ministry of national planning...

MINISTRY OF NATIONAL PLANNING DEVELOPMENT

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK FOR

THE TRANSFORMING LANDSCAPES FOR RESILIENCE AND

DEVELOPMENT IN ZAMBIA (TRALARD) PROJECT

LUAPULA, MUCHINGA AND NORTHERN PROVINCES

January 2019

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ESMF for the Transforming Landscapes for Resilience and Development in Zambia (TRALARD) Project Luapula, Muchinga and Northern Provinces

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Table of Contents

EXECUTIVE SUMMARY --------------------------------------------------------------------------------------------- VII

ABBREVIATIONS AND ACRONYMS ------------------------------------------------------------------------------- XII

1 INTRODUCTION ------------------------------------------------------------------------------------------------- 1

1.1 Background ------------------------------------------------------------------------------------------------------------------------------ 1

1.2 Sectoral and Institutional Context ------------------------------------------------------------------------------------------------ 3

1.3 Relevance to Higher Level Objectives -------------------------------------------------------------------------------------------- 4

1.4 Project Description -------------------------------------------------------------------------------------------------------------------- 4 1.4.1 Project Development Objective------------------------------------------------------------------------------------------------- 5 1.4.2 Project Components --------------------------------------------------------------------------------------------------------------- 6

1.5 Project Components ----------------------------------------------------------------------------Error! Bookmark not defined. 1.5.1.1 Component 1. Promoting Diversified, Resilient, Sustainable Livelihoods ------------------------------------ 7 1.5.1.2 Component 2: Developing Infrastructure for Resilience and Market Access ---- Error! Bookmark not defined. 1.5.1.3 Component 3. Management of Community Forests and Protected Areas ------- Error! Bookmark not defined. 1.5.1.4 Component 4: Project Management, Coordination, and Monitoring -- Error! Bookmark not defined. 1.5.1.5 Component 5: Contingency Emergency Response Component (CERC) Error! Bookmark not defined.

1.6 Project Beneficiaries ---------------------------------------------------------------------------------------------------------------- 12

1.7 Environmental and Social Management Framework Objectives ------------------------------------------------------ 13

2 ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK DEVELOPMENT METHODOLOGY ERROR! BOOKMARK NOT DEFINED.

2.1 Literature review ---------------------------------------------------------------------------------Error! Bookmark not defined. 2.1.1 World Bank Documents -------------------------------------------------------------------- Error! Bookmark not defined. 2.1.2 Zambian Legislative Documents --------------------------------------------------------- Error! Bookmark not defined.

2.2 Stakeholder Consultation ---------------------------------------------------------------------Error! Bookmark not defined.

2.3 Preparation of ESMF ----------------------------------------------------------------------------Error! Bookmark not defined.

3 POLICY AND REGULATORY FRAMEWORK ---------------------------------------------------------------- 14

3.1 National Policy Framework ------------------------------------------------------------------------------------------------------- 14 3.1.1 The Vision 2030 ------------------------------------------------------------------------------------------------------------------- 14 3.1.2 The Seventh National Development Plan, 2017-2021 ------------------------------------------------------------------ 15 3.1.3 The National Policy on Climate Change, 2016 ---------------------------------------------------------------------------- 15 3.1.4 The National Adaptation Programme of Action on Climate Change ------------------------------------------------ 16


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3.1.5 The National Policy on Environment, 2008 -------------------------------------------------------------------------------- 16 3.1.6 The Second National Agriculture Policy, 2016 ---------------------------------------------------------------------------- 16

3.2 Regulatory Framework ------------------------------------------------------------------------------------------------------------- 17 3.2.1 The Constitution of Zambia (Amendment), 2016 ------------------------------------------------------------------------ 17 3.2.2 The Environmental Management Act, 2011 ------------------------------------------------------------------------------- 17 3.2.3 The Environmental Impact Assessment Regulations, SI 28 of 1997 ------------------------------------------------- 18 3.2.4 The Water Resources Management Act, 2011 --------------------------------------------------------------------------- 18 3.2.5 The Zambia Wildlife Act, No. 14 of 2015 ----------------------------------------------------------------------------------- 19 3.2.6 The Forests Act, No. 4 of 2015 ------------------------------------------------------------------------------------------------ 20 3.2.7 The Lands Act (Cap 184), No. 29 of 1995 ----------------------------------------------------------------------------------- 20 3.2.8 The Urban and Regional Planning Act, 2015 ------------------------------------------------------------------------------ 21 3.2.9 The Employment Act, No. 15 of 2015 --------------------------------------------------------------------------------------- 22 3.2.10 The Public Health Act, Cap 295 of 1930 --------------------------------------------------------------------------------- 22 3.2.11 The Occupational Health and Safety Act, 2010 ----------------------------------------------------------------------- 22 3.2.12 National Heritage and Conservation Commission Act, 1986 ------------------------------------------------------ 23

4 DESCRIPTION OF WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARDS TRIGGERED --- 25 4.1.1 OP/BP 4.01 Environmental Assessment ------------------------------------------------------------------------------------ 25 4.1.2 OP 4.04 Natural Habitats ------------------------------------------------------------------------------------------------------- 26 4.1.3 OP 4.09 Pest Management ----------------------------------------------------------------------------------------------------- 26 4.1.4 OP 4.11 Physical Cultural Resources ----------------------------------------------------------------------------------------- 27 4.1.5 OP 4.12 Involuntary Resettlement ------------------------------------------------------------------------------------------- 27 4.1.6 OP 4.10 Indigenous Peoples --------------------------------------------------------------------------------------------------- 28 4.1.7 OP 4.36 Forests -------------------------------------------------------------------------------------------------------------------- 28 4.1.8 OP 4.37 Safety of Dams --------------------------------------------------------------------------------------------------------- 28 4.1.9 OP/BP 7.50 Projects on International Waterways ----------------------------------------------------------------------- 29 4.1.10 OP/BP 7.60 Projects in Disputed Areas---------------------------------------------------------------------------------- 29

4.2 Overlaps and Gaps between the Zambian Legislation and World Bank Safeguards ----------------------------- 29

5 DESCRIPTION OF THE ENVIRONMENT -------------------------------------------------------------------- 33

5.1 Physical Environment --------------------------------------------------------------------------------------------------------------- 33 5.1.1 Location ----------------------------------------------------------------------------------------------------------------------------- 33

5.1.1.1 Luapula Province ---------------------------------------------------------------------------------------------------------- 33 5.1.1.2 Muchinga Province -------------------------------------------------------------------------------------------------------- 33 5.1.1.3 Northern Province--------------------------------------------------------------------------------------------------------- 34

5.1.2 Climate ------------------------------------------------------------------------------------------------------------------------------ 35 5.1.3 Sunshine ----------------------------------------------------------------------------------------------------------------------------- 36 5.1.4 Surface Winds --------------------------------------------------------------------------------------------------------------------- 37 5.1.5 Relative Humidity ----------------------------------------------------------------------------------------------------------------- 37 5.1.6 Topography ------------------------------------------------------------------------------------------------------------------------- 37 5.1.7 Drainage ----------------------------------------------------------------------------------------------------------------------------- 38 5.1.8 Geology and Soils ----------------------------------------------------------------------------------------------------------------- 40

5.2 Social Environment ------------------------------------------------------------------------------------------------------------------ 40 5.2.1 Demography – Luapula Province -------------------------------------------------------- Error! Bookmark not defined.

5.2.1.1 Population Size ------------------------------------------------------------------------ Error! Bookmark not defined. 5.2.1.2 Population Composition ------------------------------------------------------------ Error! Bookmark not defined. 5.2.1.3 Population Distribution ------------------------------------------------------------- Error! Bookmark not defined.


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5.2.1.4 Population Density ------------------------------------------------------------------- Error! Bookmark not defined. 5.2.1.5 Household Size and Composition ------------------------------------------------ Error! Bookmark not defined.

5.2.2 Demography - Muchinga Province ------------------------------------------------------ Error! Bookmark not defined. 5.2.2.1 Population Size ------------------------------------------------------------------------ Error! Bookmark not defined. 5.2.2.2 Population Composition ------------------------------------------------------------ Error! Bookmark not defined. 5.2.2.3 Population Distribution ------------------------------------------------------------- Error! Bookmark not defined. 5.2.2.4 Household Size and Composition ------------------------------------------------ Error! Bookmark not defined.

5.2.3 Demography - Northern Province ------------------------------------------------------- Error! Bookmark not defined. 5.2.3.1 Population Size ------------------------------------------------------------------------ Error! Bookmark not defined. 5.2.3.2 Population Composition ------------------------------------------------------------ Error! Bookmark not defined. 5.2.3.3 Population Distribution ------------------------------------------------------------- Error! Bookmark not defined. 5.2.3.4 Population Density ------------------------------------------------------------------- Error! Bookmark not defined. 5.2.3.5 Household Size and Composition ------------------------------------------------ Error! Bookmark not defined.

5.2.4 Land Use and Livelihood -------------------------------------------------------------------------------------------------------- 40 5.2.5 Settlements ------------------------------------------------------------------------------------------------------------------------ 44 5.2.6 Typical housing types ------------------------------------------------------------------------------------------------------------ 44 5.2.7 Water and sanitation ------------------------------------------------------------------------------------------------------------ 44 5.2.8 People and Culture --------------------------------------------------------------------------------------------------------------- 45 5.2.9 Infrastructure ---------------------------------------------------------------------------------------------------------------------- 45 5.2.10 Labour Force Participation Rate (Activity Rate) ----------------------------------------------------------------------- 45 5.2.11 Economically Active Population ------------------------------------------------------------------------------------------- 46 5.2.12 Average household size ----------------------------------------------------------------------------------------------------- 46 5.2.13 Literacy Levels------------------------------------------------------------------------------------------------------------------ 46 5.2.14 Infant and Child Mortality Levels and Trends ------------------------------------------------------------------------- 47 5.2.15 Vulnerable population ------------------------------------------------------------------------------------------------------- 47

5.2.15.1 Luapula Province ---------------------------------------------------------------------------------------------------------- 48 5.2.15.2 Muchinga Province -------------------------------------------------------------------------------------------------------- 48 5.2.15.3 Northern Province--------------------------------------------------------------------------------------------------------- 48

6 POTENTIAL ENVIRONMENTAL AND SOCIAL CONCERNS AND MITIGATION MEASURES --------- 49

6.1 Positive Impacts ---------------------------------------------------------------------------------------------------------------------- 49 6.1.1 Alternative livelihoods----------------------------------------------------------------------------------------------------------- 49 6.1.2 Formal sector employment ---------------------------------------------------------------------------------------------------- 49 6.1.3 Sustainable sources of income ------------------------------------------------------------------------------------------------ 49 6.1.4 Improved productivity and security ----------------------------------------------------------------------------------------- 49 6.1.5 Mainstreaming of climate change risk management into development plans ---------------------------------- 49 6.1.6 Strengthening of social capital ------------------------------------------------------------------------------------------------ 49 6.1.7 Support to other projects and programs ----------------------------------------------------------------------------------- 50 6.1.8 Enhanced disaster risk management capacity ---------------------------------------------------------------------------- 50 6.1.9 Improved climate resilience --------------------------------------------------------------------------------------------------- 50 6.1.10 Maintenance of ecosystem services ------------------------------------------------------------------------------------- 50 6.1.11 Protection of protected areas --------------------------------------------------------------------------------------------- 50 6.1.12 Contribution to achieving SDGs ------------------------------------------------------------------------------------------- 51 6.1.13 Gender- and vulnerable persons-sensitive development impact ------------------------------------------------ 51

6.2 Potential Negative Environmental Impacts ---------------------------------------------------------------------------------- 51 6.2.1 Soil degradation ------------------------------------------------------------------------------------------------------------------- 51 6.2.2 Soil erosion ------------------------------------------------------------------------------------------------------------------------- 52 6.2.3 Habitat destruction--------------------------------------------------------------------------------------------------------------- 52 6.2.4 Loss of Fauna ----------------------------------------------------------------------------------------------------------------------- 52 6.2.5 Economic and environmental impacts of soil erosion ------------------------------------------------------------------ 52


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6.2.6 Decreased Air Quality ----------------------------------------------------------------------------------------------------------- 52 6.2.7 Loss of vegetation ---------------------------------------------------------------------------------------------------------------- 52 6.2.8 Soil compaction ------------------------------------------------------------------------------------------------------------------- 53 6.2.9 Change in Hydrology ------------------------------------------------------------------------------------------------------------- 53 6.2.10 Decreased Water Quality --------------------------------------------------------------------------------------------------- 53 6.2.11 Downstream Impacts of Dams -------------------------------------------------------------------------------------------- 53 6.2.12 Changes in downstream morphology of the riverbed and banks ------------------------------------------------ 53 6.2.13 Dam safety related impacts and Flooding ------------------------------------------------------------------------------ 54 6.2.14 Impact of Irrigation inefficiency on water availability --------------------------------------------------------------- 54 6.2.15 Solid and Liquid Waste Generation Risks ------------------------------------------------------------------------------- 54 6.2.16 Borrow Pits and Quarry Sites ---------------------------------------------------------------------------------------------- 54 6.2.17 Noise and Vibration Impacts ----------------------------------------------------------------------------------------------- 54 6.2.18 Aesthetic and visual impacts ----------------------------------------------------------------------------------------------- 55

6.3 Potential negative social impacts ----------------------------------------------------------------------------------------------- 55 6.3.1 Occupational health and safety hazards------------------------------------------------------------------------------------ 55 6.3.2 Impact on public human health ----------------------------------------------------------------------------------------------- 55 6.3.3 Increased traffic ------------------------------------------------------------------------------------------------------------------- 55 6.3.4 Loss of Land ------------------------------------------------------------------------------------------------------------------------ 56 6.3.5 Impact on social fabric and community relations ------------------------------------------------------------------------ 56 6.3.6 Resource Use Conflicts ---------------------------------------------------------------------------------------------------------- 56 6.3.7 Gender Issues and Impacts ----------------------------------------------------------------------------------------------------- 56 6.3.8 Impacts on Vulnerable Groups ------------------------------------------------------------------------------------------------ 56 6.3.9 Potential In-migration Impacts ------------------------------------------------------------------------------------------------ 57 6.3.10 Increased Crime --------------------------------------------------------------------------------------------------------------- 57 6.3.11 Employment Issues ----------------------------------------------------------------------------------------------------------- 57

6.4 Proposed mitigation measures -------------------------------------------------------------------------------------------------- 57

6.5 Monitoring Plans and Indicators ------------------------------------------------------------------------------------------------ 61 6.5.1 Monitoring of Environmental and Social Indicators --------------------------------------------------------------------- 66 6.5.2 Monitoring Indicators ---------------------------------------------------------------------- Error! Bookmark not defined.

7 PROJECT REVIEW, COORDINATION AND IMPLEMENTATION ---------------------------------------- 80

7.1 Introduction --------------------------------------------------------------------------------------------------------------------------- 80

7.2 Institutional Framework ----------------------------------------------------------------------------------------------------------- 80 7.2.1 The Ministry of National Development Planning------------------------------------------------------------------------- 82 7.2.2 The Zambia Environmental Management Agency ----------------------------------------------------------------------- 82 7.2.3 The Local Authorities ------------------------------------------------------------------------------------------------------------ 83 7.2.4 The Forest Department --------------------------------------------------------------------------------------------------------- 83 7.2.5 The Water Resources Management Authority --------------------------------------------------------------------------- 84 7.2.6 The Disaster Management and Mitigation Unit -------------------------------------------------------------------------- 84 7.2.7 The Zambia Meteorological Department ---------------------------------------------------------------------------------- 85

7.3 Screening, Review, Clearance and Implementation of Sub-project Safeguard Instruments Error! Bookmark not defined.

7.3.1 Screening of Investment Projects ------------------------------------------------------- Error! Bookmark not defined. 7.3.2 Screening procedure ------------------------------------------------------------------------ Error! Bookmark not defined. 7.3.3 Determination of level of Environmental Assessment required ---------------- Error! Bookmark not defined.

7.3.3.1 If the thresholds are clear ---------------------------------------------------------- Error! Bookmark not defined.


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7.3.3.2 If the thresholds are unclear ------------------------------------------------------ Error! Bookmark not defined.

7.4 Licensing and Permitting-----------------------------------------------------------------------Error! Bookmark not defined.

7.5 EIA Monitoring and Evaluation --------------------------------------------------------------Error! Bookmark not defined.

7.6 Overall Project Compliance and Reporting -----------------------------------------------Error! Bookmark not defined.

8 CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE -------------------------------------- 86

8.1 ESMF Implementation Budget --------------------------------------------------------------------------------------------------- 86

9 STAKEHOLDER CONSULTATION AND PARTICIPATION ------------------------------------------------- 88

9.1 ESMF Consultation ------------------------------------------------------------------------------------------------------------------ 88

9.2 ESMF Disclosure ---------------------------------------------------------------------------------------------------------------------- 88

9.3 Public Consultation ------------------------------------------------------------------------------------------------------------------ 88

10 REFERENCES ------------------------------------------------------------------------------------------------ 90

11 ANNEXES ---------------------------------------------------------------------------------------------------- 91

11.1 Annex 1 - Minutes of the stakeholder consultation ----------------------------------------------------------------------- 91

11.2 Annex 2 - List of consulted participants on Draft ESMF ------------------------------------------------------------------ 96

11.3 Annex 3 - Checklist for screening of projects -------------------------------------------------------------------------------- 99

11.4 Annex 4 – EIA Regulations First Schedule ---------------------------------------------------------------------------------- 103

11.5 Annex 5 – EIA Regulations Second Schedule ---------------------------------------------------------------------------- 104

11.6 Annex 5 – Issues to be Considered When Preparing The Terms of Reference ----------------------------------- 106

11.7 Annex 6 - Cultural Property Protection Measures and Chance Find Procedures ------------------------------- 108


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List of Tables Table 4-1. Similarities between Zambian legislation and World Bank safeguards .....................29 Table 4-2. Gaps between Zambian legislation and World Bank safeguards ..............................31 Table 5-1. Average annual rate of growth by district, Luapula Province, 2000-2010 ........... Error!

Bookmark not defined. Table 5-2. Average Annual Rate of Population Growth by District, Muchinga Province, 2000-2010

............................................................................................ Error! Bookmark not defined. Table 5-3. Total population by District, Region and Sex, Muchinga Province, 2010 ............ Error!

Bookmark not defined. Table 5-4. Average annual rate of population growth by district, Northern Province, 2000-2010

............................................................................................ Error! Bookmark not defined. Table 5-5. Labour Force Participation Rate for Population Aged 15 years or older ...................46 Table 5-6. Economically Active Population Aged 15 years or older by Sex and Province, Zambia,

2014 ...................................................................................................................................46 Table 5-7. Average household by sex of household head and province, 2010 ..........................46 Table 5-8. Literacy: Percentage distribution of age 15-49 by level of schooling attended and level

of literacy, and percentage literate, Zambia, 2007 ..............................................................47 Table 5-9. Early childhood mortality rates by socioeconomic characteristics .............................47 Table 6-1. Proposed mitigation measures .................................................................................58 Table 6-2: Monitoring indicator ..................................................................................................67 Table 6-3. Monitoring Indicators ................................................................................................70 Table 7-1: Coordination Responsibilities. .................................... Error! Bookmark not defined. Table 8-1. Type of training to be provided, target and budget ...................................................86 Table 8-3. Budget for ESMF Implementation ............................................................................87

List of Figures Figure 1-1. Theory of Change ....................................................................................................... 7 Figure 5-1. Luapula Province showing its districts and location in Zambia ................................33 Figure 5-2. Map showing districts of Muchinga Province and location in Zambia ......................34 Figure 5-3. The Districts of Northern Province and location in Zambia ......................................35 Figure 5-4. Agro-ecological regions of Zambia ..........................................................................36 Figure 5-5. Livelihood Map of Zambia .......................................................................................41 Figure 7-1. Project Institutional Framework ...............................................................................82 Figure 7-2. The process guiding the ESIA ................................. Error! Bookmark not defined.


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EXECUTIVE SUMMARY INTRODUCTION Background Zambia is a country vulnerable to climate change and climate variability due to its high levels of poverty (59%) and dependency on agriculture and natural resources – both climate-sensitive sectors. To address these challenges, the Government of the Republic of Zambia (GRZ) has received a project preparation grant from the World Bank (WB) to develop the Transforming Landscapes for Resilience and Development in Zambia (TRALARD) Project (the “Project”). Project Description The Transforming landscapes for resilience and development in Zambia (TRALARD) Project (the “Project”) aims to reduce livelihood vulnerability and enable climate-resilient growth in key economic sectors. The project is part of the Resilient Landscapes for Development Program in African Drylands and contributes to the landscape pillar of the Africa Climate Business Plan, with a focus on reducing climate risks and vulnerabilities through a mix of interventions.

The Project will be implemented in a phased approach. Targeted provinces and districts will be rolled into the programme based on resource mobilization. The Phase I focus will be on Luapula, Muchinga and Northern Provinces1, and deepen the current ongoing investment in Western province with subsequent scaling up to other parts of the country. Project Development Objective To improve natural resource management in the northern region of Zambia to support sustainable livelihoods, and in the event of an eligible crisis or emergency, to provide immediate and effective response to the eligible crisis or emergency. Project Components The Project Development Objective (PDO) will be achieved through activities under the following components: Component 1. Promoting Diversified, Resilient, Sustainable Livelihoods

• Subcomponent 1.1. Diversifying livelihoods and improving farming practices

• Subcomponent 1.2. Developing productive infrastructure for sustainable livelihoods

• Subcomponent 1.3. Strengthening communities and expanding services Component 2: Developing Infrastructure for Resilience and Market Access

• Subcomponent 2.1. Investments in resilience enhancing infrastructure

• Subcomponent 2.2. Strengthened Climate hydro-meteorological information Component 3. Management of Community Forests and Protected Areas

1 Northern Province was split into Northern Province and Muchinga Province in 2011. Accordingly, many of the statistics are not yet available for both provinces, and thus Northern Province typically includes Muchinga Province.


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• Subcomponent 3.1. Community Forest Management and Natural Forest Regeneration

• Subcomponent 3.2. Improved Management of Protected Areas and National Forest Reserves Component 4: Project Management, Coordination, and Monitoring Component 5: Contingency Emergency Response Component (CERC) (Standardized) Project Beneficiaries Project beneficiaries include communities increasingly reliant on the exploitation of natural resources due to the absence of alternative sources of livelihoods and energy, partially resulting from the lack of sound management and planning. Local authorities will gain from strengthened institutions and policies and capacity to manage, plan, operate, and enforce regulations to achieve both environmental improvement and poverty reduction. ESMF Objective In view of the fact that technical aspects of the project intervention such as site characterization, designs and specific locations are not ready and therefore their specific impacts not identified, the preparation of this ESMF, describes the general environmental and social safeguard procedures to be undertaken during project implementation. The need for the development of the ESMF has been necessitated by the needto provide safeguards to environmental and social impacts associated with activities under components 1 and 2. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK DEVELOPMENT METHODOLOGY The preparation of the ESMF consisted of several steps.

Literature review

World Bank Documents ▪ Draft Project Appraisal Document (PAD) ▪ World Bank Safeguard Policies and Procedures

Zambian Legislative Documents National Policy Framework National Regulatory Framework

Stakeholder Consultation The development of the ESMF included stakeholder consultation and included government agencies and institutions, non-governmental organisations (NGOs), community members in the three provinces. POLICY AND REGULATORY FRAMEWORK The following policies and pieces of legislation were reviewed based on their relevance to the project: National Policy Framework

▪ The Vision 2030 ▪ The Seventh National Development Plan ▪ The National Policy on Climate Change


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▪ The National Adaptation Programme of Action ▪ The National Policy on Environment ▪ The Second National Policy on Agriculture

National Regulatory Framework

▪ The Constitution of Zambia ▪ The Environmental Management Act ▪ The Environmental Impact Assessment Regulations ▪ The Water Resources Management Act ▪ The Forests Act ▪ The Wildlife Act ▪ The Lands Act ▪ The Lands Acquisition Act ▪ The Urban and Regional Planning Act ▪ The Employment Act ▪ The Public Health Act ▪ The Occupational Health and Safety Act ▪ The National Heritage and Conservation Act

WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARDS The triggered safeguards are as follows:

▪ OP 4.01 Environmental Assessment ▪ OP 4.04 Natural Habitats ▪ OP 4.09 Pest Management ▪ OP 4.12 Involuntary Resettlement ▪ OP 4.36 Forests ▪ OP 37 Safety of Dams ▪ OP 7.50 International Waters ▪ OP 4.11 Physical Cultural Resources

POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS Positive Impacts

a) Alternative livelihoods b) Formal sector employment c) Sustainable sources of income d) Improved productivity and security e) Mainstreaming of climate change risk management into development plans f) Strengthening of social capital g) Support to other projects and programs h) Enhanced disaster risk management capacity i) Improved climate resilience j) Maintenance of ecosystem services k) Protection of protected areas l) Contribution to achieving SDGs m) Gender- and vulnerable persons-sensitive development impact


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Negative social and environmental impacts The potential environmental and social impacts and mitigation measures are indicated in the table below:

Potential Negative impacts and proposed mitigation measures

S/N Impact Proposed Mitigation Measure Implementation

Criteria Monitoring indicator

(input)

Performance Indicator

(Outcome)

Monitoring Frequency

Project Stage

Responsibility

Environmental Issues

1 Soil degradation

- Minimize land clearing areas as much as possible to avoid unnecessary exposure of bare ground to the elements of the weather

- Re-vegetate cleared areas as early as possible using native plant species

- Avoid construction work in the rainy season

- Compacted soil will be ripped to allow for water retention. This will also assist with reducing runoff on cleared surfaces.

- Practice topsoil stripping and stockpile for use when rehabilitating the site.

