ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK Volume I

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized 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

2 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 The Kafue Sub-basin Investment project under the funding of the AfDB will be implemented from December 2013 to December 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. PPCR Environment and Social Management Framework Final Draft Report Page ii

3 BAROTSE SUB BASIN (WB) Component Sub-component 1 Strategic National Programme Support 1.1 Institutional Support to National Climate Change programme 2 Support to Pilot Participatory Adaptation 1.2 Strengthened Climate Information 3 Pilot Participatory Adaptation 3.1 Community adaptation sub grants:- actual funding to participatory adaptation investments 3.2 Rehabilitation and strengthened management of traditional canals:-strengthening of the management of 5 traditional canals KAFUE SUB-BASIN (AfDB) Component Sub-component 1 Participatory Adaptation 1.1 Integrated Community-Based Adaptation:-community level infrastructure to be upgraded to withstand floods or droughts 1.2 Support to participatory Adaptation:-support to local Government to incorporate climate risk management principles in area plans 2 Climate Proofing Road Infrastructure Focussed on climate proofing of farm-to-market major roads to be climate resilient. 3 Strategic National Programme Support Led by the Ministry of Finance and National Planning (MoF), the PPCR involves two phases: Phase I: Preparation Phase and Phase II: Implementation Phase. The PPCR seeks to: a) mainstream climate change adaptation into national plans and strategies; b) assist communities in highly vulnerable areas to identify and address their own climate change adaptation options as part of local development plans; c) incorporate climate resilience into existing community development funds to ensure their sustainability; d) invest in highly visible infrastructure as a way to rally public support for adaptation; e) build on partnerships, particularly with private sector and civil society; f) use the transformative power of communication technologies; and g) strengthen the institutional foundation for a future climate change programme in Zambia. The sub-projects in the selected districts will be community-demand driven (CDD). Therefore the nature and exact locations of these subprojects is yet to be defined and identified by the communities. However even if the nature and location of these sub projects is not defined and not known, Operational Policy 4.01 of the World Bank, the Environmental Policy of the African Development Bank and the regulations of the Zambia Environmental Management Agency (ZEMA)require that, the main implementing agency, the Ministry of Finance prepares (i) A Strategic Environmental and Social Assessment (SESA); (ii) an Environmental and Social Management Framework (ESMF); and (iii) a Resettlement Policy Framework (RPF). The objective of the first two frameworks (SESA and RPF) is to review relevant policies and legislation on environment and climate change and also to assess the potential implications for PPCR Environment and Social Management Framework Final Draft Report Page iii

4 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: PPCR Environment and Social Management Framework Final Draft Report Page iv

5 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 AFRICAN DEVELOPMENT BANK Policy Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 Policy on the Environment (2004) X 2 Policy on Integrated Water Resources Management (2000) X 3 Agriculture and Rural Development Sector (2000) X 4 Involuntary Resettlement Policy (November 2003) X 5 Gender X 6 Poverty Reduction X 7 Cooperation with Civil Society Organizations X The following WB Safeguards Policies that will be triggered will apply to all sub-projects funded under the Investment Projects in the Barotse sub-basin during the period September 2013 to December WORLD BANK Policies Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 OP 4.01: Environment Assessment X 2 OP 4.04: Natural Habitats X 3 OP4.09 Pest Management X 4 OP 4.10: Indigenous Peoples X 5 OP4.11 Physical Cultural Resources X 6 OP 4.12: Involuntary Resettlement X 7 OP 4.36 Forestry X 8 OP 4.37: Safety of Dams X 10 OP 7.50: International Water Ways X 11 OP 7.60: Disputed areas X Identified environmental and social impacts that may arise as result of the implementation of the sub-projects include some of the environmental impacts include: land clearing and increased use of pesticides while social impacts include: increased agricultural productivity due to improved moisture retention and early planting resulting in increased pressure on land and land conflicts. Mitigation measures would include use of culturally acceptable conflict prevention and resolution practices. Based on community needs and aspirations and essentially small scale in scope, the sub-projects to be implemented under the PPCR have been assigned either to category B or C (WB); 2 or 3 (AfDB) and schedule 2 under ZEMA. In order to be responsive to the circumstances of the beneficiary communities in the two sub-basins, individual subprojects will be subject to a screening process which will involve a number of steps including: PPCR Environment and Social Management Framework Final Draft Report Page v

6 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. PPCR Environment and Social Management Framework Final Draft Report Page vi

7 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. PPCR Environment and Social Management Framework Final Draft Report Page vii

8 TABLE OF CONTENTS CHAPTER 1: INTRODUCTION Environmental and Social Management Framework (ESMF) Project Description Aims and Objectives Description of Project Components and Sub-Components Institutional arrangements... 8 CHAPTER 2: ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK METHODOLOGY Environmental Methodology CHAPTER 3: BASELINE INFORMATION Baseline information Climate Change in Zambia: Challenges for the Kafue and Barotse Sub-Basins CHAPTER 4: MDB ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES AND ZAMBIAN ENVIRONMENTAL LEGISLATION World Bank Operational Policies and Procedures - Barotse Sub-basin African Development Bank Safeguard Policies Overview of Zambian Legislative and Regulatory Framework Environmental Legislation and Policies Complementarity between Zambian Legislation, World Bank and African Development Bank Safeguard Policies CHAPTER 5: INDICATIVE LISTING, POTENTIAL IMPACTS, ADAPTATION AND MITIGATION MEASURES OF SUB-PROJECT PROTOTYPES Context Identification of PPCR Related Community Demand-Driven (CDD) Eligible Projects Identification of Potential Projects Preferred by Communities Stakeholder Participation Event NGO Projects Relevant to Climate Change Abbreviated Project Descriptions Environmental impacts Social impacts CHAPTER 6: CLASSIFICATION of SUB-PROJECT PROTOTYPES FOR INVESTMENT IN KAFUE AND BAROTSE SUB-BASINS World Bank Classification African Development Bank Classification Zambian Legislation Clasiffication Screening of Sub-Projects CHAPTER 7: MONITORING PLAN OUTLINE FOR PPCR PROJECTS Compliance Monitoring Impacts Monitoring PPCR Environment and Social Management Framework Final Draft Report Page viii

9 7.3 Cumulative Impacts Monitoring Monitoring Requirement The Environmental and Social Monitoring Plan and Monitoring Indicators Monitoring Indicators Monitoring Responsibility CHAPTER 8: INSTITUTIONAL CAPACITY ASSESSMENT FOR THE ESMF IMPLEMENTATION Need for Institutional Capacity National Government Institutions Local Government Institutions Civil Society Organisations Vulnerable Social Groups Private Sector Implementation Arrangements and Capacity Building Requirements REFERENCES ANNEXES LIST OF TABLES Table 1: Institutional Arrangements and functions... 9 Table 2: Functions and descriptions Table 3: Sample Districts Table 4: Summary of Environmental Problems and Impacts Table 5: Estimated area of the Barotse Floodplain extended wetlands (ha) Table 6: Sub-basin Characteristics Table 7: World Bank Safeguard Policies Table 8: WB Safeguard policies and their relevance to PPCR Project in the Barotse sub-basin Table 9: African Development Bank Safeguard Policies Table 10: AfDB safeguard policies and their relevance to PPCR projects in Kafue sub-basin Table 11 : summary of national legislation Table 12: WB/AfDB policies and Zambian Legislation Table 13: List of Eligible Activities under Constituency Development Fund vs. Proposed Activities Eligible for PPCR Funding Table 14: Summary of Projects preferred by the communities Table 15: Projects key NGOs have been undertaking and considered suited for PPCR Funding Table 16: Abbreviated Project Description (AfDB/IBRD) Table 17: Potential Environmental Impacts of Sub Project and mitigation/enhancement measures Table 18: Potential Social Impacts and mitigation measures of Sub Projects Table 19: Indicative list of Eligible Category C Project Prototypes, which may be financed under the PPCR Table 20: Indicative list of Eligible Category B Project Prototypes which may be financed under the PPCR- 67 Table 21: Elements of an ESMP Table 22: Example of an environmental and social monitoring plan (ESMP) for the sub-projects Table 23: Roles and Responsibilities Table 24: Estimated budget for ESIA trainings Table 25: Capacity Building Budget Estimates Table 26: Programme Support and Budget over the project period Table 27: Elements of an ESMP LIST OF FIGURES Figure 1: PPCR Pilot Districts, NIRAS Zambia (2012) PPCR Environment and Social Management Framework Final Draft Report Page ix

10 Figure 2: Soils, NIRAS Zambia (2012) Figure 3: Muoyowamo canal near Nayuma Habour Figure 4: Integrated Development Plans and local Area Plans Figure 5: Overview of the Implementation Arrangements. (Source IBRD, Abbreviated Project Descriptions) Figure 6: Overview of the Implementation Arrangement (Source AfDB, Abbreviated Project Descriptions) Figure 7: Complimentary Projects in the Zambia PPCR Phase II PPCR Environment and Social Management Framework Final Draft Report Page x

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

12 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 PPCR Environment and Social Management Framework Final Draft Report Page xii

13 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 The Kafue Sub-basin Investment project under the funding of the AfDB will be implemented from December 2013 to December 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, PPCR Environment and Social Management Framework Final Draft Report Page 1

14 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. Disaster Management Act 2010 ii. Environmental Management Act of 2011 (replacing the Environmental Protection and Pollution Control Act (EPPCA) No. 12 of 1990) iii. Fisheries Act; iv. Forest Act; v. National Adaptation Plan of Action(NAPA) of 2007 vi. National Conservation Strategy of 1985; vii. National Environmental and Action Plan of 1994 viii. National Heritage and Conservation Act of 1989 ix. National Policy on Environment of 2005 x. National Strategy on Biodiversity and Action Plan xi. National Water Policy of 1994 xii. National Water Resources Management Act of 2011 xiii. Pesticide and Toxic Substances Regulations (1994) xiv. Plant Pests and Diseases Act Cap 233 xv. Water Act Cap 198 of 1948 xvi. Wildlife Act, These environmental policies and legislation are complemented by social policies key among which are: PPCR Environment and Social Management Framework Final Draft Report Page 2

15 i. Agricultural Lands Act ii. Decentralization Act iii. Land Act, Chapter 184 iv. Lands Acquisition Act Chapter 189 of the Laws of Zambia v. Local Government Act Chapter 281 of the Laws of Zambia vi. National Agricultural Act vii. National Agricultural Policy viii. Public Roads Act (2002) ix. Town & Country Planning Act Chapter 283 of the laws of Zambia A more detailed analysis of these national policies and laws is given in Chapter 5 and subsequent chapters. 1.2 Project Description Over the past three or four decades, Zambia has experienced increased incidence of climatic hazards. Drought, seasonal floods and flush floods, extreme temperatures (such as frost) and dry spells have been the most serious. With increased frequency, intensity and magnitude over the last two decades, these extreme climate events have severely impacted the livelihoods of rural communities. Among who are those most vulnerable to the effects of climate change are the rural communities in the Barotse and Kafue Sub-basin of the Zambezi Basin. In addressing these climate change challenges, a coordinated and pragmatic approach has been developed. The strategy: a) mainstreams climate change adaptation into national plans and strategies; b) assists communities in highly vulnerable areas to identify and address their own climate change adaptation options as part of local development plans; c) incorporates climate resilience into existing community development funds to ensure their sustainability; d) invests in highly visible infrastructure as a way to rally public support for adaptation; e) builds on partnerships, particularly with private sector and civil society; f) relies on the transformative power of communication technologies; and g) strengthens the institutional foundation for a future climate change programme in Zambia. The Participatory Adaptation sub-projects that are planned under the Pilot Programme for Climate Resilience are part of the coordinated response to Climate Change in Zambia. 1.3 Aims and Objectives The aim of the proposed Investment projects is to strengthen Zambia s institutional framework for climate resilience and to improve the adaptive capacity of vulnerable communities in the selected pilot areas of the Barotse and Kafue sub basins. The specific objectives are: i. to mainstream climate change adaptation into national and local area plans and strategies; ii. to assist communities in highly vulnerable areas of the two sub-basins, to identify and address their own climate change adaptation options as part of their local area development plans; PPCR Environment and Social Management Framework Final Draft Report Page 3

16 iii. to incorporate climate resilience into existing community development funds to ensure sustainability; iv. to invest in highly visible infrastructure as a way to rally public support for adaptation; v. to build on partnerships, particularly with the private sector and civil society to use the transformative power of communication technologies to enhance climate resilience in the two sub- basins; and finally vi. to strengthen the institutional foundation for a future climate change programme in Zambia. At project completion, it is expected that the Investment projects shall lead to the following outcomes: i. That Zambia will have a fully operational National Climate Change and Development council or equivalent institution, effectively coordinating climate change, funding programs and projects, through its own efforts. ii. iii. iv. That the Zambian Government will have increased its budgetary allocation in support of Climate resilient programs in vulnerable sectors (agriculture; natural resources, transport, health, water and energy, and disaster risk management) by 25 percent over the baseline. 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 Investment Projects in the Barotse Sub- basin PPCR Environment and Social Management Framework Final Draft Report Page 4

17 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) (ii) (iii) 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. Institutional strengthening through selection of national champions for post graduate training degrees and specialized short term training at international centres of excellence. 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: PPCR Environment and Social Management Framework Final Draft Report Page 5

18 (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 in chapter Investment projects in the Kafue Sub-basin PPCR Environment and Social Management Framework Final Draft Report Page 6

19 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. PPCR Environment and Social Management Framework Final Draft Report Page 7

20 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 in chapter Institutional arrangements The implementation structure and institutional responsibilities are clearly articulated in the PPCR document. Over the next eight years ( ), the PPCR will be administered through the Ministry of Finance (MoF). A number of government ministries, departments and agencies will be involved in the implementation of projects and sub-projects under the PPCR either directly or indirectly. Those involved include: i. The Ministry of Agriculture and Livestock (MAL); ii. The Ministry of Lands, Natural Resources and Environmental Protection (MLNREP); iii. The Ministry of Mines, Energy and Water Development (MMEWD) iv. The Ministry of Local Government and Housing (MLGH); v. The Ministry of Transport, Works, Supply and Communication (MTWSC); vi. The Ministry of Community Development, Mother and Child Health (MCDMCH); vii. The Ministry of Sport and Youth (MSY) viii. The Ministry of Commerce, Trade and Industry (MCTI) Agencies and departments that are already working with climate change include: i. The Disaster Management and Mitigation Unit (DMMU) under the Office of the Vice President (OVP); ii. Zambia Meteorological Department (ZMD) iii. The Zambia Environmental Management Agency (ZEMA); and iv. The Zambia Wildlife Authority (ZAWA) v. The National Road Fund Agency(NFRA) and the Road Development Agency (RDA) Most of these ministries and agencies are either already involved in climate adaptation or mitigation programmes and projects or have a mandate to undertake climate change interventions. Given the complexity, and far reaching implications of Climate Change, the PPCR is a multi-sectoral programme that requires participation of nearly all government ministries. The legislation and policies of individual government ministries provide the legal and social mandate on which respective ministries (and departments falling under them) will participate in the PPCR and contribute towards the achievement of its goals. PPCR Environment and Social Management Framework Final Draft Report Page 8

