5 km on the west. It was also
learnt that wells in Tundula go down 5 metres deep as the water table is very high. The GPS for
Tundula was:
S 120 29’31.38”
E 026011’20.92”
Alt 1359.44 m
The people gathered in a classroom at Tundula Basic School. The group was mainly comprised of
women and youths with few men. The meeting started at 14:35 hrs with a prayer from one of the
participants. Mr. Mweemba introduced the research team to the Tundula community. Mr.
Chasaya through an interpreter explained the whole purpose of the meeting and the need for
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community participation. After the people understood the purpose of the meeting, divisions
were made into two Focus Groups; old age and, middle aged and youths.
The main livelihoods practised in Tundula was crop farming with maize being the major crop
being grown followed by cassava and sorghum. With some also involved in livestock rearing and
other activities such as charcoal and timber. Furthermore, others also extracted non-timber
forest products such as fruits, medicine and thatching grass as a source of livelihoods.
Though the main livelihood of Tundula community is farming it is one of the areas that is facing a
challenge of flooding. This has been happening since some years back with the recent one which
destroyed the crops and houses. Strong winds are one of the weather events that has been
experienced in the area and also led to the destruction of crops and houses. The most affected
groups are old aged, infants and physically challenged.
The main environmental problems in Tundula community are degradation of farming soils due to
floods and growing the same crop year after year. Another problem is soil erosion which is mainly
caused by the winds in the area. Charcoal burning is one the social activities that has contributed
to deforestation, thus becoming another environmental problem.
There are main important products and income sources that are derived from the natural set up
of Tundula such as thatching grass from Dambos and fruits (Makusu, Mpundu), mushroom ,
medicinal plants, caterpillar worm and wild vegetables, all from forests.
The weather
situation in Tundula has come with it a number of health related issues such
waterborne diseases like bilharzia and diarrhoea. The stagnant water due to flooding and
waterlogging is a breeding ground for mosquitoes which are carriers of the malaria parasite. This
has led to an increase in malaria cases.
In as much as the weather has brought with it challenges it also opened opportunities or
benefits to the community. These include trade in non-timber forest products such as Lweho
grass (thatching grass). The people whose trade is building houses have more opportunities of
making money as more houses are destroyed by the floods and winds. Further, during floods
there is plenty of grass for pasture.
With the changes in weather there is a growing need to acquire new skills in Tundula in order for
people adapt to the weather changes. There is need to impart skills such as carpentry, tailoring
and bricklaying to improve infrastructure.
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Mufulira
The GPS coordinates for Murundu is S 12030’13.9” and E 028020’22.7.The altitude is 1335m. Point 2
coordinates were taken at Murundu-Mokambo turning point and there were S 120 18’36.85” and
altitude was 1322.50m.Murundu is one the farming blocks in Mufulira rural. Most of the families
are involved in farming. The main crops being maize, groundnuts, sorghum and millet. About 90
percent of people are involved in charcoal burning.
The main climate threats in Murundu are heavy rains which destroyed crops and houses. The
areas affected were Mitundu, Njiri, Nsombo and Vale dam was also affected. Dry spells during
rain season which for example in 2011 resulted in low water table, thus it affected most of the
farmers who depend on water wells for irrigation. It was also learnt that most frequent weather
related event was late start rains. This has discouraged farmers to do early planting of crops.
During our interaction with the community it was brought to our attention that the quality of
water is poor as most wells are next to pit latrines and also the water level is low. An another
environmental problem is deforestation as most people are involved in charcoal burning.
Weather related events have led to an increase in water borne disease like dysentery, diarrhoea
and also malaria and coughing.
Poverty is one of the social problems that has become severe in the community as people’s
source of income or food security is disturbed by heavy rains that destroy the crop. Attendance
at school is affected when there is heavy rainfall because the schools are far and the roads
become impassable.
The most valuable things the Murundu community would like to protect against weather include
water wells, roads, houses and crops.
The most important products and income sources derived from surrounding nature are
mushroom, wild fruits, caterpillar and thatching grass (Lweho grass) from the forest. In addition,
it is worth realizing that changing weather also provides opportunities for example heavy rains
brings about plenty mushroom, fruits like mangoes and fish in dams/streams. Heavy rains also
means a lot of water which can be used for irrigation in gardening. The other benefit of changing
weather like in the case of drought is that houses are not destroyed.
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The skills needed in Murundu to mitigate the impact of changes in weather are knitting,
conservation farming which addresses soil erosion and degradation. Bee keeping is another skill
needed to mitigate weather variations. The community also said they needed business
management and livestock skills to build capacity with regards to the projects they identified.
Lufwanyama
The area visited is Lumpuma camp. The main livelihoods activity is farming. The main climate
threats to the community include floods, extreme coldness, changes in the onset of rains. Floods
destroyed houses and extreme coldness caused Bamboos and banana plants to dry up.
Social problems associated with change in weather in Lumpuma are hunger, malnutrition and
lack of money to send children to school.
It was agreed by the participants of the focus group discussion that roads, bridges,waterwells
should be protected against weather in their community.
GPS coordinates taken at Mwelushi stream (Point 1) were as follows:
S 13006’39.48”
E 027055’26.28”
Altitude: 1207m
Mwelushi Point 2
S 13008’56.4”
E 0270 55’29.04”
Altitude: 1175.0 m
Challenges in the field
There were problems in organizing people in the communities as the District Commissioners and
officers from the Ministry of Agriculture and Livestock (MAL) said that they did not receive
communication on our assignment. Like in Lufwanyama and Mufulira, they were reluctant to help
us. Although it was a different case with Solwezi as the Officers from MAL were very helpful.