Waste management plan Spill prevention and control plan

Visibility of oil on water bodies On site erosion observed Proposed actions implemented No of pollution incidences recorded

Area rehabilitated Proportion of cleared land area for installation

Daily self-checks by contractors Periodic reports on performance by contractor to project engineers Spot checks/audits by project engineers

Construction Operation

Contractors /Project engineers

Waste management plan/Construction site management plan

Waste oil drums/containers on site Availability of waste disposal plan (waste oil)

Number of workers familiar and aware of the waste disposal plan Percentage of workers who follow the waste disposal plan including use of receptacles

Monthly checks by project engineer


Contractor Project engineers

2 Impact on soil as a

- Dispensing points will have drip pans while fuel tanks/drums will be contained in a bund of sufficient


Waste oil drums/containers on site

Number of workers familiar and

Monthly checks by

Construction

Contractor Project engineer


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(input)


(Outcome)


Project Stage

Responsibility

result of fuel handling

capacity and will stand on an impervious surface.

- Use hand pumps for fuel transfer - Store fuel and oils in sturdy, non-

leaking containers. - Sell waste oil to recyclers - All repair and maintenance works

will be carried out offsite at the construction campsites.

Availability of waste disposal plan (waste oil)

aware of the waste disposal plan Percentage of workers who follow the waste disposal plan including use of receptacles

project engineer

Operation

3

Habitat destruction and loss of fauna

- Give preference to siting of project investments, particularly physical infrastructure, on lands that have already been converted to other uses.

- Avoid projects that involve significant conversion or degradation of critical habitats

- Avoid unnecessary exposure and access to sensitive habitat areas

- regular inspection or monitoring should be carried out in the area prior to start and during work.

- If sensitive habitats are encountered, Project activities should cease and the Project should consult the project E&S Safeguard Specialist to determine the appropriate course of action.

Cease project activities if a sensitive habitat is discovered in the work area or vicinity Contractor to notify NPCU who will consult relevant government agencies to determine the appropriate course of action. Hazardous material management plan/accident management plan. Awareness raising among contractor personnel

Wildlife incidents recorded and reported to DNPW, ZEMA, FD, WARMA

Number or percentage of terrestrial flora and fauna unaffected by the sub projects Number of workers aware and sensitized on the need to conserve the flora and fauna Impact on terrestrial flora and fauna

Regular self-checks by contractor Spot checks and audit by contractor to the client


Contractors /Project engineers/ NPCU

4 Water pollution

No garbage/refuse, oily wastes, fuels/waste oils should be discharged into drains or water bodies Fuel storage tanks/sites should be properly secured Maintenance and cleaning of vehicles, trucks and equipment should take place offsite.

Waste management plan Spill prevention and control plan Water Quality Plan to measure the quality of water for physical, chemical and biological parameters

Visibility of oil on water bodies Procurement and installation of water monitoring

Increased water quality upstream and downstream shown by periodic measurements Water samples collected

Daily self-checks by contractors Periodic reports on performance by contractor to


Contractors /Project engineers Project engineers


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(input)


(Outcome)


Project Stage

Responsibility

Provide toilet facilities for construction workers Construction activities, including camps to include measures to control runoff

and measuring gauges On site erosion observed Proposed actions implemented Quality of water following periodic measurements No of pollution incidences recorded Number of complaints on pollution of water

showing compliance to water pollution standards

project engineers Spot checks/audits by project engineers

5 Air pollution

- Regularly water down cleared areas to reduce emissions of dust.

- Use dusk masks in the event of excess dust being generated.

- Keep disturbed areas to a minimum

- Re-vegetate bare areas as soon as possible

- Minimise vehicle movements and speed.

Part of contract agreement Routine maintenance plan for machinery Purchase of fuel at recognized stations Schedule of works Water surfaces during windy and dry conditions to reduce dust at the site.

Number of sound machinery and equipment purchased Availability of equipment and machinery maintenance plan

Percentage of workers following the good practices for equipment and machinery maintenance

Independent check by project engineers Verification of maintenance record by project engineers

Construction

Contractor/Project engineer


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(input)


(Outcome)


Project Stage

Responsibility

Frequency of watering of surfaces to reduce dust related impacts

Self-check by contractor

6

Waste generation and disposal impacts

- No littering will occur at work sites and all waste will be regularly removed and disposed off

- For storage, solid waste will be located in covered, leak proof containers.

- Look for opportunities for recycling and/or reuse for all recoverable materials

- Waste oil will be stored for sale to recyclers or those using the oil as a source of energy.

- Keep the project site in a safe, neat, and hygienic condition at all times.


Number of waste bins at site bins Availability of waste disposal plan Final disposal records

Percentage of workers who follow the solid waste disposal plan including use of receptacles Number of workers familiar and aware of the waste disposal plan at the construction sites Proportion of waste reused/recycled

Weekly checks by project engineer



7 Water pollution

No garbage/refuse, oily wastes, fuels/waste oils should be discharged into drains or water bodies Fuel storage tanks/sites should be properly secured Maintenance and cleaning of vehicles, trucks and equipment should take place offsite. Provide toilet facilities for construction workers

Waste management plan Spill prevention and control plan Water Quality Plan to measure the quality of water including physical, chemical and biological.

Visibility of oil on water bodies Procurement and installation of water monitoring and measuring gauges

Increased water quality upstream and downstream shown by periodic measurements Water samples collected showing compliance to water pollution standards

Daily self-checks by contractors Periodic reports on performance by contractor to project engineers Spot checks/audit




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(input)


(Outcome)


Project Stage

Responsibility

Construction activities, including camps to include measures to control runoff

On site erosion observed Proposed actions implemented Quality of water following periodic measurements No of pollution incidences recorded Number of complaints on pollution of water -

s by project engineers

8 Aesthetics and visual impacts

- Careful selection of site will be done. The potential sites will be those with signs of having been disturbed. Sites exhibiting natural habitats will be avoided.

- Limit clearing of vegetation to project sites only so as to provide a break against soil erosion. Slash material will be stockpiled at the edge of the clearing and utilized for reclamation of the site.

- Landscaping of facilities after construction and restoration of disturbed areas e.g. borrow pits

Construction site maintenance and restoration plan.

Implementation of the plan

Quality of restored landscapes Number of disturbed sites successfully restored Area of disturbed sites successfully restored


Construction

Contractor /Project engineer

Social Issues


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(input)


(Outcome)


Project Stage

Responsibility

1 Occupational health and safety risks

- Train all workers in occupational health and safety and enforce all applicable safety protocols.

- Provide all workers with personal protective equipment (PPE)

- Draw up an emergency response plan to guide response and minimise effect in case of an emergency situation.

- Store flammable materials away from ignition sources.

- Demand that all contractors to implement EHS plan

- Close off the construction sites to the general public and access will be by permission only

Part of contract agreement for the contractors

Recorded grievances Number of PPE procured for noise mitigation

Number of workers correctly and frequently using PPEs Number of workers aware of the national ambient air quality standards and complying with the same


Construction


2

Impact on public health and safety

- In view of the fact that in-migration can be linked to increase in HIV/AIDS, first priority of offer of employment opportunities to the locals.

- Undertake education and sensitization on the dangers of HIV/AIDS together with the promotion of self-protection.

- Hold safety talks at the work place that will also include discussions on HIV/AIDS.

ESMP

Vehicle maintenance programme/plan in place

Construction site management plan

Health and safety incident register

Grievance records

Reduced accidents and hazards in construction sites

Reduced incidence of diseases spread e.g. HIV/AIDS, and other STDs

Increased understanding of workers on measures to reduce STDs/HIV/AIDS etc.

Health and safety plan under implementation

Daily self-checks and verification by contractor

Spot checks by project engineers

Periodic reports by contractor to project engineers

Construction

Contractors Project engineers

ESMP Health and safety incident register

Grievance records

Reduction in or increase in accidents due to use of or lack of use of PPEs

ESMP under implementation

Spot checks and observations by project engineers

Pre-construction and construction,

Construction



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(input)


(Outcome)


Project Stage

Responsibility

Periodic reports on performance by contractor to project engineers

and repairs/ recovery

3

Impacts on cultural heritage / archaeological interest / existing ecologically sensitive areas

Use the pre-construction surveys to identify cultural heritage resources and existing ecologically sensitive areas that the project should avoid and by-pass these resources. Implement a chance find procedure and reporting system to be used by contractors in the event that a cultural heritage feature or ecologically sensitive item/issue is encountered.

Pre-construction surveys / Chance finds procedure

Plan for accidental Cultural Finds

Cultural/ archaeological resources/ existing infrastructure encounter incidence register

Number of workers familiar with the chance find procedures

Chance finds procedure under implementation



Preconstruction and construction and repairs/ recovery

Project Engineers

Contractors

4 Traffic safety

- Trucks carrying construction materials such as sand, quarry dust, laterite etc. to be covered

- Installing adequate signage of appropriate size and colour to aid visibility and constructing speed retarders at certain sections of the road.

- Only road worthy vehicles/trucks should be used

- Only experienced drivers/operators should be employed

- Except for areas secured by fencing, all active construction areas will be marked with high-visibility tape.

- All open trenches and excavated areas will be backfilled as soon as possible

Purchase sound vehicles and trucks /machinery for project Driver qualification and experience recorded Traffic Safety Plan

Traffic incidence records Grievances Recorded

Number of drivers aware and familiar with the traffic safety plan Percentage of drivers who have not committed a traffic offence for the last 6 months Number of compliance (traffic) inspection and checks conducted by traffic department found to be satisfactory

Project engineers to verify

Construction


5

Impacts on recreation and public areas

Appropriate notices and warning signs will be erected around working areas and public areas to warn prospective trespassers of any danger or risk

ESMP Grievance records Recreational Facilities and areas restored/protected

Warning signs/notices in place

Construction

Contractor Contracting institutions


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(input)


(Outcome)


Project Stage

Responsibility

6

Downstream Impacts of dams and other water infrastructure e.g. bulk water supply,

Maintain environmental flow reserves for the river, Do into retain water in reservoir during drought, ensure that water retention in dam is controlled to ensure that adequate reserve is left to flow downstream for users

Environmental Flow Plan

Presence of an Environmental Flow Plan calculated and approved by WARMA

Installation of Water Monitoring Stations

Procurement of water measuring and monitoring equipment

Availability of Water Abstraction Permit from WARMA

Impacts on water uses and livelihoods downstream

Regular spot checks by WARMA

Periodic checks of the flows by environmental team

Construction

Operation

Contractor E&S Specialist WARMA

7

Labour and Employment Related Impacts

- Ensure that the local communities are given priority in relation to employment and provided with training (skilled) to provide future labour in the project

- The project to prepare redundancy plans and packages to avoid labor strife.

Human Resource Management Plan

Number of local residents employed in sub projects


Employment Records

Pre-construction and construction, and repairs/ recovery

Project Engineers

Contractors

8 Noise and vibration

- Regularly maintain all construction vehicles and equipment to ensure that that they are mechanically sound.

- Mandatory use of ear muffs/plugs where workers are exposed to elevated sound levels

- Limit the timing of activities that generate noise and vibration will to day-times only.

- Regular inspection and maintenance of machinery and equipment with a potential to generate noise



Number of workers correctly and frequently using PPEs Number of workers aware of the emissions ZEMA standards and complying with the same


Construction



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PROJECT REVIEW, COORDINATION AND IMPLEMENTATION The ESMF will be implemented by the TRALARD executing agencies. The implementing agency will collaborate with the safeguards specialist at provincial level and NPCU to ensure effective execution. The table below provides a summary of the stages and institutional responsibilities for the screening, preparation, assessment, approval and implementation of the sub-project activities.

Coordination Responsibilities.

Stage Institutional Responsibility

Implementation Responsibility

Screening using checklist Contracting institution District Environmental Planner Safeguard specialists

Determination of appropriate environmental assessment level

PIU/NPCU if thresholds are known ZEMA if thresholds are not known

-

Implementation of environmental assessment

Contracting Authority Environmental Planner

If ESIA is necessary

Selection of Consultant Contracting Authority/ Procurement Office

Procurement Officer/ Project Safeguard Specialist

Preparation of Terms of Reference NPCU Safeguard specialists Consultant

Validation of ESIA/ESMP TOR ZEMA/ World Bank PIU Safeguard Specialist

Realization of the EIA, Public Consultation Integration of environmental and social management plan issues in the tendering and project implementation

Contracting Authority/Procurement Office/Consultancy firm/Contractor

Consultant/ Project Safeguard Specialist

Review and Approval ZEMA/ World Bank/ Contracting Authority

ESIA Approval (high-risk B) ZEMA/ World Bank

Simple ESMP Approval (Category B) Contracting Authority Environmental Planner

Public Consultation and disclosure Contracting Authority/ ZEMA Contracting Authority/ Safeguard Specialist

Evaluation and monitoring Contracting Authority/ZEMA/ World Bank/ NCPU Unit

Environmental Planner/ NCPU Safeguard Specialist/Contracting Authority

Development of monitoring indicators Contracting Authority/NPCU Environmental Planner / NCPU Safeguard Specialist/Contracting Authority

CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE The environmental sustainability of the proposed projects will be dependent on the capacity of the implementing agencies to coordinate the planning and supervision of service providers.

Training will thus need to be built for the following stakeholders at different levels:

▪ Relevant line ministries ▪ ZEMA and other agencies/departments ▪ Provincial and district administration ▪ Communities


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Stakeholder Consultation The public consultation was an important part of the ESMF preparation and was carried out to introduce the project to the stakeholders and obtain their input into the development of the ESMF. The public consultation was carried out in Kasama involving the representatives from the districts of the target provinces. The main issues raised by the stakeholders included the following:

• Include North and South Luangwa National Parks as part of the protected areas to receive intervention; while much of the land for South Luangwa is Muchinga Province, administration is in Eastern Province.

• Consider removing Nsumbu National Park as the park has a number of projects running while Lavushi Manda has a project by African Parks. Include Lusenga Plain and Isangano National Parks instead.

• Provide for the creation of defined boundaries between forest reserves and national parks or GMAs to curb human encroachment and collection of natural resources;

• Emphasis has been put national parks and not on forest reserves; there is need for the project to include at least three national forest reserves.

• Include interventions to add value to the products;

• Ensure civil society has a major role to play in the project;

• The intervention on alternative livelihoods to focus on sustainable production and not asking the people to stop current extraction of natural resources;

• Address the business interest of the project.

ESMF Implementation Budget The estimated total cost for ESMF implementation cannot be estimated because of variation from project to project. Table 8-3 below however, highlights the key indicative aspects that would require a cost budget.


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Table 0-1. Budget for ESMF Implementation

Activity Description Total Cost, US$

Preparation and implementation of ESIAs, and related safeguard management plans for investments funded from the investment pool

Recruitment of Consultants and experts to prepare and review the ESIAs

30,000

Consultations Site specific consultations before completion of ESIAs and ESMPs and during implementation

20,000

Monitoring of ESIAs and related safeguard management plans for investments funded from the investment pool

Recruitment of Consultants and experts to monitor the ESIAs

30,000

Awareness creation and Capacity building

Training workshop/seminars on Programme for project staff (Detailed in table below)

50,000

Study tours Selected environmental champions participating in TRALARD drawn from ZEMA, Implementing Agencies to visit related or similar project sites

50,000

Independent Environmental and Social audit in year 3 of project

Commissioning of an independent consultancy 50,000

Awareness creation for general public Radio, TV discussions, Newspaper adverts on issues relating to ESMF

20,000

ESMF monitoring and auditing of WB supported projects with respect to national laws and international best practice

Line ministries and departments, local authorities, ZEMA, community heads

10,000

TOTAL $ 260,000

Type of training to be provided, target and budget

Training Target Budget

Environmental and social impact screening process

ZEMA, line ministries and departments, district environmental planners and even at community levels

$20,000.00

Safeguard policies, procedures and sectorial guidelines ▪ Review and discussion of national

environmental policies, procedures, and legislation

▪ Review and discussion of the WB’s safeguard policies

ZEMA, line ministries and departments, community representatives

$10,000.00

Selected topics on environmental

protection and social safeguards ▪ Air, water and soil pollution ▪ Health and Safety

▪ Waste management and disposal ▪ Gender mainstreaming, HIV/AIDS,

etc.

▪ Natural resource utilization

Line ministries and departments, community representatives

$20,000.00


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ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

ABBREVIATIONS AND ACRONYMS AIDS Acquired Immune Deficiency Virus ART Anti Retroviral Therapy CC Climate Change CERC Contingency Emergency Response Component CFM Community Forest Management CSO Central Stastical Office DRC Democratic Republic of Congo EIA Environmental Impact Assessment EMA Environment Management Act ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework GDP Gross Domestic Product GRZ Government of the Republic of Zambia HIV Human Immunodeficiency Virus ILO International Labour Organisation INRMP Integrated Natural Resource Management Planning INDC Intended Nationally Determined Contribution LCMS Living Conditions and Monitoring Survey MDG Millennium Development Goal MNDP Ministry of National Development and Planning NAPA National Adaptation Plan of Action NDP National Development Plan NGO Non Governmental Organisation NPCC National Policy on Climate Change NPE National Policy on Environment NRZ Northern Region of Zambia OSH Occupational Safety and Health PMTC Prevention of Mother-To-Child Transmission RAP Resettlement Action Plan RPF Resettlement Policy Framework SESA Strategic Environmental Social Assessment SLWM Sustainable Land and Water Management STI Sexually Transmitted Disease TA Technical Assistance TAZARA Tanzania Zambia Railway Authority TRALARD Transforming Landscapes for Resilience and Development in Zambia VCT Voluntary Counselling and Testing WB World Bank ZEMA Zambia Environment Management Agency


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1 INTRODUCTION

1.1 BACKGROUND Zambia is a landlocked country in Southern Africa, surrounded by Malawi, Tanzania, Democratic Republic of Congo, Namibia, Angola, Botswana, Zimbabwe and Mozambique. It has a surface area of 752,614 km2 and population estimated at 17.6 million people that is growing at an annual rate of 3.2%. The country is endowed with rich natural resources including minerals, freshwater, forests, wildlife and fertile land. Nearly 56% or 42 million hectares of the total land area is arable. The country is also home to globally significant ecosystems and biodiversity. About 40% of freshwater resources in the southern African region are found in Zambia alone. Zambia is characterized as a service-oriented economy with the tertiary sector at 53.7%; Mining (principally copper, emeralds, zinc, lead and cobalt) at 12.9%; Agriculture; Forestry and Fisheries at 9.9%; and Manufacturing at 7.9%. The 2017 World Bank Zambia Economic Brief indicates that Zambia’s national economy experienced domestic pressures in 2015. Economic growth fell to 2.9 percent in 2015 and contributed to increased poverty in rural communities. Among the main factors are the reduction in the price of copper, El Niño induced lower seasonal harvest, political uncertainty and the power crisis which impacted local business operations of all sectors. Economic growth increased to 3.8 percent in 2016 and was 3.5 percent in 2017. Economic growth in 2018 is projected to be below 4 percent, reflecting the poor agricultural harvest, lower copper prices and fiscal-debt challenges that are crowding out private sector growth. Zambia's economy is heavily dependent on natural resources, particularly mining and increasingly forestry resources. Agriculture is largely rain-fed. Rural economies and livelihoods depend almost entirely on renewable natural resources i.e. biodiversity, forests, wetlands, fisheries, and water. The productive capacity of landscapes nation-wide is compromised by various drivers across agriculture, infrastructure development, unsustainable use of forest resources, land use, energy and mining activities. These drivers of degradation, solely or in combination, reduce productive capacity and resilience of landscapes and undermine ecosystem services, particularly due to the impacts of climate variability and climate change. Zambia is endowed with vast forests. These productive landscapes support rural livelihoods and investment opportunities that hold potential for national socio-economic development. About 65% of land is covered by forests, of which 40% constitutes miombo woodland. The country has an array of protected areas that include 20 National Parks; 39 Game Management Areas; 432 Forest Reserve; 59 Botanical Reserves; 42 Important Bird Areas; and 2 Bird Sanctuaries. The forest lands represent the life-line of rural economies and daily subsistence. For example, the forest sector currently contributes about 5.2% to the nation’s GDP and provides formal and informal employment to about 1.1 million people. The forest sector is also the greatest contributor to greenhouse gas emissions (61% of total emissions in 2011). It is a sector, therefore, that holds opportunity to contribute to national reductions in greenhouse gas emissions and for equitable sharing of both carbon and non-carbon benefits among stakeholders. However, the forest sector is under increasing pressure. From 2001 to 2017, Zambia lost 2.5 million hectares or about 6% of total tree cover. This led to the release of 252Mt of carbon into the atmosphere2.

According to FAO, current annual deforestation in Zambia is 160 000 hectares, which is

2 Global Forest Watch 2018


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approximately twice the size of New York City. Zambia is among the top ten deforested countries in the world. Fast population growth adds to the pressure on natural resources and environment. The 2010 census determined that 13.8 million people lived in Zambia, and with a 3.2% growth rate the population is 17.6 million in 2018 and is expected to reach 18.6 million by 2020 and 25 million people by 20303. In some districts of the Northern Region of Zambia (NRZ),

the population has doubled in the last ten years. Poverty in Zambia remains high with up to 80% of poor (and 90% of the extreme poor) living in rural areas. Chronically poverty-stricken communities across Zambia rely on the exploitation of natural resources often as their only source of subsistence. Sound management of natural resources and the introduction of alternative non-natural resource-based livelihoods is among the objectives in the 7th National Development Plan of Zambia for 2017-20214.

The Northern region of Zambia (NRZ) is the poorest region in the country and is the focus of priority government investment. The region comprises three provinces: Luapula, Northern, and Muchinga. These provinces are composed of 26 districts in total with population of about 3.5 million people. The region is endowed with natural resources that include rich biodiversity, natural lakes, rivers and national parks and waterfalls among others. Notwithstanding these resource endowments, the region ranks poorly in socio-economic development. The primary economic activities include subsistence agriculture, fishing and exploitation of forest resources. These regions account for about 18% of annual tree cover loss in Zambia. Communities in the northern provinces of Zambia suffer from a lack of economic opportunities and excessive reliance on natural resources that are barely regulated and poorly managed. Rapid population growth increases pressure on the environment amid stagnant infrastructure challenged by climate change impacts. At the same time, the provinces are endowed with significant natural resources that can provide a solid, lasting basis for socio-economic development of rural and urban communities. The NRZ encompasses over 35% of managed lands which contribute to protecting and maintaining large intact natural landscapes. This also includes half of the wetlands of international importance listed under the Ramsar Convention. These wetlands contain habitats for several important fauna and flora species including some endemic and endangered species. For instance, Bangweulu Swamps provide a breeding ground for birds, fish and wildlife (e.g., the African Elephant Loxodonta africaca, the buffalo Syncerus caffer, and Sitatunga Tragelaphus spekei, and Black Lechwe Kobus leche). It is home to the threatened Wattled Crane (Grus carunculatus), and the threatened Shoebill (Balaeniceps rex). Furthermore, the Bangweulu swamp and other wetlands provide flood mitigation services and are important for groundwater recharge. Conservation areas in the NRZ are vulnerable to the impacts of climate variability and human activities. About 23% of land in the NRZ needs prioritization for conservation. Forest lands are facing serious threats from practices that include human encroachment for settlement, subsistence agriculture, mining activities, charcoal burning and logging, uncontrolled late season forest fires and poaching. An estimated 16 of 21.4 million hectares total land in the NRZ has a high level of degradation due to anthropogenic activities such as fuelwood collection, slash and burn agriculture, commercial agriculture

3 World Population Review: http://worldpopulationreview.com/countries/zambia-population/ 4 7 National Development Plan 2017-2021. Ministry of National Development Zambia 2017

http://worldpopulationreview.com/countries/zambia-population/


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expansion and increasing human settlements due to population increase, among others. As a result, about 75% of the NRZ area experiencing land degradation. The region has significant socio-economic development potential as well as various environmental benefits of national and global interest.

1.2 SECTORAL AND INSTITUTIONAL CONTEXT Zambia embodies a rich array of natural resources, biodiversity, ecosystem services, and diverse culture. The Government has committed to promoting sustainable and environmentally sound practices that minimize negative impacts to the environment. The changing climate is altering the structure and function of Zambia’s natural resources and pose new challenges for socio-economic growth. Adaptation to climate change is one of the nation’s development priorities. The Zambian economy, particularly the rural economy, is highly vulnerable to climate change impacts. The country already experiences frequent droughts, extreme temperatures and dry spells, seasonal and flash floods that cost an estimated 0.4% in annual economic growth. These trends are expected to intensify in the future. Based on records from 1960 to 2003, the mean annual temperature has increased by 1.3oC. Within the same period, mean rainfall has decreased by an average of 1.9 mm/month (2.3%) per decade since 1960. Through its land and forest-related policies, the Government seeks to manage productive landscapes to enhance forest products and services for improved income generation, poverty reduction, job creation and protection and maintenance of biodiversity, and contribute to mitigation of climate change. In the Forest Act 2015, the Government gave direction on the new configurations of forests to increase people’s participation in the management of forests and forest resources and in their ownership of forest benefits at the local level. This new policy forms the basis for socio-economic and legal engagement in the collective management of forest landscapes to transform landscapes for resilience and development in Zambia. Zambia is a Party to Multilateral Environmental Agreements: the UN Framework Convention on Climate Change (UNFCCC); the UN Convention on Biological Diversity (UNCBD); and the UN Convention to Combat Desertification (UNCCD). In 2015, Zambia joined the Paris Agreement and submitted its Intended Nationally Determined Contribution (INDC). The Government continues to pursue development goals that complement efforts from other development partners for socio-economic and environmental benefits. Relevant legislation to facilitate the achievement of the project objectives includes Vision 2030, Seventh National Development Plan (7NDP, 2017), Second National Biodiversity Strategy and Action Plan (NBSAP2, 2015), National Policy on Environment (NPE, 2007), National Climate Change Policy (NCCP, 2016), National Climate Change Response Strategy (NCCRS, 2012), Zambia National Forest Policy (ZNFP, 2014) and Forest Act (2015), National Agriculture Policy (NAP, 2016), Environmental Management Act (EMA, 2011), and the National Energy Policy (NEP, 2008). The Ministry of National Development Planning (MoNDP), has the mandate to coordinate all climate change programmes in the country. Implementation on the other hand will be done through relevant line ministries e.g. Ministry of Lands, Natural Resources, Department of Forestry, Ministry of Agriculture, Provincial administrative office and Ministry of Water Development) and provincial administration responsible for specific project activities.