21 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) Committee of Permanent Secretaries (chaired by the Secretary to the Treasury) Climate Change Development Council or (The Board)to be appointed by the committee of Permanent Secretaries) Will provide policy oversight for the programme Will supervise the work of the Secretariat/NCCDC Responsibilities include working with the Secretariat and approval plans on the recommendation from the inter-sectoral stakeholder platforms Not yet operational Not yet operational Yet to be appointed The PPCR Secretariat/The National Climate Change Will serve as programme Operational but awaiting 1 PPCR Main document PPCR Environment and Social Management Framework Final Draft Report Page 9

22 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 PPCR Environment and Social Management Framework Final Draft Report Page 10

23 Function initiatives across sectors and projects 3. Carry over activities that may remain outstanding under the climate change initiatives Description Mainstreaming communication and knowledge management Resource Mobilisation and Management 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 PPCR Environment and Social Management Framework Final Draft Report Page 11

24 CHAPTER 2: ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK METHODOLOGY 2.1 Environmental Methodology 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 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 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 PPCR Environment and Social Management Framework Final Draft Report Page 12

25 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 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 to contribute equally to the issues relevant Summary of findings from field Mission A total of 9 districts (Solwezi, Lufwanyama, Mufulira, Mongu, Senanga, Shang ombo, Sesheke, Namwala and ItezhiTezhi) were sampled. These are among the 24 districts (16 are in Kafue and 8 in Barotse that have been identified as part of the pilot areas in the two sub-basins. As not all districts could be visited, 9 districts were selected based on the following criteria: provincial and Agro-Ecological Region representation vulnerability of population to effects of climate change (based on earlier experiences) and the ZVAC reports PPCR components, planned investment projects, Based on this criterion, the districts shown in table 3 below were selected to be assessed. Table 3: Sample Districts District Basin AE region Population* Itezhi-tezhi Kafue 2a 64,593 Sesheke Barotse 1 94,612 Mongu Barotse 2b 178,454 Namwala Kafue 2a 101,589 Senanga Barotse 2b/1 126,974 Shangombo Barotse 1 85,288 Lufwanyama Kafue 3 75,542 Mufulira Kafue 3 161,601 Solwezi Kafue 3 23,9051 *Source: 2010 Census of Population Total 1,127,704 PPCR Environment and Social Management Framework Final Draft Report Page 13

26 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. PPCR Environment and Social Management Framework Final Draft Report Page 14

27 The impacts of climate change are clear to see in many of the sites that were visited. Table 4 below captures some of the environmental issues (problems and impacts) identified. Table 4: Summary of Environmental Problems and Impacts Environmental problems Environmental problems that have become more severe - Deforestation - 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 - Soil erosion - Deforestation - Poor Quality of drinking water - Livestock and crop diseases 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. PPCR Environment and Social Management Framework Final Draft Report Page 15

28 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 size 2 of 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 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 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 Zambia s has a total land mass of 752,618km 2 of which 9,220km 2 is covered by water perennial streams, rivers and lakes 2 - while 743,398 km 2 is land. PPCR Environment and Social Management Framework Final Draft Report Page 16

29 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) 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. PPCR Environment and Social Management Framework Final Draft Report Page 17

30 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) 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 14 o C in June/July to 27.5 o C in October; the PPCR Environment and Social Management Framework Final Draft Report Page 18

31 mean maximum and minimum temperature range from 16 ºC to 34 ºC in October; and, 7 ºC to 24 ºC in July respectively 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 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 m 3, representing a sustained outflow rate of 898 m 3 /sec over the year. PPCR Environment and Social Management Framework Final Draft Report Page 19

32 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 The Barotse Sub-basin- Physical Environment The Barotse sub-basin, with an area of 118,931 km 2, is an integral part of the Zambezi River Basin. The Sub-basin hosts Zambia s second largest wetland 3, the Barotse Floodplain also known as the Bulozi Plain or Lyondo, covering an area of 9000 km 2 while the Kafue Flats is second with an area of 6500 km 2 (Hirji et al, 2002). The Barotse Floodplain is flat and influenced by several river systems. Timberlake (2000) defined the area as extending from Lukulu to downstream of Senanga, and including the Liuwa Plains National Park, Luena Flats, the Barotse Floodplain, and the LungueBungo River wetlands. Turpie and others (1999) provide estimates of the area (see table below). The Barotse Floodplain was listed as a Ramsar site in 2007 and has been proposed as a World Heritage Site. The floodplain measures approximately 240 km long and 34 km wide, extending from Lukulu in the north to Nangweshi in the south. Table 5: Estimated area of the Barotse Floodplain extended wetlands (ha) Wetland Area (ha) Barotse Floodplain 550,000 LungueBungo wetlands 70,000 Luena Flats 110,000 Luanginga River 100,000 Liuwa Plains National Park 366,000 Total 1,196,000 (Source:Turpie and others 1999). The Zambezi River, the fourth largest River in Africa after the Congo, Nile and Niger drains the Barotse Sub- basin (Rapid Assessment Report - (Euroconsult Mott MacDonald 2007)). Among the numerous tributaries of the Zambezi River include the Kafue and Luangwa Rivers. The Zambezi 3 The main flood plain is 5,500 km 2 but it extends to 10,750 km 2 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, and Wikipedia, PPCR Environment and Social Management Framework Final Draft Report Page 20

33 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) 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 16 o C and 23 o C 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 (km 2 ) Mean Annual Rainfall (mm) Average Temperature in July (ºc) Upper Barotse Sub-basin 12 90,359 1, Barotse Sub-basin Delta 1 23,653 1, Lungue Bungo 11 46,482 1, Luanginga 10 33, Barotse 9 118, Kafue 7 157,629 1, Luangwa 5 148, Average Temperature in November (ºc) Total/Average 1,378, (Source: ZAMWIS, 2007) Topography, Geology and Soils. Location PPCR Environment and Social Management Framework Final Draft Report Page 21

34 The Barotse Sub-basin is situated within the Zambezi River Basin and is geographically located between 9-20 South and 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 peneplains 4, 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 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. PPCR Environment and Social Management Framework Final Draft Report Page 22

35 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) Climate i. Rainfall Average annual rainfall across the Basin varies from about 500mm in a small part of the extreme south and south-west to more than 1,400mm in the Upper Barotse Sub-basin and Kabompo sub- Basins. In general, rainfall is greatest in the north, with an extensive area receiving over 1,000mm, and declines towards the south, where most areas receive less than 700mm thereby defining the agro-ecological zones. ii. Temperature Temperature across the Basin varies according to elevation, and to a much lesser extent latitude. Mean monthly temperatures for the coldest month, July, vary from just below 14 C for higher elevation areas in the south of the Basin to some 23 C for the low elevation areas. Mean monthly temperatures for the warmest month (November, normally the pre-rains month) vary from around 19 C in the highest elevation areas, to 31 C for the lower parts of the Barotse Sub-basin valley. iii. Potential Evapotranspiration Potential Evapotranspiration (ETo) varies greatly across the area, being determined by temperature, relative humidly, wind speed and sunshine. Annual ETo (based on FAO CROPWAT data) values vary from 1,000mm to almost 2,000mm, with an average of 1,600mm which sometimes is double the average annual rainfall. Irrigation is thus essential in most areas, both to grow perennial crops (e.g. sugarcane, bananas, citrus), and, in the drier areas, to guarantee crop yields for seasonal crops (e.g. maize, rice, cotton) 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). PPCR Environment and Social Management Framework Final Draft Report Page 23

36 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 1-2 o C between 1970 and 2004 (IPCC WGII 5, 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 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 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). PPCR Environment and Social Management Framework Final Draft Report Page 24

37 animal migration. Under excessive rainfall, wetland animals like the Lechwe and Puku would be adversely affected 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 Human health The Vulnerability Assessment 6 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 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) PPCR Environment and Social Management Framework Final Draft Report Page 25

38 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. PPCR Environment and Social Management Framework Final Draft Report Page 26 Figure 3: Muoyowamo canal near Nayuma Habour

39 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.) Fisheries Canal 1 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. PPCR Environment and Social Management Framework Final Draft Report Page 27

40 CHAPTER 4: MDB ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES AND ZAMBIAN ENVIRONMENTAL LEGISLATION This chapter reviews safeguard policies of the World Bank, the African Development Bank and Zambian policies and legislation relevant to environmental and social safeguards. The safeguard policies of the WB will apply to the Barotse sub-basin while those of the AfDB will apply to the Kafue Sub-basin. The Zambian legislation applies to both the Kafue and Barotse sub-basins. 4.1 World Bank Operational Policies and Procedures - Barotse Sub-basin As a key financing institution, the IBRD7 is committed to supporting development projects in a manner that protects people from any form of adverse impacts while ensuring that there is little environmental damage both in the short and long term. In order to minimize and manage environmental and social impacts, the Bank s operational policies and procedures require environmental assessment (EA) of projects proposed for Bank financing as part of their due diligence. These safeguards provide a mechanism and tools for ensuring integration of environmental concerns and social issues into the planning and implementation of development projects financed by the Bank. The Bank has a total of ten safeguard policies which are triggered depending on the nature and complexity of the proposed projects or sub-projects. In the context of the proposed PPCR community-driven projects and subprojects, five of the ten (10) World Bank Safeguard policies are relevant to PPCR projects and sub-projects and will be triggered as shown in the table below. Table 7: World Bank Safeguard Policies WORLD BANK Policies Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 OP 4.01: Environment Assessment X 2 OP 4.04: Natural Habitats X 3 OP4.09 Pest Management X 4 OP 4.10: Indigenous Peoples X 5 OP4.11 Physical Cultural Resources X 6 OP 4.12: Involuntary Resettlement X 7 OP 4.36 Forestry X 8 OP 4.37: Safety of Dams X 9 OP 7.50: International Water Ways X 10 OP 7.60: Disputed areas X 7 The IBRD includes the IDA and IFC PPCR Environment and Social Management Framework Final Draft Report Page 28

41 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 PPCR Environment and Social Management Framework Final Draft Report Page 29

42 Safeguard Policy Relevance to PPCR Projects in the Barotse sub-basin natural environment. There is need therefore to ensure that the rich biodiversity of the Barotse flood plain and the livelihoods that depend on it, are not compromised by the community-driven adaptation projects (CDDs) and mitigation measures as well as other investment projects that will be introduced under the PPCR. The intensity and frequency of extreme climate events such as high temperatures or frost are not likely to increase and will, therefore, not present any significant climate change environmental and social risks. OP/BP 4.04: Natural Habitats; 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. 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. 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 ) which stipulates that pesticides must have minimal effect on non-target species and the natural environment. 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 PPCR Environment and Social Management Framework Final Draft Report Page 30

43 Safeguard Policy Relevance to PPCR Projects in the Barotse sub-basin fertilisers and pesticides. This is likely to impact the environmental both in the short and long term unless adequate safeguards are in place. OP/BP 4.11: Physical Cultural Resources; 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. 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. 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) 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 PPCR Environment and Social Management Framework Final Draft Report Page 31

44 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. Relevance to PPCR Projects in the Barotse sub-basin structures and local compensation mechanisms. Where these are inadequate, resettlement and compensation measures described in the accompanying Resettlement Policy Framework (RPF) are to be followed. 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 African Development Bank Safeguard Policies Assessed For PPCR Program, all the main African Development Bank s Safeguard Policies were assessed, namely Poverty Reduction, Involuntary resettlement, Environment, Gender, Integrated water resources management, Agriculture and rural development, Population and Cooperation with Civil Society Organizations. The Environment Policy outlines AfDB s internal mechanisms for ensuring policy compliance and mainstreaming environmental considerations in AfDB operations. The policy also references AfDB s Environmental and Social Assessment Procedures (ESAP) and public consultation requirements. There are separate Environmental and Social Review Procedures for the AfDB s public and private sector lending. The table presents a summary of the AfDB safe guard policies. Table 9: African Development Bank Safeguard Policies AFRICAN DEVELOPMENT BANK Policy Triggered by the Project Investments in the Kafue Sub-basin Yes No 1 Policy on the Environment (2004) X 2 Policy on Integrated Water Resources Management (2000) X 3 Agriculture and Rural Development Sector (2000) X PPCR Environment and Social Management Framework Final Draft Report Page 32

45 4 Involuntary Resettlement Policy (November 2003) X 5 Gender X 6 Poverty Reduction X 7 Cooperation with Civil Society Organizations X Like the WB, the African Development Bank also demands compliance to its safeguard policies in the design, identification, implementation, monitoring and evaluation of projects and 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 policies 8 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. Involuntary Resettlement 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 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. 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. PPCR Environment and Social Management Framework Final Draft Report Page 33

46 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. Relevance to PPCR Projects in the Kafue sub-basin 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 PPCR Environment and Social Management Framework Final Draft Report Page 34

47 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. Relevance to PPCR Projects in the Kafue sub-basin 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. PPCR Environment and Social Management Framework Final Draft Report Page 35

48 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 Sixth National Development Plan ( ) The current Sixth National Development Plan (SNDP) is the second medium-term planning instrument under Vision 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 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. PPCR Environment and Social Management Framework Final Draft Report Page 36

49 The key principles applicable to the PPCR programme are that: i. every person has a right to a clean and healthy environment; ii. every person has a duty to promote sustainable utilisation and management of the environment and natural resources, including taking legal action against any person whose activities or omissions have or are likely to have adverse effects on the environment; iii. women should effectively participate in policy, program and project design and implementation to enhance their role in natural resource use and management activities; iv. there is need to use natural resources sustainably to support long-term food security and sustainable economic growth; v. rational and secure tenure over land and resources is a fundamental requirement for sustainable natural resource management; and vi. Trade-offs between economic development and environmental degradation can be minimised through use of EIA and environmental monitoring. For the proposed PPCR, it is important to recognize the linkage between environment and development. It is also important to realize that the two are not mutually exclusive but rather complementary. More important for the PPCR whose key objective is climate resilience and food security, the programme should integrate gender, children and other vulnerable groups concerns in environmental planning at all levels, to ensure sustainable social and economic development The Environmental Management Act (EMA) No. 12, 2011 Enacted in April 2011, The Environmental Management Act (EMA) No. 12 of 2011 replaced the Environmental Protection and Pollution Control Act (EEPCA) which until then was the supreme environmental law in Zambia. Under the new act, the Environmental Council of Zambia (ECZ) was re-named as the Zambia Environmental Management Agency (ZEMA). The Environmental Management Act provides the legal basis for the protection and management of the environment, conservation and sustainable utilisation of the natural resources in Zambia. The functions of the ZEMA are defined as follows: i. The Agency shall do all such things as are necessary to ensure the sustainable management of natural resources and protection of the environment, and the prevention and control of pollution. ii. Without limiting the generality of (i), the Agency iii. advises the Minister on the formulation of policies on all aspects of the environment and, in particular, make recommendations for the sustainable management of the environment; iv. co-ordinates the implementation of activities of all ministries, appropriate authorities and conservancy authorities in matters relating to the environment; v. develops and enforces measures aimed at preventing and controlling pollution; vi. develops, in liaison with the relevant appropriate authorities, standards and guidelines relating to the protection of the air, water, land and other natural resources and the PPCR Environment and Social Management Framework Final Draft Report Page 37