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Conclusion
From the meetings we had with the communities it was clear that the people had problems that
have come as result of variations in weather. The participatory approach of the SESA will help
people in the Kafue and Barotse Basins to come up with projects that are resilient to climate
change.
Southern Circuit: SESA, ESMF, RPF BRIEF REPORT
Introduction
The study was undertaken between 27th August to 31stAugust, 2012 in Sesheke in Western
Province, Namwala and ItezhiTezhi districts in Southern Province of Zambia.
In all districts, the meetings were held with DACO’S through whom some members of the
Disaster Management Committee were called and talked to as well. The table below indicates
those members talked to at district level
District
Name of Staff
Job Title
Sesheke
Mr. MuyanganaMwandamena
DACO
Mr. Sikufele
Namwala
Mr. Pius Mambo
Senior Agricultural Officer
Mr. Simasiku
Block Extension Officer
MrJosbinMuleya
Crop Husbandry Officer
Mr. Martin Sikainga
Acting DACO
Ms. Oster Musanje
District Community Development Officer
Ms. LinnyKaile
ItezhiTezhi
Mr. PiasMwiinga
DMMU Committee member
Mr. Mbozi
DMMU Committee Member
Mr. Brian Fyachepa
Acting Officer in Charge
Mr. Roy Silumelume
District Commissioner
Mr. Taylor Banda
DACO
Mr. Davies Mwanza
Forestry
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Mr. Malama
Through MAL district and Block level officers, communities were mobilized and focused group
discussions on designated days were held. Three site assessments (i.e. one per district) were
made with both the district and community people identifying areas with climate impacts. Table
below gives a breakdown of the type of sites assessed, number of FGD participants and
communities covered per district.
DISTRICT
TYPE OF SITE ASSESED
#OF PARTICIPANTS
Males
Sesheke
Wetland
18
Females
13
COMMUNITY
COVERED
Total
31
Kalobolelwa
Namwala
ItezhiTezhi
Plain
23
22
45
Showgrounds
Road Infrastructure
24
5
29
Masasabi
MAJOR FINDINGS
General Information
The DACOs in the Ministry of Agriculture and Livestock constituted contact persons for entry in
the districts were delegated Officer with assistance of Block or Camp Officers led and introduced
the team into the communities.
The Disaster Management Satellite Committee in all districts as were informed is made up of
members drawn from the Department of Social Welfare, Community Development Officer,
Meteorology, Forestry, Fisheries, Health, DMMU representative and an officer from the Ministry
of Education.
Staffing in most departments remains a major challenge. For instance, of the 12 established
positions in the Fisheries Department in Namwala district, only 3 have been filled. This pattern is
almost the same across all other government departments in the other districts visited as may be
observed by the many acting staff that was available for this study.
One site per district namely; Sesheke, Namwala and ItezhiTezhi were visited and assessed. The
distances between two possibly selected areas per district with climate impact made it
Page 145
impossible to cover both within the scheduled times.It must be pointed out here that the
identified climate impacted sites though rightly identified in all districts seem (only in my opinion)
not to really offer the much sought for environmental impacts. Could it be that there are no
adversely impacted areas?.
In almost all districts, the sites assessed for weather impact were based on DACOs and
community meetings. The absence of sites for infrastructural development under the SPCR
Component 2 and sites suggested for village development is worrisome considering the evident
weather impacts in the visited communities.
Only two GPS readings for Sesheke and ItezhiTezhi and were taken.
Sesheke District
During the meetings at District level in Sesheke, the team was informed that droughts and floods
have occurred with Kalobolelwa and Mabumbucommunities being the most affected
areas.Mabumbu community is more prone to floods while Kalobolelwa is prone to droughts. The
district has had about 3-4 projects that focused on climate change related issues. These were
FISRI, CRS/Red Cross, IUCN, and the Root and Tuber projects.
FISRI, aimed at the promotion of conservation agriculture, water harvesting technologies and the
use of ripper and Chakain farming systemsincluding sensitizing farmers on the economic
importance of fertilizer use . The project also led to the promotion of agro-forestry practices
through which acacia tree planting activities got to be introduced in the area.
IUCN though have since had their project phased out were in the area promoting the Farmer
Field School concept that required farmers owning one communal field. With the participation of
each farmer, practical activities that involved crop production, management up to harvesting was
done . The lesson learnt throughout the process were then applied by each one of the
participating farmers on their individual farms.
Under the Food Crop Diversification Support Project, the Root and Tuber projects, funded by
JICA is operational in the district. Cassava and sweet potatoes constitute main root and tuber
cropspromoted,respectively. The district have some successful farmers(4) involved in the
ongoing seed growers and seed multiplication covering 1 ha. land through the WWF. The WWF
are also involved in conservation farming and human wildlife conflict in the game management
area. Chilly booms have since been introduced in the communities within Sesheke as a way to
mitigating the human-wildlife (particularly elephant attacks) conflict.
CRS are involved in food relief activities while Red Cross deals with food security issues.Included
are Land O Lakes whose resilience project began with the promotion of livestock in the district
and is now more into pasture management issues. Another organization called Kulima that is
funded by the Swedish under Caritas Livingstone was reported to be involved in conservation
farming focusing more on soil fertility and organic farming.
Namwala District
Page 146
Through the district officers it was reported that the district experienced very strong winds last
year that blew some School rooftops in a named community to an extent in some incident having
iron corrugated sheets getting folded up.
It was reported that due to droughts and consequent rain shortages have affected the fish
breeding pattern (according to the explanation by the Fisheries Officer)s. Coupled with the poor
fish catching practices of the fishermen (Registered fishermen are 1,100 in number), there has
been, abate there being no statistical evidence, a depletion of fish in both the Zambezi and
Namwala rivers. All these scenarios manifested in the fish scarcity that the district generally has
continued to experience for the past five years now.It was further pointed out that available data
on fish was captured at main markets and not collected from starting points or harbours.