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1.3 RELEVANCE TO HIGHER LEVEL OBJECTIVES The proposed project is aligned with the draft Zambia Country Partnership Framework (CPF) for the period FY18-FY21 which puts forward an integrated World Bank, IFC, and MIGA strategy to support Zambia’s development through the Seventh National Development Plan (7NDP). The project contributes to the CPF Objective Two on Increased resilience to hydrological, climate and environmental shocks and to associated outcomes: a) Local level community infrastructure and natural resources management practices reduce impact of hydrological shocks (droughts, floods) on livelihoods; b) Climate adaptation support to communities harmonized, institutionalized and decentralized; and c) Institutions for environmental governance strengthened. The project is well aligned with the country’s priorities. It is being planned to help further the implementation of Zambia’s medium-term development framework – the recently approved Seventh National Development Plan (7NDP) which has mainstreamed climate risk management and outlined the commitment by government to promoting sustainable and environmentally sound practices to minimize negative impacts to the environment and ensure the long-term persistence of ecosystems for the benefit of people and nature. It will contribute to the country’s goal to have climate change mainstreamed in the most economically important and vulnerable sectors of the economy as outlined in the Zambia National Climate Change Response Strategy, the National Climate Change Policy, the Seventh National Development Plan and the Nationally Determined Contribution for Zambia.

1.4 PROJECT DESCRIPTION The Transforming landscapes for resilience and development in Zambia (TRALARD) Project (the “Project”) aims to reduce livelihood vulnerability and enable climate-resilient growth in key economic sectors. The objective of the Project is to increase the ecosystem resilience and productivity within vulnerable landscapes and enhance the disaster related prepardness of Zambia. The project supports one of the poorest regions in the country by integrating livelihood improvements and climate resilience with natural resource sustainability. Key interventions focus on the following:

(a) the protection of livelihoods from the effects of climate change on water and land

resources; improved adaptive response to water scarcity through irrigation and water-saving techniques;

(b) mainstreaming climate change considerations into sectoral investment plans and policies regarding water and land use management;

(c) enhanced disaster risk management capacity in a changing climate and improved understanding of and advocacy for climate change implications within various sectors or different sectors.

The project is part of the Resilient Landscapes for Development Program in African Drylands and contributes to the landscape pillar of the Africa Climate Business Plan, with a focus on reducing climate risks and vulnerabilities through a mix of interventions. In support of Zambia’s climate change programmatic objective, the TRALARD Project has been designed and aims to reduce livelihood vulnerability and enable climate-resilient growth in key economic sectors. The project will build on the lessons learnt from the successful Zambia Strengthening Climate Resilience (PPCR Phase II) project already under implementation in Zambia, upscaling it and extending it to all rural areas of Zambia


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in a phased approach to additional provinces in the northern part of the country. The focus will be on ensuring sustainability of poor rural community livelihoods in an environment already highly stressed by climate change and expected to undergo further important changes in the next decades. By improving agricultural and forestry practices, the project will simultaneously yield climate mitigation benefits and will complement the Zambia Integrted Forest Landscape Project which is helping to create an enabling environment for emissions reductions purchases in the Eastern Province. The project aligns with key national strategies and the country’s Intended Nationally Determined Contribution (INDC). The proposed project has been conceived around four components through which it will offer a menu of interrelated activities which can be tailored to the participating targetted province. The Project will be implemented in a phased approach. Targeted provinces and districts will be rolled into the programme based on resource mobilization. The Phase I focus will be on Luapula, Muchinga and Northern Provinces5, and deepen the current ongoing investment in Western province with subsequent scaling up to other parts of the country. This Transforming Landscapes for Resilience and Development project (TRALARD) targets fifteen districts in three provinces: Kawambwa, Lunga, Nchelenge, Samfya (Luapula Province); Chama, Lavushimanda, Mpika, Mafinga, Isoka, Kanchibiya (Muchinga Province); Chilubi, Mbala, Mungwi, Mpulungu, Nsama (Northern Province). The TRALARD project will promote a sustainable forest management impact program. It will build on the government’s vision to manage productive landscapes to enhance forest products and services for improved income generation, poverty reduction, job creation, protection and maintenance of biodiversity, and contribute to mitigation of climate change.

1.4.1 Project Development Objective To improve natural resource management in select districts to support sustainable livelihoods, and in the event of an eligible crisis or emergency, to provide immediate and effective response to the eligibale crisis or emergency. The above Project Development Objective (PDO) will be achieved through activities under the following components:

a) Component 1. Promoting Diversified, Resilient, Sustainable Livelihoods

• Subcomponent 1.1. Diversifying livelihoods and improving farming practices

• Subcomponent 1.2. Developing productive infrastructure for sustainable livelihoods

• Subcomponent 1.3. Strengthening communities and expanding services

b) Component 2: Developing Infrastructure for Resilience and Market Access

• Subcomponent 2.1. Investments in resilience enhancing infrastructure

• Subcomponent 2.2. Strengthened Climate hydro-meteorological information

c) Component 3. Management of Community Forests and Protected Areas

• Subcomponent 3.1. Community Forest Management and Natural Forest Regeneration

5 Northern Province was split into Northern Province and Muchinga Province in 2011. Accordingly, many of the statistics are not yet available for both provinces, and thus Northern Province typically includes Muchinga Province.


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• Subcomponent 3.2. Improved Management of Protected Areas and National Forest Reserves

d) Component 4: Project Management, Coordination, and Monitoring

e) Component 5: Contingency Emergency Response Component (CERC)

(Standardized)

Through these components, TRALARD will offer a selection of interrelated activities that can be tailored to the needs of participating areas. The project also includes standard Contingency Emergency Response component.

1.4.2 Project Components TRALARD comprises five components; (1) Promoting Diversified, Resilient, Sustainable

Livelihoods; (2) Developing Infrastructure for Resilience and Market Access; (3) Management of Community Forests and Protected Areas; (4) Project Management,

Coordination, and Monitoring, and (5) Contingency Emergency Response Component (CERC). Figure 1-1 presents the project’s theory of change. Many of the communities in the northern region derive their livelihoods from the natural resource base particularly through subsistence agriculture, fishing and exploitation of forest resources. All districts experience issues of land degradation, deforestation, declining agricultural productivity and soil erosion. Thus, unless the value of these natural resources is increased and captured by local people, these resources will continue to be degraded through neglect, inefficient or illegal use, or replacement by low value land use options. The TRALARD project will promote a sustainable forest management impact program. It will build on the government’s vision to manage productive landscapes to enhance forest products and services for improved income generation, poverty reduction, job creation, protection and maintenance of biodiversity, and contribute to mitigation of climate change.


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Activities

Intermediate

Outcomes Long-term outcomes Objectives

Enhanced resilience of communities to climatic impacts. Improved landscapes management.

Component 1: - Small grants to diversify livelihoods - Access to inputs to improve productivity and post-harvest - Implement productive infrastructure projects - Educate on access to financial services - Train on climate risks planning and action

- New individual/group activities pursuing diversified livelihoods - Improved farming productivity, better post-harvest management - Productive infrastructure expands livelihoods opportunities - Savings clubs, participation in insurance programs - Community-local authorities interaction on climate risks

Enhanced adaptive and transformative capacity of communities Increased economic self-reliance of rural communities

Component 3: - Organize Community Forest Management groups and Natural Forest Regeneration areas - Support basic infrastructure and services in two major landscapes comprising protected areas

- Newly set CFN groups and NFR areas - New basic infrastructure, trained personnel and equipment to continuously service PAs in the north and south

Sustainable management of forests, restoration of deforested area beyond project areas. Ecosystems of protected areas conserved, providing new environmentally sound economic opportunities.

Component 2: - Implement infrastructure for resilience projects - Install/upgrade hydromet stations - Support meteorological and emergency services - Raise awareness on climate change risks

- Infrastructure for resilience constructed/rehabilitated - Expanded/improved network of hydromet stations - New hydromet information services - Equipped emergency service - Increased awareness of Zambians about climate change risks and coping strategies

Strengthened adaptive and absorptive capacity of communities Decreased economic impact from climatic events

Outputs

- Diversified sources of income - Increased profits from farming - Broader engagement in economic activities including of vulnerable and marginalized groups - Improved management of finances and financial risks Improved planning capacity

- Connectivity to services during climatic events - Expanded access to markets for subsistence farmers - Improved water management for domestic use and farming - Enhanced access to weather information and preparedness to climatic events

- Effective management of community forests - Expanded opportunities for responsible forest use - Regeneration of degraded forest areas and their increased role in livelihoods - Improved PA management and maintenance

Figure 1-1. Theory of Change

The project will use a community-led landscape approach – that is, an integrated approach to sustainably manage land, forest and water resources for multiple purposes and functions. The components are defined with a view of reversing degradation through adaptation and alternative livelihoods measures, improving management of the protected areas estate, and improving infrastructure for resilience and facilitating creation of new opportunities through more developed market access. Infrastructure in protected parks will include Park ranger houses, offices, observation posts, park trails etc TRALARD aims to improve the livelihoods and resilience of rural communities by improving the management of the rich natural resource base that rural communities are dependent upon through: (a) diversification and increased sustainability of rural livelihoods; (b) improved management of protected areas and surrounding landscapes; and (c) improved forest management through the creation of community managed forests. The project also supports ward level development planning, technical assistance (TA), workshops, and trainings aimed at capacity building and institutional development.

1.4.2.1 Component 1. Promoting Diversified, Resilient, Sustainable Livelihoods This component is designed to create conditions for poverty stricken communities facing climatic impacts to strengthen their resilience through the adoption of diversified livelihoods that are (a) better adjusted to climate changes, (b) less dependent on natural resources and (c) provide more varied and reliable sources of income. This component also supports ward level development planning, technical assistance (TA), workshops, and trainings aimed at capacity building and institutional development. Activities under this component build on the Zambia Strengthening Climate Resilience project (PPCR) Climate Risk Adaptation Facilitating Teams (CRAFT) process. For their implementation, the project will procure service providers i.e. specialized NGOs and other experienced actors already working in project areas.


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The implementation of activities under this component pursues the following objectives: (i) increase smallholder production and improve productivity; (ii) diversify value chains; (iii) mitigate farmers risks through the introduction of basic financial services; and (iv) facilitate adoption of alternative livelihoods as sustainable and resilient activities with reduced reliance on natural resources.

To achieve these objectives, the following subcomponents stipulating complementary and mutually reinforcing activities have been determined: (1) Diversifying livelihoods and improving farming practices; (2) Developing productive infrastructure for sustainable livelihoods; (3) Strengthening communities and expanding services. In composition, these activities form an integrated approach to alleviating the problem of vulnerability of rural communities to growing climate change impacts and help strengthen their resilience and adaptive capacity. As an accompanying and equally important effect, their implementation is anticipated to elevate economic well-being of targeted communities.

Subcomponent 1.1. Diversifying livelihoods and improving farming practices

Activities under this subcomponent will be implemented through a program that (a) encourages farmers to adopt diverse and climate resilent farming practices, (b) advances technologies to introduce more efficient processing, and (c) helps reduce post-harvest loss. These activities will be funded through small grants prorgam to strengthen community climate resilient adaptation. The small grants will fund priority adaptation sub-projects identified through the process of participatory community natural resource management and climate resilient planning. Grants will be available at the community/group level with three windows based on the size of proposal, and individual innovators (champions’) levels and will be disbursed directly to beneficiaries. At the community/group level, the interventions will equally target women-headed households, as well as households classified as very or extremely vulnerable. The roster of alternative livelihoods includes increased rearing of livestock e.g small ruminants, agroforestry, agroprocessing, aqua culture, fingerlings production, fish processing, feed production for fisheries, bee keeping, caterpillars and mushrooms production. The project will also support services based livelihoods such as tailoring, hair dressing and other forms acceptable for communities. These activities will target women and youths to lift up the socio-economic situation particularly of women who use natural resources with lower financial value compared to men.

Subcomponent 1.2. Developing productive infrastructure for sustainable livelihoods

This subcomponent is closely related to the task of diversifying livelihoods and foresees realization of a series of small projects determined in consultations with provincial administrations. The preliminary list of productive infrastructure projects identified in consultations with the representatives of provincial and national authorities includes construction of bulking centers, rice and sorghum processing facilities, fish farming and fish caging, rearing of poultry, ruminants and fingerlings, growing of pastures, processing and packaging of non-forest products and farm produce; water harvesting and purification installations, solar powered water facilities, building dip tanks ; fruit orchards, fruit nurseries, mechanized gardening and farming of high value crops; beekeeping, propagation of caterpillars, mushroom growing, and artefact production, photographic tourism, game viewing, tour guiding, small traditional tourism accommodation. Location for 27 bulking centers were confirmed for the construction as logistical hubs allowing convenient and efficient storage of farmers’ produce. It is expected that about


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300 thousand people will benefit from bulking centers alone. The centers will be able to address the issue of volume that is often an obstacle for trade with large clients.

Subcomponent 1.3. Strengthening communities and expanding services

This subcomponent strengthens and in most locations introduces financial services such as savings clubs and insurance against climate change impacts; informs, educates and trains communities to assess their natural resources assets and improve plannig in using them sustainably and effectively; provides tenchincal assistance and training and faciliates formalizing community and producer groups for more inclusive and participatory decision-makinmg proces.

1.4.2.2 Component 2: Developing Infrastructure for Resilience and Market Access

Activities under this component aim to support and improve LMN infrastructure in vulnerable areas suffering from the lack of investments and, in addition, adversely impacted by climate changes. Impacts include lack of passable roads, water channels and damaged crossing points leaving entire communities cut off from the basic services and goods during floods whose durations are becoming protracted. This increases the likelihood of lack of water and nutrition, spikes in diseases, and livestock loss. In addition, this component through the development of value chains helps identify ways to improve market access for primary producers who often lack opportunities and/or knowledge on the ways to make their products accessible to the market. In addition, this component includes activities to modernize elements of the national hydrometeorological system of Zambia. Subcomponent 2.1. Investments in resilience enhancing infrastructure

This subcomponent will address the deficit of resilient infrastructure in the areas most vulnerable to climate change impacts. Jointly with the provincial authorities, the team identified first mover districts with deficit infrastructure; and most vulnerable to natural disasters induced by climatic changes and further exacerbating poverty in the LMN. This component through the improved infrastructure will also develop value chains that help identify ways to improve market access for primary producers. To strengthen the resilience of communities to climatic changes and their adaptive capacity, the team has determined in consultations with the provincial planning departments and national sector ministries the most impactful activities which would (a) support and improve basic infrastructure and (b) help address poverty in vulnerable areas. These activities have been aggregated thematically and geographically to implement them in integrated way. In pursuit of complementarity and mutually reinforcing effect of the project components, infrastructure for resilience is set to be implemented simultaneously with activities to diversity livelihoods and to support the establishment of Community Forest Management (CFM). The activities under this component are divided in the following groups: - Improvement of water channels (12 channels totaling approximately 173 km in length) to facilitate rice production, transportation of products to markets as well as people to basic services. Under TRALARD, the channels in all three provinces will be cleaned and their navigation capacity restored. These channels are on average 4 m wide and 1-3 meters deep. The lack of maintenance has decreased the functionality of channels, impairing the economic life in adjacent communities. Clean operational channels create favorable


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conditions for other sustainable livelihood activities which either reduce the pressure on natural resources or advance their effective use. Channels stretch from Luapula into adjacent districts of Muchinga and Northern Province, effectively connecting all three project provinces within the same eco-system. To enhance their functionality and convenience for communities, channels will be equipped with frequent landing bays for loading/unloading of passengers and goods. - Embankments (17 stretches totaling approximately 63 km) are required to safeguard specific farm and market paths from floods. These paths are normally connected to the crossing points and channels making these elements of infrastructure interdependent and complimentary. - The construction of small earthen dams (count 9) and weirs (count 14) is required in the most vulnerable districts. Dams are indispensable in mitigating impacts of both floods and droughts. In addition, dams will also help accumulate drinking water for communities. Weirs will also help in regulating water flows and using water for irrigation purposes. - The installation of crossing points (count 34) to replace temporary makeshift constructions is intended to alleviate consequences of floods for communities. Crossing points are designed to help avoid the interruption of connectivity during floods between such communities and service providers, including medical and educational services and retail trade. - Construction of earthen irrigation canals (18 stretches of approximately 92 km) has proven highly effective for agricultural productions in all three provinces. This activity will resolve difficulties with access to water resources in draught prone areas, providing households and agriculture with much needed stability. Subcomponent 2.2. Strengthened Climate hydro-meteorological information

This subcomponent is national in scope and will be underpinned by the Hydrometeorological Services Master Plan (HSMP) developed through the optimization design study. This was overseen by the Ministry of Water Development, Sanitation and Environmental Protection between February and October 2016. The subcomponent will build on and is synergistic with ongoing activity under the Zambia PPCR that is developing a climate information dissemination platform for use for decision making at national and local level. The HSMP is based on the overall assessment of the national hydro-meteorological monitoring and forecasting network. It identifies investment needs for enhanced hydrological and meteorological systems to improve monitoring, forecasting climate and weather conditions and deliver more relevant, timely, and accurate information at all levels.

1.4.2.3 Component 3. Management of Community Forests and Protected Areas

Under this component, the project pursues the objective of establishing Community Forest Management groups as well as Natural Forest Regeneration areas to more effectively manage available forests and to create minimal necessary conditions for restoring deagraded forest areas to ultimately improve and diversify livelihoods through responsible and sustainable use of natural resources by communities. In addition, this component adresses the problem of insufficient funding of the established protected areas in the LMN.


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Main activities include developing basic infrastructure, strengthening capacity and management to protect and preserve biodiversity and ecosystem services. Subcomponent 3.1. Community Forest Management and Natural Forest Regeneration

This subcomponent supports the implementation of two types of community-driven sustainable forestry activities: Community Forest Management (CFM) and Natural Forest Regeneration (NFR). They include identifying, adoption, restoration, management and usage of forest areas. CFM is a small to medium scale effort stipulating creation of legal entities, development of management plans and establishment of community forest management groups (CFMG) to manage and use specified forest areas at community level. Simultaneously, this subcomponent intends to promote among communities the establishment of areas for Natural Forest Regeneration (NFR) – low cost grass-root initiative under the authority of local traditional leaders to create conditions for fast, unimpeded regeneration of forests and their further usage to meet community needs in an environmentally considerate manner.

Subcomponent 3.2. Improved Management of Protected Areas and National Forest Reserves

This activity supports the effective and sustainable management of two important conservation landscapes, the Nsumbu National Park/Mweru Wantipa National Park/Lusenga Plain National Park/Tondwa Game Management Area Landscape (hereinafter the Northern Landscape), and the Lavushi Manda/Bangweulu Landscape/Mpumba Conmmunity Conservancy (hereinafter the Southern Landscape). The broader conservation landscapes include interconnected networks of protected areas including (i) national parks, (ii) game management areas, and (iii) national forest reserves. The project will support a landscape approach to the sustainable management of the ecosystems to preserve the biodiversity and ecosystem services for the well-being of people with focus on forest dependent communities and potenital to develop tourism opportunities.

1.4.2.4 Component 4: Project Management, Coordination, and Monitoring

This component will finance institutional support to climate change coordination nationally, TA, works, goods, workshops, and operational costs to support the project’s day-to-day implementation and management, including procurement, FM, environmental and social safeguards, and preparation of annual work plans and organization of audit reports. The component also includes the design and implementation of a communication strategy to report on the project results and to raise awareness about land degradation, restoration and climate change impacts, vulnerability, and adaptation. It also supports the M&E system to report on the project’s expected results (disaggregating by gender, where appropriate) and systematizes the project’s lessons learned.

1.4.2.5 Component 5: Contingency Emergency Response Component (CERC) (Standardized)

This contingency component can be triggered by a joint Government and World Bank agreement in case of an emergency. This component had been embedded in the project to finance early recovery and/or specific emergency works, goods, and services, in case


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

1.5 PROJECT BENEFICIARIES The TRALARD’s main beneficiaries are people in rural communities of the LMN. These communities are most directly dependent on rain fed agriculture, fishing, forest resources and other natural resources for their livelihoods. They are currently the poorest based on the Zambia living condition monitoring survey6 and the most vulnerable to the increasing

impact of climate change. More specifically, the key beneficiaries are people in rural communities located in the targeted three provinces of the LMN TRALRD Phase I 15 districts. It is estimated that about 562,000 persons will directly benefit from the project’s investments, at least 30 percent of them will be female. Project benefits include goods, services, small works/infrastructures, and training that would: (a) improve forest management and empower communities to participate in management of such forest; (b) improve natural resource dependent livelihood productivity and resilience through access to resilience infrastructure, market and adoption of climate resilient livelihood options and practices; (c) improve livelihoods by creating opportunities through access to and sustainable use of forest products; (d) improve capacities to better plan and manage their landscapes for multiple use and benefits; and (e) help secure ecosystem services and enhance resilience from intact biodiversity. Communities that are adjacent to protected areas, especially around Nsumbu, Lusenga, Lavushi Manda National Parks, are also targeted beneficiaries. The globally important biodiversity of the parks and forest reserves within the LMN provinces and surrounding areas will benefit from accrued protection and improved management. Rural communities, including women and children, will have an opportunity to take advantage of a diversified selection of livelihood options based on prudent, environmentally sound natural resource management. Local authorities will gain from strengthened institutions and policies and capacity to manage, plan, operate, and enforce regulations to achieve both environmental improvement and poverty reduction. Communities will benefit from reliable and environmentally sound infrastructure that will improve market access and in a broader context will promote the creation of new economic opportunities for the region.

6 Zambia LCMS 2017


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At the national level, the direct beneficiaries are Zambia Meteorological Department (ZMD),

Water Resource Management Authority (WARMA) and Disaster Management and Mitigation Unit (DMMU) while indirect beneficiaries include other governmental ministries and

institutions at the national, provincial, district, and local levels involved in providing climate change and climate information dependent services. These institutions would benefit from a variety of capacity‐strengthening activities. Because the project will strengthen and

reinforce access to climate information, risk planning and capacity of the Government by emphasizing multisector and multi-stakeholder access to system and services emanating from the investments under this component for improved climate decision making at all level.

1.6 ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK OBJECTIVES The exact projects and their locations have not been determined, and it is therefore premature to undertake a site-specific Environmental and Social Impact Assessment (ESIA). Consequently, GRZ has prepared an Environmental and Social Management Framework (ESMF). The potential social and environmental impacts of the investment activities are expected to be low to moderate. Appropriate safeguard instruments must be prepared to ensure that all project activities which have an environmental footprint meet the requirements of the relevant national legislation and international conventions to which Zambia is a signatory, as well as World Bank Group environmental and social safeguard policies. This ESMF establishes a guide, consisting of a set of procedures and measures, to manage the potential adverse impacts and to facilitate environmental and social management, including risk management of environmental and social impacts, directed to the group of activities to be financed by the project and whose specific location is unknown and may change over project implementation. The ESMF is the tool required for environmental and social assessment process to be undertaken during project implementation once the respective technical details are available (e.g., principles, rules and procedures to screen, assess, manage and monitor the mitigation measures of possible project environment and social impacts). The ESMF provides guidance to the agency (Ministry National Development Planning) and other implementers (e.g., local authorities, ZEMA, Metrological Department, farmers) to ensure the environmental and social assessments and other safeguard requirements will be carried out in compliance with the national guidelines for conducting Environmental Impact Assessments (EIA), other environmental and social regulations and laws of Zambia, and in accordance with the World Bank Environmental Assessment (EA) and social policies and procedures as specified in the World Bank Group safeguard policies.


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2 POLICY AND REGULATORY FRAMEWORK

2.1 NATIONAL POLICY FRAMEWORK

2.1.1 The Vision 2030 The Vision 2030 provides the collective understanding, aspirations and determination of the Zambian people to be a prosperous middle-income nation by 2030. The policy document sets out the goals and targets to be achieved in the various spheres of the nation’s social-economic life. By 2030, Zambians, aspire to live in a strong and dynamic middle-income industrial nation that provides opportunities for improving the well being of all, embodying values of socio- economic justice, underpinned by the principles of: (i) gender responsive sustainable development; (ii) democracy; (iii) respect for human rights; (iv) good traditional and family values; (v) positive attitude towards work; (vi) peaceful coexistence and; (vii) private-public partnerships. The Vision 2030 does not specifically address the management of climate change;

however, under the sector of Social protection, the Vision 2030 sets out to aspire to:

“A nation that promotes and provides sustainable security against deprivation and extreme vulnerability by 2030”.

To achieve the above goal, the Vision has set out the following targets: a) Contribute to the security of all vulnerable Zambians by ensuring that incapacitated

and low capacity households have sufficient livelihood security to meet basic needs, and are protected from the worst impacts of risks and shocks;

b) Reducing a total number of 2000 households from vulnerability including 1,000 incapacitated and low capacity households and refugees as well as 1,000 households with children without adult caregivers by 2030; and

c) Attain a labour market free of child labour by 2030.

The TRALARD project is closely linked to the achieving the aspirations of the Vision 2030. For example, Component 1. Promoting Diversified, Resilient, Sustainable Livelihoods aims to: create conditions for poverty stricken communities facing climatic impacts to strengthen their resilience through the adoption of diversified livilihoods that are (a) better adjusted to climate changes, (b) less dependent on natural resources and (c) provide more varied and reliable sources of income.

In addition, Component 2: Developing Infrastructure for Resilience and Market Access aims to aim to support and improve Luapula, Muchinga, and Northern Provinces (LMN) infrastructure in vulnerable areas suffering from the lack of investments and, in addition, adversely impacted by climate changes. In addition, this component includes activities to modernize elements of the national hydro-meteorological system of Zambia.