50 prevention and control of pollution, the discharge of waste and the control of toxic substances; vii. advises any private or public body on any aspect of nature conservation; viii. initiates, conduct and promote research, surveys, studies, training and investigations in environmental management; ix. researches or sponsors research on the effects of climate change on human beings and the environment; x. ensures the integration of environmental concerns in overall national planning through co-ordination with appropriate authorities; xi. undertakes general educational programmes for the purpose of creating public awareness on the environment; xii. reviews environmental impact assessment reports and strategic environmental assessment reports; xiii. monitors trends of natural resources, their use and impacts on the environment and make necessary recommendations to the appropriate authority; xiv. collaborates with Government agencies, appropriate authorities and other bodies and institutions to control pollution and protect the environment; xv. requests information on projects proposed, planned or in progress and advise stakeholders on projects, programmes, plans and policies for which environmental assessments are necessary; xvi. collaborates with such local and international agencies as the Agency considers necessary for the purpose of the Act; xvii. publicises information on any aspect of the environment and facilitate public access to information on the environment; and xviii. carries out any other activities relating to environmental management and the prevention and control of pollution, which are necessary or conducive to the better performance of the Agency s functions under the Act 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: PPCR Environment and Social Management Framework Final Draft Report Page 38

51 1. Management, protection and conservation of water resources to be undertaken in an integrated manner; 2. All people to have access to potable water and sanitation services to reduce incidences of water related diseases; 3. Water resources shall be optimally, equitable and rationally allocated and regulated to ensure sustainable optimal economic returns and social enhancement; 4. Water resources management will be based on the concept of decentralisation and will promote local participation with the catchment as the unit of water management; 5. Promote the empowerment of user communities to own, manage and invest in water resources development; 6. Pollution of water resources shall follow the Polluter Pays principle to ensure water user responsibility 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. PPCR Environment and Social Management Framework Final Draft Report Page 39

52 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 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 15 th 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 9 th March, According to the SI No. 19 of 2012, the Water Resources Management Act entered into force on 1 st October 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 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). PPCR Environment and Social Management Framework Final Draft Report Page 40

53 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 The Zambia Wildlife Act 1998 The Zambia Wildlife Act, 1998 was enacted on 24 th April, 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. PPCR Environment and Social Management Framework Final Draft Report Page 41

54 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 Public Roads (Amendment) Act of 2006 The Public Roads Act was enacted in 2002 and later amended in The Act provides for the establishment of the Road Development Agency and defines its functions as to provide for the care, maintenance and construction of all public roads in Zambia. Under this Act, Section 16 recognises park roads as in the following sub-sections: (1) Park roads shall be the public roads outside a local authority and area provided for the purposes of internal access into a National park. (2) Park roads may be designated as park roads, by Minister, on the recommendation of the Agency, by statutory order, on the application of the Authority. (3) The Road Authority in respect of any park road shall be authority appointed by the Agency, with the approval of the Minister, in respect of the park road and the road authority concerned shall subject to the direction of the agency, be responsible for the construction, care and maintenance of the park roads within its own area. The Public Roads Act Read together with Environmental Management Act [Section 29 (1)] prohibits persons to undertake any project that may have an effect on the environment without the written approval of ZEMA, and except in accordance with any conditions imposed in that approval. First and Second Schedule of EIA Regulation of 1997 itemises project requiring either EPB or EIA. Road upgrading to climate resilient status under the PPCR will adhere to the above provisions 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 PPCR Environment and Social Management Framework Final Draft Report Page 42

55 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 ( ) 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) ( ) 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 ( ) 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. PPCR Environment and Social Management Framework Final Draft Report Page 43

56 Legal Social Environmental 4.5 Complementarity between Zambian Legislation, World Bank and African Development Bank Safeguard Policies A comparison between Zambian legislation and the operational safeguard policies of both the African Development Bank and the World Bank reveals no significant differences or gaps. There are more similarities than there are differences. All three sets of policies legislation recognize that the importance of environmental and social benchmarks in order to mainstream environmental and social issues in development project. They aim at protecting people and the environment from adverse effects. In relation to the PPCR sub-projects, the polices stand for: conservation of natural habitats, especially the biodiversity that is found in the Barotse plains and the Kafue sub-basin wetlands (Lukanga Swamps, Kafue Flats and Busanga Plains) preservation of cultural property such as palaeontological, historical, religious and unique natural values, in a project area. Management of water resources The table below lists the policies for WB/AfDB and Zambian Legislation WB Safeguard Policies 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) African Development Bank Safeguard Policies - 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 Zambian Legislation - The Environmental Management Act (EMA) No. 12, National Policy on Environmental Policy (NPE), (2005) - National Water Policy, The National Forest Policy of Zambia (2011) and the Forestry Act (2011) - Water Resources Management Act No. 21 of The Zambia Wildlife Act Inland Waters Shipping Act Cap. 446 and National Transport Policy 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 ( PPCR Environment and Social Management Framework Final Draft Report Page 44

57 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). PPCR Environment and Social Management Framework Final Draft Report Page 45

58 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, 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: Livestock and poultry rearing, piggeries. Irrigation. Marketing activities. Basic farming machinery. Agriculture inputs (seeds, fertilizer, pesticides). Sustainable land management Scaling-up of conservation agriculture and agro-forestry. Physical soil conservation measures. Forest,grassland management and afforestation: Beekeeping. Support to non-timber forest products. Grazing management and pasture improvement. Support to agricultural diversification and commercialization: Promotion to climate-tolerant crop varieties. PPCR Environment and Social Management Framework Final Draft Report Page 46

59 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. Construction and rehabilitation of sanitation systems. Drainage systems. Social Amenities: Construction and rehabilitation of 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 CLIMATE RESILIENT PLANS Promotion of climate resilient livestock. Scale up sustainable aquaculture development. Commercialization of small-scale production as a way of improving livelihoods. Disease control: Early warning and control of livestock and fish diseases linked to climate change. Water supply and sanitation: 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>. PPCR Environment and Social Management Framework Final Draft Report Page 47

60 ACTIVITIES ELIGIBLE UNDER CONSTITUENCY DEVELOPMENT FUND INDICATIVE LIST OF INCREMENTAL ACTIVITIES ELIGIBLE UNDER CLIMATE RESILIENT PLANS Vulnerable mapping. Other community based activities promoting climate resilience. As the sub-projects are to be funded under the two investment projects in the Kafue and the Barotse sub-basin, it was imperative to consult the intended beneficiaries in nine of the sixteen districts which have been identified as pilots. 5.3 Identification of Potential Projects Preferred by Communities. Through a participatory engagement in the selected districts, communities described climate impacts and identified projects as well as skills required for the preferred projects. During the meetings, communities were asked to identify a minimum of 5 most important types of projects from the list of PPCR eligible projects including other possible projects they considered important in coping with climate change related weather impacts. In addition, communities were also asked to identify community skills that would enhance climate resilience. A summary of the most common sub-projects identified by the beneficiaries is presented in the table below. The full listing of the sub-projects and skills identified by communities can be found in Annex 4. Table 14: Summary of Projects preferred by the communities. PPCR Eligible Projects Other Community Suggested Projects 1. Support to agriculture diversification and commercialization ix. Animal husbandry 2. Water supply and sanitation x. Aquaculture 3. Disease Control xi. Promotion of renewable energy 4. Enhance private sector driven financing xii. Road development 5. Sustainable Land Management xiii. Climate resilient houses 6. Infrastructure (various local) development xiv. Health facilities and services 7. Forest, grassland management and afforestation xv. Animal husbandry 8. Social Amenities xvi. Handicrafts 9. Reinforcement of early warning systems xvii. Mobile storage facilities xviii. Boat-making These sub-projects proposed by the communities in the selected districts were presented and subjected to further discussion during the stakeholder event held in Lusaka in December 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. PPCR Environment and Social Management Framework Final Draft Report Page 48

61 After group discussions, the following potential projects were presented by the participants: 1. Afforestation 2. Agro-forestry 3. Bee keeping; enhancement of NTFPs 4. 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 PPCR Environment and Social Management Framework Final Draft Report Page 49

62 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 Agro- Processing Food Security Support Localized Health Care including HIV / AIDS Water Harvesting Structures & Sanitation Planning Community Contingent Planning Canals 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 Concern Worldwide: Mongu, Kaoma, Senanga and Kalabo Concern Worldwide in Western Province: Mongu, Kaoma, Senanga and Kalabo Concern Worldwide: Mongu, Kaoma, 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 PPCR Environment and Social Management Framework Final Draft Report Page 50

63 Project Activities NGO/District* Agro-dealers programme 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. Only those districts that are in the Barotse and Kafue sub-basin are listed here Care International: Masaiti, Mumbwa, Chibombo, Kapiri, Lufwanyama, Mpongwe 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 Diversification of livelihoods Climate Information 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 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 PPCR Environment and Social Management Framework Final Draft Report Page 51

64 Thematic area Kafue sub-basin (AfDB) Barotse Sub-basin (IBRD) and community preparedness Community level Infrastructure Climate Proof Infrastructure Support to participatory adaptation Other Responses 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 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 Undertake Social marketing awareness campaign Develop Open data platform Facilitate activities that promote community preparedness 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 canals 9, 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. PPCR Environment and Social Management Framework Final Draft Report Page 52

65 An analysis of the selected climate resilient sub-projects show consistency that cut across all the different consultations. These are summarised below: 1. Agricultural practices based on climate resilient activities such as diversification of crops grown and livestock production; 2. Land use management including moisture retention and soil management; 3. Pasture/grazing land management; 4. Diversification of livelihoods to include activities that are not climate sensitive; 5. Forestry, afforestation (in the Kafue Subbasin) 6. Strengthening of both community infrastructure such as retrofitting schools, clinics to climate resilient standards; 7. Improvement/upgrading major infrastructure such as canals in the Barotse sub-basin and farm to market major roads in the Kafue sub-basin; and 8. 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 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 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. PPCR Environment and Social Management Framework Final Draft Report Page 53

66 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. PPCR Environment and Social Management Framework Final Draft Report Page 54

67 Table 17: Potential Environmental Impacts of Sub Project and mitigation/enhancement measures SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING Agriculture and Livestock 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 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 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 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 Sensitisation in basic requirements of environmental safeguard policies and local legislation PPCR Environment and Social Management Framework Final Draft Report Page 55

68 SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING Improved management of pastures/ grazing land Livestock production (increase proportion of climate resilient livestock or increased livestock variety) Small-Scale Aquaculture- Construction/rehabilitation of fish ponds in order to ensure supply of fish throughout the year 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. 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 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 SPIU MAL district extension staff Fisheries Dept. DTOs NGOs/CBOs SPIU MAL district extension staff Water Affairs Dept. DTOs NGOs/CBOs SPIU MAL district extension staff MTWSC DTOs NGOs/CBOs 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 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 Basic training in environmental and natural resource management of fragile ecosystems Basic training in canal maintenance & management Sensitisation in basic requirements of environmental safeguard policies and local legislation PPCR Environment and Social Management Framework Final Draft Report Page 56

69 SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING Wild life Sanctuaries, communal game ranching Community forests, reforestation Effective benefit-sharing ensures sustainable management of community forests 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 Climate proofing of local 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 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 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 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 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 Sensitisation in basic requirements of environmental safeguard policies and local legislation Training in conflict resolution Sensitisation campaigns on environmental and natural resources management Training in environmental protection PPCR Environment and Social Management Framework Final Draft Report Page 57

70 SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING community infrastructure such as community service centres (markets, clinics, schools etc) Enhanced Local capacities for coping with Climate Change Support to community level climate adaptation No major environmental impacts are anticipated from the subprojects 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 MTWSC DTOs NGOs/CBOs SPIU MAL district extension staff ZMD DTOs NGOs/CBOs and ecosystems planning and management Sensitisation in basic requirements of environmental safeguard policies and local legislation Sensitisation and training in climate information systems change adaptation including vulnerability and hazard mapping Sensitisation in basic requirements of environmental safeguard policies and local legislation PPCR Environment and Social Management Framework Final Draft Report Page 58

71 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 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. PPCR Environment and Social Management Framework Final Draft Report Page 59

72 Table 18: Potential Social Impacts and mitigation measures of Sub Projects SUBPROJECT SOCIAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING Agriculture and Livestock Practices 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 Livestock production (increased proportion of climate resilient livestock or increased livestock variety) Improved management of pastures/ grazing land Increased yields may lead to voluntary 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 Formulate and implement conflict resolution measures 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) SPIU MAL district extension staff DTOs NGOs/CBOs 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 Small-Scale Aquaculture- Construction/rehabilitation of fish ponds in order to ensure supply of fish throughout the year Restocking of ponds 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 Institute measures for controlling disease carriers such as mosquitoes Formulate and implement measures to manage public health aimed at preventing waterborne diseases Promote conflict resolution and prevention Avoid locating aquaculture in areas near or adjacent to important cultural resources and sites. SPIU MAL district extension staff Department of Fisheries DTOs NGOs/CBOs Sensitisation/Training in; Basic aquaculture management Public Health campaigns on prevention of malaria and waterborne diseases PPCR Environment and Social Management Framework Final Draft Report Page 60

73 SUBPROJECT SOCIAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) 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 All year round crop production is likely to increase 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. Establishment of small dams, weirs, boreholes, wells and furrows may lead to land conflicts Institute measures for controlling disease carriers such as mosquitoes and carry out malaria sensitization campaigns Formulate and implement measures to manage public health aimed at preventing waterborne diseases Promote conflict resolution and prevention Avoid locating community level water infrastructure in areas near or adjacent to important cultural resources and sites SPIU MAL district extension staff Department of Water Affairs DTOs NGOs/CBOs Sensitisation/Training in; Basic water infrastructure management Public Health campaigns on prevention of malaria and waterborne diseases Irrigation infrastructure and management prevention of malaria and waterborne diseases Canals Improvement of traditional canal maintenance systems for five selected canals in the Barotse sub-basin: Muoyowamo, Lubitamei, Ngo mbala, Musiamo and Fisheries canals. 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 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 SPIU MAL district extension staff/line ministries DTOs NGOs/CBOs 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 Wildlife Sanctuaries/ Estates, Communal Game Ranching spread of diseases among domestic animals due to introduction of wildlife Fencing off areas for game ranching/wildlife 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 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 SPIU MAL district extension staff Dept. of wildlife/zawa DTOs NGOs/CBOs Sensitisation/basic training in; Wild life management Community game ranching Tourism/Hospitality management Community forests, reforestation Sustainable management of community forests Management of fragile ecosystems such as wetlands Conflicts arising from benefit-sharing from forest resources blocked access to important cultural sites/razing lands reduce available land for agricultural purposes which in turn may lead to social conflicts Promote conflict resolution and prevention Identify all significant sacred cultural sites in the project areas, and land with greater agricultural/economic values Land use planning sensitive to demand for land SPIU DTOs Dept. of Forestry NGOs/CBOs Sensitisation/basic training in; management of Community natural resources management of community forests protection of ecosystems (wetlands) Roads Increased traffic accidents and deaths PPCR Environment and Social Management Framework Final Draft Report Page 61