Livestock diseases continue to be more prevalent in Maala area of Namwala. The situation is
further worsened by the fact that there are no drug stores in the area from where farmers could
possibly purchase needed drugs. The lending institutionstoo (especially banks)due to their
stringent requirements and limited coverage are not helping farmers overcome this problem.
The Nico/Masope –Makaba-Muchilaroad was during floods reported to be totally impassable.
Due to the poor road construction works, the road was said to turn muddy during especially the
rain season. Heavy Rains that resulted in floods were also attributed to the collapse of houses
especially in the showground area where because of sand soils and closeness to the plain water
sipped right through to local peoples homestead. The 2008 floods were especially severe that
showground inhabitants (about 80 victims)have had to be relocated outside Namwala township
to an upper land calledNamulumbwe, located 7km from the flood prone area.The office of the
President was reported to be instrumental in providing food to flood victims up to last January
2012.
There have however been other relocations in the year 2000 and 2002 both of which involved
moved people to higher lands within Namwala township. By study time, only 21 victims of the 80
relocated victims remain in Namulumbwe. The rest have since drifted back to the flood prone
area with some working towards improving their homestead from temporal structures (i.e.
houses built with poles and mud walls)to semi-permanent ones (houses constructed using
cement plocks and iron roofed); and usually have grass thatched roofs). It was reported that
inadequate provision of water points and land for cultivation was the major reason for majority
flood victims drifting back to the flood prone area. Furtherobservations indicated that the flood
victims whose livelihoods depended on fishing either as fish catchers or as fish marketers
especially in the case of women that constituted majority fish traders in the district, found it hard
to live far away from such sources livelihoods.
Reported dry spells experienced especially in the two consecutive farming seasons 2009/2010
and 2010/2011 have had devastating effect on maize production that led to reduced yields of 1.7
tonnes per hectare per year compared to the almost standard yields of 2 tonnes per hactare per
year often obtained in the district.Ngabo and Bambwe areas were identified as the worst hit
areas by dry spells.
Page 147
The major health problem the district encountered over the years has been the “plague”that
surfaced as a result of rat infestation.
ItezhiTezhi District
The effects of climate change are evident and are being experienced through high temperatures,
the cold whose effect was visibly observed on trees that got scorched. Drying of rivers with
subsequent effects on agriculture and fisheries.
Under the Forestry Department and through agro-forestry practices, communities are being
sensitized on the importance of conserving nature to minimize effects. Babiji was identified as
one of the women’s community based group that was introduced and helped to establish a
woodlot. The group has been able to plant the eucalyptus tree species alongside their cash crops.
The Department also encourages Schools to plant orchards and assorted tree species that were
give to them to manage. Kalundu High School, Masasabi and Bushinga all falling in Chief
Kaingu’sarea are some of the schools already involved. Despite these introductions made five
years ago, monitoring by the Department has been problematic because of inadequate resources
e.g. funds, staff, vehicles etc.
Drought was reported to be occurring in portions particularly in areas where deforestation due
to charcoal burning practices has occurred. the areas closer to Mumbwa were identified as main
areas where deforestation is rife. As a way of discouraging charcoal burning,Danida, was said to
have introduced bee keeping activities using new beehives four years ago.
Masasabi area has seven village headmen four of whom were present during the Focus Group
Discussions.
Description of Type of Sites and Communities Visited
For Sesheke, a wetland type site found within Kalobolelwa community which is about 2km away
from SiomaNgwezi National Park and located 65km away from the district along the Sesheke Senanga road, was identified as the area with climate impact. Traditionally, the wetland has for
many years been used for successive agricultural practices. The major crop grown is maize that
seasonally is grown between the months of September and December just before the floods set
in.The wetland experiences water backflows twice a year causing floods. With floods comes
hippo invasions to fields situated along the wetland and downstream the Zambezi rivercausing
damage to crops.
As a result of the experienced flushes, water collects and remains in the middle of the wetland
which again results in the much experienced frost reported to have wiped a banana plantation
estimated to be ¾ ha (i.e. 0.75ha) in the year 2006.During the study period, community people
and reported having lost the first crops grown around June due to frost and new crops were just
being raised.
Between 50 to 60 families are involved in wetland cultivation usually utilizing very small plots and
the practice is considered a coping strategy for mere survival.
Page 148
Community people further reported facing challenges with regard to upland cultivation during
the rainy season from October to November. Because the community lies within the elephant
route, aselephants come in huge numbers moving to and fro the Zambezi river in the north and
south direction, farmers crops in the process get damaged. Such elephant attacks forces farmers
undertake premature harvests(as early as April)of their planted crops, especially when the maize
crop has not fully formed.
The community also being in a drought prone area, further affects peoples’ agricultural
production and productivity rendering the community perpetually food insecurity.
In the case of Namwala district, the plain type site located along the Namwala riverine to the
north and human settlement in the Southern direction with the assistance of members of the
DMMU was visited and site assessment made.
Being a plain, the area is highly susceptible to flooding whenever there were heavy rains.
Evidence of collapsed houses, toilets and such relevant structures were seen. House structures
that had previously been submerged during the flood periods still bear the mark of the extent of
the effect of water that had slipped through its walls.
Evident effects of Climate Change with high temperatures, colds and floods were reported in
ItezhiTezhi. Eroded and damaged roads due to floods were identified as sites with most climate
impacts.
Emerging Issues
The main emerging issues in all districts visited are groups as follows:







Areas are prone to droughts, floods, frost, strong winds and extreme high temperatures
Farmers lose of crops due to drought, dry spells, floods and frosts.
Areas have some climate change and resilience ongoing activities and projects namely
agro forestry practices, conservation farming and crop diversification
Outbreaks of cattle diseases, more so in Maala of Namwala district
LimitedMicro financing for small scale farmers and enterprises
Damaged infrastructure such as roads (therefore limiting transport to and from the area)
due mainly to floods.
Deforestation occurrences.
Main challenges
There generally were very few challenges though worth mentioning:
The main challenge during study period was being able to assess two sites per district. The
distances between sites of interest made it difficult to do work in the days that were allocated
per districtand according toschedule. While work in all districts is indeed doable within five days,
based on distances to communities and impacted sites to be covered proved really difficult.
Page 149
Another challenge was to arrange (though the staff from agriculture assisted) for people to
come for community participatory meetings. Such activities needed more time for contact
persons to inform community members. The often high numbers of people that attended these
meetings were due to the fact that there were joining in well after the meetings had began. In
some community we were being asked as to why only few people were informed of the meeting.
Though not so serious an issue but the vehicle used gave the team members some hell of a time.
Opportunities





Established district committee dealing with climate change and resilience are indications
of some kind of preparedness and willingness of various stakeholder to handle climate
change issues and are available for partnership in weather related projects/programmes.
Existing weather impacted sites, environmental and social concernsthat can be studied
and lessons drawn and available for replication in other areas that may be similarly
impacted.
Current climate change mitigation practices and projects introduced in communities also
offer themselves for drawing lessons from.
Easy entry into communities through thewell established structures of mainly the
Ministry of Agriculture and Livestock.
Plenty room for climate change and resilience studies to influence policy makers and also
encourage more works that would lead to general improvement of rural life e.g. road
improvements, water supply and sanitation
Way Forward
In future, it would be helpful to do the following things:


Allocate more days per district if more than one impacted sites were to be assessed.
Ensure that the staff at district level are informed in advance and if possible asked to also
inform contact persons of intended community meetings
Page 150
PPCR Stakeholder workshop – Strategic Environmental and Social Assessment (SESA)
Project Prototypes
Sandy’s Creation 13TH DECEMBER, 2012
PART 1: INTRODUCTION
Public participation is an important element when planning and implementing environmental and
social assessments. It is one way of ensuring that all stakeholders take part in planning and
decision making process of projects that might affect them during their implementation. As part
of stakeholder consultation in preparing the SESA, ESMF and RPF of the SPCR, Niras, together
with the MoF held a stakeholder consultative meeting that was held at Sandy’s creation to define
the PPCR project prototypes. Stakeholders from the public sector, private sector and donor
community participated in this event. Among the stakeholders were representatives from the
WB (Ms. Thandi Ngxaba and Sofia Bettencourt), AfDB (Ms. Kisa Ilava Mfulila) and PPCR
Secretariat (Mr. David Kaluba and Mr. Martin Sishekanu). The list of the participants is attached in
the annex.
PART 2: INTRODUCTION
The meeting was opened by the PPCR national Coordinator who thanked everyone for coming to
the meeting. A presentation was made to give a brief background on climate change in Zambia
and PPCR as summarised below:








Floods and droughts have cost Zambia and the vulnerable will continue being affected if
climate change effects are not address through adaptation.
The trends from 1960 to date have shown that Zambia has been experiencing droughts
and floods, with temperatures increasing, and a decrease in rainfall. Future projections
still highlight that the climate variability experienced in the past 53 years will continue
with sever floods and droughts.
While Zambia is exposed to climate change, the southern part is the most vulnerable.
The vulnerable people are the most affected by climate change. They cope by reducing
the number of meals and other basic needs such as education. Their debts increase and
further rely on casual labour as their source of income.
the Barotse and Kafue sub-basins as their pilot areas for SPCR
PPCR objective is to to mainstream climate change into the most economically and
vulnerable sectors of the economy in order to ensure sustainable economic development
towards the attainment of Zambia’s Vision 2030
The Zambia Climate Change Programme will be headed by a committee of Ministers with
the future climate change council reporting to them. Government ministries, civil society
organisations, private sector and academia will fall under the future climate change
council. Platforms have been created for stakeholders according to their areas of
interest.
Since the objective of the PPCR responds to the attainment of Zambia’s vision 2030 which
seeks to mainstream climate change into the most economically and vulnerable sectors
Page 151


of the economy, it therefore also fits into the National Strategic vision which thrives to
having a prosperous climate-resilient economy.
PPCR has been designed with two phases – Phase 1 consists of mainstreaming climate
resilience, having strengthened institutional coordination, improved information,
targeted awareness and communication. Phase 1 has been implemented since in 2010.
Phase 2 comprises of participatory adaptation, looking at climate resilient infrastructure
and strategic programme support. Phase 2 is the proposed Strategic Programme for
Climate Resilient in Zambia. Participatory adaptation and climate resilient infrastructure
will be implemented in the two sub-basins while strategic programme support will be at
national level.
There are three investment support projects under SPCR. The first one will focus on
Barotse sub-basin and will be financed by IBRD. AfDB will finance the second investment
project which will focus on the Kafue sub-basin. The third component is the private sector
support programme which will be financed through International Finance Corporation.
PART 3: CONSULTING TEAM PRESENTATION
A presentation on the findings was done by the consulting team from the field mission which
took place in August, 2012. A total of 9 districts were visited where interviews were held with key
informants. Focus Group Discussions (FDGs) were also conducted with community members. Site
assessments of impacted areas were also conducted in each district. The findings revealed the
main environmental and social issues that were experienced by the communities due to climate
change; the mitigation measures that the communities felt would address the impacts and the
project activities that the communities identified and thought would be most suitable to adapt to
the effects of climate change. The team also made a presentation on the screening process for
the projects and the institutional arrangements. A summary of the findings is given in the tables
below.
Summary of Findings from the Field Mission
Environmental Impacts
Weather Event
Drought





Damages
Floods
Deforestation
Floods
Crop diseases
Livestock diseases
resistance of pests
pesticides
Overgrazing
Crops, livestock
Frosts
soil infertility
Crops, livestock, human lives lost
Change in onset of rain
Quality of drinking water
crops
unexpected rainfall
Soil erosion
drenched harvested crops
to
Crops, livestock, roads, human lives, houses
Page 152
Weather Event
Damages
Extreme heat
Soil degradation
Diseases, low water levels, drying of grazing land,
crops, skin diseases, diarrhoea
Dry Spells
Low ground water level
Crops dry
Social Impacts
Findings showed that very poor households have been affected by climate change and most the
affected people are children, the aged and people living with disabilities
Social and Community problems that have
become more severe and Coping Strategies
Improving
the
situation of the
worst affected
Impact on
strategies









Food
insecurity
Increase in
diseases
Loss of income
Damaged
infrastructure
Low school
turn out
Migration of
people
Wildlife
migration
routes/human
conflict







Improved
technology and
farming methods
Conservation
farming
Livestock
management
water
conservation/harves
ting
agro-forestry
entrepreneurship
Construction,
upgrading or
retrofitting of
community roads to
climate resilience
Use of chilli bombs
General questions
stakeholders 16




Capacity
building in
entrepreneur
ship
Provision of
loans
Food
assistance
Provision of
climate
resilient
seeds
Electrical
Fencing off
and




health
Waterborne
diseases
Malaria
Respiratory
tract
infections
Eye
infections
Malnutrition
comments




on
and
Coping
Sensitization
on health
Promotion
of hygiene
practices
Access to
clean water
Improved
sanitation
matters
using
traditional
means like
herbs
the
Improving the
situation of the
worst affected