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2.1.2 The Seventh National Development Plan, 2017-2021 The Seventh National Development Plan (7NDP) is Zambia’s socio-economic development plan whose goal is to create a diversified and resilient economy for sustained growth and socio- economic transformation driven, among others, by agriculture. This integrated development plan whose theme is “Accelerating development efforts towards the Vision 2030 without leaving anyone behind”, responds to the Smart Zambia transformation agenda 2064 and embeds in it the economic recovery necessary for the actualisation of a Smart Zambia. This is in support of the UN 2030 Agenda for Sustainable Development and the African Union Agenda 2063.

The 7NDP recognizes that Zambia has been experiencing the effects of climate change resulting in extreme weather conditions, such as droughts, rising temperatures and unpredictable rainfall patterns. The policy adds that the frequency and intensity of climate events is expected to rise in future, with negative impact on the economy and consequently people’s livelihoods.

It is estimated that the impact of climate change will cost Zambia approximately 0.4 percent of annual economic growth. It is further estimated that without action, rainfall variability alone could lead to losses of 0.9 percent of GDP growth over the next decade, thereby keeping a significant section of Zambia’s population below the poverty line.

It is noteworthy that the 7NDP points out that climate change adaptation and mitigation will, therefore, promote social wellbeing, including better health, growth of the economy and at the same time reduce environmental risks, such as shortage of water, air pollution and other effects. In an effort to adapt and mitigate the effects of climate change on the economy, the plan has developed strategies and programmes to aid communities to adapt to its effects through climate proofing their livelihoods, production and assets.

2.1.3 The National Policy on Climate Change, 2016 The National Policy on Climate Change (NPCC) was developed to provide a framework for coordinated response to climate change issues. It gives guidance on how the Zambian economy can grow in a sustainable manner and thereby fostering a smooth implementation of the National Development Plans including the achievement of the Vision 2030. Premised on the Vision “A prosperous and climate resilient economy by2030”, the NPCC is thus envisaged to provide a framework that will allow the implementation of existing, and future initiatives and opportunities in a more coordinated manner, while providing a long-term vision to achieve sustainable development. The country, therefore, intends to fully integrate climate change into its development plans. This work will be enhanced by the overall framework provided by the Policy. The NPCC will furthermore provide a framework for attracting finance and investments to achieve sustainable development goals. The NPCC has guiding principles, policy objectives and implementation framework which are targeted at reversing the negative effects induced by climate change.


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2.1.4 The National Adaptation Programme of Action on Climate Change The National Adaptation Programme of Action on Climate Change (NAPA) is a national plan whose objective is to steer the country forward in adapting and ameliorating problems related to climate change. The NAPA complements the efforts of the government through the following: (1) contributing to the security of the vulnerable Zambians; (2) ensuring that the livelihoods of the most vulnerable households are secured against the adverse effects of climate change and their basic needs assured; (3), vulnerable groups are protected from the worst impacts of risks and shocks as a result of climate change; and (4) creating public awareness of the adverse effects of climate change. The NAPA ranks the identified most urgent needs to prioritize ten immediate adaptation interventions. The sectors that were analyzed are agriculture and food security (livestock, fisheries and crops), energy and water, human health, natural resources and wildlife.

2.1.5 The National Policy on Environment, 2008 The National Policy on Environment (NPE) is designed to create a comprehensive framework for effective natural resource utilization and environmental conservation and which is sensitive to the demands of sustainable development, thereby filling the existing vacuum. Under the issue of Air Quality and Climate Change, the NPE’s objective is to minimize the adverse impact of climate change and to reduce air pollution and greenhouse gas emissions. The NPE further proposes the following strategies with addressing air pollution and climate change issues: a) Develop a data base on air pollution through the establishment of a sound air quality

monitoring system; b) Support funding for research on air quality and climate change; c) Develop and promote alternative energy sources to fuel-wood and technologies in

order to reduce the use of fuel-wood and enhance carbon sinks; d) Enact a clean air act; e) Develop and enforce regulations regarding air emissions; f) Strengthen the existing national climate and meteorological database and monitoring

networks; g) Assess and monitor the potential impact of climate change on ecosystems, vegetation

and net carbon sinks; h) Use climate data to help guide land-use and economic development decisions; i) Ensure adequate regional and international cooperation for the smooth exchanges of

climate information and control of trans-boundary atmospheric air pollution; j) Reduce gas emissions from the transport sector, and the manufacturing industry; k) Promote use of ozone friendly technologies; and l) Environmental awareness campaigns should include dangers of uncontrolled bush

fires and proper management of bush fires.

2.1.6 The Second National Agriculture Policy, 2016 The Second National Agriculture Policy was developed to provide a conducive environment that will stimulate sustainable agricultural development. The Policy provides a framework that will promote sustainable agricultural diversification, agricultural commercialization, private sector participation and inclusive agricultural growth.


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It is noteworthy that the policy identifies the impact that climate change has had over the years; the rainfall has changed across the agro-ecological regions affecting the farming systems across the regions.

To this end, the policy has developed the objective of mainstreaming environment and

Climate Change in the agriculture sector with the following measures: ▪ Promote and strengthen agricultural production methods that are resilient to Climate

Change;

▪ Promote awareness on Climate Change adaptation;

▪ Integrate Climate Change adaptation measures in plans andprogrammes;

▪ Promote environmentally friendly and climate-smart farming systems;

▪ Promote weather based insurance schemes especially among smallholder farmers;

▪ Strengthen capacity at camp, district & provincial levels toregularly collect, process

and transmit early warning information; and

▪ Build local and national institutional capacity to carry outClimate Change risk

assessments.

2.2 REGULATORY FRAMEWORK

2.2.1 The Constitution of Zambia (Amendment), 2016 The Constitution is the supreme law of the Republic of Zambia and any other law and customary practice that is inconsistent with its provisions is considered void. Section 255 of the Constitution sets out the principles that underpin the management and development of Zambia’s environment and natural resources. Section 257(g) commits the Zambian government to establish and implement mechanisms that address climate change. The project intervention supports the sustainable management of natural resources and is thus closely intertwined with the above sections of the Constitution. As an example, Component 3; Management of Community Forests, and Protected Areas aims to establish Community Forest Management groups as well as Natural Forest Regeneration areas to more effectively manage available forests and to create minimal necessary conditions for restoring deagraded forest areas to ultimately improve and diversify livelihoods through responsible and sustainable use of natural resources by communities. In addition, this component adresses the problem of insufficient funding of the established protected areas in the LMN. Main activities include developing basic infrastructure, strengthening capacity and management to protect and preserve biodiversity and ecosystem services.

2.2.2 The Environmental Management Act, 2011 The principal legislation governing environmental management in Zambia is the Environmental Management Act (EMA) of 2011. The Act provides for the sustainable management of natural resources and protection of the environment, and the prevention and control of pollution. Of particular relevance is section 29 of the Act which states that “A person shall not undertake any project that may have an effect on the environment without the written


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approval of the Agency, and except in accordance with any conditions imposed in that approval”. In relation to this development, some of the functions of ZEMA are to review environmental impact assessment reports, and undertake environmental auditing and monitoring. The act also provides for public participation in decision-making and access to environmental information.

2.2.3 The Environmental Impact Assessment Regulations, SI 28 of 1997 The Environmental Impact Assessment (EIA) Regulations, Statutory Instrument 28 of 1997, demands that before a developer commences implementing a project, an EIA report be prepared and submitted to the relevant regulatory authority for review and approval. An Environmental Management Framework (ESMF) (this document) has been developed to manage the potential environmental impacts and risks associated. The EIA regulations set the procedure that should be used to conduct environmental assessment and prepare EIA reports. Further, the regulations discuss the main issues that the preparers should take into account. The review process (EIA administration is also discussed.

2.2.4 The Water Resources Management Act, 2011 The Water Resources Management Act was developed to establish the Water Resources Management Authority and define its functions and powers; provide for the management, development, conservation, protection and preservation of the water resource and its ecosystems; provide 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 the 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 councils, 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.

Section 6 of the Act identifies the principles under which water resources management will be carried out. One of the principles included is that the management, development and utilisation of water resources shall take into account climate change adaptation. Among the functions of the Authority are included the following: ▪ ensuring extensive participation in interagency and intra-agency research planning

related to climate change; and ▪ investing in climate change education on water issues and supporting the sharing of

information about Government and local responses to water impacts of climate change.

Component 2 of the project, Developing Infrastructure for Resilience and Market Access aims to support and improve LMN infrastructure in vulnerable areas suffering from the lack


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of investments and, in addition, adversely impacted by climate changes. Impacts include drastic changes in rainfall patterns resulting in floods and droughts, shortages in water, changes in wind patterns, lack of passable roads and damaged bridges leaving entire communities cut off from the basic services and goods during floods whose durations are becoming protracted. Water is one of the natural resources on which the people in the project area depend. The assessment of the available natural resources and their conditions, as well as the sustainable levels of production, together with the development of the INRMP will enhance functions of the Water Resources Management Act. Some of the relevant functions in this regard relate to the sustainable utilization of the water resource and the creation of an enabling environment for adaptation to climate change. Sub-component 2.1, “Investments in resilience enhancing infrastructure”, will foster one of the functions of the Act which is to provide for the equitable, reasonable and sustainable utilization of the water resource. This sub-component will address the deficit of resilient infrastructure in the areas most vulnerable to climate change impacts. Jointly with the provincial authorities, the team identified districts most vulnerable to natural disasters induced by climatic changes and further exacerbated by abject poverty prevalent in the LMN. In addition, this component through the development of value chains helps identify ways to improve market access for primary producers.

2.2.5 The Zambia Wildlife Act, No. 14 of 2015

The Zambia Wildlife Act was promulgated among other functions to: ▪ provide for the establishment, control and management of National Parks, bird and

wildlife sanctuaries and for the conservation and enhancement of wildlife eco-systems, biological diversity and objects of aesthetic, pre-historic, historical, geological, archaeological and scientific interest in National Parks; and

▪ provide for the sustainable use of wildlife and the effective management of the wildlife habitat in Game Management Areas.

Section 4 of the Act stipulates the principles which apply to wildlife conservation and management which include protection of biological diversity; sustainability of the ecosystem and biological diversity; integration; equity and effective participation of local communities and traditional leaders.

Sub-Component 3.2. Improved Management of Protected Areas and National Forest Reserves supports the effective and sustainable management of two important conservation landscapes, the Nsumbu National Park/Mweru Wantipa National Park/Lusenga Plain National Park/Tondwa Game Management Area Landscape (hereinafter the Northern Landscape), and the Lavushi Manda/Bangweulu Landscape/Mpumba Conmmunity Conservancy (hereinafter the Southern Landscape). The broader conservation landscapes include interconnected networks of protected areas including (i) national parks, (ii) game management areas, and (iii) national forest reserves. The project will support a landscape approach to the sustainable management of the ecosystems to preserve the biodiversity and ecosystem services for the well-being of people with focus on forest dependent communities and potenital to develop tourism opportunities.


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2.2.6 The Forests Act, No. 4 of 2015

The Forest Act provides for the establishment and declaration of National Forests, Local Forests, joint forest management areas, botanical reserves, private forests and community forests; provide for the participation of local communities, local authorities, traditional institutions, non-governmental organisations and other stakeholders in sustainable forest management; provide for the conservation and use of forests and trees for the sustainable management of forests ecosystems and biological diversity; and establish the Forest Development Fund.

The Act also provides for the implementation of the United Nations Framework Convention on Climate Change, 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, the Convention to Combat Desertification in those Countries experiencing Serious Drought and/or Desertification, particularly in Africa and any other relevant international agreement to which Zambia is a party.

The Act is the main legal instrument for the establishment, control, utilization and management of forests. The act provides for the establishment of the Forestry Department whose main function is for the promotion of sustainable forest management. Component 3. Management of Community Forests and Protected Areas pursues the objective of establishing Community Forest Management groups as well as Natural Forest Regeneration areas to more effectively manage available forests and to create minimal necessary conditions for restoring deagraded forest areas to ultimately improve and diversify livelihoods through responsible and sustainable use of natural resources by communities. In addition, this component adresses the problem of insufficient funding of the established protected areas in the LMN. Main activities include developing basic infrastructure, strengthening capacity and management to protect and preserve biodiversity and ecosystem services. The associated sub-components are all linked to the sustainable utilization of forests and are indicated below:

Subcomponent 3.1. Community Forest Management and Natural Forest Regeneration This subcomponent supports the implementation of two types of community-driven sustainable forestry activities: Community Forest Management (CFM) and Natural Forest Regeneration (NFR).

Subcomponent 3.2. Improved Management of Protected Areas and National Forest Reserves supports the effective and sustainable management of two important conservation landscapes, the Nsumbu National Park/Mweru Wantipa National Park/Lusenga Plain National Park/Tondwa Game Management Area Landscape (hereinafter the Northern Landscape), and the Lavushi Manda/Bangweulu Landscape/Mpumba Conmmunity Conservancy (hereinafter the Southern Landscape). 2.2.7 The Lands Act (Cap 184), No. 29 of 1995 The Lands Act is the statute governing land administration in Zambia which vests all land in the country in the President and alienation of land by the President.


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The Act provides for the alienation, transfer, disposition and change of land. The Act also provides for compulsory acquisition of land by the President whenever he is of the opinion that it is desirable or expedient to do so in the interest of the Republic. The Act gives Zambians an opportunity to participate in the country’s economy. For any alienation of land for the development of project interventions, section 3 of the Lands Act, which deals with land administration, requires that consideration is given to customary law on land tenure, and that the Chief, the local authority and the Director of the Department of National Parks and Wildlife, in the case of a game management area, be consulted.

The Lands Act also requires that settlements, methods of cultivation and utilization of land be controlled for the preservation of the natural resources. The Act further requires that land is set aside for forest reserves and game management areas and national parks and for the development and control of such reserves, game management areas and national parks. This requirement is supported by the proposed interventions in Component 3; Management of Community Forests and Protected Areas which aims to establish Community Forest Management groups as well as Natural Forest Regeneration areas to more effectively manage available forests and to create minimal necessary conditions for restoring deagraded forest areas to ultimately improve and diversify livelihoods through responsible and sustainable use of natural resources by communities. 2.2.8 The Urban and Regional Planning Act, 2015 This piece of legislation was developed, among other functions, to: a) Provide for a framework for administering and managing urban and regional planning; b) establish a democratic, accountable, transparent, participatory and inclusive process

for urban and regional planning that allows for involvement of communities, private sector, interest groups and other stakeholders in the planning, implementation and operation of human settlement development; ensure functional efficiency and socioeconomic integration by providing for integration of activities, uses and facilities;

c) establish procedures for integrated urban and regional planning in a devolved system of governance so as to ensure multi-sector cooperation, coordination and involvement of different levels of ministries, provincial administration, local authorities, traditional leaders and other stakeholders in urban and regional planning; and

d) ensure sustainable urban and rural development by promoting environmental, social and economic sustainability in development initiatives and controls at all levels of urban and regional planning.

The proposed interventions will not be imposed on the people in the project target areas. As indicated in (b) above, the interventions will be carried out after consultation with the people to ensure project ownership and sustainability. In addition, the district and provincial planning authorities as well as the traditional authorities will be consulted with on a regular basis for the implementation of the project. The interventions will be aligned with or support the efforts being carried out by the development coordinating committees at various levels of planning. The sub-projects indicated in are all aimed at achieving environmental, social, and economic sustainability and thus support item (d) above.


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2.2.9 The Employment Act, No. 15 of 2015 This Act provides legislation relating to the employment of persons; to make provision for the engagement of persons on contracts of service and to provide for the form of and enforcement of contracts of service; to make provision for the appointment of officers of the Labour Department and for the conferring of powers on such officers and upon medical officers; to make provision for the protection of wages of employees; and to provide for the control of employment agencies. While it is true that some the carrying out of some interventions will be done by the communities, there is a possibility for some interventions to be contracted out. When the former occurs, the provisions of the Employment Act will thus apply. According to this law, it is illegal for any employer to engage an employee on casual basis for any job that is of a permanent nature. The Act also bans unjustified termination of employment by employers. In compliance with this law, GRZ, or any of its contractors, will ensure that individuals employed at any work place are of legal employment age, and are provided with conditions of service that meet or exceed the minimum conditions of service. Employees will not be subjected to exploitation and abuse of their rights through casualisation.

2.2.10 The Public Health Act, Cap 295 of 1930 This Act provides for the prevention and suppression of diseases and the general regulation of all matters connected with public health in Zambia. Amongst other things, the Act prohibits anyone from causing a nuisance, where nuisances are given to include: ▪ The pollution of potable water; ▪ Any collection of water or any cesspit, latrine or urinal found to contain mosquito

larvae; ▪ Any collection of water, sewage or waste which permits or facilitates the breeding of

parasites, insects or other agents which may lead to the infection of people or domestic animals;

▪ The accumulation or deposit of waste which is offensive or injurious or dangerous to health;

▪ The discharge or noxious matter or waste water into a water course not approved for the reception of such discharge;

▪ Premises without sufficient lighting or ventilation; ▪ Dangerous buildings and overcrowded premises; ▪ Factories giving rise to smells and effluents which are offensive or dangerous to

health.

GRZ will ensure that the environs of the project are in sanitary conditions and does not generate conditions that can lead to the proliferation of vermin, fly strike or other nuisances. This legislation will also govern the disposal of solid waste and wastewater generated at any place of work.

2.2.11 The Occupational Health and Safety Act, 2010 This Act is promulgated to establish the Occupational Health and Safety Institute and provide for its functions; provides for the establishment of health and safety committees at workplaces and for the health, safety and welfare of persons at work; provide for the duties of manufacturers, importers and suppliers of articles, devices, items and substances for use at work; provide for the protection of persons, other than persons at


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work, against risks to health or safety arising from, or in connection with, the activities of persons at work.

While it is true that some the carrying out of some interventions will be done by the communities, there is a possibility for some interventions to be contracted out. When the former occurs, the provisions of the Occupational Health and Safety Act will thus apply. Even when activities are carried out at community level, there will be need to provide for the protection of persons, other than persons at work, against risks to health or safety arising from, or in connection with, the activities of persons at work. Section 11 of Part III requires that an employer of ten or more persons at any workplace establishes a health and safety committee. According to section 13 the functions of the health and safety committee are: a) promote cooperation between the employer and the employees in achieving and

maintaining healthy and safe working conditions; b) share information about occupational health, safety and welfare with employees; c) investigate and resolve any matter that may be a risk to the health and safety of

employees at a workplace; d) review the measures taken on the health and safety of employees at a workplace;

and e) formulate, review and disseminate to the employees the standards, rules and

procedures relating to health and safety to be carried out at the workplace.

Section 16 of Part IV provides the duties of employers at workplaces in respect of health and safety at workplaces. These duties include: a) ensure, so far as is reasonably practicable, the health, safety and welfare of the

employees of the employer at a workplace; and b) place and maintain an employee in an occupational environment adapted to the

employee’s physical, physiological and psychological ability.

The duties of an employee at a workplace, according to section 17, with regard to health and safety are to: a) take reasonable care for the employee’s own health and safety and that of other

persons who may be affected by the employee’s acts or omissions at the workplace; b) not operate any machine or engage in a process which is unsafe or is an imminent

risk to the employee’s own health or safety and that of others; and c) cooperate with the employer or any other person in relation to any duty imposed on

the employer or that other person, so far as is necessary to enable that duty or requirement to be performed or complied with.

The employee is also expected to immediately inform the employer, the committee or health and safety representative if there are reasonable grounds to believe that any item, device, article, plant or substance, condition or aspect of the workplace is, or may be, dangerous to the employees’ occupational health or safety at or near the workplace.

2.2.12 National Heritage and Conservation Commission Act, 1986 The NHCC Act provides for the conservation of ancient, cultural and natural heritage, relics and other objects of aesthetic, historical, pre-historical, archaeological or scientific interest.


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There is potential of chance finds during any planned earth moving activities of the project. The EA will include a survey of archaeological, historical and geological artefacts. In the event chance finds of any artefact that is found at the project site, National Heritage and Conservation Commission (NHCC) will be notified.

In this case section 37(1) of the Act shall apply which states: “Any person who desires to excavate any ancient heritage or collect relics shall apply to the Commission for a permit to excavate or collect.”

Any Project-supported activities that could impact sites of social, sacred, religious, or heritage value will have to be avoided.


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3 DESCRIPTION OF WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARDS TRIGGERED

The objective of the World Bank's environmental and social safeguard policies is to prevent and mitigate undue harm to people and their environment in the development process. They are a cornerstone of its support to sustainable poverty reduction.

As a set of specialized tools to improve development, the safeguards are a mechanism for integrating environmental and social issues into decision making

3.1.1 OP/BP 4.01 Environmental Assessment This safeguard is designed: ▪ To ensure that projects proposed for Bank financing are environmentally and socially

sound and sustainable ▪ To inform decision makers of the nature of environmental and social risks ▪ To increase transparency and participation of stakeholders in the decision-making

process Relative to World Bank Environmental Safeguards, under OP4.01 the Bank undertakes environmental screening and proposed projects are classified 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 A projects are likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works.

Category B projects may have potential adverse environmental impacts on human populations or environmentally important areas, but are less significant than those of Category A projects. These impacts are site specific; few if any of them are irreversible; and in most cases mitigation measures can be designed readily with standard methods. Category C project is likely to have minimal or no adverse environmental impacts, and there are no further environmental requirements.

Category F or FI project involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts. This safeguard policy will be triggered. The Project is classified as Category B (per OP/BP4.01) given potential impacts associated with works that will need to be carried out that may have the potential to trigger the development of an EIA. No Category A sub-projects will be financed by the Project, however. The sub-projects, however, are anticipated to have limited short term environmental adverse impacts, which are not significant and can be adequately mitigated with standard measures. Projects and activities have yet to be fully defined. In accordance with OP/BP4.01, an Environmental and Social Management Framework (ESMF) has been developed to manage the potential environmental impacts and risks associated.


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3.1.2 OP 4.04 Natural Habitats The Natural Habitats OP 4.04 states that all natural habitats have important biological, social, economic and existence value and World Bank funding cannot be used for investments impacting critical habitats.

Based on the O.P. 4.04, Annex A – Definitions, the “critical natural habitats” are the existing protected areas and areas officially proposed by governments as protected areas, the areas initially recognized as protected by traditional local communities (e.g. sacred graves), and the sites that maintain conditions vital for the viability of these protected areas (as determined by the environmental assessment process).

This safeguard strictly limits the circumstances under which any Bank- supported project can damage natural habitats (land and water areas where most of the native plant and animal species are still present). This safeguard is aimed at: ▪ Safeguarding natural habitats and their biodiversity; ▪ Avoiding significant conversion or degradation of critical natural habitats; and ▪ Ensuring sustainability of services and products which natural habitats provide to

human society

This policy will be triggered and in carrying out Component 1 of the investment, the “Sustainable Landscape Management, Restoration and Resilience”. The component aims to improve the livelihoods and resilience of rural communities by improving the management of the rich natural resource base that rural communities are dependent upon through: (a) ecosystem based integrated natural resource management planning; (b) improved management of protected areas and protection of environmental services; and (c) diversification and increased sustainability of rural livelihoods.

The project is thus introducing best-fit SLWM practices and climate smart techniques in degraded areas and community based sustainable activities that shift away from productive practices leading to land degradation while generating alternative sources of income.

3.1.3 OP 4.09 Pest Management This safeguard is designed to: ▪ Ensure pest management activities follow an Integrated Pest Management (IPM)

approach ▪ Minimize environmental and health hazards due to pesticide use ▪ Contribute to developing national capacity to implement IPM and to regulate and

monitor the distribution and use of pesticides

Given that the project involves interventions in agriculture, and that the improvement of crop production is an ultimate objective, it is likely that pesticides will be used. The types of activities that may require pesticides include dissemination of technologies for sustainable agricultural intensification; forestry; agricultural storage programs; and livestock health programs. All pesticides that are disseminated or used under the project will comply with ZEMA's list/standards for acceptable pesticide use. An integrated pesticide management plan will be prepared by the project and the document will be disclosed prior to appraisal.


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3.1.4 OP 4.11 Physical Cultural Resources This safeguard assists in preserving Physical Cultural Resources (PCR) and in avoiding their destruction or damage. PCR includes resources of archeological, paleontological, historical, architectural, religious (including graveyards and burial sites), aesthetic, or other cultural significance. There will be no interventions that will be carried out on or near the physical cultural resources. However, there is limited potential of chance finds during the project implementation phase.

As indicated in 2.2.12 under the Natural Heritage Conservation Commission Act, section 37(1) of the Act shall apply which states: “Any person who desires to excavate any ancient heritage or collect relics shall apply to the Commission for a permit to excavate or collect.” Thus, any chance find, will be done in accordance with the procedure in Annex 6.

This safeguard will be implemented as an element of the Environmental Assessment and will be carried out with reference to the Natural Heritage Conservation Commission Act. The EA will identify the historical, archaeological, religious artefacts or sites or cultural values that will need to be conserved during the implementation of the project. In addition, any project-supported activities that could impact sites of social, sacred, religious, or heritage value will have to be avoided.

Chance finds will be addressed using the procedure in Annex 6.

3.1.5 OP 4.12 Involuntary Resettlement Avoid or minimize involuntary resettlement and, where this is not feasible, assist displaced persons in improving or at least restoring their livelihoods and standards of living in real terms relative to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

OP 4.12 describes the elaboration of the Resettlement Plan establishing the resettlement and compensation principles, organizational arrangements and design criteria to be applied to meet the needs of the people who may be affected by the project activities.

During involuntary resettlement there is need to: ▪ Minimize displacement ▪ Treat resettlement as a development program ▪ Provide affected people with opportunities for participation ▪ Assist displaced persons in their efforts to improve their incomes and standards of

living, or at least to restore them ▪ Assist displaced people regardless of legality of tenure ▪ Pay compensation for affected assets at replacement cost

The OP Annexes include descriptions of Resettlement Plans and Resettlement Policy Frameworks (RPFs). A separate RPF is under preparation for the project.