74 SUBPROJECT SOCIAL IMPACTS MITIGATION/ENHANCEMENT MEASURE(S) RESPONSIBILITY CAPACITY BUILDING Rehabilitation of community road infrastructure (farm-to-homestead) to climate resilience standards negative impact on morals, and local culture and 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 Sensitization on road safety and consider using speed 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. SPIU MAL district extension staff/mtwsc DTOs NGOs/CBOs Sensitisation/basic training in; 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 Protection of local infrastructure and assets Climate proofing of local community 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 adaptation No major negative social impacts are anticipated No major negative social impacts are anticipated Awareness campaigns on climate resilient infrastructure Mainstreaming climate resilience community infrastructure in IDPs and LAPs Formalisation of climate information systems at community and district levels Integrating climate community information in IDPs and LAPs Sensitisation/basic training in; Climate proofing of infrastructure at community level Basic skills in planning, rehabilitation, maintenance of climate resilient infrastructure PPCR Environment and Social Management Framework Final Draft Report Page 62

75 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, PPCR Environment and Social Management Framework Final Draft Report Page 63

76 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 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. PPCR Environment and Social Management Framework Final Draft Report Page 64

77 Category 3 Projects require no impact assessment. These projects shall involve no adverse physical intervention in the environment and induce no adverse environmental or social impact. Beyond categorisation, no further ESA action is required for this category of project. Category 4 Projects involve investment of Bank s funds through Financial Intermediaries (FIs) in subprojects that may result in adverse environmental and/or social impacts. FIs include among others banks, insurance and leasing companies, and investment funds that on-lend Bank s funds to small and medium size enterprises. 6.3 Zambian Legislation Clasiffication Zambia s Guidelines for Environmental Impact Assessment (EIA) of 1997 provide for classification of projects into either the First Schedule or Second Schedule depending on the size, nature and perceived environmental consequences of a project or sub-project. The EIA Regulations SI No. 28 of 1997 has provides lists of projects or sub-projects which fall under the two categories. First Schedule: These are projects or sub-projects with very low negative impacts on the environment. Examples would include: minor or small scale projects such as beekeeping, crafts production, small scale fish-farming, raising of climate resilient livestock, climate-proofing of community level infrastructure e.g. roads, embankments, canal maintenance etc. Second Schedule: These are projects that require an extensive evaluation of the effects likely to have significant negative impact on the environment. Examples would include: construction of large dams, or large irrigation schemes, construction of major roads and establishment of large scale mining projects, large scale manufacturing or major agro-processing industries. Where it is clear that project activities fall under the Second Schedule of the Guidelines, an EIA needs to be carried out. However, it is unlikely that the micro projects planned for implementation under the two investment projects in the Kafue and Barotse Sub-Basins will be classified under Schedule II. Any such sub-projects will become ineligible for funding. The EIA Regulation (SI No. 28 of 1997) is consistent with the WB and AfDB categorisation of projects or sub-projects such as those which will be funded under the African Development Bank (Kafue Sub- Basin) and the World Bank (Barotse Sub-Basin). The screening process described below will be used to determine the appropriate types of environmental follow-up measures; depending on the nature, scope and significance of the expected environmental impacts from each SPCR Sub-project activities. 6.4 Screening of Sub-Projects The screening for environmental and social assessments correspond to the three major categories (A, B, C WB; or 1, 2, 3-AfDB) under the classification criteria of the MDBs and two schedules (schedule 1 or 2) under the ZEMA classification system. PPCR Environment and Social Management Framework Final Draft Report Page 65

78 6.4.1 Category C/3; Schedule 2 Sub-projects (Group1) As the PPCR will be a community demand-driven (CDD) project under the Participatory Adaptation Component, most of the projects will be small (in size and investment value) and will be, in most cases, of a short rather than a long duration. Consequently, a number of the sub-projects in both the Kafue and Barotse sub-basins will fall under category C (World Bank) or 3 (AfDB). These sub-projects will hardly have any anticipated environmental and social impacts. For these projects, no action will be required to be taken by the implementing authority. However, written authorisation or confirmation from ZEMA stating that these sub-projects do not require any screening for environmental and social impacts will have to be obtained prior to sub-project implementation. These sub-project prototypes are listed in table below. Table 19: Indicative list of Eligible Category C Project Prototypes, which may be financed under the PPCR - Sub Basin SUB-PROJECT PROTOTYPES KAFUE BAROTSE Category C (World Bank) or Category 3 (AfDB)Schedule 2 (ZEMA) 1. Increased beekeeping, and production of crafts in less climate-sensitive locations 2. Siting horticulture, aquaculture in less climate-sensitive locations 3. Conservation agriculture( improved management of soil moisture through use of mulch/organic matter and conservation of soil organic matter) 4. Diversification of crop varieties drought resistant and flood-tolerant crops or through staggering planting time - production of seedlings of climate resilient crops/fruits Improved management of livestock pastures/grazing land 6. Constructing of transport facilities for land or water transport incl. platforms for evacuation of people and animals Reforestation, community forestry, agro-forestry 8. Access to agricultural micro-credit and/or agricultural insurance services and products 9. Rehabilitation of boreholes, wells in order to provide water during unexpected or prolonged droughts 10. Climate vulnerable and hazard mapping; Development of information Management System for local planning including GIS, Early Warning Systems, Hydro Meteorological Network and community communication networks 11. Strengthening of local planning process: participatory land use planning, protected 10 In the event that new varieties of fruit trees are to be introduced, this sub-project may be classified as category B 11 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 PPCR Environment and Social Management Framework Final Draft Report Page 66

79 SUB-PROJECT PROTOTYPES Category C (World Bank) or Category 3 (AfDB)Schedule 2 (ZEMA) area planning KAFUE Sub Basin BAROTSE 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 Category B/2; Schedule 2 Sub-projects (Group 2) Under the PPCR, almost an equal number of sub-project prototypes will be classified as either category B (World Bank) or category 2 (AfDB), while under ZEMA the sub-projects will be classified under Schedule 2. Sub-projects under this category include those that are to have some environmental and social impacts. However, these impacts are not widespread or significant. Table 19 below presents a listing of sub-projects that are likely to fall under these categories/schedules. Table 20: Indicative list of Eligible Category B Project Prototypes which may be financed under the PPCR- Sub Basin SUB-PROJECT PROTOTYPES KAFUE BAROTSE Category B (World Bank) or Category 2 (AfDB) Schedule 2 (ZEMA) 1. Improved (capture) fisheries management/construction of fish ponds and/or aquaculture management, restocking of ponds 2. 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. Construction of animal shelters/ equipping veterinary centres 4. Promotion of value-addition /constructing post-harvest processing/storage facilities for agro-products and / or NTFP s; 5. Rehabilitation of existing structures by raising base of settlements mounds schools, PPCR Environment and Social Management Framework Final Draft Report Page 67

80 SUB-PROJECT PROTOTYPES Category B (World Bank) or Category 2 (AfDB) Schedule 2 (ZEMA) community halls, health centers, market/trade sites to withstand higher levels and longer periods of flooding 6. Strengthen/raise mounds/paths/bridges used for crossing flood plains in areas close to communities during prolonged floods Sub Basin KAFUE BAROTSE 7. Rehabilitation and/or maintenance of canals in order to ensure water availability and 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. Developing watershed management planning and management including water protection, flood prevention water regulation for various uses 9. Community game ranching (incl. benefit sharing), wildlife estates fencing of wildlife habitats in parks and GMA s 10. Construction of small scale water regulation structures (flood gates, weirs, canals small dams) 11. Construction of embankments /flood walls, construction of gabions and other stabilization/erosion prevention engineering structures, vegetation planting 12. Dredging, drainage ditching, storm drains or creating cut off channels for managing water flow 13. Construction of ponds/canals for water retention, storage/directing run off 14. Rehabilitation and maintenance of small irrigation schemes, small dams, water reservoirs, de-silting 15. Construction of new storm drains (linked to road infrastructure) 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 Category A/1; Schedule 1 Sub-projects PPCR Environment and Social Management Framework Final Draft Report Page 68

81 Sub-projects falling under these categories are typically those that are likely to have significant and/or widespread environmental and social impacts. While not many sub-projects of this magnitude are currently anticipated under the PPCR in both sub-basins, a few sub-projects may fall into Category A/1 or Schedule 1. The climate proofing of major farm-to- market roads in the Kafue Sub-basin may be classified as Category 1/schedule 1 (AfDB and ZEMA) respectively. The planned upgrading of 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 A Type of activity Will the subproject: Yes No ESMF Resource Sheets PPCR Environment and Social Management Framework Final Draft Report Page 69

82 Yes No ESMF Resource Sheets 1 Support small scale agricultural activities? C Support small scale animal husbandry or processing? C Involve small-scale aquaculture? C Livelihoods diversification (e.g. beekeeping, production of crafts in less climate C14.10 sensitive locations)? 5 Support small scale irrigation schemes? C Involve the construction or rehabilitation of ponds, wells, boreholes, small C14.2 dams, weirs or reservoirs? 7 Involve rehabilitation/dredging of canals? B8 8 Build or rehabilitate any community rural roads? C Involve community forestry and afforestation? C Involve community game ranching/wildlife estate? 11 Rehabilitate community structures or buildings? C Be located in or near an area where there is an important historical, B5.3 archaeological or cultural heritage site? 13 Be located within or adjacent to any areas that are or may be protected by government (e.g. national park, national reserve, world heritage site) or local tradition, or that might be a natural habitat? B5.4 If the answer to any of questions 1-13 is Yes, please use the indicated Resource Sheets or sections(s) of the ESMF for guidance on how to avoid or minimize typical impacts and risks B Environment Will the subproject: 14 Risk causing the contamination of drinking water? 15 Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzia? 16 Harvest or exploit a significant amount of natural resources such as trees, fuel wood or water, fish? 17 Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, wetlands) or threatened species? 18 Create a risk of increased soil degradation or erosion? 19 Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? If the answer to any of questions is Yes, please include an Environmental Management Plan (ESMP) with the subproject application. B5.1, C8 C Land acquisition and access to resources Will the subproject: 20 Require that land (public or private) be acquired (temporarily or permanently) B6.1 for its development? 21 Use land that is currently occupied or regularly used for productive purposes B6.1 (e.g. gardening, farming, pasture, fishing locations, forests) 22 Displace individuals, families or businesses? B Result in the temporary or permanent loss of crops, fruit trees or household B6.1 infrastructure such as granaries, outside toilets and kitchens? 24 Result in the involuntary restriction of access by people to legally designated parks and protected areas? B6.4 It the answer to any of the questions is Yes, please consult the ESMF and, if needed, prepare a Resettlement Action Plan (RAP) B6.2, C10 B6.3, 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). B5.2, C9 PPCR Environment and Social Management Framework Final Draft Report Page 70

83 PPCR Environment and Social Management Framework Final Draft Report Page 71

84 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 PPCR Environment and Social Management Framework Final Draft Report Page 72

85 the assessment undertaken by ZEMA that will determine whether the sub-project falls under the no objection accompanied by comments/corrections category or whether the sub-project requires a full Project Brief (EPB). Apart from the simple environmental and social screening, two other forms may be required. These are the site selection form and the Filed appraisal form. An example of the site selection is given below while an example of the Appraisal form is attached in annex 9. Example of SITE IDENTIFICATION FORM Subproject Name: Subproject Location: Beneficiaries: Community Representative and Address: Extension Team Representative and Address: Site Identification: It is imperative to rate the sensitivity of the proposed site when selecting the location of a subproject. Rating is based on the criteria listed in the table below. Higher ratings do not automatically imply that a site is unsuitable. Instead, it is taken as a clear indication of the high risk of triggering significant negative environmental and social effects. It means that more substantial environmental and/or social planning may be required if the potential negative effects are to be avoided, mitigate or managed. Issues Site Sensitivity Rating Low Medium High (L,M,H) Natural habitats No natural habitats present of any kind Water quality and water resource availability and use Natural hazards vulnerability, floods, soil stability/ erosion Water flows exceed any existing demand; low intensity of water use; potential water use conflicts expected to be low; no potential water quality issues Flat terrain; no potential stability/erosion problems; no known seismic/ flood risks No critical natural habitats; other natural habitats occur Medium intensity of water use; multiple water users; water quality issues are important Medium slopes; some erosion potential; medium risks from volcanic/seismic/ flood/ hurricanes Critical natural habitats present Intensive water use; multiple water users; potential for conflicts is high; water quality issues are important Mountainous terrain; steep slopes; unstable soils; high erosion potential; volcanic, seismic or flood risks Cultural property Involuntary resettlement No known or suspected cultural heritage sites 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 Known heritage sites in project area High population density; major towns and villages; low-income families and/or illegal ownership of land; communal properties; unclear water rights PPCR Environment and Social Management Framework Final Draft Report Page 73

86 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 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 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; PPCR Environment and Social Management Framework Final Draft Report Page 74

87 (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 PPCR Environment and Social Management Framework Final Draft Report Page 75

88 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) investors 12, financiers and controlling authorities with timely information on the progress being achieved. This monitoring information will enable implementers to make informed decisions regarding appropriate adjustments in the implementation of the sub-projects; (ii) Determine whether the goals and objectives of the adaptation and mitigation measures designed for the PPCR projects and subprojects have been achieved. This assessment of performance compares the baseline environmental and social conditions with the actual conditions at the time of monitoring of the projects and subprojects in order to assess the extent to which the original environmental and social conditions have been restored, improved or made worse; (iii) Ensure that all activities relating to the operation and maintenance are being carried out in a manner that protects the environmental and social conditions without compromising the health and social well-being of the beneficiaries and target communities; and (iv) Ensure, where required, that any changes to the PPCR project and sub-project ESMPs are made with necessary suggestions for additional training and institutional capacity building in order to improve the performance of the ESMP implementation. Monitoring is a key component of the ESMP during project implementation. Monitoring should be undertaken during the PPCR sub-projects implementation phase to authenticate the effectiveness of impact management, including the extent to which mitigation measures are being successfully implemented. An ESMP should have the following components: 1. Compliance monitoring; 2. Impact monitoring; and 3. Cumulative impact monitoring. 4. The aim of monitoring would be to: 5. Improve environmental and social management practices; 6. Check the efficiency and quality of the EA processes; 7. Establish the scientific reliability and credibility of the EA for the project; and 12 Investors are mainly from the private sector will financiers in bilateral and multilateral donors and MDBs PPCR Environment and Social Management Framework Final Draft Report Page 76

89 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; PPCR Environment and Social Management Framework Final Draft Report Page 77

90 iii. iv. The local people s expectations and regulations are taken into account; 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 PPCR Environment and Social Management Framework Final Draft Report Page 78

91 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) PPCR Environment and Social Management Framework Final Draft Report Page 79