Mainstream
in school
curriculum
study
by
Stakeholders raised questions from the reports circulated on the study of which all the questions
have since been responded to. The below questions were raised by the stakeholders from the
consultative meeting.
Questions/Comments
16
All the questions and concerns raised have since been address in the main documents for the study
Page 153
Questions/Comments
People are in remote access and don’t have access to radio or TV. In which way is PPCR going to help such people receive information on
weather.
Masaiti – There is an outbreak of worms related to food insecurity. How will the DMMU mitigate in such a situation to help with food
situation
Response:
There is need to investigate if this outbreak is linked to climate change. There are cases were diseases and pests might be those that are
triggered by climate change. In such a situation, there is need to have a contingency fund that might be available at district level to deal
with such issues. At community level
chemicals have been distributed that will ensure that such eventualities are taken care of.
Ministry of Lands – It is important to compare what is already on the ground so that we don’t have to re-invent the wheel. Important to
consult other documents such as the NAPA because certain issues that were raised from the field mission findings have already been raised
in the NAPA.
UNDP
1. Q1, section 2.1.4 Structured interviews and FGD – Reference made to the methodology used.
a. DACO, DMC and Metrological departments. Why is it that only these 3 institutions were met?
b. Discussion done with concerned participants and stakeholders. Need to give who exactly these stakeholders.
c. There is also need to know who these groups of 15 are and need to have these stratified.
2. Section 2.1.5 – Reference is made to the visits that look at the system and preparedness of the local level.
a. How was the preparedness assessed and what systems were looked at to look at the adequacy of the systems
b. Who are the planning and implementing authorities? Need for clarity
With reference to the table for the Summary of environmental impacts, which of these are climate related or which of these fall under cc.
For example Deforestation and overgrazing can exist without the impact of climate change. Are the diseases mentioned new diseases if not
how do they relate to climate change?
Response: There is no clarity on the actual projects that will be done so these are just project prototypes that will be done. The proposed
projects must demonstrate clear adaptation benefits. (refer to the document circulated by WB at the meeting).
Some of the points mentioned out of the document are:

Reinforcing the capacity of ecosystem.

The activity must have been identified as part of the participatory planning. Climate management is incorporated in this

The beneficiaries should incorporate an inkind contribution

Operational manual should earmark the most vulnerable

Need for minimum requirements such as bank account for beneficiaries

This will be done at community, district and provincial level. That’s where the proposals will be screened from