The project may affect people and particularly with respect to land acquisition and/or access denial, restriction or loss of access to economic resources for the implementation of various projects may trigger this OP. If this safeguard is triggered, there will be need to develop a resettlement action plan.


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3.1.6 OP 4.10 Indigenous Peoples Under this OP, there is need to design and implement projects in a way that fosters full respect for indigenous peoples’ dignity, human rights, and cultural uniqueness and so that they (1) receive culturally compatible social and economic benefits, and (2) do not suffer adverse effects during the development process.

Indigenous peoples are a distinct, vulnerable, social and cultural group attached to geographically distinct habitats or historical territories, with separate culture than the project area, and usually different language.

This OP will not be triggered as there is group of people in the project area that would be defined as an indigenous group.

3.1.7 OP 4.36 Forests The objective of this policy is to assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner, integrate forests effectively into sustainable economic development, and protect the vital local and global environmental services and values of forests. Considering the presence of community forests, the OP 4.36 is triggered and the best and suitable mitigation measures adopted.

However, the project will finance activities related to forestry and improve, rather than cause destruction to forest cover. Activities that involve conversion of natural forests or degradation of critical areas will not be financed. This OP will be triggered and will be achieved by ensuring that: ▪ Forests are managed in a sustainable manner ▪ Significant areas of forest are not encroached upon ▪ The rights of communities to use their traditional forest areas in a sustainable manner

are not compromised

This policy is triggered as indicated by Component 1 of the project because the project involves interventions in forest ecosystems (e.g. afforestation to improve forest health) which may adversely affect the ecosystem hence need for mitigation.

Component 1 of the intervention focuses on “Sustainable Landscape Management, Restoration and Resilience” aims to improve the livelihoods and resilience of rural communities by improving the management of the rich natural resource base that rural communities are dependent upon through: (a) ecosystem based integrated natural resource management planning; (b) improved management of protected areas and protection of environmental services; and (c) diversification and increased sustainability of rural livelihoods.

3.1.8 OP 4.37 Safety of Dams This OP ensures that due consideration is given to the safety of dams in projects involving construction of new dams, or that may be affected by the safety or performance of an existing dam or dams under construction. Consideration is given to dam height and reservoir capacity.

This policy is triggered because Component 2 of the intervention “Infrastructure for Resilience and Market Access” aims at supporting and improving NRZ infrastructure in


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vulnerable areas that suffers from lack of investments and is additionally adversely impacted by climate changes. Component 2.1 thus involves Investments in resilience strengthening infrastructure: which potentially include water harvesting structures (check and sand dams, earthen bunds, solar-powered irrigation and examine the prospects for the restoration of traditional canals.

3.1.9 OP/BP 7.50 Projects on International Waterways This policy applies to the following types of international waterways: (a) any river, canal, lake, or similar body of water that forms a boundary between, or any

river or body of surface water that flows through, two or more states, whether Bank members or not;

(b) any tributary or other body of surface water that is a component of any waterway described in (a) above; and

(c) any bay, gulf, strait, or channel bounded by two or more states or, if within one state, recognized as a necessary channel of communication between the open sea and other states-- and any river flowing into such waters.

This policy applies to the following types of projects: a) hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage,

industrial, and similar projects that involve the use or potential pollution of international waterways as described in paragraph 1 above; and

b) detailed design and engineering studies of projects under para. 2(a) above, including those to be carried out by the Bank as executing agency or in any other capacity.

Luapula river is an international waterway and forms a boundary between Zambia and Democratic Republic of Congo, and flowing into the later, this policy is triggered

3.1.10 OP/BP 7.60 Projects in Disputed Areas The policy will not be triggered as the project does not take place in any Disputed Area.

3.2 OVERLAPS AND GAPS BETWEEN THE ZAMBIAN LEGISLATION AND WORLD BANK

SAFEGUARDS

Table 3-1. Similarities between Zambian legislation and World Bank safeguards

Issue Zambian Law World Bank Policy

Environmental assessment

Section 29 of the Environmental Management Act of 2011 which states that “A person shall not undertake any project that may have an effect on the environment without the written approval of the Agency, and except in accordance with any conditions imposed in that approval”. The EIA regulations, SI 28 of 1997 also demands that before a developer commences implementing a project, an EIA report be prepared and submitted to the relevant regulatory authority for review and approval. The EA for projects in the Second Schedule includes scoping and preparation of TORs

OP/BP 4.01 Environmental Assessment requires that EA be carried out for projects categorized as A or B. The EA for projects categorized as A involves scoping and preparation of TORs which includes stakeholder consultation, baseline assessment, impact identification and mitigation, as well as monitoring.


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involving stakeholder consultation, baseline assessment, impact identification and mitigation, as well as monitoring.

Screening The EIA regulations, SI 28 of 1997, basically screens out projects into three categories: a. no EIA for projects with insignificant

impacts; b. Environmental Project Brief for projects of

minor or less significant impacts; and c. Environmental Impact Statement for

projects with significant impacts

The WB safeguards generally screens out projects into three groups with an additional group F or FI: Category A projects are likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. Category B projects may have potential adverse environmental impacts on human populations or environmentally important areas, but are less significant than those of Category A projects.

Category C project is likely to have minimal or no adverse environmental impacts, and there are no further environmental requirements.

Category F or FI project involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts.

Physical cultural resources

Under the National Heritage Conservation Commission Act, of 1986, any project being implemented is required to disclose any new archaeological, paleontological, or cultural sites it encounters to the National Heritage Conservation Commission (NHCC) and to adhere to their procedures for the investigation and/or removal of material from them prior to continuing construction activities.

OP/BP 4.11 assists in preserving Physical Cultural Resources (PCR) and in avoiding their destruction or damage.

Pest Management Division 5 of the Environmental Management Act of 2011 provides for sound management of Pesticides and Toxic Substances. All pesticides that are disseminated or used are required to comply with ZEMA's list/standards for acceptable pesticide use.

OP 4.09 provides for an integrated Pest Management to minimize environmental and health hazards due to pesticide use. A prepared integrated pesticide management plan assists in managing the impacts associated with pesticide use.

Forests The Forest Act of 2015 provides for the conservation and use of forests and trees for the sustainable management of forests ecosystems and biological diversity.

OP 4.36 requires that forests are managed in a sustainable manner and that protected areas are not encroached upon.

Protected areas The Forests Act of 2015 is the main legal instrument for the establishment, control, utilization and management of forests. The Forests Act provides for the establishment and declaration of National Forests, Local

OP 4.04 states that all natural habitats have important biological, social, economic and existence value and World Bank funding cannot be used for investments impacting critical habitats.


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Forests, joint forest management areas, botanical reserves, private forests and community forests for the sustainable management of forests ecosystems and biological diversity. The Zambia Wildlife Act, No. 14 of 2015 provides for the establishment, control and management of National Parks, bird and wildlife sanctuaries and for the conservation and enhancement of wildlife eco-systems, biological diversity and objects of aesthetic, pre-historic, historical, geological, archaeological and scientific interest in National Parks; and provides for the sustainable use of wildlife and the effective management of the wildlife habitat in Game Management Areas. Section 4 of the Act stipulates the principles which apply to wildlife conservation and management which include protection of biological diversity; sustainability of the ecosystem and biological diversity; integration; equity and effective participation of local communities and traditional leaders.

Based on the O.P. 4.04, Annex A – Definitions, the “critical natural habitats” are the existing protected areas and areas officially proposed by governments as protected areas, the areas initially recognized as protected by traditional local communities (e.g. sacred graves), and the sites that maintain conditions vital for the viability of these protected areas (as determined by the environmental assessment process).

Table 3-2. Gaps between Zambian legislation and World Bank safeguards

Issue Zambian Law World Bank Policy Comment

Screening for classification

The Zambian Environmental Impact Assessment regulations (1987) provide for screening into three general categories – (a) no EIA for projects with insignificant impacts; (b) Environmental Project Brief for projects of minor or less significant impacts; and (c) Environmental Impact Statement for projects with significant impacts

The WB safeguards screens out projects into three groups with an additional group of F or FI as indicated in section 2.3.1.

In the event that Category F or FI is triggered the WB standard will be applied.

Screening for classification

The EIA regulations use the “Project list approach. Thresholds are provided for some projects while these are absent for some projects. The First and Second schedules of the EIA regulations are used by ZEMA for screening projects. However, in some cases, the decision is subjective as there are no thresholds provided such as 5(b) Forestry Related

The WB safeguard screening process uses the “Criteria Approach” in which projects are classified based on potential for negative impacts, taking into account project type and scale, sensitivity of location, the nature and magnitude of its potential environmental impacts. This approach has the benefit of being flexible,

Where thresholds are provided, the Zambian EIA regulations will be used. However, where there are no thresholds available, the criteria approach will be employed.


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Activities of Schedule II – Reforestation and afforestation. The spatial extent and species that would trigger the use of the second schedule are not specified This approach has the benefit of being clear, objective, easy to implement even with limited expertise. However, the method is inflexible, insufficient consideration of site conditions and context

more likely to capture “outliers” with higher than usual risks. The downside, however, is being subjective, can be confusing, dependent on expertise & experience.


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4 DESCRIPTION OF THE ENVIRONMENT

4.1 PHYSICAL ENVIRONMENT

4.1.1 Location

4.1.1.1 Luapula Province Situated between latitude 8 – 12 degrees south of the Equator and Longitude 28 – 30 degrees east of the Greenwich Meridian, the province is located in the North – eastern part of Zambia and covers an area of 50,567 square kilometers (which is about 6% of the total area of Zambia), figure 5-1. The province shares its borders with the Democratic Republic of Congo in the South, South-western and North, in the east with Northern Province and in the South-east with Central Province (www.luapula.jcpbusiness.com).

Figure 4-1. Luapula Province showing its districts and location in Zambia

Source: Lighton Phiri (own work)

4.1.1.2 Muchinga Province Having an area of 87,806 km2, Muchinga Province is located in the northeast of the country and borders with Tanzania in the north, Malawi in the east, Eastern Province in the south, Central Province in the southwest, Luapula Province in the west, and Northern Province in the northwest. The administrative center of the province is Chinsali, figure 5-2.

http://www.luapula.jcpbusiness.com)/


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The name of the province originates from the Muchinga Escarpment on which it predominantly sits.

Figure 4-2. Map showing districts of Muchinga Province and location in Zambia

Source: Lighton Phiri (own work) The province is elongated from southwest to northeast and is located on both sides of the Muchinga Escarpment, which serve as a divide between the drainage basins of the Zambezi River (Indian Ocean) and the Congo River (Atlantic Ocean).

4.1.1.3 Northern Province Northern Province, with a total area of 77,650 square kilometers, shares borders with two other provinces – Muchinga and Luapula, and also with two countries – the Democratic Republic of Congo in the north and Tanzania in the north-east. Northern Province covers approximately one sixth of Zambia in land area. The province (Figure 5-3) is made up of 10 districts, namely Kasama (the provincial capital), Chilubi, Kaputa, Luwingu, Mbala, Mporokoso, Mpulungu and Mungwi, Lunte and Senga. Currently, only Kasama and Mbala have attained municipal council status, while the rest are still district councils. It is widely considered to be the heartland of the Bemba, one of the largest tribes in Zambia.


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Figure 4-3. The Districts of Northern Province and location in Zambia

Source: Lighton Phiri (own work)

4.1.2 Climate The annual weather cycle in north-east Zambia can be defined in terms of rainfall regime, to which seasonal variation of the other climatic elements is closely related. This will be appreciated from the climatic data collected by J. E. Manfield et al (1976) for Mbala in the north of the project area, and Mpika in the south.

The dry season (May-October) The dry season starts in May in the north and mid-April in the south of the project area. Rain is sporadic and the mean monthly temperature is 16-21°C. Mean monthly temperatures rise to 24°C (75°F) in September or October, with absolute maxima reaching 35°C. These months have been called the hot season in contrast to the midwinter season of June and July with its low temperatures. Relative humidity is at its lowest in the hot season, while wind speed increases slightly as the wind backs.

The wet season (November-April) The wet season usually starts in November over most of north-east Zambia and lasts 145-190 days in the project area. Prolonged rain spells are uncommon, although storms become more frequent as the wet season develops. The wettest months are usually December or January with 25 cm (10 in) of rain. In southern Zambia the wet season often ends abruptly in mid-March, but in the north-east storm activity steadily decreases through mid- or late April.

During the wet season, mean monthly temperatures are about 21 °C with mean maxima about 10°C higher. Mean relative humidity is about 80% for most of the year, but decreases towards April. In April the wind speed increases to over 4.1 m/s, accompanied


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by a veer in direction under the influence of high atmospheric pressure building up over southern Africa. April is a post-rainy season when cloud cover decreases and the wet ground begins to dry out. The mean May rainfall in north-east Zambia is nowhere over 2.5 cm, and this month is usually included in the dry season.

The area falls in the high rainfall belt classified as region III (refer to figure 5-4 below) with an average annual rainfall of over 1000mm. Rainfall levels are high throughout the wet season (1,115 – 1,500mm per annum) with the Northern plateau areas and the Bangweulu swamps receiving the most.

Figure 4-4. Agro-ecological regions of Zambia

Source: Zambia Livelihood Zones and Descriptions

The project area is within agro-ecological region III which borders Angola, DRC and Tanzania. It consists of plateaus punctuated by hills and mountains ranging between 1000‐1500 meters above sea level. The soils are moderately fertile with occurrences of

strong acidic soils in some parts that are moderately suitable for production of all types of cereals, legumes, tubers, and cassava.

4.1.3 Sunshine The direct radiation measurements, as collected by Manfield (1976), show the mean monthly maxima range from 70 cal/cm2/h in June to 102 cal/cm2/h in January. High absolute values occur when skies clear during the wet season. At Mbala an estimated mean daily radiation received in September and October is 600 cal/cm2 with a minimum of below 450 cal/cm2 in January. Thus the lowest mean maximum temperatures occur in mid rains, when deep cloud layers reflect much of the short- wave radiation back into space.


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At Mpika, yearly radiation shows a double maximum and minimum. Instead of a steady increase in daily radiation as the dry season advances into the hottest months, as observed further north, the effect of latitude on daylight hours reduces the daily values in June and July to below 500 cal/cm2. The most rapid decline of daily radiation occurs at the onset of the wet season at a rate of 100 cal/cm2 each month.

At Mpika, high insolation is maintained until October because the cloudy north-west air has not by then reached the south-east sector of the project area. However, when the wet season sets in, insolation falls rapidly at Mpika to the level of the other stations, and in fact is cloudier than they are for 6 months of the year. The general insolation range in the project area is 10 h/day (85%) in July to 4 h/day in January.

4.1.4 Surface Winds In July, northern Zambia experiences a south-easterly airstream blowing from the north side of the Indian Ocean subtropical high. As this pressure belt moves south in the hot season, winds tend to back to north-east before the onset of wet-season Congo air from the north-west. Winds are not as consistent from this quarter in winter, due mainly to the variability of convective winds in summer storms. Towards the end of the wet season a southerly component strengthens as pressure builds in the south and the ITCZ moves north again. Manfield (1976) indicated that mean monthly wind speed to be predominantly 2.1-4.2 m/s, with little seasonal or areal variation. The consistent dry-season trade winds give slightly higher mean values, but maximum winds occur during wet- season storms. With regard to the maximum wind speeds for Kasama, the highest gust occurs in February and the lowest in May. The dry season is significantly less gusty than the wet. Summer storms can create a 26 m/s squall from calm in a few minutes, or maintain a 16 m/s wind for 30 minutes. However, hourly values exceeding 10 m/s are unusual even in the wet season. Diurnal wind speed regimes have a recognisably similar pattern over the area. Generally, the minimum speeds occur at dawn after which they increase to a maximum at about 1 000-1 200 hours. Afternoon winds are light to moderate according to convective activity and the mixing level of surface-heated air. A lull usually occurs around sunset followed by light nocturnal winds. Places near to lakes, such as Mbala and Samfya, experience diurnal fluctuations in wind speed and direction from the 'sea breeze' effect.

4.1.5 Relative Humidity Diurnal humidity variations tend to have a cycle opposite to that of wind speed. The maximum occurs about 0600 h and the minimum around midday or early afternoon. The difference is greater in the dry season, being over 40% in most places in north-east Zambia. In the wet season, daily range is about 20-30%. Annual variation closely follows the rainfall regime. The mean monthly and annual relative humidities for Northern and Luapula Provinces shows the most significant trend to be the increase from October to December at the wet-season onset. Maximum daily humidity is about 90-95% in summer, and minimum about 30% in winter.

4.1.6 Topography Most of the project area lies between 1 200 and 1 700 m and forms part of the Central African plateau which extends from the Great Escarpment of South Africa to the highlands of Ethiopia. Most of the area therefore consists of old planation surfaces. The highest mountain in Zambia, 2 067 m, occurs at Sunzu on the south-eastern edge of the plateau,


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south of Mbala; but parts of the project area are as low as 770 m. The highest parts of the project area occur as a belt stretching from the southern end of Lake Tanganyika to Luwingu, along the boundary with Tanzania and along the Mpika-lsoka Ridge. The plateau around Mbala is well known as one of the highest parts of Zambia, but it is not usually appreciated that the plateau north of Luwingu reaches much the same altitude. This deception is most probably due to the obvious escarpment south of Mbala compared with the gradual climb from Kasama to Mporokoso. Furthermore, although the mountains around Shiwang’andu can be seen rising to a considerable altitude, the extreme southern tip of the project area also rises to a similar attitude but again only by means of a gentle climb. Northern Province lies mainly on the great southern African plateau which has been uplifted to an elevation around 1200 metres above sea level. The rift valley extends clockwise around the province from the north-west to the south. These rift valleys are sometimes outside the borders of the province, as in the case of the Luapula-Mweru valley to the north-west and the Lake Rukwa and Lake Malawi rift valleys to the north east; but the escarpments of the Lake Mweru-wa-Ntipa-Lake Tanganyika rifts in the north, and the Luangwa Valley rift in the east and south-east are just within the province. In places the rift valleys have pushed up highlands: around Kambole and Mbala above Lake Tanganyika, (the Muchinga Escarpment above the Luangwa valley, and the highlands along north-eastern border with Tanzania and Malawi which culminate in the Mafinga Hills and Nyika Plateau. (These are now in Muchinga Province).

The only areas with substantial relief are the flanks of the East African rift valley system in the north of the project area between and including Lakes Mweru and Tanganyika, where the altitude is only about 900 m, and also along the eastern border, where it is represented by the Luangwa Valley, the dissected zones separating the three planation surfaces found in the project area, and areas affected by Irumide folding.

4.1.7 Drainage Rivers, streams and dambos crisscross Northern province in profusion. Africa's second longest river, the Congo, has its source in Northern Province via its longest tributary, the Chambeshi River, which rises in the hills south-west of Mbala and divides the province diagonally as it meanders to Lake Bangweulu in the south-west. During times of very heavy rains, these rivers, particularly the Chambeshi and Luangwa, spread across floodplains often several kilometres wide, and create large tracts of both seasonal and permanent lagoons and swamps along their valleys. The Chambeshi feeds the largest wetlands of all, the Bangweulu wetlands and floodplain in Mpika and Chilubi Districts, known for its Lechwe and birds among other wildlife.

The province also contains three large natural lakes - Lake Bangweulu and its adjacent wetlands (shared with Luapula Province), Lake Mweru-wa-Ntipa in Kaputa District, and the vast Lake Tanganyika in the north, which forms part of Zambia's border with DR Congo and Tanzania.

Other notable landmarks in Northern Province include a number of waterfalls including Lumwangwe Falls, Kabwelume Falls, Chishimba and Kalambo Falls.

The four major physical features of Luapula province are the valley along the Luapula River, the plateau running parallel to the river in the north-south direction, then Lake

https://en.wikipedia.org/wiki/Mbala,_Zambia


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Mweru in the northern Chienge and Nchelenge districts and Bangweulu in Samfya district. The last characteristics feature is the swampy areas to the east and south of Lake Bangweulu. Altitude ranges from 900m in Luapula valley to 1,300m on the Kawambwa Plateau, which are divided by the Muchinga escarpment running north to south water bodies, including the Bangweulu swamps and Lake Mweru that covers 40% of the area of the province.

The main drainage channel in the province is the Luapula River. The Luapula drains Lake Bangweulu and its swamps into which flows the Chambeshi River from Northern province. The Luapula is part of the longest tributary of the Congo, and hence, by convention, is part of its source, even though the upper Lualaba carries more water. Below the Bangweulu swamps and floodplain, the Luapula flows steadily in an arc south-west turning north-west then north, with some rapids and some cataracts, such as Mambilima Falls. From Chembe District to Lake Mweru, the 300 km long Luapula Valley has a higher rural population than the plateau through which it cuts to a depth of up to 500 m. The river is known for this valley and for its long thin delta entering Lake Mweru, usually referred to as the Luapula Swamps.

Luapula Province is endowed with a number of waterfalls, wetlands hosting some of the rare animal and bird species in the world like the black Lechwe and the shoebill stock. Lumangwe Waterfalls, Lumangwe Falls, Kabwelume Falls, Kundabwika Falls, Musonda Water Falls, Mambilima Water Falls, Mumbuluma Falls, Mumbotuta Waterfalls, and Chilongo Waterfalls are the major water falls. The province has Lakes Mweru and Bangweulu. Lake Mweru is located on the far north-west border of Zambia and is shared more or less equally with Democratic Republic of Congo (DRC). The Luapula River flows in from the south having formed the official border between northern Zambia and DRC. It also drains out from the lake in the north. The Kalungwishi river flows in from the east. Both river mouths form important deltas that serve as fish breeding grounds.

Lake Bangweulu lies between Luapula and Northern Provinces of Zambia and plays a very big role in the livelihood of the people of Luapula as the lake supports one of the largest fisheries in Zambia. The most abundant species are catfish, bream, yellow belly and tiger fish. The Lake Bangweulu consists of the Bangweulu Swamps, the Bangweulu floodplain and the Bangweulu wetland. The lake expands in size when its swamps and floodplains get flooded after the rainy season. The Great Bangweulu Basin, incorporating the vast Bangweulu Lake and the Wetland area, lies in a shallow depression in the centre of an ancient cratonic platform, the North Zambian Plateau. The basin is fed by 17 principle rivers from a catchment area of 190 000 km2, but is drained by only one river, the Luapula. (http://www.zambiatourism.com/destinations/lakes/bangweulu/).

The main rivers of Muchinga province are the Luangwa River, a major left tributary of the Zambezi, and the Chambeshi River, a tributary of Lake Bangweulu, in the drainage basin of the Congo. The source of the Luangwa is located in the province.

http://www.zambiatourism.com/destinations/lakes/bangweulu/)


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Three national parks are located in the province. There are Lavushi Manda National Park, North Luangwa National Park, and South Luangwa National Park. The latter is shared with Eastern and Central Provinces.

4.1.8 Geology and Soils Manfield et al (1976) report that much of the project area is Precambrian in age. The geological succession has three main lithological units: quartzites and sandstones of the Kibaran System mainly occurring in the north-west but also dominating the Mpika-lsoka Ridge Land Region; granite in a central zone north-east to south-west but also surrounding the Luangwa Valley in the extreme east; and the shales, siltstones, mudstones and sandstones of the Kundelungu System, which is found both along the Luapula Valley where it is known as the Luapula Beds and in the south-east of the Chambeshi-Bangweulu Plain Land Region where it is called the Lwitikila Beds. Drysdall et al (1972) have subdivided the Basement Complex into Kibaran and pre- Kibaran elements. Whereas the pre-Kibaran element contains the normal sequence of rocks usually associated with the Basement Complex (i.e. schists and gneisses), the Kibaran is far less metamorphosed and age determinations have indicated 'a gap of up to 1 000 million years between them' (Reeve 1963). They further report that Zambia was subjected to at least two periods of granitic intrusion; the granite found in the project area, however, seems to belong to the older intrusion. Apart from some very small and scattered basic outcrops, igneous rocks can also be found surrounding the Kibaran System in the north-west of the project area, as an intermittent volcanic or hypabyssal suite. Attention should also be drawn to the two large areas of quaternary alluvium, both of which are now seasonally inundated, and were probably previously covered by a lake.

4.2 SOCIAL ENVIRONMENT

4.2.1 Land Use and Livelihood Subsistence farming is the predominant livelihood activity in the three provinces. Main crops grown in the area are cassava, beans, maize, sweet potatoes, pumpkins and groundnuts. The produce is either sold to the Food Reserve Agency (FRA) or sold in urban centres within the provinces or transported to the Copperbelt or Lusaka.

The are under consideration is located within agro-ecological region III. The high rainfall (>1000mm per year), and long growing season of over 160 days makes coffee, sugar cane, rice, and pineapple cultivation possible. The vast forest resources and plantations also contribute to an active timber industry. The border areas provide opportunities for cross‐border trade. A number of lakes located in the eastern part of the region offer

opportunities for fishing. Livelihoods in this region vary, but depend primarily on cereal and cassava production, mining and employment, and trade and fishing.


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Figure 4-5. Livelihood Map of Zambia

Source: Famine Early Warning Systems Network, 2014 The Northern border zone (zone 19), Figure 5-5, is located in a mixed terrain of lowland and highland plateau areas along the border of Tanzania, covering the districts of Mafinga, Isoka, Nakonde, Mungwi, Mbala, and part of Kasama. The soils are well drained and loamy, moderately fertile, supporting Miombo woodland and savannah grassland and favoring cereal and pulse production. The main natural resource is forest woodland, which is good for timber.

The zone is highly populated with about 20 inhabitants per square kilometer of mainly Mambwe and Namwanga ethnic groups. The average landholding size is relatively small due to population pressure averaging 1 hectare per household, which excludes the communal pastureland used for livestock grazing.