92 Table 22: Example of an environmental and social monitoring plan (ESMP) for the sub-projects SUBPROJECT ENVIRONMENTAL IMPACTS MITIGATION/ENHANCEMENT MONITORING INDICATOR FREQUENCY OF MONITORING RESPONSIBILITY FOR MONITORING MEASURE(S) Agriculture and Livestock Practices Increased in temperature due Composting of animal Number of farmers attending Depending on the duration of the SPIU to climate leading to high manure, grass and plant sensitisation events/training sub-project monitoring will be done MAL district staff Land Husbandry evapotranspiration and poor material for application to on making and use of in the middle and at the end DTOs Introducing/scaling-up soil moisture retention fields for increased soil compost from animal manure NGOs conservation tillage and soil moisture retention and Improvement of soil texture Quarterly (for grouped moisture retention - improved management of soil moisture improved soil texture in sandy areas such as those in the as result of regular use of animal/vegetation compost subprojects) Annually (district level) through use of mulch/organic matter and conservation of soil organic matter; Barotse Sub-basin Number of farmers adopting improved moisture retention techniques Use of mulch/organic material to reduce loss of soil moisture through evapotranspiration Reduced evapotranspiration due to increased use of mulch/organic material 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 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 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 grouped subprojects) Annually (district level) SPIU MAL district staff DTOs NGOs PPCR Environment and Social Management Framework Final Draft Report Page 80

93 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 PPCR Environment and Social Management Framework Final Draft Report Page 81

94 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 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 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- PPCR Environment and Social Management Framework Final Draft Report Page 82

95 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 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. PPCR Environment and Social Management Framework Final Draft Report Page 83

96 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 Page 84

97 The Disaster Management and Mitigation Unit (DMMU) under the Office of the Vice President (OVP); Zambia Meteorological Department (ZMD) The Zambia Environmental Management Agency (ZEMA); and The Zambia Wildlife Authority (ZAWA) The National Road Fund Agency(NFRA) and the Road Development Agency (RDA) As indicated, most of these ministries and agencies are either already involved in climate adaptation or mitigation programmes and projects or have a mandate to undertake climate change interventions. A full description of the roles and functions of the various ministries and other public sector institutions is annexed (see annex 15). However, as most of the projects and sub-projects will be community-driven, the Ministry of Local Government and Housing has been mandated (through district councils) to play a key role in the implementation of the participatory adaptation projects and sub-projects. The next section describes the role of local Government institutions. 8.3 Local Government Institutions During Phase I of the PPCR, MoF undertook an Institutional Financial Management Assessment (IFMA) in the pilot districts. The objective was to assess the preparedness of District Councils to administer funds under the Participatory Adaptation Component of the PPCR. This was based on the understanding that local institutions needed to have a practical and sustainable fiduciary capacity in order to disburse funds at the local level, The IFMA was carried out by key PPCR stakeholders representing the Government, civil society organizations and partner programmes in Kazangula,Sesheke and Mongu. The IFMA focused on: management capacity of local institution; financial capacity of local government (e.g. budgeting, accounting, internal controls, fund flow, financial reporting and external audits. At the same time it sought to draw lessons on how donor funded projects have been ran and their application on the anticipated PPCR investments. The IFMA also considered the outstanding capacity needs that the PPCR would need to support. The IFMA found that District Councils are at different levels of capacity and preparedness, although most have basic general knowledge and capacity on planning and budgeting, followed basic accounting and financial reporting procedures, and had some degree of internal and external audit structures. However, it is apparent that more capacity building is required for district staff to improve their skills in managing external resources such as the PPCR particularly in accounting software training, and monitoring and reporting of Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 85

98 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 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 86

99 (i) (ii) (iii) (iv) (v) (vi) In brief, different roles for integrated development plans have been identified in PPCR 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. NGOs to assist districts and Area Development Committees 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) 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 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) (x) Provincial and national platform to provide technical assistance supporting the target districts and sub-districts according to their needs. 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 87

100 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 88

101 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 89

102 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 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 90

103 National Climate Change Secretariat Provide Oversight for all three components Component 1- Strategic National Programme Support Component 2 - Support to Pilot Participatory Adaptation Component 3 - Pilot Participatory Adaptation Oversee Implementation of Component 1 through the following agencies or external contracts Oversight for Barotse Sub-Basin Pilot Area Institutional Support to National CC programmes (direct mandate) 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 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 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 91

104 Figure 6: Overview of the Implementation Arrangement (Source AfDB, Abbreviated Project Descriptions) Based on this implementation structure the roles and responsibilities of each stakeholder are described in the table below. Table 23: Roles and Responsibilities Agency/institution/organisation Role/Responsibility Status The National Climate Change Secretariat(operating under the Ministry of Finance (MoF) 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 Though awaiting ratification, Secretariat is already operational and has a staff complement that includes: PPCR Project Coordinator, Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 92

105 Agency/institution/organisation Role/Responsibility Status DMMU 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 Oversight for early warning and information platform activities Oversight for coordination of disaster risk management Participatory Adaptation 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 Coordination of meteorological information; ZMD is fully operational department under the Ministry of Transports, Works, Supply and Communication. There is need to assess capacity in gathering and disseminating climate change relevant information timely Ministry of Lands, Natural Resources and Environmental Protection Lead role in policy coordination responsible for mitigation (Directorate of Forestry, MLNREP) The role of this ministry in climate is recognized in the NAPA and NCCRS There is need to assess capacity in mainstreaming climate change Ministry of Agriculture and Lead role in climate resilient agriculture This is the ministry that is Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 93

106 Agency/institution/organisation Role/Responsibility Status Livestock Ministry of Transport, Works Supply and Communication 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. probably the most directly affected by climate change. Its role in mitigation and adaptation is critical as recognized in the NAPA and NCCRS. There is need to assess capacity in promoting climate resilient agricultural practices. Lead role in climate resilient infrastructure 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 There is need to assess and enhance capacity in promoting climate resilient infrastructure design, construction, maintenance and repair. 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 Civil society Organisations Working closely with the Secretariat in the implementation of the Climate Information subcomponent. This will include participation in awareness and sensitization campaigns 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 94

107 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 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). Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 95

108 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 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 96

109 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 ESIA Capacity Needs Planning, designing and implementing climate resilient projects and sub-projects in the pilot sub-basins require an understanding of the environmental, social impacts and mitigation measures at community and district level. Training events focusing on these thematic areas will take the form of courses, workshops and specific seminars at national, provincial and district level. Where necessary awareness campaigns may be used to complement or reinforce the trainings. Specific workshops on the ESMF/RPF and the MDBs safeguard policies OP 4.12 and OP 4.01 would be organised for the PPCR Secretariat and RDA; the Department of Maritime and Inland Waterways (head office and provincial offices) as well as the private sector (project consultants/contractors). The following additional training topics are proposed: 1. Environmental and social Screening Process and Checklists 2. Zambian EIA Procedural Frameworks 3. Preparation of Terms of Reference for ESIA 4. Environmental and Social Clauses in Contractors contract and bidding documents. The environmental and social officers or the coordinators within the SPIU will have sufficient knowledge and understanding of the implementation of the World Bank policies of OP 4.12, OP 4.01 and OP 4.09 and participate in the training of provincial and officers. The awareness creation, capacity building and training workshops will focus on (a) Mainstreaming climate resilience into national development planning; (b) Strengthened institutional coordination; (c) Improved information for decision makers; and (d) Targeted awareness creation. The target group will consist of selected officers directly involved in the implementation of PPCR projects and sub-projects and will include: i. PPCR Secretariat and the SPIU; ii. RDA and Department of Maritime and Inland waterways and other implementing agencies; iii. Provincial DMMU committees; and iv. District/Sub-district v. NGOs and, where relevant, CBOs The cost of these trainings is estimated at US$370,000 as explained in the table below: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 97

110 Table 24: Estimated budget for ESIA trainings Activity Description Unit cost, US$ 1. Mainstreaming climate resilience into national development planning 2 Best practices and local institutional coordination 3. Improved environmental and social safeguarding for decision makers 4 Targeted awareness and communication for Provincial, District and Sub-district levels. 5 Awareness creation and information dissemination workshops 6 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 Investors, consultants, general public on environmental and social requirements relating to PPCR Safeguard monitoring in projects by Secretariat, SPIU, government, NGOs and third parties No Total Cost, US$ 15, ,000 LS - 10,000 10,000 Biannual 20,000 5, ,000 10, , , 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 98

111 Specific courses and participation meetings will be arranged between communities and district officers, NGOs/CBOs and the private sector representatives (service providers for agro-processing and other sustainable livelihoods, early warning information). The following training topics are proposed: Avoiding and Mitigating Environmental and Social Impacts in Community Planning Establishing and Enforcing Community Rules for Safeguarding Community Development Planning and Responsibilities Defining Sustainable Development Projects Inclusion of Vulnerable Groups in Community Planning and Projects Conflict Resolution in Community Decision Making Roles and Responsibilities of District Councils and Community in Safeguarding and Conflicts The participants include community members and district officers who should work in close collaboration with the communities in designing, formulating local development plans. The emphasis of the trainings will be on safeguards which will include community participation, sustainable planning and management of the projects through enforcement of local safeguards. Table 25: Capacity Building Budget Estimates Activity Description Unit cost, US$ 1 Capacity building for Community Leaders, Key Community Groups district and extension officers 2. Practical participatory courses in communities for planning and defining community projects 3. Conflict Resolution in Planning and Implementation Training course on sustainable projects, safeguards and inclusion in community planning Trainings for community members and community groups on planning and safeguards compliance Roles, responsibilities and conflict resolution strategies 4. Monitoring and evaluation Training community members and district officers for monitoring enforcement of safeguards and conflict resolution No Total Cost, US$ 10, ,000 7, , , , ,000 Table 26: Programme Support and Budget over the project period Activity Description Unit cost, US$ 1 Procurement for sustainable projects and PPCR activities 2. Private sector engagement 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 No Total Cost, US$ 10, ,000 LS 75,000 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 99

112 consultancy assignments with safeguards 3. Trainings and specific safeguard assessments by service providers 4. 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 500, , ,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 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 100

113 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 Individual grants to champion innovators, A contingency fund, to reward well performing groups 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) 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 101

114 REFERENCES African Development Bank, Agriculture and Rural Development (2000) African Development Bank, Cooperation with Civil society Organisations (1999) African Development Bank, Gender Policy (2001) African Development Bank, Involuntary Resettlement (2003) African Development Bank, Policy on the Environment (2004) African Development Bank, Poverty Reduction (2004) Associated Programme Flood Management (APFM) (August 2007). Strategy For Flood Management For Kafue River Basin. WMO, MEWD, Lusaka, Zambia. Beilfuss, R. And C. Brown (Eds) (2006).Assessing Environmental Flow Requirements Of The Zambezi Delta: Application Of The DRIFT Model (Downstream Response To Imposed Flow Transformations). University Of Eduordo Mondlane. Maputo, Mozambique. Chenje, M. (Ed) (2000).State Of The Environment 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 A Prosperous Middle-Income Nation By Government Republic Of Zambia (2011) National Health Strategic Plan , Towards Attainment Of Health Related Millennium Development goals And Other National Health Priorities In A Clean, Caring And Competent Environment, Government Republic Of Zambia. Government Republic Of Zambia (2011) Sixth National Development Plan , Sustained Economic Growth And Poverty Reduction, Government Republic Of Zambia. Henkbecker (1997), Social Impact Assessment, Social Research Today Vol. 10, UCL Press. Impact&Hl=En&As_Sdt=0&As_Vis=1&Oi=Scholart&Sa=X&Ei=Xlhmuomrlmup0axvx4ey&Ved=0CC4Qg QMwAA Policies-And-Procedures/#C Jonathan Timberlake (February 1998). Biodiversity Of The Zambezi Basin Wetlands Review And Preliminary Assessment Of Available Information Phase 1 Final Report. IUCN-ROSA - Harare, Zimbabwe. Ministry Of Agriculture And Cooperatives (2010) (Unpublished) Irrigation Development And Support Program Environmental And Social Management Framework. Ministry Of Agriculture And Livestock (2011), Livestock Development And Animal Health Project, Environmental And Social Management, Framework, Volume I, Government Republic Of Zambia. Ministry Of Environment And Natural Resources (1993) National Biodiversity Strategy And Management Plan, Government Republic Of Zambia. Ministry of Finance Zambia: Strategic Programme for Climate Resilience (PPCR), 2011 Ministry Of Tourism Environment And Natural Resources (2007) (Unpublished) Formulation Of The National Adaptation Programme Of Action On Climate Change, Government Republic Of Zambia. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 102

115 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) Manifesto Government Republic Of Zambia. The Environmental Management Act, 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 Economic Value Of The Zambezi Basin Wetlands. Phase 1 Report. IUCN-ROSA, Harare. Vanclay Frank (2002) Conceptualising Social Impacts, Environmental Impact Assessment Review , 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 WWF, Harare, Zimbabwe. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 103

116 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 104

117 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 105

118 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: GPS Coordinates (taken when error margin 10 m) S: E: Way Point Number: Time: Project Type: (see also PPCR project list) Site Identified as impacted by weather by community, which community: Proposed Main Project Activities: Name of Surveyor: How many photos taken: Name of Community: Date of Field Assessment: Name of District: Development Project suggested by district or community: Yes/No, name: Private Sector Engagement Needed or Beneficial: Yes, No Notes on Required Skills / Capacity Community: District: Private Sector Services: Estimated project costs (ZMK), provide breakdown if possible: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 106

119 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): Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 107

120 PART B: SITE AND IMPACT APPRAISAL AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures Extent or coverage (on site, within 1km or beyond 1km) 1. Are the project site/activity within and/ or will it affect the following environmentally sensitive areas? 1.1 National parks and game reserve N Y Onsite Within 1 km Beyond 1 km Significance (Low, Medium, High) L M H 1.2 Wetlands including dambos 1.3 Productive traditional agricultural/gra zing lands 1.4 Areas of high biodiversity or with rare or endangered flora or fauna 1.5 Areas with outstanding scenery/tourist site 1.6 Within steep slopes/mountai ns How steep slopes: % and where Estimate by using how many meters elevation per 100 meters. 1.7 Arid or semiarid vegetation Dry tropical forests such as miombo Brachsystegia species 1.8 Along lakes, aquifers, riverine Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 108

121 AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures 1.9 Near industrial activities 1.10 Near human settlements 1.11 Historic, archaeological, sacred or cultural heritage sites 1.12 Near ground water or ground water influenced 1.13 Within prime ground water recharge area 2. Does the site suffer from / project generate the following externalities/costs /impacts? 2.1 Deforestation 2.2 Soil erosion and siltation 2.3 Siltation of watercourses, dams 2.4 Environmental degradation from smallholder agricultural improvement or of feeder roads rehabilitation/ construction materials 2.5 Damage of wildlife species and habitat (sites of specific importance for wildlife) 2.6 Pollution from pesticides 2.7 Reduced water quality 2.8 Soil contamination N Y Onsite Extent or coverage (on site, within 1km or beyond 1km) Within 1 km Beyond 1 km Significance (Low, Medium, High) L M H Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 109

122 AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures 2.9 Loss of soil fertility or soil erosion 2.10 Influence in water treatment 2.11 Reduced flow or availability of water 2.12 Depletion of water resource 2.13 Incidence of flooding 2.14 Changes in migration patterns of wild animals 2.15 Introduce alien plants and animals 2.16 Increased incidence of plant and animal diseases 3.0 SURVEYING CRITERIA FOR SOCIAL AND ECONOMIC IMPACTS Will the implementation and operation of the project activities within the selected site generate the following socioeconomic costs/impacts? 3.1 Loss of land/land acquisition for traditional use (e.g. settlement, farming, grazing land) 3.2 Loss of assets, property, houses, agricultural produce etc 3.3 Loss of culturally significant sites, e.g. graveyards, monuments Short description of impact Estimation of Impact N Y L M H Potential Mitigation Measures Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 110