Many of these projects will not trigger cat A. Screening should be simple and be done at community level.
As a direct response to climate change, social cash transfer is being implemented in Kalomo. This started from 2003 when there was
drought and most people lost their cattle. GIZ did a study which recommended social cash transfer which has since been rolled out to other
parts of the country. Frost was experienced last year where most people lost their crops. This is something that should be looked at during
Page 154
Questions/Comments
this study
PART 4: GROUP DISCUSSIONS
Group discussions were held to establish what the stakeholders thought would be the most
suitable project prototypes for the SPCR. Four groups were formed which looked at different
aspects of the study using question pre-designed by the consulting team. Presentations and
responses to the group discussions are summarized in in the following tables below.
Two documents for abbreviated project prototypes for Kafue and Bratose Sub-basins was
circulated by AfDB and WB representatives. They are both attached in the annex below.
A questionnaire was designed by the consulting team for PPCR stakeholders who participated in
the consultation meeting to assess what they thought would be there role in SPCR and to also
get direct information what synergies existed between SPCR and their institutions. The
questionnaire is attached in the annex.
Group one – Project prototypes in Barotse Sub-Basin
i.
Project prototype
Project Prototypes
Reasons
Env. Potential Impact
Social Impact
Not significant
Increased non-farming incomes
CLUSTER 1.: Reduce Vulnerability and Secure Assets
Bee Keeping
Source of income from honey
;
Ownership of assets;
Improved livelihoods
Agricultural
Diversification
Construction
Ponds
Access to crop varieties and
hybridization of livestock;
Access
to
non-timber
products e.g. mushrooms,
fruit trees
of
Fish
Availability of fish (protein
source) throughout the year
Reduced
change
vulnerability
to
climate
Increased incomes from climate
resilient farming/livestock production
Pesticide contamination
Land degradation
Disrupt the ecosystem – could
result in drying up of some
water channels;
Mitigation: Construct water
retention ditches
Restricted access for some vulnerable
groups/members of community;
Mitigation: Compensation of the
owner by the group/ if owner has
been asset becomes public owned
Cluster 2. Decrease Vulnerability of Ecosystems
Rehabilitation
and
Maintenance of existing
canals and dams
Will benefit a large section of
the community, particularly
the most vulnerable.
Water pollution from oil and
other liquids from machines,
Mitigation-Use
resource
manual
Job creation; food security from
growing crops throughout the year
Construction of Gabions
Reduce soil erosion
Improved
Reduced exposure to climate change
land
use
and
Page 155
Project Prototypes
Reasons
Env. Potential Impact
Social Impact
and
other
stabilization/erosion
prevention structures
Improve drainage
improved productivity
Vegetation planting for
sediment and erosion
control
Reduce degaradation and soil
erosion
Reduced soil erosion and land
degraation
Reduced exposure to soil erosion –
increased production
Cluster 3. Decrease Exposure of Population or Assets to Climate Change
Climate
Vulnerability
and hazard mapping
To build on what the people
already know and use local
knowledge
to
increase
awareness;
Increased climate
preparedness
resilience
Reduced exposure to soil erosion –
increased production
Cluster 4. Increase Coping Capacity of Local Population to Climate Change
Strengthening
the
level of community
organization
e.g.
CONCeRN, Worldwide,
Water
Users
Association
ii.
Community structures and
traditional
management
systems are already in
existence
Easy to coordinate
implement projects
and
Communities will gain from Social
capital
Comments/ response on presentation
The group should have looked at other projects outside what was already given so that they
could provide a broader picture about the kind of projects required.
Group two – Project Prototypes in Kafue Sub-Basin
i.
Project Prototypes
Identified projects
1. Constructions of dams so as to
strengthen winter gardening led by
community organizations
Env. Impacts
1. There’s a possibilities of affecting
environmental flows downstream,
probability of outbreaks of diseases
i.e. bilharzia and malaria
2. Drilling and Deepening of boreholes
and wells to provide safe drinking
water and gardening
2. Drilling
and
Deepening
of
boreholes and wells: May deplete
the ground water aquifers and may
get contaminated (saline)
Social Impacts
1. Constructions of dams: they will be
conflicts on water usage/ as well as on
the security dam and when to do the
fishing
Mitigation: Awareness and sensitization
campaigns, Civic & Health Education,
formation of maintenance and operational
committee
2. Drilling and Deepening of boreholes and
wells: difficulties in hygiene, operation
and maintenance
Mitigation: Awareness and sensitization
campaigns, Civic & Health Education,
formation of maintenance and operational
committee
3. Rain Water harvesting
4. Promotion of climate resilience crops
and livestock;
3. Climate resilience crops and
livestock: May introduce some
invasive species
3. Climate resilient crops and livestock:
Resistance to change to adapt to the
introduced crops
Page 156
Identified projects
Env. Impacts
5. Fish Farming
4. Fish Farming: May introduce some
invasive species (e.g. Clay Fish)
6. Bee keeping activities
5. Bee keeping activities: Possible
Deforestation & forest degradation
7. Processing and preserving of foods
6. Processing and preserving of
foods: Waste management and
over harvesting (Exploitation)
6. Increased food security
8. Mushroom growing
7. Mushroom growing: May introduce
some invasive species
7. Increased diversification of livelihoods
ii.
Social Impacts
Mitigation: sensitization on the importance of
diversification
4. Fish Farming: they will be conflicts on
maintenance, usage as well as on the
security of the pond and when to do the
fishing. May lead to jealousness
5. Regular diversified incomes from nonagricultural products
Institution Responsibilities and capacities for Implementation and Monitoring
Institutional Roles for Implementation
Institutions that do the
monitoring
Needed
capacity
Implementing
1. Project identifications (CBOs)
2. Contribution of upfront payments as
part of project implementation
3. Communities to monitor and
evaluate the project
4. DDCC appraise and approve the
identified projects
5. DDCC to facilitate the funding of
project
6. PDCC appraise and approve the
identified projects
1.
2.
3.
4.
5.
6.
1.
2.
3.
4.
1.
2.
CBOs
FBOs
D-WASHE
DDCC
PDCC
Local NGOs
Financial resources
Technical guidance
Awareness
Human resource
for
Needed
capacity
strengthening
for
Project implementation
By: CBOs, DDCC,
Traditional and Civic leadership
Monitoring tools: M&E Skills,
Budget tracking
Operational, maintenance and
supervision
Need to address sustainability in all programmes
Community benefit sharing
iii.
Comments/ response on Presentation:
while potential projects were highlighted it was felt necessary to explain why and clarify
on whether dam contractions would be part of this programme since these are high level
projects which are not part of community activities. However, the group responded that
it might be viable because most streams have water during rainy season which was not
available during the dry season. Damming of these streams would provide water during
the dry season. It was however concluded that damming was a huge endeavour which
would not qualify since PPCR is looking at community driven projects. Therefore, there is
need to reconcile thoughts on these community driven ideas. There will be need to have
an institution that will provide technical assistance for the proposed projects.
Page 157

Draft Environmental and Social Management Framework

Transcription

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