Crop production, livestock keeping, and cross‐border trade in agricultural commodities are

the main livelihood activities in the zone. Crop production is mainly rain‐fed with cultivation

mostly done by hand and some animal draft power. The main crops grown in the zone include maize, beans, millet, and vegetables, which are traded within the zone and outside with Tanzania. Cattle are kept mostly for sale and use as draft power. Poor households also sell some charcoal.


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Physical access to most major markets is generally satisfactory with most parts of the zone having access to a road that leads to a border point, where formal and informal export and import of commodities with Tanzania take place. Maize, beans, and cattle are the major commodities sold in Tanzania in exchange for general goods, clothes, and utensils for resale within the zone. The TAZARA rail line linking the north with Central, Copperbelt, and Lusaka passes through the zone.

This zone is a key transit point between areas within Zambia and also toward Tanzania; conflict and crime are frequent and may reduce trade temporarily. The intensification of labor and livestock sales are important coping strategies that are normally sufficient to enable poor households to meet their food and livelihood needs even in bad years. The Muchinga, Northern and Luapula zone (Zone 20) is located in the northern highland and plateau areas at 700 to 1600 meters above sea level. It covers the districts of Mpika, Chinsali, Kasama, Luwingu, Mporokoso, Kawambwa, Mwense, Mansa, and Milenge, including the valley basins and wetlands in Kaputa and Mungwi Districts. The soils are well drained and clayish. However, fertility is low due to high acidity, making productivity low, particularly for maize. The vegetation mainly consists of savannah woodland (Miombo and Chipya forests) with shrubs and grass. The main natural resources are hardwood and softwood timber and fish. The zone is moderately populated with a population density of about 14 inhabitants per square kilometer. The average landholding size is about 1.5 ha per household, used for crop production. The main ethnic groups include Bemba, Chishinga, Lunda, Ushi, and Ng’umbo.

Livelihoods are based on subsistence crop production, limited livestock keeping, and trading in agricultural products. Agriculture is mainly rain-fed, while some localized areas practice irrigated and wetland farming. The growing season is long, ranging from 140 to 200 days, which is good for production of cassava and other crops. The main crops include finger millet, cassava, beans, and groundnuts, cultivated primarily using chitemene (slash and burn) and using manual labor. Only about 10 percent of households use animal draft power, and mechanization is almost nonexistent. Most households consume some fish they catch along the perennial rivers that pass through the zone. Other categories of livelihoods sources include livestock rearing, casual labor, and trade within the zone. The main factors that determine wealth include land ownership and area cultivated, and the ownership of productive implements and livestock. The poor group cultivates smaller pieces of land and produces fewer crops for sale and consumption than the better-off. Nonetheless, poor households have access to own‐produced cassava year-round; market purchases and in-kind payment for labor are other major sources of staple food. Both better-off and poor households rely heavily on crop sales (cassava, millet, beans, groundnuts, and maize) in nearby markets for cash. The poor, however, also rely on casual labor and mopani worm sales for income, while the better‐off sell transportation via bicycle and ox‐drawn cart and hire out draft power.

Physical access to most major markets is generally satisfactory. Maize, beans, cassava, millet, and mopani worms are the major commodities that are traded throughout the year and are destined primarily toward semi-urban service centers within the zone. Fish and


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fish products are available for sale along the Chambeshi River. Cross-border trade with Tanzania and DRC is high.

Poor households cope with shocks through the increased search for labor opportunities outside the zone and the increased consumption and sale of wild foods. These strategies are generally sufficient to allow them to meet minimum needs. The Mweru-Bangeulu-Tanganyika Fisheries zone (Zone 21) is located in predominantly lowland, lakeshore, and wetland areas of Tanganyika, covering Mpulungu, Kaputa, Chiengi, Nchelenge, Mwense, Samfya, Chilubi, and small parts of Serenje Districts. It borders the DRC and Tanzania. The high‐altitude areas in the zone are about

700‐1600 meters above sea level. The soils mainly consist of poorly‐drained, deep, dark‐grey soils, including permanent swamps. The soils in Mpulungu and Mweru are deep, fine, loamy to clayey soils with poor drainage and poor to moderate production potential. The vegetation mainly consists of savannah woodlands, Miombo forest swamps, and wetlands in the southern part of the zone. The main natural resources are fish, timber, and game. Lakes Tanganyika, Bangweulu, Mweru Wantipa, and Lubansenshi are located in the zone with Luapula and Chambeshi River also passing through the zone providing sources of fishing. This moderately‐populated zone has about 14 inhabitants per square kilometer. The main ethnic groups include Ng’umbo, Mambo, and Makulu in Samfya and Lunda and Aushi in Nchelenge and Mansa Districts.

The primary livelihood activities include fishing and subsistence farming. Fishing across this zone includes both fish farming and lake/river fishing using motorboats, canoes, ring nets, and beach seines. Motorboats are primarily used for fishing in the lakes around Kaputa and Mpulungu. Crops produced on a small scale in the zone include cassava, maize, and rice. The average landholding size is small at about 0.75 ha per household, primarily used for crop production. Although not widespread, livestock kept for sale include cattle, pigs, and goats.

The main productive assets for the better‐off households include motorized boats, ring

nets, and cold rooms, while the poor households rely on hand‐dug canoes, fishing hooks, and non‐conventional or illegal fishing gear (mosquito nets, poison). The poor consume

own‐produced cassava, bartered cassava, caught fish, and staple food purchases. The better‐off mainly consume own‐produced and purchased maize, rice, caught fish, and purchased cassava, beans, vegetables, fruits, and livestock products. While the main income sources among all wealth groups are the same, the scale varies due to differences in catches because of capture methods employed. The poor also provide labor to better‐off households obtain more cash, while the better‐off engage in lucrative fish trading and transportation outside the zone made possible through access to cold storage.

Physical access to most major markets is generally satisfactory. Buka buka (sleek lates perch), kapenta (finger fish or Tanganyika sardine), and Bream (tilapia) are the most‐traded varieties, bought by several fishing companies and traders who sell the fish outside the zone, mainly to Copperbelt region, Lusaka, and the DRC. The proximity of the DRC and Tanzania provides opportunities for cross‐border trade in fish and maize. Households in the zone may barter or sell fish and maize for second‐hand clothes and other petty commodities.


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The 2015 Living Conditions and Monitoring Survey showed that 55.8 percent, 59.4 percent and 62.1 percent in Luapula, Muchinga and Northern Provinces respectively, were economically active.

With regard to incidence of poverty as captured in the 2015 Living Conditions Monitoring Survey (LCMS) Report, Luapula Province with 81.1 percent and Northern Province with 79.7 percent were second and third after Western Province which had the highest proportion of the poor population at 82.2 percent. The incidence of poverty in Muchinga Province was at 67.3 percent.

Provinces that are predominantly rural have continued to have higher proportions of the extremely poor population compared to the most urbanised provinces such as Lusaka and Copperbelt. At 67.7 percent Luapula Province recorded the second highest percentage of the population living in extreme poverty after Western Province (73 percent). Muchinga and Northern provinces, were at 67.6 and 54.4 percent, respectively. In contrast, the levels of extreme poverty were as low as 11.0 and 18.2 percent for Lusaka and Copperbelt provinces.

4.2.2 Settlements Settlements in the project area are usually located within the townships in as well as in villages dotted along the main road linking town centres. Easy accessibility of markets for their farm inputs and produce and access to social services such as water, schools and health centres are the main determining factors for location. The settlements are mainly grouped in families on the land inherited from their ancestors.

4.2.3 Typical housing types Within the townships, it is common to see institutional houses built using concrete blocks, plastered, painted and roofed with either asbestos and iron sheets. Some asbestos and iron sheets. Some personal houses are built with baked bricks and roofed with iron sheets or grass thatched. In the project area, the majority of the houses are built of mud-bricks with grass thatched roofs. Occasionally, the houses are built using burnt bricks and corrugated iron sheets. Owners of these housing structures get support from relatives who leave in towns or are able to buy building materials after selling agricultural produce.

4.2.4 Water and sanitation In the townships, piped water is provided to some houses by provincial Water and Sewerage Companies. In these same houses, sewerage services are provided by the the same utility companies. Outside of the townships, streams and shallow wells are the major sources of water. Occasionally, there are boreholes fitted with hand pumps which are used to provide water for the locals. These boreholes are sunk by the government through the Department of Water Affairs or with financial assistance by NGOs operating in the area. Most of the schools and rural health centres are serviced by water boreholes fitted with pumps, however, most of them have become mal-functional due to lack of maintenance over the years.

In rural communities, onsite sanitation through drop-down toilets is the common way of disposal of night soil. The showers and toilets are usually constructed behind the main house.


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Solid waste disposal is by way of burying a pit near the homestead and which is covered with soil when full. In some instances, burning of waste, especially vegetative waste, is the most common way of waste disposal.

4.2.5 People and Culture Luapula Province has a number of ethnic groups which are in each district. Sometimes each district may have two or three ethnic groups-(tribes) which speak Bemba dialects. These tribes are rich in culture and proverbs.

Northern Province has a number of tribal groups speaking different languages and dialects. However, the language mostly spoken across the province is Icibemba, which is one of the mother tongue of the largest tribal grouping, the Bemba people of Chinsali, Kasama, Mungwi and parts of Mporokoso and Luwingu districts. Despite its size and the diversity of languages and dialects, the people of Northern Province generally share a common culture. Each of these tribes has its own traditional leadership headed by either a paramount or senior chief assisted by junior chiefs and village headmen.

4.2.6 Infrastructure The project area is rural in nature and is devoid of major infrastructural developments.

The main town centres are connected via tarred roads which are in some cases needing rehabilitation such as the Chinsali-Nakonde section of the Great North Road and the Mansa – Nchelenge Road. In most rural areas, villages are connected to by gravel roads are maintained just prior to the onset of the wet season to prevent deterioration. Lack of or inadequate teaching and learning materials, including laboratory facilities, challenges of access and lack of decent accommodation for teachers pose a challenge to most schools in the project area. Early pregnancies and marriages among girls is also a major problem at several schools.

Most districts have district hospitals while the health centres are in rural areas at convenient distances of people or places located from the main health care facility. The services provided are Out-Patient Department, Admissions, obstetrics, family planning, and referrals. Prevention of Mother-To-Child Transmission (PMTC), and Voluntary Counselling and Testing (VCT) are also offered at these centres.

Telecommunications infrastructure linking affected Districts to the outside is through facsimile, internet services and telephone, which includes landline-based telephone and cellular networks.

4.2.7 Labour Force Participation Rate (Activity Rate) Labour force participation rate measures the proportion of the economically active population in the total working-age population. It is a ratio of the economically active population to the working-age population expressed as a percentage. Low activity rate implies that a large proportion of persons are not participating in the labour market. Details of demography of each region is detailed in Annex 6.

The table 5-5 below shows the labour force participation rate for persons aged 15 years or older by province and sex. According to the labour force survey undertaken in 2014, the highest participation rate among the three provinces was 79.9 percent for Luapula


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Province. At 80 percent, the province had the highest female participation rate. In general, the participation rate for females was comparatively higher than for males per province.

Table 4-1. Labour Force Participation Rate for Population Aged 15 years or older

Province

Both Sexes Male Female

Working Age Population

Labour Force

Percent Working Age Population

Labour Force

Percent Working Age Population

Labour Force

Percent

Luapula 539,236 431,047 79.9 259,068 204,885 79.1 280,168 226,201 80.1

Muchinga 427,428 326,209 76.3 210,074 157,886 75.1 217,354 168,343 77.5

Northern 639,774 489,426 76.5 317,587 235,558 74.2 322,186 253,869 78.8

Source: 2014 Labour Force Survey, CSO

4.2.8 Economically Active Population The table 5-6 below shows the size of the labour force by province and sex. The table

shows that in 2014 therewere 6,329,076 persons in the labour force, out ofwhom

3,283,917 persons were female and 3,045,159persons were male.

Among the three provinces, Northern Province had the highest percentage share of the labour force at 7.7 percent followed by Luapula Province with 6.8 percent. Muchinga Province accounted for the lowest proportion of 5.2 percent. Results further shows that of the 3,045,159 males in the labour force, 7.7 percent were in Northern Province while the lowest proportion of 5.2 percent were in Muchinga Province. The highest proportion of females in the labour force were in Northern Province at 7.7 percent while the lowest was Muchinga Province at 5.1 percent. Table 4-2. Economically Active Population Aged 15 years or older by Sex and Province, Zambia, 2014

Province Total Labour Office Male Female

Number Percentage Share

Number Percent Number Percent

Total* 6,329,076 100 3,045,159 100 3,283,917 100

Luapula 431,087 6.8 204,885 6.7 226,201 6.9

Muchinga 326,209 5.2 157,866 5.2 168,343 5.1

Northern 489,426 7.7 235,558 7.7 253,869 7.7

Source: 2014 Labour Force Survey, CSO *Refers to national totals

4.2.9 Average household size The table 5-7 below shows information on the average household size. The national average household size in 2010 was 5.2 persons. Overall, male headed households had a higher average household size (5.4 persons) than female headed households (4.0 persons). The same trend was observed across the three provinces. Table 4-3. Average household by sex of household head and province, 2010

Province Total Male Headed Female Headed

Luapula 5.1 5.4 4.0

Muchinga 5.1 5.4 4.1

Northern 5.0 5.3 3.9

Source: Census of Population and Housing, CSO, 2010

4.2.10 Literacy Levels The information indicated in the table 5-8 below includes Eastern Province because at the time the survey was done in 2007, Muchinga Province, which was created out of the


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districts from Northern and Eastern Provinces, had not been created. As with educational achievement, literacy rates are higher among men than women. According to the Zambia Demographic and Health Survey, 2007, variations in literacy by province show that Luapula had the highest literacy rates for women and men (57.8 and 82.5 percent, respectively). It must be noted that literacy rates among men are reasonably high across all provinces, ranging from 71 percent in Eastern to 82.5 percent in Luapula. As with educational attainment, literacy is positively associated with household wealth status.

Table 4-4. Literacy: Percentage distribution of age 15-49 by level of schooling attended and level of literacy, and percentage literate, Zambia, 2007

Women

Province Secondary school or higher

No schooling or primary school

Percentage literacy

Can read a whole sentence

Can read part of a sentence

Cannot read at all

Luapula 21.9 19.9 16.0 41.9 57.8

Northern 20.8 20.7 10.8 45.7 52.3

Eastern 16.1 23.4 8.3 52.0 47.7

Men

Luapula 35.9 37.9 8.7 17.3 82.5

Northern 38.4 32.1 9.6 18.3 80.2

Eastern 27.4 27.3 16.5 28.6 71.2

Source: Zambia Demographic Health Survey Report, CSO, 2007

4.2.11 Infant and Child Mortality Levels and Trends Early childhood mortality rates for the three five-year periods preceding the 2007 ZDHS survey are presented in Table 5-9. The data show that, for the five-year period immediately prior to the survey, under-five mortality per 1,000 live births is higher in rural areas than urban areas. Generally, mortality tends to decrease with improvement in the mother’s education.

Table 4-5. Early childhood mortality rates by socioeconomic characteristics

Background characteristics

Infant mortality Child mortality Under-five mortality

Residence

Urban 80 56 132

Rural 80 62 139

Province

Luapula 97 66 157

Eastern 82 75 151

Northern 94 72 159

Mothers’ education

No education 86 64 144

Primary 84 67 146

Secondary 69 38 105

Post Secondary 85 26 109

Source: Zambia Demographic Health Survey Report, CSO, 2007

4.2.12 Vulnerable population


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4.2.12.1 Luapula Province The elderly population, (those aged 65 years and older) made up 2.7 percent of the provincial population. This age group constituted 2.7 percent of the rural population and 2.5 percent of the urban population. Of the 194,962 households captured during the 2010 Census of Population and Housing was female headed households made up 22.1 percent (43,049). While the male headed households had an average size of 5.4 persons, female headed households had an average of 4.0 persons. According to the 2015 Living Conditions Monitoring Survey Report, Luapula Province had the highest percentage of females in both the rural (52.8 percent) and urban areas (54.3 percent). The report further adds that households headed by females are more likely to be impoverished than their male counterparts. Levels of poverty are more likely to be higher among households that are headed by elderly persons.

4.2.12.2 Muchinga Province From the 2010 Census of Housing and Population (CSO, 2010), the elderly population (those aged 65 years and older) made up 3.0 percent of the provincial population. The age group constituted 3.3 percent of the rural population and 2.0 percent of the urban population. Of the 138,783 total number of households in Muchinga Province as captured during the 2010 Census of Population and Housing, female headed households made up 21.6 percent (29,930).

4.2.12.3 Northern Province The elderly population (those aged 65 years and older) made up only 2.9 percent of the provincial population. This age group constituted 3.0 percent of the rural population and 2.2 percent of the urban population. Of the total number of households in the province as captured during the 2010 Census of Population and Housing which was 220,561, female headed households made up 20.6 percent (45,524) households. This number had increased to 51,450 by 2015. The 2015 Living Conditions Monitoring Survey Report showed that Northern Province had the lowest percentage of female headed household at 20.3 percent.


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5 POTENTIAL ENVIRONMENTAL AND SOCIAL CONCERNS AND MITIGATION MEASURES

5.1 POSITIVE IMPACTS

5.1.1 Alternative livelihoods The target provinces are rural in nature and among the poorest in Zambia, and are home to 4.4 million people. The project is expected to create alternative sources of employment and incomes for local communities including young people who are increasingly tempted by rural exodus and migration. Livelihoods will be supported for 880,000 men, women and children direct beneficiaries through the adaptation sub-project grants that address climate risk.

5.1.2 Formal sector employment In addition to improved productivity and security of economic livelihoods in the subsistence sector, TRALARD will also create formal sector employment, particularly in the construction (approximately 1300 full time) and operation (approximately 3,500) where alternative renewable energy such as biomass is adopted. Total annual contribution to GDP from biomass plant by its fourth year of operation should be nearly 100 million Zambian Kwacha (approximately $10milion).

5.1.3 Sustainable sources of income Several of the project’s outcomes related to community based ecotourism, alternative livelihood options and payment for ecosystem services aim at offering new and sustainable sources of income for local communities and will generate indirect benefit to additional 50% of the targeted area population.

5.1.4 Improved productivity and security The project is expected to make a positive impact by establishing SLWM practices and will increase opportunities for improving livelihoods and provide concrete benefits to smallholder farmers and pastoralists, both men and women. The implementation of SLWM practices and climate smart techniques have the potential of offering a series of advantages to local communities such as greater yields, improved soil fertility or fodder availability. Local communities will benefit from an increased production and access of forest products, especially firewood, lumber and ligneous and non-ligneous products such as gum, resins, roots, leaves, barks, fruits and pharmacopeia.

5.1.5 Mainstreaming of climate change risk management into development plans Addressing challenges of climate change, the proposed programmatic approach to climate resilient landscape for development will (a) mainstream climate change risk management into national plans and strategies; (b) strengthen the institutional foundation for a future climate change programme in Zambia; (c) assist communities in highly vulnerable areas to identify and address their own climate change adaptation options as part of local development plans; (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) rely on the transformative power of communication technologies.

5.1.6 Strengthening of social capital The Project will include activities towards building the capacity of rural local and community institutions including women and youth associations. Engaging local


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communities in the Project’s on ground activities will also contribute to build social capital in the region and to increase communities’ confidence that sustainable management of their natural resources is a long-term strategy for increasing options for livelihood improvement. Social capital will also be strengthened through the involvement of local, grassroots and traditional organizations as well as NGOs with expertise in the areas of intervention.

5.1.7 Support to other projects and programs By improving agricultural and forestry practices, the project will simultaneously yield climate mitigation benefits and will complement the Zambia Integrated Forest Landscape Project which is helping to create an enabling environment for emissions reductions purchases in the Eastern Province. The project aligns with key national strategies and the country’s Intended Nationally Determined Contribution (INDC). The Project will deepen the current ongoing investment in Western province with subsequent scaling up to other parts of the country. The project is part of the Resilient Landscapes for Development Program in African Drylands and contributes to the landscape pillar of the Africa Climate Business Plan, with a focus on reducing climate risks and vulnerabilities through a mix of interventions.

5.1.8 Enhanced disaster risk management capacity The TRALARD Project aims to reduce livelihood vulnerability and enable climate-resilient growth in key economic sectors. The “Project” objective is to increase the ecosystem resilience and productivity within vulnerable landscapes and enhance the disaster related preparedness of Zambia. The project supports one of the poorest regions in the country by integrating livelihood improvements and climate resilience with natural resource sustainability.

5.1.9 Improved climate resilience The implementation of SLWM practices will enable farmers and communities to adapt, and become more resilient to climate change by increasing food production, enhancing food security and restoring productive natural resources. The uptake of sustainable land and water management practices will promote sustainable management of natural resources (land, water and vegetation) on croplands, rangelands, and dryland forest ecosystems in Zambia, protection of threatened dryland biodiversity, protection against erosion and desertification, and the carbon sequestration potential. Enhanced hydro-metrological services will help famers and communities to better plan and prepare the weather variabilities and risks associated with disasters.

5.1.10 Maintenance of ecosystem services The promotion and training in climate-smart agriculture will ensure more sustainable land management, further contributing to improving the integrity of the landscape and maintenance of ecosystem services (promoting clean air, reduction in soil erosion, and contribute to flora and fauna).

5.1.11 Protection of protected areas The integrity of biodiversity will benefit from the alternative livelihood and energy sources that are currently causing encroachment onto protected areas such as game management areas and national parks. This will reduce risks to the nature-based tourism on which


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Zambia depends (tourism was defined as a priority sector in the Industrialization and Job Creation Strategy 2013, and earned $200million in 2009)7.

5.1.12 Contribution to achieving SDGs The Project will contribute to alleviate living conditions of the Zambian people through its integrated approach to resilient landscapes development. On-farm production is a particularly important income source in Zambia: 70 per cent of rural households earn more than three-quarters of their income from on farm sources. The declines in agricultural productivity and poverty are a bi-directional relationship. Thus, by addressing landscape level management the project will make a contribution so Zambia can advance towards achieving several of the SDGs.

5.1.13 Gender- and vulnerable persons-sensitive development impact Since households headed by females are more likely to be impoverished than their male counterparts and consequently levels of poverty more likely to be higher among households that are headed by elderly persons, the participation of women is crucial for the success and sustainability of the interventions under this project. Women are key beneficiaries of this project and their inclusion in this Project is expected to have a positive impact on their livelihoods.. Interventions will involve initiatives and products that particularly concern women such as the use of non-timber products (for example wild plants for food and medicines), efficient cook stoves (which have the potential of reducing work load and health hazards for women and children), and some income generating activities. Furthermore, climate change impacts such as increased water and wood scarcity, decline in household food availability, increased financial constraints, and migration of some or all members of the household in search of improved livelihood may especially affect women. The implementation of SLWM practices have the potential of offering a series of advantages to women such as shorter wood or water collection time (walking longer distances to find wood or water, forces women to reallocate time from other productive tasks and child-rearing responsibilities).

5.2 POTENTIAL NEGATIVE ENVIRONMENTAL IMPACTS The potential adverse environmental and social impacts of the TRALARD project are numerous, although moderate to low and this ESMF highlights these impacts which are broad and cross cutting in nature. However, the specific adverse impacts for each investment will be distinguished during the preparation of the specific EIA reports and EMPs based on the sub project investment environmental category once the screening process is complete. The ESMF includes a list of prohibited activities, which cannot be financed under the project due to the potential risks associated or due to regulatory restrictions.

5.2.1 Soil degradation Since soil is a living, dynamic resource, made up of different sized mineral particles (sand, silt and clay), organic matter and a diverse community of living organisms, cultivation of crops can contribute to soil degradation impacting on soil quantity (by increased rates of erosion and soil removal at harvest) and soil quality.

7 Zambia Development Agency, Tourism Sector August 2014


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5.2.2 Soil erosion The clearing of vegetation for the agriculturaland construction activiites has potential to increase the erosive potential of soil. Soil erosion can be a significant issue especially since erosion rates in tropical agro- ecosystems are usually greater than the rate of soil formation. The physical loss of soil by erosion is influenced by a range of factors including rainfall and irrigation, wind, temperature, soil type, cultivation disturbance and topography. If irrigation application is inefficient or rainfall is high, water loss is generally experienced coupled with the loss of valuable soil from the farm fields. This usually occurs on cleared bare land.

5.2.3 Habitat destruction Areas will be cleared to pave way for infrastructure, quarry and borrow pit development, and crop cultivation. Land clearance not only results in the direct loss of species and habitats, but underlies a range of wider impacts on land-use change, ecosystem function, including changes to hydrology and increased soil erosion.

5.2.4 Loss of Fauna Potential investments may generally fragment ecosystems, isolating species population and cutting off migrations and other movement. For example, dams will block the upstream and downstream passage of migrating aquatic animals. This will isolate them from vital spawning and feeding areas. Many fish and invertebrates inhabit the river bottom, but these habitats will decline due to depletion of riverbed gravels. Destruction of wild fauna habitat due to construction (on site and along road rehabilitation profile/borrow pit sites).

5.2.5 Economic and environmental impacts of soil erosion The loss of soil by erosion is a major problem that can affect future yields and ultimately limit the sustainability of crop cultivation by redistributing or removing soil organic matter and nutrient- rich material. Soil erosion also represents a substantial environmental threat from the washing of sediments, which are often polluted, into nearby waterbodies.

5.2.6 Decreased Air Quality Airborne dust will be caused by excavation, vehicle movement hence engine combustion and materials handling, particularly downwind from the construction sites during the construction phase of the identified investments. Uncovered stock piles of gravel are another source of dust. Air pollution will be further caused by emissions from vehicles and construction machinery. There will be decreased air quality due to dust, suspended particles, hydrocarbon vapours, oxides of nitrogen and sulphur (NOx and SOx) and Volatile Organic Compounds (VOC) among other emissions.

5.2.7 Loss of vegetation There will be vegetation loss during the construction phase (for project investments) to pave way for access roads, actual project construction among others. The construction works will involve direct land take of productive pasture land and agricultural lands, bush clearing, removal of top soil, excavation and mass haulage. These activities will expose the land to elements of erosion such as wind and water and thus will trigger the process of land degradation.