123 AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures 3.4 Loss of livelihoods (if yes, specify which groups are affected and how) 3.5 Require a RAP 3.6 Outsiders will move to / settle in the area, e.g. settlers or migrant workers disruption of social fabric 3.7 Negative impacts anticipated from new settlers / migrant workers. What kind? 3.8 Increased incidence or other negative change in communicable diseases 3.9 Likelihood of increased spread of HIV/AIDS 3.10 Health hazards to workers and/or communities 3.11 Changes in human settlement patterns 3.12 Conflicts over use of natural resources e.g. water, forest, etc. Specify which ones Conflicts on land ownership 3.14 Disruption of important pathways, Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 111

124 AREAS OF IMPACT EVALUATION Brief Description & Potential Mitigation Measures roads 3.15 Changes to labour markets 3.16 Loss of cultural identity and/or sense of community 3.17 Loss of income generating capacity 3.18 Loss of business or other commercial venture 3.19 Impact on women (note, can be positive or negative) 3.20 Impact on youth (note, can be positive or negative) 3.21 Impact on vulnerable groups: extreme poor, disabled (note, can be positive or negative) Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 112

125 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 CLIMATE 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) Temperature Rainfall Start and end of rainy season (length of dry season) Intra-seasonal variability in rainfall BRIEF DESCRIPTION Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 113

126 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 114

127 ANNEX 2: BRIEF DESCRIPTION OF THE SELECTED CANALS UNDER THE PPCR CANAL Muoyowamo Lubitamei Length/Width/ Depth L: 28km W: 3-30 Metres D:30cm- 5Metres L: 87km W: 3 Metres D:30cm- 1Metre Main Function(s) Navigability Major Problems Possible Solutions Economic Potential - Used for Kuomboka ceremony; - Drainage of agricultural fields during floods/irrigation of fields - Navigation - Drainage - Agriculture - Fishing Ng ombala L: 44 km - Transport - Drainage - 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 - 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 - Has not been regularly maintained in last few years - Sometimes clogged with vegetation during and after floods - Has been hand-cleared recently but still - 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 - 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 - 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 - Provides crucial link between Usha in the north east and the rest of canal network which can spur agricultural productivity - Provide a short link between canal network and the main Zambezi Draft_ PPCR Environment and Social Management Framework_Dec.2012 Page 115

128 CANAL Musiamo Fisheries Length/Width/ Depth W: 3Metres D:30cm-3 Metres L: 131 km W: 3 Metres D:30cm-3 Metres L: 10 km W: 3-30 Metres D:30cm-3 Metres Main Function(s) Navigability Major Problems Possible Solutions Economic Potential - Fishing clogged with vegetation - Drainage - Agriculture - Fishing - Drainage - Agriculture - Fishing - Transport - Narrow - Canoe traffic - Good for most parts - Was dredged recently (April- May 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 dredging (once year) complemented by regular hand-clearing (2-3 times and year - Control of sand erosion - Construction of sand traps - Control of sand erosion - Vegetation control through Machine dredging (once year) complemented by regular hand-clearing (2-3 times a year - Vegetation control through Machine dredging (once year) complemented by regular hand-clearing (2-3 times and year - Control of sand erosion - Construction of sand traps - 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 116

129 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 85

130 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 86

131 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: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 87

132 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: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 88

133 ANNEX 4: PROJECTS AND SKILLS IDENTIFIED BY COMMUNITIES District Community Projects considered most important Other projects Mongu Namushakende 1. Support to agricultural Animal diversification husband 2. Disease Control ry 3. Social Amenities Promotion 4. Infrastructure development of 5. Private Sector Driven Finance renewa 6. Reinforcement of early warning ble systems energy 7. Sustainable Land management Road 8. Water Supply and Sanitation develop ment Shang ombo Kabula 1 & 2 1. Water Supply and sanitation 2. Disease control 3. Infrastructure 4. Enhance private Sector driven financing 5. Support to agriculture diversification 6. Sustainable land management Senanga Lukanda 1. Support to agricultural diversification 2. Water Supply and Sanitation 3. infrastructure 4. Private Sector Driven Finance 5. Disease Control Sesheke KalobolelwaNakakwa 1. Support to agricultural diversification 2. Water Supply and Sanitation 3. Sustainable Land management 4. Disease control 5. Enhance private Sector driven financing 6. Reinforcement of community early warning systems 7. Infrastructure development Itezhitezhi Masasabi 1. Water Supply and Sanitation 2. Infrastructure 3. Support to agriculture diversification and commercialization 4. Disease control 5. Enhance private Sector driven financing Promotion of renewa ble energy Animal husband ry Fish farming value chain Health facilities and services Skills for development projects Animal Husbandry Entrepreneurship skills Agricultural Skills Banking Environment and health Machine operating skills, Improved farming and aquaculture production skills Livestock management Beekeeping Horticulture skills Agro processing Mechanical operating skills Growing Climate resilient crops Water maintenance and supply Agricultural Skills Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 89

134 District Community Projects considered most important Other projects Namwala Showgrounds 1. Water Supply and Sanitation 2. Support to agriculture diversification 3. Infrastructure 4. Disease Control 5. Sustainable Land management 6. Social Amenities Solwezi Tundula 1. Sustainable Land Management Climate 2. Water supply and Sanitation resistan 3. Enhance private sector driven t houses finance 4. Support to agriculture diversification and commercialization 5. Infrastructure Mufulira Murundu 1. Forest, grassland management and afforestation 2. Sustainable Land Management 3. Enhance private sector-driven finance 4. Infrastructure 5. Support to agriculture diversification and commercialization Lufwanyama Mwelushi Block (Lumpuma) 1. Infrastructure development 2. Water supply and sanitation 3. Support to agriculture diversification and commercialization 4. Enhance private sector-driven finance 5. Sustainable Land Management Animal husband ry Animal husband ry Skills for development projects Borehole operation Agricultural practices Road and drainage maintenance Livestock management Crop diversification Conservation Farming Water harvesting Livestock management Operation and maintenance of water wells Entrepreneurship Livestock management Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 90

135 Beneficial Adverse Direct Indirect Short term Medium Term Long Term Reversible Permanent Localised National Regional Low Moderate High Pilot Programme for Climate Resilience ANNEX 5: SIGNIFICANCE RATING TABLE FOR ENVIRONMENTAL AND SOCIAL IMPACTS I. ENVIRONMENETAL IMPACTS Impact characterization Type Effect Duration Change Spatial extent Baseline Change No. ENVIRONMENT IMPACTS FROM IMPROVEMENT OF CANALS IN THE BAROTSE SUB-BASIN 1. Clearing of Vegetation x x x x x x x 2. Soil and Land Degradation x x x x x x 3. Wildlife disturbances x x x x x x 4. Exposure to Agro-Chemicals x x x x x x x (fertilisers/pesticides) 5. Loss of fragile ecosystems x x x x x x 6. Water Quality x x x x x x ENVIRONMENT IMPACTS FROM CLIMATE RESILIENT INFRASRUCTURE IN THE KAFUE SUB-BASIN (ROADS) 7. Clearing of Vegetation x x x x x x x 8. Soil and Land Degradation x x x x x x 9. Wildlife disturbances. x x x x x x 10. Loss of fragile ecosystems. x x x x x x 11. Ambient air quality x x x x x X 12. Water Quality x x x x x x 13. Temporary Visual Intrusion x x x x x x 14. ENVIRONMENT IMPACTS FROM PPCR SUB-PROJECTS IN THE BAROTSE AND KAFUE SUB-BASINS 15. Clearing of Vegetation x x x x x x x Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 85

136 Beneficial Adverse Direct Indirect Short term Medium Term Long Term Reversible Permanent Localised National Regional Low Moderate High Pilot Programme for Climate Resilience Impact characterization Type Effect Duration Change Spatial extent Baseline Change No. 16. Soil and Land Degradation x x x x x x 17. Wildlife disturbances. x x x x x x 18. Exposure to Agro-Chemicals (fertilisers/pesticides) x x x x x x x 19. Loss of fragile ecosystems. x x x x x x 20. Effluent and Solid Waste (esp. in settlements due to increased populations) x x x x x x 21. Water Quality x x x x x x Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 86

137 Benefici al Adverse Direct Indirect Short ter m Medium Ter m Long Ter m Reversib le Permane nt Localise d National Regional Low Moderat e High Pilot Programme for Climate Resilience II. SOCIAL IMPACTS Impact characterization No. Type Effect Duration Change Spatial extent Baseline Change SOCIAL IMPACTS FROM IMPROVEMENT OF CANALS IN THE BAROTSE SUB-BASIN 1. Loss of assets or access to assets x x x x x x 2. Loss of access to natural and cultural x x x x x x heritage sites 3. Disruption of canal access x x x x x x 4. Human health and safety x x x x x x 5. Impacts of canal alignment and dredging on fishermen, farmers or other stakeholders x x x x x x x 6. Employment opportunities x x x x x x x 7. Improvement in livelihoods and local economies x x x x x x 8. Conflicts over natural resources (water, land and grazing lands) x x x x x x SOCIAL IMPACTS FROM CLIMATE RESILIENT INFRASRUCTURE IN THE KAFUE SUB-BASIN (ROADS) 1. Loss of assets or access to assets x x x x x x 2. Loss of natural and cultural heritage. x x x x x x 3. Disruption of footpaths (borrow pits) x x x x x x Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 87

138 Benefici al Adverse Direct Indirect Short ter m Medium Ter m Long Ter m Reversib le Permane nt Localise d National Regional Low Moderat e High Pilot Programme for Climate Resilience Impact characterization No. Type Effect Duration Change Spatial extent Baseline Change 4. Human Health and Safety x x x x x x 5. Impacts of road upgrading activities on local x x x x x x communities and other stakeholders 6. Noise x X x x x x 7. Social misdemeanour by road improvement/construction workers x x x x x x 8. Employment opportunities(incl. incomes from improved market access) x x x x x x 9. Improvement in livelihoods and local economies x x x x x x x x 10. Conflicts over access to natural resources (water and Grazing lands) x x x x x x SOCIAL IMPACTS FROM PPCR SUB- PROJECTS IN THE BAROTSE AND KAFUE SUB-BASINS 1. Loss of assets or access to assets x x x x x x 2. Loss of natural and cultural heritage. x x x x x x 3. Employment opportunities x x x x x x x 4. Improvement in livelihoods and local economies 5. Conflicts over natural resources (water and grazing lands) x x x x x x x x x x x x x x Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 88

139 ANNEX 6: RESOURCE SHEETS Scope of Projects C14.1: SMALL-SCALE ANIMAL HUSBANDRY 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 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 MITIGATION MEASURES 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 89

140 Potential Environmental Effects Transformation of indigenous (sometimes communal) tenure systems and organizations 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 MITIGATION MEASURES recommended times and doses Consider integrated pest management Comprehensive community participation and attention to rights and needs of all groups 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) Potential Environmental Effects Water Points 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 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 MITIGATION MEASURES 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) 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 90

141 Potential Environmental Effects MITIGATION MEASURES Potential Environmental Effects MITIGATION MEASURES Increased poaching and killing of wildlife considered as pests or predators to animals, or as human food sources Introduction of diseases to wildlife 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 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 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 human health and water quality 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) 8.9 Human Wellbeing Incidence of human and animal illness or disease Poverty levels ENVIRONMENTAL STANDARDS ENVIRONMENTAL QUALITY INDICATORS Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 91

142 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 Potential Environmental Effects MITIGATION MEASURES 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 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) Aquaticenvironments: - Blockage of fish migration and access to spawning areas; fish population decreases downstream Avoid areas of significant economic or cultural value to local people Ensure that downstream water users Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 92

143 Potential Environmental Effects MITIGATION MEASURES (e.g. water supply, irrigation, livestock watering) are partners in planning the dam and mitigation/compensation measures Potential Environmental Effects Loss of natural areas, important habitats, and number and variety of species (biodiversity) MITIGATION MEASURES Avoid: - Protected natural areas - Critical habitats or areas with significant biodiversity (e.g. wetlands) Reduction of water available to downstream water users 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 Natural Environment (General) 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 Threatened water source(s) for the reservoir (e.g. siltation, evaporation losses) Aquatic Environment River/Stream Reduced or altered timing, quantity, quality and temperature of downstream water flows Altered rates and locations of bed and bank erosion and deposition downstream 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 93

144 Potential Environmental Effects Reduction in quantity and quality of aquatic habitats and fish production Reduction/loss of downstream subsistence or commercial fisheries MITIGATION MEASURES sustain habitats and fish production - habitat improvements to sustain production and fisheries - development assistance to people dependent on reduced fisheries Potential Environmental Effects MITIGATION MEASURES Blockage of fish migration and access to upstream spawning areas by dam; decreases in fish populations downstream 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 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 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 94

145 Potential Environmental Effects ENVIRONMENTAL STANDARDS 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 Sources: MITIGATION MEASURES ENVIRONMENTAL QUALITY INDICATORS 8.10 Pollution Fish deaths Concentrations of suspended sediments and contaminants (e.g. pesticides) in surface waters and reservoir Reservoir oxygen levels Environmental Health Degree of biodiversity (numbers of plant, fish, animal, and bird species) in the watershed Extent of critical habitats 8.11 Human Wellbeing Incidence of human and animal illness or disease Poverty levels Environmental Screening of NGO Development Projects for Small Dams / Reservoirs (CCIC 1990/91) EC Sectoral Environmental Assessment Sourcebook (1993) C14.3: SMALL IRRIGATION SCHEMES 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 rivers 13. 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 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 13 For diversions, see Small Dams and Reservoirs resources sheet SCOPE OF PROJECTS Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 95

146 Erosion Wetlands affected by irrigation or drainage, and threats to their environmental services, biodiversity, and ecological productivity Potential Environmental Effects MITIGATION MEASURES Human Health Potential Environmental Effects Human Environment Upsetting existing social and economic community management relationships, land tenure system, security of livelihoods, and gender division of labour Conflicting demands on surface or groundwater supplies MITIGATION MEASURES 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 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 96

147 Potential Environmental Effects MITIGATION MEASURES corrective measures (e.g. physical changes to irrigation scheme, education, medical) as needed Potential Environmental Effects Erosion MITIGATION MEASURES Soils Waterlogging 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 Water Bodies and Aquatic Ecosystems 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 Salinization Avoid waterlogging (above) Mulch exposed soil surfaces to reduce evaporation Flush irrigated land regularly Cultivate crops having high tolerance to salinity 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) ENVIRONMENTAL STANDARDS National legislation on protected areas (natural, cultural and built environments) National legislation on protecting natural resources (e.g. fish, wildlife, forest cover) International environmental protection conventions (e.g. 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.) ENVIRONMENTAL QUALITY INDICATORS 8.12 Pollution Water quality (nutrients, agrochemicals, salinity) in water supply and drainage canals, and wells Physical and chemical properties of irrigated soils Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 97