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5.2.8 Soil compaction A particularly significant impact of construction vehicles and cultivation on soil physical characteristics is compaction resulting from a loss of soil structure. Loam-rich soils are more vulnerable to compaction than clays or sands, and compaction risk increases with soil moisture content.

Soil compaction increases bulk density and soil strength, restricting the rooting ability of the crop, and decreases porosity and water infiltration rate, which can negatively affect the soil meso-fauna. Soil compaction may particularly affect invertebrates in the upper strata of the soil, and it is in this zone where numbers of certain invertebrates is greatest. Increased rates of surface water runoff due to reduced infiltration can also alter peak flow leading to flooding events.

5.2.9 Change in Hydrology Abstraction of water for bulk water storage such as the creation of dams, will have impact of the hydrological flow of the riverine system. The impact will affect the general hydrological flows including current existence of water bodies.

5.2.10 Decreased Water Quality Increase in suspended particles due to clearing activities and construction works for check and earth dams; risk of human contamination from construction camps; and competition for water will affect the water quality especially where investment projects are close to natural water bodies. Suspended particles including soil from the neighbouring catchment area will contribute to this.

5.2.11 Downstream Impacts of check dams Changes to the low flow regime may have significant negative impacts on downstream users, whether they abstract water (drinking supplies) or use the river for transportation or hydropower. Minimum demands from both existing and potential future users need to be clearly identified and assessed in relation to current and future low flows. The quality of low flows is also important. Return flows are likely to have significant quantities of pollutants. Habitats both within and alongside rivers are particularly rich, often supporting a high diversity of species. Large changes to low flows (±20%) will alter micro-habitats of which wetlands are a special case. It is particularly important to identify any endangered species and determine the impact of any changes on their survival. Such species are often endangered because of their restrictive ecological requirements. As a result, in the cumulative impact analysis which would be done for each investment the impact of a given project on those people should be considered. The most important mitigation measures are the release of good quality Reserve Flows capable of maintaining important environmental services, and satisfying downstream water requirements. In addition, the measures taken in the catchment areas in order to improve the longevity as well as the operation of the multipurpose dams could affect the livelihoods means of the people living upstream.

5.2.12 Changes in downstream morphology of the riverbed and banks The impact of the proposed water harvesting investment projects like dams and irrigation channels on downstream habitats will be through changes in the sediments load of the


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rivers. All rivers carry some sediment as they erode their watershed. When the river is held behind a dam in the reservoir for a period of time, most of the sediment is trapped in the reservoir and settle to the bottom. Clear water below the dam will recapture its sediments load by eroding the downstream bed and banks. Eventually all the erodible material on the riverbed below the dam will be eroded away, leaving a rocky streambed, and a poorer habitat for aquatic fauna. However, this is a phenomenon that will be experienced up until the river reaches new sediment load equilibrium. Proposed investments may affect and change downstream water quality and will manifest in change in river temperature, nutrient load, and turbidity; dissolve gases, concentration of heavy metals and minerals. For example, for dam projects, when river water is held in a reservoir for a period of time, the quality of the water is affected. When a reservoir is first firmed, submerged vegetation and soil decomposes. As it does so it will deplete oxygen in the reservoir water. Deoxygenated water can be lethal to both plant and animal lives.

5.2.13 Dam safety related impacts and Flooding Poor dam design and maintenance may lead to dam breakage and therefore flooding that may lead to deaths and destruction of property. In case of dam break, it can have far reaching impacts on the downstream communities. Emergency plans and procedures will have to be developed to handle such an incidence. Although its occurrence may have far reaching consequences, the impact can be mitigated and the probability of its occurrence will be minimized through dam safety plans, inspection procedures and disaster management procedures and thus the magnitude of this impact is expected to be medium negative.

5.2.14 Impact of Irrigation inefficiency on water availability Poor management of irrigation system can result in losses of water such that only a certain percentage of water withdrawn for farming reaches the crop and the rest is lost from irrigation channels by evaporation and through runoff from the field.

5.2.15 Solid and Liquid Waste Generation Risks Solid waste issue is a potential adverse impact that will be as a result of abandonment of litter/construction materials on site, use of plastic container/bags by road users and the construction crew and use of polythene sheet for curing by the contractor. Construction camps may be a further source of both solid and liquid wastes.

5.2.16 Borrow Pits and Quarry Sites Borrow pits and quarries will be used as sources of construction materials such as stone, sand, gravel, till, clay, or other granular soils for construction of the various infrastructure development investments. The term ‘pit’ is used when granular material is extracted. The term ‘quarry’ is used where consolidated rock is removed. Environmental impacts of pit and quarry development can include the loss, reduction or disturbance to wildlife and habitat, erosion, dust, soil/groundwater contamination, damage to historic resources, waste disposal, noise, and aesthetics.

5.2.17 Noise and Vibration Impacts Construction activities – blasting, dredging, could result in significant noise impacts so as to impact on general well-being, health and functioning. Large scale infrastructure developments involve the use of heavy equipment (graders, drilling equipment, trucks, blasting equipment, tractors, and excavators) for among others rock blasting, excavation,


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and vehicular movement that emit incessant noise usually harmful to the environment. Introduction of new sources of noise is an issue in areas where ambient noise levels have been low.

5.2.18 Aesthetic and visual impacts Unsightly earthworks and borrow pits during construction may be a source of visual related impacts especially through scarring of landscapes. During operations, visual intrusion of equipment on site may be seen as a negative impact at the local level.

5.3 POTENTIAL NEGATIVE SOCIAL IMPACTS

5.3.1 Occupational health and safety hazards During the construction period, employees will be subjected to occupational health and safety risks arising from accessing heights, handling sharp equipment and machinery, ergonomic risks from lifting heavy loads and air pollution from dust.

Another source of occupation safety and health risks includes blasting. Blasting is used to loosen or break up rocks for removal. It is used during excavation of bedrock. Potential impacts include impact on air quality from dust emission fly rock and debris, noise and explosive detonation effects on people and structures.

5.3.2 Impact on public human health Impoundment of water in dams, over-irrigation or inefficient irrigation systems that leave water standing in fields can enhance the incidence of water-borne parasitic infections such as Bilharzia (schistosomiasis) or can promote the breeding ground malaria causing mosquitoes. There is a potential risk that the construction process for most of the investment projects could increase HIV/AIDS prevalence in the project areas especially through interactions of the locals with the labour forces. Increase in risk of sexually transmitted diseases, such as HIV/AIDS etc. due to influx of migrant workers; solid waste and effluent discharge from construction camps; risk of increase in vectors of schistosomiasis, river blindness, Lymphatic filariasis (elephantiasis) and malaria due to stagnant water associated with construction works/borrow pits etc. (targeting bulk water supply schemes, flood management, dams, roads, ports, bridges, housing etc.).

5.3.3 Increased traffic Traffic congestion from construction and operation phases of the investments and which could potentially cause disruption, health and safety impacts, as well as economic impacts. The use of heavy moving construction vehicles and machineries in project sites is generally known to cause traffic reducing movement and flow of vehicles. It is also further envisaged that with the improvement of the transport sector (i.e. construction, rehabilitation of feeder roads, culverts and bridges) the traffic volumes and speeds will increase, and composition will change. This is likely to cause increased frequency and severity of accidents.


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5.3.4 Loss of Land There will be loss of farm land, grazing land, business and structures among others by the local communities owning the land. The construction of dams, bulk water supply systems, among others. The existing land use of the project area will be affected by the construction of access roads, construction camps, opening up of material sites and quarry sites among others. These will scar the land, cause vegetation loss leading to soil erosion. The construction activities in almost all the sectors will involve a relatively high degree of land take bearing in mind that most of the projects are linear in nature thus requiring adequate land and space. There are populations who may lose their land, assets and means of livelihood due to infrastructures and programs needed for the investment under the project especially when investments such as roads and bridges, water harvesting structures, among others are considered.

5.3.5 Impact on social fabric and community relations Social fabric is also likely to be affected by the in-migration of people seeking better economic activities offered by the project or those seeking job opportunities.

5.3.6 Resource Use Conflicts Increasing dam construction investments and as a result in the increase in the amount of land for infrastructure could cause conflict between those with different water needs such as agriculturists and pastoralist, fishery, household use, to name some. Flood control investments could limit the access of those who use the flood plain for cultivation. The investments that are forming users’ associations should make sure they are inclusive of all users and groups, including women, pastoralists, agriculturists, businesses in the area, fishermen, among others. The project can cause some changes in social processes such as demographic change and resource-use conflicts.

5.3.7 Gender Issues and Impacts Women have different needs and use of water including for domestic household use, small households plots for agriculture, for animals among other things. Construction of dams, bulk water storage facilities can limit women access to water for such needs. As a result, different needs of women with respect to land and water use should be taken into consideration when designing the investments under TRALARD to avoid their potential discrimination from access to land and water as a result of the project.

5.3.8 Impacts on Vulnerable Groups Vulnerable groups include special marginalised groups, poor orphans, and child headed households, the sick or poor, poor elderly and female headed households among others and who may be adversely affected by the proposed investments especially in the event that their status as vulnerable or marginalised groups is not considered in the preparation of the specific investments. In order to ensure that vulnerable groups are given special attention, a vulnerability assessment will be undertaken as part of the RAP and a plan for target support and or livelihoods restoration prepared to address the needs of the vulnerable persons.


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5.3.9 Potential In-migration Impacts The influx of workers and followers can lead to adverse social and environmental impacts on local communities, especially if the communities are rural, remote or small. Such adverse impacts may include increased demand and competition for local social and health services, as well as for goods and services, which can lead to price hikes and crowding out of local consumers, increased volume of traffic and higher risk of accidents, increased demands on the ecosystem and natural resources, social conflicts within and between communities, increased risk of spread of communicable diseases, and increased rates of illicit behaviour and crime. Such adverse impacts are usually amplified by local-level low capacity to manage and absorb the incoming labour force, and specifically when civil works are carried out in, or near, vulnerable communities and in other high-risk situations. The increase in the number of people in a specific project area or site especially during construction has the potential to lead to a number of negative socio-economic impacts, including increased insecurity and community conflicts, increased incidences of diseases; increased risk of accidents and occupational hazards; and immigration of construction workers and labour force management challenges. The construction activities of sub project investments may require recruitment of “foreign” skilled and unskilled labour that could trigger conflict, resentment and tension by the local communities over perceived inequities in distribution of job opportunities by the local communities.

5.3.10 Increased Crime The increase in the number of people in a specific project area or site especially during construction has the potential to lead to a number of negative socio-economic impacts, including increased insecurity and community conflicts, increased incidences of diseases; increased risk of accidents and occupational hazards; and immigration of construction workers and labour force management challenges.

5.3.11 Employment Issues The construction activities of sub project investments may require recruitment of “foreign” skilled and unskilled labour that could trigger conflict, resentment and tension by the local communities over perceived inequities in distribution of job opportunities by the local communities.

5.4 PROPOSED MITIGATION MEASURES Table 6-1 below discusses the proposed mitigation measures for the potential project impacts identified in the previous section. The proposed mitigations measures are meant to avoid, reduce or compensate for the identified adverse impacts.


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Table 5-1. Proposed mitigation measures

S/N Impact Proposed Mitigation Measure

Potential Negative impacts

1 Soil degradation


- Re-vegetate cleared areas as early as possible using native plant species - As much as possible, avoid construction work in the rainy season - The change in soil texture which comes about as a result of soil compaction due to the use

of heavy equipment such as front-end loaders, bulldozers, and other construction vehicles will be ripped to allow for water retention. This will also assist with reducing runoff on cleared surfaces.

2 Impact on soil as a result of fuel handling

- To limit, contain, and manage the impact of spillages, dispensing points will have drip pans while fuel tanks/drums will be contained in a bund of sufficient capacity and will stand on an impervious surface.

- To limit the amount of spills during transfer from drums to vehicles, hand pumps will be used. Sturdy, non-leaking containers will be used for storage of fuel and oils.

- Hazardous waste such as waste oil and sludge will be handled differently; waste oil will be stored for sale to recyclers or those using the oil as a source of energy.

- Except for minor or emergency cases, all repair and maintenance works will be carried out offsite at the construction campsites.

3 Soil erosion

- Carry out the construction of the road and accompanying culverts during the dry season. - Carry out construction activities as quickly as clearing is done to further reduce the impact

of surface runoff into the nearby surface water body. - Keep disturbed areas to a minimum - Carry out progressive as well as end of operation rehabilitation on disturbed areas. - Practice topsoil stripping and stockpile for use when rehabilitating the site. - Revegetate cleared areas with species consistent with the surrounding vegetation. - Maintain drains on either side of the road to ensure that runoff from roads and other

impervious surfaces - Clean drains on a regular basis especially just before the onset of the rains to prevent

blockages and subsequent overflow.

4 Habitat destruction and loss of fauna

- As far as possible, preference will be given to siting of project investments, particularly physical infrastructure, on lands that have already been converted to other uses. Thus, developing projects that involve significant conversion or degradation of critical habitats, critical forest areas, natural areas of cultural or religious value, protected areas, or areas of high conservation or biodiversity value, will be avoided.

- Avoid unnecessary exposure and access to sensitive habitat areas - For identified or suspected sensitive habitats (swamps/ wetlands), regular inspection or

monitoring should be carried out in the area prior to start and during work. - If sensitive habitats are encountered, Project activities should cease and the Project should

consult the project E&S Safeguard Specialist to determine the appropriate course of action. - If the project site is discovered as a sensitive habitat area, the Project should engage the the

project E&S Safeguard Specialist to develop a suitable plan. - Prohibition on hunting and consumption of bush meat by workforce

5 Air pollution due to emission of dust

- Regularly water down cleared areas to reduce emissions of dust. - Use dusk masks in the event of excess dust being generated. - Keep disturbed areas to a minimum - Re-vegetate bare areas as soon as possible - Minimise vehicle movements and speed.

6 Waste generation and disposal impacts

- No littering will occur at work sites and all waste will be regularly removed and disposed off at the end of each shift.

- Store all solid wastes on site and removed from the site to an approved waste disposal site. - For storage, solid waste will be located in covered, leak proof containers. - Remove all waste materials and redundant equipment from work sites soon after operations

end and no burying of non-biodegradable materials or burning of wastes will be permitted. - Look for opportunities for recycling and/or reuse for all recoverable materials with residual

value such as scrap metal, wood paper, and plastic or sold to other users. - Hazardous waste such as waste oil and sludge will be handled differently; waste oil will be

stored for sale to recyclers or those using the oil as a source of energy.


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7

Impacts on land, noise, and air quality from borrow pit and quarry operation

- Carry out progressive as well as end of operation rehabilitation of disturbed areas. Practice topsoil stripping and the salvaged soil will be stockpiled for use when rehabilitating the site. At rehabilitation, the topsoil will be re-spread and, where appropriate, the area re-vegetated with species consistent with the surrounding vegetation.


- Storm water cut-off drains will be constructed around the perimeter of the borrow pit. At the end of the construction period, the borrow pit slope will be re-designed by reducing the slope angle so that access into and egress can be made a lot easier.

- Blasting activities will be limited to day-times only considering that noise emission and vibrations are more pronounced during the night

- Undertake regular inspection and maintenance of machinery and equipment with a potential to generate noise

- Locate noise generating sources away from residential or noise sensitive receptors. - Depending on circumstances, the intensity and frequency of the noise, there may be need

for the use of noise suppression shields and mufflers.





9 Impact on Climate Change

- The improved roads will ease traffic flow which in turn will reduce gas emissions. - Tree planting along the road vicinity with community participation since vegetation cover

serves as CO2 sinks. In addition, there will be control against over clearing of vegetation. - There will also be control over the type and condition of machines and equipment that emit

fumes. During the construction period, drivers and mechanics will be educated and sensitized on limiting vehicle idling and maintain vehicle fitness, over-speeding and vehicle fitness.

- There will be need for strict monitoring and inspection of contractor’s plant and equipment.

Potential Negative Social Impacts



- Provide all workers with personal protective equipment (PPE) including hard hats, high-visibility vests, safety boots and gloves and life vests


- Train workers in fire fighting techniques and the use of fire fighting equipment. Fire fighting equipment will be visible and the location easily accessible. Fire drills will be held regularly.

- Store flammable materials away from ignition sources. - Demand that all contractors to implement an Environmental, Health and Safety (EHS) plan

which will outline procedures for avoiding health and safety incidents and for emergency medical treatment. This will be achieved by making it a component of contractual agreement.

- Contractors will be required to wear suitable Personal Protective Equipment (PPE) including hard hats, high-visibility vests, safety boots and gloves and life vests as appropriate in accordance with the EHS plan.

- Ensure that the construction sites are closed off to the general public and access will be by permission only

2 Impact on public health




3


- Use the pre-construction surveys to identify cultural heritage resources and existing ecologically sensitive areas that the project should avoid and by-pass these resources.

- Implement a chance find procedure and reporting system to be used by contractors in the event that a cultural heritage feature or ecologically sensitive item/issue is encountered.


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4 Traffic safety

- Trucks carrying construction materials such as sand, quarry dust, laterite etc. will have the buckets covered with tarpaulin or appropriate polythene material from or to project site

- To improve road safety conditions for motorists and other road users, a number of measures will be put in place. These will include installing adequate signage of appropriate size and colour to aid visibility and constructing speed retarders at certain sections of the road such as where there are schools, churches, and generally where the population is concentrated.

- Only road worthy vehicles/trucks should be used - Only experienced drivers/operators should be employed - Except for areas secured by fencing, all active construction areas will be marked with high-

visibility tape to reduce the risk accidents involving pedestrians and vehicles. - All open trenches and excavated areas will be backfilled as soon as possible after

construction has been completed. Access to open trenches and excavated areas will be secured to prevent pedestrians or vehicles from falling in.

5 Physical displacement

- All affected persons to be given relocation assistance (cash or kind) by the Project to enable them move their properties to new locations, i.e. in accordance with the Resettlement Policy Framework (RPF)

- Resettlement Plans will be required. If a site is acquired, the State may relocate persons and their families as well as community facilities to be affected. The affected families should not be made to incur any cost during the relocation period. A resettlement plan should be prepared for this area with the RPF as a guide.

6 Loss of Employment and livelihoods

- Those whose livelihood is affected should be assisted to ensure they will not be worse off as a result of the project. This can include livelihood assistance, provision of new jobs immediately without any loss of income. The social assessments and socio-economic surveys, which will be undertaken for the preparation of individual investments/subprojects as well as the resettlement action plans, should assess these issues and provide measures in accordance with the Resettlement Policy Framework (RPF).

- Contractors should use local labor as much as possible and where available. As much as possible, all unskilled labor should be contracted or obtained from the local community.

7 Loss of land and other assets

Due process should be followed to establish the true owner of any land, be it family or communal land. Once established, the project should acquire the site by paying appropriate compensation in accordance with the resettlement policy framework (RPF), which would be the replacement cost of the assets lost.

8 Loss of structures/properties

- For a project site to be used, irrespective of the land ownership, appropriate compensation should be paid for any structures/ properties which are permanent structures at the site as well as investment made for any development on the land.

- Appropriate compensation should be paid for any damaged or destroyed propriety that belongs to affected persons. No depreciation during valuation of these properties. The compensation process should satisfy the RPF developed for the project.

9 Impacts on recreation and public areas


10 Impact on community relations and social fabrics

- Measures will be considered in the projects’ design to ensure that communities are not divided and if they are as a result of a project appropriate measures are taken to mitigate this impact.

- Use local employment as far as it is practical to do so unless the required expertise cannot be found locally

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Impact on gender access to water for household use and household plots as well as impact on pastoralists and fisheries.

- The project will take into consideration the different needs for water and types of access which will be affected for each of these groups and provide relevant mitigation measures which will be decided with those affected.

- Some mitigation measures could include water points for household use and livestock; livelihood assistance to those whose whole or partial livelihood will be affected as a result of some of the possible investments such as dams. Specific impact and relevant measures will be covered by project specific social assessment.

12

Impacts on vulnerable groups (orphans, child and women headed households, the sick, elderly etc.)

- The project will ensure that all the vulnerable groups are identified and profiled and specific plans are designed for each investment to consider the wellbeing of the vulnerable and marginalised groups identified.

13 Potential in-migration impacts

Engage locals as far as it is practical to do unless the required expertise cannot be obtained locally.

14 Downstream Impacts of dams and other water



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infrastructure e.g. bulk water supply,

15 Dam Safety Impacts - Ensure dam is designed by specialists; - Institute a dam safety panel and develop a dam safety plan for all dams

16 Construction Camp Impacts

- Prepare Waste Disposal Plan for every construction site - Install waste disposal receptacles and signs in strategic places within the construction camps - Provide training and awareness on need to avoid littering - Ensure the construction camps have toilets and connected to the sewer system

17 Labour and Employment Related Impacts


- The project to prepare redundancy plans and packages to be discussed with affected workers which will include re- training and re- tooling of affected workers and aim to avoid labor strife.

18 Stresses on housing

- To alleviate stress on the quality and/or affordability of housing within the project area during the project construction phase, the contractor will, as far as possible, offer employment opportunities to the locals.

- In addition, the contractor will set up construction camps to accommodate workers.



- Mandatory use of ear muffs/plugs where workers are exposed to elevated sound levels - The timing of carrying out activities that generate noise and vibration will be limited to day-

times only. - Regular inspection and maintenance of machinery and equipment with a potential to

generate noise

5.5 SCREENING, REVIEW, CLEARANCE AND IMPLEMENTATION OF SUB-PROJECT

SAFEGUARD INSTRUMENTS

5.5.1 Screening of Investment Projects When the sub-project details such as scope and location are established, screening of investments will be carried out at the stage of identification and selection of subprojects. Screening will identify whether the subproject has the potential to cause significant adverse impacts on the environment and society, and thus ensure that environmental sound design of the sub projects occurs right at the project design phase. The screening shall take into account the potential impact of the subprojects on performance of environmental and social management regarding but not restricted to following aspects: emission, wastewater discharge, waste management and disposal, occupational health and safety, periodical environmental quality monitoring, land acquisition, compensation, physical relocation, livelihood restoration and vulnerability of the people in accordance to the national requirements. Some projects will not be ineligible for investment. The ineligibility criteria include the following: (i) prohibition under a World Bank policy, e.g., significant degradation or conversion

of critical natural habitats, critical natural forests, etc.; (ii) contravention of the country obligations under relevant international environmental

treaties, e.g., Montreal Protocol or Stockholm Convention, etc; and (iii) environment and social impacts so complex and adverse that are beyond the

capacity of the TRALARD project to manage.

A subproject that falls under one of the ineligibility criteria will not be eligible for project investment.


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5.5.2 Screening procedure At district level, the Environmental Planner will carry out screening using the checklist provided in Annex 3. The screening checklist will then be submitted to the E&S Safeguard Specialist at the provincial centre. Based on the submitted screening checklist, the E&S safeguard specialist will then determine whether:

▪ Full environmental and social assessment is required; ▪ A stand-alone environmental and social management plan (ESMP) is what is

required; or ▪ No further environmental assessment required.

If the subprojects only bring about positive impacts and/or causing minimal or no adverse impact, it is appraised as environmental eligible and beyond screening; no environmental assessment action is needed.

In the event that the screening shows that there are minimal or no impacts (as determined using the checklist), the District Environmental Planner must consult with the Environmental and Social Safeguard specialist for confirmation. Once an agreement is reached, the environmental planner may proceed with the minimum regular reporting requirements which will be discussed and agreed with the provincial project office and the E&S Specialist. When there may be doubt concerning subproject risks and impacts, the environmental planner, in consultation with the district and/or provincial project office will consult with the project E&S Specialist for guidance.

5.5.3 Determination of level of Environmental Assessment required If significant impacts are anticipated, then the E&S safeguard specialist will consult with the project E&S safeguard specialist at the NPCU who will then ensure that ZEMA must be consulted and determination of Environmental Assessment (EA) procedures duly followed.

5.5.3.1 If the thresholds are clear If its determined that an EA is required, the Provincial E&S safeguard specialist will, in consultation with the Project E&S Safeguard Specialist use the EIA regulations, SI 28 of 1997, which differentiates projects into two groups as indicated in schedules I and II of the regulations. The classification is based on project type and the associated thresholds.

According to regulation 3 and 7, the requirement for an EPB or an EIS applies to: a) a developer of any project set out in the First (EPB) or Second (EIS) Schedules,

whether or not the developer is part of a previously approved project; b) any alterations or extensions of any existing project which is set out in the First (EPB)

or Second (EIS) Schedules, or; c) any project which is not specified in the First (EPB) or Second (EIS) schedules, but

for which ZEMA determines an EPB or an EIS should be prepared.

Environmental Project Brief


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Projects with less significant impacts will require that an Environmental Project Brief (EPB) be prepared and submitted to ZEMA for consideration. The NPCU will contract an environmental consultant to prepare an EPB.

According to regulation 4 of the EIA Regulations, SI 28 of 1997, if the decision is to prepare an EPB, the developer shall prepare an EPB taking into account the following:

a) the site description of the environment;

b) the objectives and nature of the project and reasonable alternatives; c) the main activities that will be undertaken during site preparation, and construction

and after the development is operational;

d) the raw and other materials that the project shall use;

e) the products and by-products, including solid, liquid and gaseous waste generation;

f) the noise level, heat and radioactive emissions, from normal and emergency operations;

g) the expected socio-economic impacts of the project and the number of people that the project will resettle or employ, directly, during construction and operation etc;

h) the expected environmental impact of the project; i) the expected effects on bio-diversity, natural lands and geographical resources and

the area of land and water that may be affected through time and space; and j) A description of adverse mitigation measures and any monitoring programmes to be

implemented.

The Project E&S Safeguard specialist will then submit six copies of the EPB to ZEMA after payment of an appropriate review fee. The fee is calculated based on the cost of the project as provided in the Fifth Schedule.

Full Environmental Impact Assessment Projects in Annex 5, with significant impacts, will require that a detailed Environmental Impact Assessment be carried out and an ESIA report prepared and submitted to ZEMA for approval. An environmental consultant will be contracted by the NPCU.