148 heritage, wetlands) National water quality standards and controls National controls on storage, handling, use and disposal of agrochemicals Environmental Health Water table levels in project area Rate of occurrence of disease carriers 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) EC Sectoral Environmental Assessment Sourcebook (1993) C14.5: Rural Roads 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. Environmental Concerns Human Environment 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 Natural Environment 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) Potential Environmental Effects MITIGATION MEASURES Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 98

149 Potential Environmental Effects MITIGATION MEASURES Potential Environmental Effects MITIGATION MEASURES 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) Human Health 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 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 Comprehensive community participation in construction planning and management Education on avoiding communicable diseases Assess ecology of disease carriers in 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 Soil and Vegetation Loss of natural areas, important habitats, biodiversity Landslides, slumps and slips 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 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 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: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 99

150 Potential Environmental Effects MITIGATION MEASURES 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 Potential Environmental Effects blockages at culverts and bridges Erosion of embankments and roadside slopes MITIGATION MEASURES Ensure adequate maintenance of: Culverts and bridges Roadside slopes, drainage control measures and vegetation Road surface Surface and Groundwater 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 Animals and Wildlife Blocked animal and wildlife movements Animal/wildlife road kills ENVIRONMENTAL STANDARDS Avoid fencing across known animal and wildlife movement routes Animal/wildlife crossing warnings, nighttime speed limitations or perhaps closures ENVIRONMENTAL QUALITY INDICATORS Aquatic Environments Soil erosion leading to: Increase in the turbidity of surface water courses Temporary or permanent covering of riverbed organisms and habitats Collect and recycle used lubricants Establish measures to avoid accidental spills, and contain them if they do happen Follow Soil and Vegetation and Surface and Groundwater mitigation measures above Install culverts and bridges in dry season National legislation on protected areas (natural, cultural and built environments) International environmental protection conventions (e.g. heritage, wetlands) National water quality standards and controls Health and safety standards for road construction and use 8.14 Pollution Concentrations of suspended sediments in surface waters Environmental Health Degree of biodiversity (numbers of plant, fish, animal and bird species) in road vicinities Extent of critical habitats Watercourse and drainage 8.15 Human Wellbeing Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 100

151 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 Sources: EC Sectoral Environmental Assessment Sourcebook (1993) 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) Scope of Projects C14.7: COMMUNITY FORESTRY 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. Natural Environment 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) 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. Environmental Concerns Human Environment Potential Environmental Effects Human Environment MITIGATION MEASURES Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 101

152 Potential Environmental Effects MITIGATION MEASURES Potential Environmental Effects MITIGATION MEASURES Displaced human settlements Avoid areas that require significant or involuntary resettlement Provide compensation for resettled families and lost livelihood opportunities (e.g. cash, in-kind, employment, training) Conflicts over: Land tenure and use (legal or illegal) Security of local and traditional livelihoods, and cash income generation 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 Disruption of sites of cultural, religious or historical importance Terrestrial Environment Loss of natural areas, important habitats, biodiversity Avoid infringing on: Protected natural sites, watersheds and wilderness areas Critical wildlife habitats or areas with significant biodiversity (e.g. wetlands) Avoid such sites, or incorporate them in the project sensitively and to local people s satisfaction Unsustainable forest production 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 102

153 Potential Environmental Effects MITIGATION MEASURES 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 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 Potential Environmental Effects Soil erosion Water Quantity and Quality Reductions in down-slope water supplies Pollution of groundwater, and of surface waters and habitats MITIGATION MEASURES 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 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 103

154 CIDA Handbook on EA of NGO Programs and Projects, Forestry Checklist (1997) C14.8: SMALL-SCALE AQUACULTURE Scope of Projects Environmental Standards National and local planning regulations (e.g. land use, forestry, watersheds) National legislation on protected areas (natural, cultural and built environments) National legislation on protecting natural resources (e.g. fish, wildlife, forest cover) International protection conventions (e.g. heritage, wetlands) National water quality standards and controls National controls on use of fertilizers, pesticides and herbicides Alternatively, internationally recognized standards (e.g. World Health Organization, United Nations Environment Programme) Environmental Quality Indicators 8.16 Pollution Concentrations of suspended sediments and contaminants (e.g. pesticides) in surface waters Environmental Health Degree of biodiversity (numbers of plant, fish, animal, and bird species) in the watershed Extent of critical habitats 8.17 Human Wellbeing Poverty levels 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. Environmental Concerns Human Environment Sources: ADB Environmental Guidelines for Selected Agricultural and Natural Resources Development Projects (1991) EC Sectoral Environmental Assessment Sourcebook (1993) Existing or planned land uses (legal and illegal) Community water management practices and relationships Conflicting demands on surface or groundwater supplies 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 104

155 Potential Environmental Effects MITIGATION MEASURES Potential Environmental Effects disruptions to existing community water management practices and relationships Conflicting demands on surface or groundwater supplies MITIGATION MEASURES human, livestock, wildlife or aquatic water uses, especially during dry seasons So that withdrawals do not exceed safe yield from groundwater resources Human Environment Land use conflicts Water supply conflicts: Social and economic 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 Human Health Illness or disease due to pollution of water sources from aquaculture wastes Creating habitats for disease carriers such as mosquitoes and snails, and increasing the prevalence of waterrelated diseases such as malaria and schistosomiasis (bilharzia) Terrestrial Environment See Water Quality below Assess ecology of disease carriers in 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) Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 105

156 Potential Environmental Effects Loss of ground cover and erosion at project site MITIGATION MEASURES 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 Potential Environmental Effects Aquatic Environments Deterioration of water quality from aquaculture discharges causes contamination or decline of aquatic habitats and resident species MITIGATION MEASURES Ensure adequate pollution control (see Water Quality above) Depletion of local fuelwood to dry fish Water Quality Pollution of surface waters with aquaculture wastes 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) 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 Loss of wetlands, especially mangrove forests 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 Effects of the Environment on the Project 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 Use local, wild species rather than introduced species as seed stock Ensure aquaculture stock is kept healthy Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 106

157 Potential Environmental Effects 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 Environmental Standards National legislation on protected areas (natural, cultural and built environments) National legislation on protecting natural resources (e.g. fish, wildlife, forest cover) International environmental protection conventions (e.g. heritage, wetlands) National water quality standards and controls MITIGATION MEASURES Analysis of source water quality and threats Careful location of the project within the community and watershed Environmental Quality Indicators 8.18 Pollution Water quality (nutrients, chemicals, salinity) in pond drainage Environmental Health Surface water flows and groundwater table levels in project area Incidence of disease carriers 8.19 Human Wellbeing Amount of human and animal illness or disease Poverty levels Sources: UNEP Environmental Guidelines for Fish Farming (1990) EC Sectoral Environmental Assessment Sourcebook (1993) Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA 2000) SCOPE OF PROJECTS C14.10: FOOD PROCESSING Small-scale food processing may be home-based or small enterprises that use a wide variety of processes and technologies to convert animal and plant products into human food. Food processing of all kinds can create environmental problems if not managed properly. 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. Environmental Concerns Human Environment Existing or planned land uses (legal and illegal) Community water management practices and relationships Conflicting demands on surface or groundwater supplies 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 107

158 Natural Environment Potential Environmental Effects Mitigation Measures Quality of surface and groundwater supplies Natural aquatic environments 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 Potential Environmental Effects Mitigation Measures General Measures Good overall planning, design and management can address a number of potential environmental effects 14 : Minimize water use (and processing costs) 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 solid waste (and lost product) 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 liquid waste Minimize water use (see above) Separate fats, grease and other solids from wastewater before reuse or disposal (e.g. use oil separators/traps) Human Environment 14 See also Rural Water Supply and Sanitation and Solid Waste Management resource sheets. Water supply conflicts: Negative social and economic effects on existing community Minimize water use (see above) Develop supply sources: Where water quantities are adequate Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 108

159 Potential Environmental Effects Mitigation Measures Potential Environmental Effects Mitigation Measures water management practices and relationships Conflicting demands on surface or groundwater supplies Human Health 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 Deterioration and contamination of aquatic habitats and resident species from waste discharges 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 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 Environmental Standards National/local standards and regulations for the discharge of industrial wastewater to i) sewers and ii) streams and rivers National water quality standards and controls Workplace health and safety regulations Environmental Quality Indicators Pollution Quality (nutrients, chemicals, salinity) of liquid effluent and receiving waters Environmental Health 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: Water Quality Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA 2000) 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) Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 109

160 C14.12: STRUCTURES AND BUILDINGS TO COME C14.13: SMALL SCALE AGRICULTURE TO COME Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 110

161 ANNEX 7: AGRO-INDUSTRY (PROCESSING AGRICULTURAL PRODUCTS) No. POTENTIAL NEGATIVE IMPACTS MITIGATING MEASURE 1. Soil erosion Proper design and layout of structures avoiding too steep a gradient. Land leveling. Design of terraces on hillside minimizing surface erosion hazard. 2. Increased soil erosion due to clearing of Restriction of construction activities to good ground. vegetation and trampling. Soil erosion control measures (e.g., reforestation, terracing). Increased siltation of surface waters. 3. Siting of plant or facility complex on/near sensitive habitats 4. Siting of agro-industry along water courses leading to their eventual degradation. 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. 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. Control of agricultural inputs and cropping/grazing practices to minimize environmental problems. 7. Aggravation of solid waste problems in the area For facilities producing large volumes of waste, incorporation of the following guidelines in site selection: o plot size sufficient to provide a landfill or on-site disposal o proximity to a suitable disposal site o convenient for public/private contractors to collect and haul solid wastes for final disposal 8. Water pollution from discharge of liquid effluents Laboratory analysis of liquid effluent (including cooling water Plant: TSS; temperature; ph runoff from waste piles) in O/G, TDS, TSS, BOD, COD and in-situ Materials storage piles runoff: TSS; ph temperature monitoring. Most agricultural, livestock, agro-industries, packaging and marketing operations produce Seek guidance of local environmental officers to identify acceptable disposal sites. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 111

162 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 9. Particulate emissions to the atmosphere from all plant operations. 10. Gaseous and odor emissions to the atmosphere from processing operations. 11. Accidental release of potentially hazardous solvents, acidic and alkaline materials. 12. 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. 13. Disease and health problems from use of wastewater to irrigate crops. 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. 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. 14. Threat to historic, cultural or aesthetic features. Siting of project to prevent loss. salvage or protection of cultural sites. 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. 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. 13. Noise 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. 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 112

163 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. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 113

164 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 Maria Kaskula F 61 3 Agness Mumba F Rudia Mwila F 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 Gideon Musondah M Josen Habgam M Josephin Lubo F Charity Nkandu F Beatrice Kupeya F Bwalya Joseph M Hildah B Kulokoni F Mumba Kasoka M Martin B Kampamba M Jonathan Chama M Arnott Sikanyima M 53 Agric officer 23 Constance Mkandawire F Conceptor Bwalya M Innocent Musonda M Castro Mwila M Shadrick kasonga M 17 NAME OF SURVEYOR: Clement Raphael Banda DISTRICT: SOLWEZI 1 Thomson Chababa M 19 2 Collins Sonkasonka M 29 3 Kamayani Musama M 16 4 Mr Kachimpu M 5 Mrs Yolamu F 35 COMMUNITY: TUNDALA (MUTANDA) Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 114

165 NAME GENDER AGE PHONE 6 Givenes Kazhimba F below 40 7 Mrs Mufumbila F below 40 8 Peggy Kinaka F below 40 9 Daliwe Kinaka F below Gelis Sonkasonka F below Eva Kalembo F below Catherine Katonto F below Justina Matalayi F below Alice Ntambu F below Ester Kanseni F below Mervis Kambumba F below Ms Muyumba F below Juliet Kishiki F below Sylvia Chiliboyi F below Meliti kambumba F below Maida Kifita F below Mbuyu Kikukula F below Agness Mulela F below Bridget Malasha F below Peter Chiliboyi M Chrispin Kilifwaya M below Lulea Kangamba M below Lulea Jilambwe M below Roger Mulongo M below Kinaka Benido M below Jimmy Kyembe M below Martin Payisoni M below Kikukula Seke M below Gilbert Muzhila M below Victor M below Junes Lungenda M below Zhethy Kiroka F below Josephine Jilambwe F below Hildah Shijila F below 40 SURVEYOR: DISTRICT: MUFURILA COMMUNITY: MURUNDU 1 Annie Kaunda F Maria Kaskula F 61 3 Agness Mumba F Rudia Mwila F Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 115

166 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 Gideon Musondah M Josen Habgam M Josephin Lubo F Charity Nkandu F Beatrice Kupeya F Bwalya Joseph M Hildah B Kulokoni F Mumba Kasoka M Martin B Kampamba M Jonathan Chama M Arnott Sikanyima M 53 Agric officer 23 Constance Mkandawire F Conceptor Bwalya M Innocent Musonda M Castro Mwila M Shadrick kasonga M 17 NAME OF SURVEYOR: Clement Raphael Banda DISTRICT: LUFWANYAMA COMMUNITY: LUMPUMA 1 Rosemary Musonda F Majory Chibebe F 22 3 Justina Mulinga F Jilian Kapopo F 30 5 Abud Kapopo M 37 6 Kunda Sanwell M 71 7 Osfad hachilala M 22 8 Mwelaisha Josphat M Robby Muzembo M Mudenda Rapeal M Kunda Elisheba F Helic Lwaisha M Ridness Kayelu F Alice Njovu F Sara Chimbotela F 28 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 116

167 NAME GENDER AGE PHONE 16 Rokia Chimbotela F Mavis Bizile F Catherine Chandele F Sydney Bizile M Chimbalanga Dawin M Sammuel Sinonge M Filda Mutenda F Fatima Hangandu F Enock Sondwapo M Chirito Vincent M Elastus Bwanga M Sholai Siachisumo M Chawana Katoyo M Harriet Hamansanji F Angela Chombela F Gilbert Puma M James Chikuti M Chombela Jane F Obed Chunga M Mattews Bizile M Mazlen Gaika M Bicko Moono M Nyanga harrison M Musonda Fwaku M Mubishi Grewa M Wilson Chilimina M Precious Chikwe M Sinyangwe Osiyana M Chambula Davy M Chipotela Justin M Chimbotela Mbunda M Hangandu Linos M Cleopatra Malisopo F John Chitutu M Agrena kayamba F Mumba Alfred M Chandele Jonathan M Fwaku Pathias M Sylvia Chilimina F Fenia Chilimina F 40 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 117

168 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 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 118

169 DISTRICT NAME: SHANG'OMBO DATE: 21/08/12 S/N NAME SEX AGE VILLAGE 37 Chrispin Sitobolia M Kabula 2 38 Everisto Munene M Kabula 2 39 Sililo Nyamba M Kabula 2 40 Siyumbwa Kunyemwa M Kabula 2 41 Nyambe Kumoyo M Kabula 2 42 Royd Kangumu M Kabula 2 43 Monde Muyoba M Kabula 2 44 Malamo Nolonge M Kabula 2 45 Mwinke Macaliso Kabula 2 46 Namasiku Wambinji Kabula 2 47 Mwendabai Mulalelo Kabula 2 48 Grace Mabuku F 19 Lisiye 49 Mumbeko Manyando Kabula 2 50 Liseho Nyambe Kabula 2 51 Dorica Manyando F Kabula 2 52 Liyuwa Muyenga Kabula 2 53 Mwamuma Nyamba Kabula 2 54 Zita Maswabi Kabula 2 55 Mbvu Chikomba Kabula 2 56 Mufalali Muyoba Kabula 2 57 Namukonde Muyunda Kabula 2 58 Malamo Nyambe Kabula 2 59 Manga Sitali Kabula 2 60 Nakengo Masendo Kabula 2 61 Anayawa Mizimo Kabula 2 62 Melelo Mulauli Kabula 2 63 Mate Lubasi Kabula 2 64 Hildah Sililo F Kabula 2 65 Patson Muyunda M Kabula 2 66 Nalishebo Sitali M Kabula 2 67 Innocent Mabote M Kabula 2 68 Johnson Songiso M Kabula 2 69 Steven Mayalo M Kabula 2 70 Enock Mongola M Kabula 2 71 Actor Kebby Lifunga M Kabula 2 72 Musiwa Mbwainga Kabula 2 73 Castor Domiso M Kabula 2 74 Jimmy Kapalo M Kabula 2 Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 119

170 District Name: Senanga Date: 22/08/12 NAME SEX AGE COMMUNITY 75 George Itwi M 68 Lukanda 76 Nyambe Macwani M 56 Lukanda 77 Kebby Tutalunega M 45 Lukanda 78 Tolosi Mafo M 42 Lukanda 79 Makai Makai F 55 Lukanda 80 Ngule Mulyata F 46 Lukanda 81 Mbiji Lubinda M 49 Lukanda 82 Sitali Kufekisa M 47 Lukanda 83 M. Mubila F 55 Lukanda 84 Limpo Nawa F 44 Lukanda 85 Mundia Muyunda M 56 Lukanda 86 Lungowe Muyoyeta F 38 Lukanda DISTRICT NAME: MONGU Date: 23/08/12 NAME SEX AGE COMMUNITY 87 Mufato Gilland W. M Namushakende 88 Joseph Matongo M. M Namushakende 89 Timothy Matongo M Namushakende 90 Isiteketo Mukufute M. Namushakende 91 Kapanda K. Namushakende 92 Lisoli Akamandisa Namushakende 93 Namayonga Lizazi Namushakende 94 Sitali Nawa F Namushakende 95 Franco Mulonha M Namushakende 96 Nolukiu Lubinda Namushakende 97 Saviour Indala I. M Namushakende 98 Mwakamui Mumeka T. M Namushakende 99 Mulako Simbula Namushakende 100 Mufalo Memory L. F Namushakende 101 Ronicar Mbumwae F Namushakende 102 Mainza Chibuwa M Namushakende 103 David Amwalana M. M Namushakende 104 Teddy Akakandelwe M Namushakende Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 120

171 DISTRICT NAME: MONGU Date: 23/08/12 NAME SEX AGE COMMUNITY 105 Muliya Ikasama Namushakende 106 Mubuna Minyoi Namushakende 107 Charles Mwala M Namushakende 108 Sydney Musinga M Namushakende 109 Mundia Kagwala Namushakende 110 Alice Mumbuna F Namushakende 111 Maria Katonda F Namushakende 112 Gloria Chatumbo F Namushakende DDCC COMMITTEE MONGU S/N NAME OCCUPATION CELL NO 1 Moses Namusunga ZMD Mnamusunga2006@Yahoo.Com Everisto Muhau WVI Muhau.Atha@Gmail.Com Enock Ntoka AHA Enockutoka@Gmail.Com Mukeya Liwena RLV Mliwena@Yahoo.Co.Uk Phiri Numel FISHERIES Numelphiri@Yahoo.Com Chiyala Kane Kanechiyala@Rocketmail.Com Chabalanga Ng'ambi DACO Nchabalang@Yahoo.Com.Au Sesheke District # NAME AGE GENDER 1 Kacama Kacama 27 M 2 Sinvula Malindi 51 M 3 Manyando Malindi 68 M 4 Samson Malindi 97 M 5 Mwaka Mutuwamezi 26 F 6 Nalukui Liwanga 37 F 7 Akashemweta Makala F 8 Kongwa Mushimbei 73 F 9 Mumunga Kangumu F 10 Namukolo Zambo 54 F 11 Mumeka Mumeka 43 M 13 Basazi Lukonde 37 M 14 Sikufele Kamukwa 47 M 15 Mwangala Matomola 34 F 16 Kulela Liutwelo 30 F 17 Chuma Kweleza 31 F 18 Maria Masialeti 26 F 19 Musepani Mate 45 M 20 Oliver Namabunga 31 M 21 Mumeka Kagumu 72 M 22 Lubinda Mbaimbai 65 M 23 Munyaze Manyando 45 M Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 121

172 # NAME AGE GENDER 24 Mubala Lukonde 39 M 25 Eric Lumonga 42 M 26 Malindi Malindi 72 M Namwala District # Name Age Gender 1 Bonwell Masumba M 2 Regina Kalanda F 3 Ester Mukoto F 4 Molephy Mwinde F 5 Nezya Nzala F 6 Joyce Moonga F 7 Precious Muntanga F 8 Joyce Mukumbuta F 9 Kingsley Kaluya M 10 Bennard Ndumba M 11 Alfred Mutapila M 12 Annah mwanda F 13 Keshas Mudenda M 14 Geshome Mupeta M 15 Ben Hamoomba M 16 Odenes Nzala M 17 Antony Kalonda M 18 Chinyemba Kapalu M 19 Kenny Simatanda M 20 Mumbuna Katyamba M 21 Dellah Ahimanza F 22 Doris Kaputula F 23 Tenday Mpofu M 24 Mable Kaabwe F 25 Florence Hamaimbo F 26 Exilda Kaluwe F 27 Evans Phiri M 28 Phillip Maambo M 29 Abraham Simukoko M 30 Sellina Hagwalya F 31 Violet Kalulu F 32 Rose Machai F 33 Mutinta Simatanda F 34 Dolifa Kpalli F 35 Lista Chinyama F 36 Oliver Hagwalya M 37 Thomas Hagwalya M 38 Clive Milimo M 39 Kazhila Kapalu M 40 Joyce Matale F 41 Mubita Matale M 42 Ireen Chilwa F 43 Handley Kamizhi M 44 Eunice Mapulanga F Itezhi Tezhi Distirct # Name Age Gender Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 122

173 # Name Age Gender 1 Headman Lengalenga 56 M 2 Headman Shapama 73 M 3 A. C. Muchimba 70 M 4 Mukuta Leonard 73 M 5 Johns Shilumamba 60 M 6 Benson Nyama 78 M 7 Andrew Bulongo 60 M 8 Godwin Kongwa 61 M 9 Mayoyeta Mayoyeta 65 M 10 Golden Siakakoma 50 M 11 Evans Libingi 69 M 13 H. Hamasuki 36 m 14 Maureen Nyanda 74 F 15 Wilson Siboli 75 M 16 Kanyawinyawi A. 36 M 17 Choobe Richard 55 M 18 Makani Simoni 73 m 19 Charles Shachibengu 49 M 20 Edith Shumbwamuntu 63 F 21 Esineya Mwanza 56 F 22 Godwin Mpansi 27 M 23 Bagrey Shimukuwala 59 M 24 Mambo Joynet 43 M 25 Samuel Suulwe 73 M 26 Mutinta Miyoba 65 F 27 Moobola Charles 59 M Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 123

174 2. PPCR Stakeholder workshop Strategic Environmental and Social Assessment (SESA) Project Prototypes Sandy s Creation 13 TH DECEMBER, 2012 S/N NAME ORGANIZATION DESIGNATION PHONE 1 Serah C Lunda Provincial Forest office North Extension officer serahchila@gmail.com Western 2 Anna Stumfels G17 advisor Anna.stusmfels@g17.dc Christopher Chileshe MMEWD Ag. Director cchileshe@mewd.gov.com Water 4 Munkayumbwa Munyima Niras Researcher munyimam@yahoo.co.uk Morris Moono Social welfare-southern Province PSWO moonomorris@gmail.com Kelvin Simukondwi Namwala District Council DPO simukondwi@zambia.co.zm David C Kaluba PPCR-MOF National coordinator dckaluba@gmail.com Martin N Sishekanu PPCR-MOF Participatory masishekanu@gmail.com Adaptation Advisor 9 Chasaya Gentile NIRAS Consultant Chasaya.gentile96@gmail.com Mukumwa Jean PPCR-MOF Moe Intern mukumwajay@gmail.com Kandandu Rex DDCC Representative DPO rkandandu@yahoo.com Derrick Chikasa PDCC Representative Senior rep AST derekchikasa@yahoo.com IndunaSayowaMeebeloLubinda B.R.E IndunaSaywa Mudenda Wisford Zambia Red Cross Disaster Mgt Wisfordmudenda@yahoo.com Coordinator 15 Muyumbwa Ndiyoi N.H.C.C Chief Natural ndiyoi@yahoo.co.uk Heritage office 16 ThokozileWonani PPCR Office Manager twonani@yahoo.co.uk ZookMuleya ZAWA Head of Planning Zook.muleya@zawa.org.zm George W Sikuleka FASAZ Member gwsiluleka@gmail.com Gabriel Mushinge NIRAS GIS Consultant gmushinge@gmail.com / Florence Phiri ZNFU Senior manager florencephiri@znfu.org Diana Banda NIRAS Consultant Diana.banda@unza.zm Mwambana Joseph DC Masiti DC Luapula Pasmore Kafue District Council District Planning Officer mashikap@gmail.com Mufale Jackson District Admin District Admin Js-mufale@yahoo.com Officer 25 Moono I.M Kanjelesa ZEMA Acting Principle mkaiyelesa@zema.org.zm Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 124

175 S/N NAME ORGANIZATION DESIGNATION PHONE Inspector 26 MuketoiWamunyima Pelum Zambia Coordinator Paul Lupunga MOF CEM Thandi Gxaba World Bank ENV Specialist Sofia Bettencourt World Bank Tosh Team leader Kisa Mfalila AFDB Env. Specialist Allan Dauchi MLNREP Environment Officer Deuteronomy Kasaro FD/MLNREP National Redd coordinator 33 Godwin F Gondwe MLNREP/NREPD Acting Director figogmel@yahoo.co.uk Grace Ngulube District commissioner Kafue DC Kafue Excellent Hachileka UNDP AC Policy Excellent.hachileka@undp.org Assistant 36 LenyanjiSikaona DMMU, OVP PRPO Lenganji.sikaona@gmail.com Noah Zimba ZCCN Chair person gbnaturals@gmail.com ChilukushaGershom RDA Environmental gchilukusha@roads.gov.zm officer 39 Benny Zimba Niras Country Rep 40 Twisema Muyoya Niras Senior Consultant 41 Kasanga Kavimba Niras Project Officer 42 Davies Chipilipili Niras Accounts Manager 43 Elina C Phiri Niras Admin/accounts assistant Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 125

176 ANNEX 9: ENVIRONMENTAL AND SOCIAL FIELD APPRAISAL FORM NAME OF PROJECT Application Number: PART 1: IDENTIFICATION Project Name: Project Location: Project Beneficiaries: Reason for Field Appraisal: Summarize the issues from the ESMF Checklist that determined the need for a Field Appraisal. Date(s) of Field Appraisal: 1. Field Appraisal Officer: 2. District/SPIU Representative: 3. Community Representative and Address: PART 2: DESCRIPTION OF THE PROJECT 4. Project Details: Provide details that are not adequately presented in the subproject application. If needed to clarify subproject details, attach sketches of the subproject component(s) in relation to the community and to existing facilities PART 3: ENVIRONMENTAL AND SOCIAL ISSUES 5. Will the project: Yes No Need to acquire land? Affect an individual or the community s access to land or available resources? Displace or result in the involuntary resettlement of an individual or family? If Yes, tick one of the following boxes: The Resettlement Action Plan (RAP) included in the subproject application is adequate. No further action required. The RAP included in the subproject application must be improved before the application can be considered further. A RAP must be prepared and approved before the application can be considered further. 6.Will the project: Yes No Encroach onto an important natural habitat? Negatively affect ecologically sensitive ecosystems? If Yes, tick one of the following boxes: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 126

177 The Environmental Management Plan (EMP) included in the subproject application is adequate. Nofurther action required. The EMP included in the subproject application must be improved before the application can be considered further. An EMP must be prepared and approved before the application can be considered further. 7. Are there indigenous people living in the subproject area who could benefit from, or be adversely affected by, the subproject? Yes No If Yes, tick one of the following boxes: The Indigenous Peoples Plan (IPP) included in the subproject application is adequate. Nofurther action required. The IPP included in the subproject application must be improved before the application can be considered further. An IPP must be prepared and approved before the application can be considered further. 8. Will this project involve or introduce pesticides? Yes No If Yes, tick one of the following boxes: The Pest Management Plan (PMP) included in the subproject application is adequate. Nofurther action is required. The PMP included in the subproject application must be improved before the application can be considered further. A PMP must be prepared and approved before the application can be considered further. 9. Will this project involve or result in: Yes No Diversion or use of surface waters? Construction and/or rehabilitation of latrines, septic or sewage systems? Production of waste (e.g. slaughterhouse waste, medical waste, etc.)? New or rebuilt irrigation or drainage systems? If Yes, tick one of the following boxes: The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required. The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further. 10. Will this project require the construction of a small dam or weir? Yes No If Yes, tick one of the following boxes: The application demonstrates that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. No further action is required. The application does not demonstrate that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. The application needs to be amended before it can be considered further. 11. Will this project rely on water supplied from an existing dam or weir? Yes No If Yes, tick one of the following boxes: The application demonstrates that a dam safety report has been prepared, the dam is safe, and no remedial work is required. No further action is required. The application does not demonstrate that a dam safety report has been prepared, the dam is safe, and no remedial work is required. A dam safety report must be prepared and approved before the application is considered further. 12. Are there any other environmental or social issues that have not been adequately addressed? Yes No If Yes, summarize them: and tick one of the following boxes: Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 127

178 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:. Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 128

179 ANNEX 10: ENVIRONMENTAL AND SOCIAL APPRAISAL PROCESS FOR CDD SUBPROJECTS (AfDB) Subproject Appraisal Process Corresponding Safeguard Requirements Application for subproject bycommunity Step 1: Site Identification Identification of subprojects Reject requests based on exclusion list (box 2.4) Subproject Environmental and Social Assessment Step 2: EnvironmentalSoci alassessment Low 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) No risk High risk Carry out a subproject specific EA study Develop subproject specific EMP s (and RAPs if applicable) Apply environmental conditions in contract agreements(construc tion and supervision) Subprojects Approval (Local government) Subproject Approval (Local government) Step 3: Environmental and social review Step 4: Subproject implementation 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 Subproject Monitoring Step 5: Environmental and social Monitoring Monitor environmental and social compliance, pollution abatement, and EMP(and RAP) implementation Carry out annual environmental and social audits for subprojects Draft_ PPCR Environment and Social Management Framework_Feb.2013 Page 129