If an investment project will be subjected to a detailed assessment, the following sections will apply: For investment projects, where a full EA is required, the EA process is carried out in the following steps, also as shown in figure 7-2, and includes: a. impact screening, b. scoping and Terms of Reference preparation (refer to Annex 5) c. baseline studies, d. impact evaluation, e. identification of mitigation measures, f. assessment of alternatives g. environmental and social management and monitoring plan h. report compilation, and i. disclosure.

The prepared ESIA report will be disclosed on the WB, NCCS and ZEMA websites as part of stakeholder consultation.


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Figure 5-1. The process guiding the ESIA

Source: EIA Report for the Lufubu Hydropower Project

5.5.3.2 If the thresholds are unclear However, if the project’s thresholds are not clearly defined in either of the schedules, the Project E&S Safeguard Specialist, writes to ZEMA describing the project and the environment surrounding the project. ZEMA then determines whether an EPB or a full EIA should be prepared.

5.6 LICENSING AND PERMITTING Different aspects of the subprojects may require that licenses and/or permits are obtained from various government organs or agencies for example: Effluent discharge ZEMA


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Air emission ZEMA Waste transportation and disposal ZEMA Hazardous waste management ZEMA Water abstraction WARMA Planning Council or Provincial Planning Authority

5.7 EIA MONITORING AND EVALUATION EIA monitoring of approved investments will be done at different levels: Monitoring by the District Environmental Planner and periodically by the Provincial or Project E&S Safeguard specialist using monitoring checklist derived from the environmental management and monitoring plans of the ESIA reports. When the monitoring is done by the former, the report will be submitted to the latter who will then make copies available to the bank and other stakeholders. ZEMA inspectors carry out periodic inspections of approved and licensed projects. Environmental audits are also carried out as ZEMA deems necessary. Different environmental and social issues will be monitored at different stages and frequencies as they fall due. Periodic monitoring shall be undertaken based on the activities conducted, in order to:

▪ Improve environmental and social management practices; ▪ Check the efficiency and quality of the Environmental & Social Assessment

processes; ▪ Establish the scientific reliability and credibility of the Environmental & Social

Assessment for the project; and ▪ Provide the opportunity to report the results on safeguards and impacts and proposed

mitigation measures implementation. Monitoring will focus on three key areas: a) Compliance monitoring; b) Impact monitoring; and

c) Cumulative impact monitoring.

The report will then be submitted to the Project E&S safeguard specialist at NPCU.

5.8 OVERALL PROJECT COMPLIANCE AND REPORTING The ESMF will be implemented by the TRALARD executing agencies. The implementing agency will collaborate with the safeguards specialist at provincial level and NPCU to ensure effective execution. Table 7-1 below provides a summary of the stages and institutional responsibilities for the screening, preparation, assessment, approval and implementation of the sub-project activities.

Table 5-2: Coordination Responsibilities.

Stage Institutional Responsibility

Implementation Responsibility

Screening using checklist Contracting institution District Environmental Planner Safeguard specialists

Determination of appropriate environmental assessment level

PIU/NPCU if thresholds are known

-


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ZEMA if thresholds are not known

Selection validation World Bank - Implementation of environmental assessment

Contracting Authority Environmental Planner

If ESIA is necessary Selection of Consultant Contracting Authority/

Procurement Office Procurement Officer/ Project Safeguard Specialist

Preparation of Terms of Reference NPCU Safeguard specialists Consultant

Validation of ESIA/ESMP TOR ZEMA/ World Bank PIU Safeguard Specialist Realization of the EIA, Public Consultation Integration of environmental and social management plan issues in the tendering and project implementation

Contracting Authority/Procurement Office/Consultancy firm/Contractor

Consultant/ Project Safeguard Specialist

Review and Approval ZEMA/ World Bank/ Contracting Authority

ESIA Approval (high-risk B) ZEMA/ World Bank Simple ESMP Approval (Category B) Contracting Authority Environmental Planner Public Consultation and disclosure Contracting Authority/ ZEMA Contracting Authority/ Safeguard

Specialist Evaluation and monitoring Contracting Authority/ZEMA/

World Bank/ NCPU Unit Environmental Planner/ NCPU Safeguard Specialist/Contracting Authority

Development of monitoring indicators Contracting Authority/NPCU Environmental Planner / NCPU Safeguard Specialist/Contracting Authority

5.9 MONITORING PLANS AND INDICATORS

5.9.1 Monitoring of Environmental and Social Indicators The goal of monitoring is to measure the success rate of the project, determine whether interventions have resulted in dealing with negative impacts, whether further interventions are needed or monitoring is to be extended in some areas. Monitoring indicators will be very much dependent on specific project contexts. Monitoring Levels-Overall Project Level The TRALARD National Project Coordinating Unit (NPCU) in the Ministry of National Development Planning (MNDP) will be responsible for monitoring and reporting on compliance of the ESMF, Table 6-2. The NPCU will take on the overall management of the project and will have technical experts including safeguards. The NPCU will ensure that sub projects investments are screened, their safeguard instruments prepared, cleared and disclosed prior to sub project approval and start of constructions and civil works. The World Bank (WB) will be provided with all safeguard instruments prepared for review and archiving. Further, NPCU will ensure that Contracting Authorities implement or cause their contractors to implement the specific sub project ESMP, and submit reports on ESMP implementation as required. The NPCU will report results of this monitoring to the Bank. An independent audit will be undertaken in year 3 of the project to assess the implementation of the ESMF requirements and compliance with mitigation measures and licensing and regulatory processes.


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Bank’s Monitoring Support The Bank will provide the second line of monitoring compliance and commitments made in the ESMP through supervision albeit in a less frequent manner and detail as compared to the first line of monitoring that will be undertaken by the NPCU. The bank will further undertake monitoring during its scheduled project supervision missions. Specifically, for each year that the investment is in effect, sub project Contracting Authorities within the TRALARD will be required to submit to the NPCU all the monitoring reports and the NPCU will consolidate and summarise these reports and submit to the Bank as part of its reporting to the Bank and the Bank supervision missions will review these reports and provide feedback. Sub Project Level Monitoring The second level of monitoring will be at the sub project level where the safeguard instruments for the investments will and must include a monitoring plan for which the District and Provincial Authorities will be responsible for ensuring that monitoring is carried out. Each sub project investment will set up an implementation unit solely responsible for executing the investment and which will include responsibility for monitoring and reporting all the elements in the ESMP on day to day or periodically as specified in the monitoring plan. The sub project level monitoring reports will be submitted to the environmental safeguards specialist at the NPCU for review and analysis. All sub project investments will be subject to mandatory annual environmental audit /supervision to ensure that they comply with national requirements.

Table 5-3: Monitoring indicator

Monitoring Level Monitoring Issue Verifiable Indicators

Responsibility

ESMF Level

Adequate dissemination of ESMF and RPF to stakeholders

Record of consultations and meetings;

NPCU

Capacity building and training programs

Workshop reports. NPCU

Independent Audit in year 3 of project life

NPCU

Project Investment Level

Preparation of environmental and social impact assessment report

Independent consultants hired to prepare ESIA and/ RAP documents

Contracting Authorities/, Consultants

Environmental permitting Environmental Permits for sub projects Environmental Management Plans

Contracting Authorities / Consultants and ZEMA

Monitoring and evaluation

Monitoring Reports, Annual Environmental Reports

Contracting / Consultants and ZEMA

5.10 PROCESS FOR REDRESS OF GRIEVANCES 1. Procedure


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Despite best efforts with regard to the public consultation and community relations, there will be times when the Project sponsor and stakeholders disagree. All Project affected persons will be informed of their rights to raise grievances pertaining to the project. Mechanisms will be put in place to ensure that grievances are recorded and considered fairly and appropriately. These include: • A register of grievances which will be held by the Community Liaison Officer or any other appointed person by the MNDP; • Receipt of grievances will be acknowledged as soon as possible, by letter or verbal means; • The grievance will be reviewed by the Compensation Committee and appropriate action will be implemented. The preferred course of action will be discussed with the person bringing the grievance. Wherever possible, grievances will be resolved at this level; • Relevant details of grievances, with outcomes, will be made available to the affected parties through the MNDP, who will develop a communication strategy for the grievance redress mechanism for the Project, which should include an explanation of the methods used to carry out the Project’s activities and compensation payments. 2. Unresolved Grievances Unresolved issues will be referred to a credible and independent person or body for arbitration. Where disagreements are severe, disputes could be resolved through community-recognized local institutions such as senior church officials, or other respected civil society figures. There are three main ways in which grievances will be resolved, and these are discussed below. 3. Arbitration The Arbitration Act makes provisions for aggrieved parties to agree to settle disputes out of court through arbitration. In order to use arbitration in the settlement of disputes, the parties ought to make a written agreement to submit a present dispute, or future disputes to arbitration. The parties are at liberty whether or not to name an arbitrator in the agreement. Where an arbitrator is not named in the agreement, the agreement should designate a person who would appoint an arbitrator. 4. Courts of Law It should be noted that arbitration only works where the parties to a dispute agree to resolve a difference through arbitration. Where there is no consent, then a court of jurisdiction may be used to resolve a dispute. 5. Grievance Redress Committee The Project will set up a grievance redress mechanism (GRM) building on both traditional conflict-resolution flows as well as administrative and Project based steps to ensure community members or any stakeholders have an opportunity and means to raise their concerns or to provide suggestions regarding Project-related activities. From the community to the national level, there will be focal persons to receive, record and address grievances, queries and suggestions. A reporting line of received (and addressed) grievances will also be clearly defined, so that the MNDP (national level project unit) will have a full set of data. Complaints will be categorized and recorded at each level of the structure, and consolidated periodically in a national-level grievance database. The database will also be an effective management tool to monitor progress and detect potential obstacles in the Project implementation.


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


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5.10.1 MITIGATION MATRIX Table 6-3 lists the potential environmental and social impacts from the proposed project, the monitoring indicators, and assigned the responsibilities.

Table 5-4. Monitoring Indicators



(input)


(Outcome)


Project Stage

Responsibility

Environmental Issues

1 Soil degradation


- Re-vegetate cleared areas as early as possible using native plant species

- Avoid construction work in the rainy season

- Compacted soil will be ripped to allow for water retention. This will also assist with reducing runoff on cleared surfaces.

- Practice topsoil stripping and stockpile for use when rehabilitating the site.


Visibility of oil on water bodies On site erosion observed Proposed actions implemented No of pollution incidences recorded

Area rehabilitated Proportion of cleared land area for installation









Contractor Project engineers


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(input)


(Outcome)


Project Stage

Responsibility

2

Impact on soil as a result of fuel handling

- Dispensing points will have drip pans while fuel tanks/drums will be contained in a bund of sufficient capacity and will stand on an impervious surface.

- Use hand pumps for fuel transfer

- Store fuel and oils in sturdy, non-leaking containers.

- Sell waste oil to recyclers - All repair and maintenance

works will be carried out offsite at the construction campsites.







3 Habitat destruction and loss of fauna

- Give preference to siting of project investments, particularly physical infrastructure, on lands that have already been converted to other uses.

- Avoid projects that involve significant conversion or degradation of critical habitats

- Avoid unnecessary exposure and access to sensitive habitat areas

- regular inspection or monitoring should be carried out in the area prior to start and during work.

- If sensitive habitats are encountered, Project activities should cease and the Project should consult the project E&S Safeguard Specialist to determine the appropriate course of action.

Cease project activities if a sensitive habitat is discovered in the work area or vicinity Contractor to notify NPCU who will consult relevant government agencies to determine the appropriate course of action. Hazardous material management plan/accident management plan. Awareness raising among contractor personnel

Wildlife incidents recorded and reported to DNPW, ZEMA, FD, WARMA

Number or percentage of terrestrial flora and fauna unaffected by the sub projects Number of workers aware and sensitized on the need to conserve the flora and fauna Impact on terrestrial flora and fauna

Regular self-checks by contractor Spot checks and audit by contractor to the client


Contractors /Project engineers/ NPCU


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(input)


(Outcome)


Project Stage

Responsibility

4 Water pollution

No garbage/refuse, oily wastes, fuels/waste oils should be discharged into drains or water bodies Fuel storage tanks/sites should be properly secured Maintenance and cleaning of vehicles, trucks and equipment should take place offsite. Provide toilet facilities for construction workers Construction activities, including camps to include measures to control runoff

Waste management plan Spill prevention and control plan Water Quality Plan to measure the quality of water for physical, chemical and biological parameters

Visibility of oil on water bodies Procurement and installation of water monitoring and measuring gauges On site erosion observed Proposed actions implemented Quality of water following periodic measurements No of pollution incidences recorded Number of complaints on pollution of water

Increased water quality upstream and downstream shown by periodic measurements Water samples collected showing compliance to water pollution standards



Contractors /Project engineers Project engineers

5 Air pollution

- Regularly water down cleared areas to reduce emissions of dust.

Part of contract agreement

Number of sound machinery and

Percentage of workers following the good practices

Independent check by project engineers

Construction

Contractor/Project engineer


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(input)


(Outcome)


Project Stage

Responsibility

- Use dusk masks in the event of excess dust being generated.

- Keep disturbed areas to a minimum

- Re-vegetate bare areas as soon as possible

- Minimise vehicle movements and speed.

Routine maintenance plan for machinery Purchase of fuel at recognized stations Schedule of works Water surfaces during windy and dry conditions to reduce dust at the site.

equipment purchased Availability of equipment and machinery maintenance plan Frequency of watering of surfaces to reduce dust related impacts

for equipment and machinery maintenance

Verification of maintenance record by project engineers Self-check by contractor

6

Waste generation and disposal impacts

- No littering will occur at work sites and all waste will be regularly removed and disposed off

- For storage, solid waste will be located in covered, leak proof containers.

- Look for opportunities for recycling and/or reuse for all recoverable materials

- Waste oil will be stored for sale to recyclers or those using the oil as a source of energy.



Number of waste bins at site bins Availability of waste disposal plan Final disposal records

Percentage of workers who follow the solid waste disposal plan including use of receptacles Number of workers familiar and aware of the waste disposal plan at the construction sites Proportion of waste reused/recycled

Weekly checks by project engineer



7 Water pollution

No garbage/refuse, oily wastes, fuels/waste oils should be discharged into drains or water bodies


Visibility of oil on water bodies

Increased water quality upstream and downstream

Daily self-checks by contractors

Construction



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(input)


(Outcome)


Project Stage

Responsibility

Fuel storage tanks/sites should be properly secured Maintenance and cleaning of vehicles, trucks and equipment should take place offsite. Provide toilet facilities for construction workers Construction activities, including camps to include measures to control runoff

Water Quality Plan to measure the quality of water including physical, chemical and biological.

Procurement and installation of water monitoring and measuring gauges On site erosion observed Proposed actions implemented Quality of water following periodic measurements No of pollution incidences recorded Number of complaints on pollution of water -

shown by periodic measurements Water samples collected showing compliance to water pollution standards

Periodic reports on performance by contractor to project engineers Spot checks/audits by project engineers

Operation



Construction site maintenance and restoration plan.

Implementation of the plan

Quality of restored landscapes Number of disturbed sites


Construction



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(input)


(Outcome)


Project Stage

Responsibility



successfully restored Area of disturbed sites successfully restored

Social Issues



- Provide all workers with personal protective equipment (PPE)


- Store flammable materials away from ignition sources.

- Demand that all contractors to implement EHS plan

- Close off the construction sites to the general public and access will be by permission only



Number of workers correctly and frequently using PPEs Number of workers aware of the national ambient air quality standards and complying with the same


Construction


2 Impact on public health and safety



ESMP

Vehicle maintenance programme/plan in place

Health and safety incident register

Grievance records

Reduced accidents and hazards in construction sites

Reduced incidence of

Health and safety plan under implementation

Daily self-checks and verification

Construction



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(input)


(Outcome)


Project Stage

Responsibility


Construction site management plan

diseases spread e.g. HIV/AIDS, and other STDs

Increased understanding of workers on measures to reduce STDs/HIV/AIDS etc.

by contractor

Spot checks by project engineers


ESMP Health and safety incident register

Grievance records

Reduction in or increase in accidents due to use of or lack of use of PPEs

ESMP under implementation

Spot checks and observations by project engineers

Periodic reports on performance by contractor to project engineers


Construction


3


Use the pre-construction surveys to identify cultural heritage resources and existing ecologically sensitive areas that the project should avoid and by-pass these resources. Implement a chance find procedure and reporting system to be used by contractors in the event that a cultural heritage feature or ecologically sensitive item/issue is encountered.

Pre-construction surveys / Chance finds procedure

Plan for accidental Cultural Finds

Cultural/ archaeological resources/ existing infrastructure encounter incidence register

Number of workers familiar with the chance find procedures

Chance finds procedure under implementation


Preconstruction and construction and repairs/ recovery

Project Engineers

Contractors


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(input)


(Outcome)


Project Stage

Responsibility


4 Traffic safety

- Trucks carrying construction materials such as sand, quarry dust, laterite etc. to be covered

- Installing adequate signage of appropriate size and colour to aid visibility and constructing speed retarders at certain sections of the road.

- Only road worthy vehicles/trucks should be used

- Only experienced drivers/operators should be employed

- Except for areas secured by fencing, all active construction areas will be marked with high-visibility tape.

- All open trenches and excavated areas will be backfilled as soon as possible

Purchase sound vehicles and trucks /machinery for project Driver qualification and experience recorded Traffic Safety Plan

Traffic incidence records Grievances Recorded

Number of drivers aware and familiar with the traffic safety plan Percentage of drivers who have not committed a traffic offence for the last 6 months Number of compliance (traffic) inspection and checks conducted by traffic department found to be satisfactory

Project engineers to verify

Construction


5 Impacts on recreation and public areas


ESMP Grievance records

Recreational Facilities and areas restored/protected

Warning signs/notices in place

Construction

Contractor Contracting institutions

6

Downstream Impacts of dams and other water infrastructure e.g. bulk water supply,


Environmental Flow Plan

Presence of an Environmental Flow Plan calculated and

Impacts on water uses and livelihoods downstream

Regular spot checks by WARMA

Periodic checks of

Construction

Operation

Contractor E&S Specialist WARMA


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(input)


(Outcome)


Project Stage

Responsibility

approved by WARMA

Installation of Water Monitoring Stations

Procurement of water measuring and monitoring equipment

Availability of Water Abstraction Permit from WARMA

the flows by environmental team

7

Labour and Employment Related Impacts


- The project to prepare redundancy plans and packages to avoid labor strife.

Human Resource Management Plan



Employment Records


Project Engineers

Contractors



- Mandatory use of ear muffs/plugs where workers are exposed to elevated sound levels

- Limit the timing of activities that generate noise and vibration will to day-times only.

- Regular inspection and maintenance of machinery and



Number of workers correctly and frequently using PPEs Number of workers aware of the emissions ZEMA standards and


Construction



79



(input)


(Outcome)


Project Stage

Responsibility

equipment with a potential to generate noise

complying with the same


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6 PROJECT REVIEW, COORDINATION AND IMPLEMENTATION

6.1 INTRODUCTION There are various stakeholder institutions that will have an influence on the operation of the project. These include, local and provincial authorities, planning authorities, environmental regulatory institutions such as ZEMA, traditional authorities, the general population, line ministries and departments whose responsibilities interface with water, land, natural resources and agriculture. However, it is proposed that coordination of this project, which, by and large is on climate change investment, be done through the National Project Coordinating Unit (NPCU) for the Zambia PPCR under the authority of the Ministry of National Development and Planning (MNDP). The Zambia PPCR NPCU has capacity and experience, particularly in project management, monitoring and safeguards; through the implementation of Zambia PPCR Phase I (now completed) and ongoing Zambia PPCR Phase II. The NPCU core team is already familiar with World Bank procedures as evident in the successful six consecutive Implementation status reporting rating for the Zambia PPCR Phase II.

To ensure compliance to environmental and regulatory framework as well as this ESMF, the dedicated environmental and social safeguard specialist in the Zambia PPCR NPCU would work closely with ZEMA, relevant GRZ agencies and department project investment implementers to ensure compliance with any agreed safeguard guidelines related to the project when approved.

The various line ministries and departments (Ministry of National Development and Planning, Ministry of Lands and Natural Resources, Ministry of Water, Sanitation and Environmental Protection, Forestry Department, Ministry of Agriculture, Ministry of Livestock and Fisheries, Ministry of Energy, Ministry of Community Development, provincial administrations and the participating districts will be involved not only in the implementation of the project investment but also the implementation and monitoring of the ESMF. This will be done based on a comprehensive consultation process which will involve engagement by all relevant government stakeholders, civil society actors, potential beneficiaries, and other service providers. The ESMF aims to manage the environmental and social impacts through appropriate mitigation measures that may arise with the implementation of the TRALARD investment project. The successful implementation of the ESMF will depend on the continued commitment of the government through the NCCS and relevant institutions, the capacity within these institutions and appropriate institutional arrangements in these entities. The ESMF provides specific guidance on policies and procedures to be followed in implementing the proposed investment project consistent with the country’s policies and the policies of the World Bank. Roles and responsibilities are clearly defined as well as monitoring and evaluation protocols. In addition, budgetary estimates are provided to support the effective implementation of the environmental and social management plans.

6.2 PROJECT’S INSTITUTIONAL FRAMEWORK

6.2.1 Project Management Coordinating Unit Under Component 4 of the project: Project Management, Coordination, and Monitoring, a Project Management Coordinating Unit (PMCU) will be established within the Ministry of National


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Development Planning (MNDP). The PMCU will report to the Permanent Secretary (PS) of MNDP and will be granted a high degree of autonomy to ensure efficient and timely implementation of the project. The PS may delegate his authority to a senior officer (director level), to whom the PMCU will directly report. The PMCU will be granted operational autonomy to apply rules, criteria, and procedures agreed with the World Bank. The PS, as the accounting officer of MNDP, will delegate financial management, procurement, tender evaluation, selection and contracting responsibilities to the PMCU. Notwithstanding these provisions, the PMCU’s actions will be accountable to the MNDP and subject to review by the Office of the Auditor General. The PMCU is a transitional entity. One of its important roles will be to support development within the current and successor agencies – which would typically implement most of the project’s investment sub-projects and activities – the required capacities for procurement, financial management, monitoring and evaluation, safeguards implementation, and sub-project and activity execution. In the interim, the PMCU will undertake these roles on behalf of those agencies through the services of consulting firms, or by procuring an appropriate Implementation Support Consultancy that would be embedded within each agency. The core roles of the PMCU are fiduciary (procurement and financial management), management and coordination, reporting, monitoring and evaluation, the application of the Investment Framework (including safeguards frameworks), and monitoring of and technical support to the project. It will review the results and recommendations of each pre-feasibility and feasibility study, apply the Investment Framework and make recommendations on investment ready sub-projects. The PMCU will ensure the application of social and environmental frameworks (ESMF and RPF) by assessing the capacity of sponsor agencies to prepare safeguards instruments and to implement safeguards requirements (as the case may be). In the event that sponsor agencies are found to have insufficient capacity in these areas, it will work with the agency to prepare a support plan and TORs, as well as procure the additional required services. The PMCU will monitor the activities of all agencies involved in the project and their consultants, evaluate performance, propose measures to enhance performance and ensure timely implementation, and provide regular reporting to the World Bank. Other responsible institutions directly involved in the implementation of the project components are indicated in the Figure 7-1 below:


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Figure 6-1. Project Institutional Framework

6.2.2 The Ministry of National Development Planning The Ministry of National Development Planning is broadly responsible for the following functions: ▪ Coordinating the setting of the national vision, goals and development priorities and engender

consensus among various stakeholders; ▪ Facilitating the preparation of long and medium term national development plans in order to

promote economic diversification and rapid socio-economic growth and development; ▪ Monitoring and evaluating the implementation of national development plans, programmes

and projects in order to ensure timely implementation, value for money and attainment of set objectives;

▪ Coordinating the production and dissemination of quality official statistics for timely policy intervention, planning, decision making and research;

The ministry oversees the implementation of the 7NDP which has been discussed under section 2.1.2 of this report.

The Zambia PPCR NPCU, where the Environmental and Social Safeguard Specialist is based will oversee the implementation of the project and the ESMF.

6.2.3 The Zambia Environmental Management Agency

The Environmental Management Act establishes the Zambia Environmental Management Agency (ZEMA). ZEMA is a statutory body and the following are the main functions of ZEMA:


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▪ Integrated environmental management and the protection and conservation of the environment and sustainable management and use of natural resources;

▪ The prevention and control of environmental pollution and environmental degradation; ▪ Provide for public participation in environmental decision making and access to

environmental information ▪ Undertaking environmental auditing and monitoring; and ▪ Facilitating the implementation of international environmental agreements and conventions

to which Zambia is a party.

In line with the EMA, all environmental assessment reports are supposed to be submitted to ZEMA for review, after which ZEMA undertakes verification inspection and consultations with the interested and affected parties (IAPs) as well as with authorizing agencies such as WARMA for water projects, Energy Regulation Board for energy projects, FD for projects affecting forests, planning authorities, prior to making a decision.

Thus, in the event that the individual projects trigger environmental assessments, the reports will also need to be submitted to ZEMA for approval. ZEMA also carries out periodic environmental audits of the approved projects. 6.2.4 The Local Authorities

The Local Government Act provides for the establishment of Councils in districts, the functions of local authorities and the local government system. Some of these functions relate to district planning, pollution control and protection of the environment.

During the planning and implementation of project interventions, it is imperative that the projects comply with the planning specifications and any relevant by laws set up by the relevant local authorities. 6.2.5 The Forest Department

According to section 5 of the Forests Act, No. 4 of 2015, the main function of the Forest Department is the rationalisation of the exploitation of forest resources and the promotion of sustainable forest management. Other functions include the following: a. control, manage, conserve and administer National Forests, Local Forests and botanical

reserves; b. adopt and promote methods for the sustainability, conservation and preservation of

ecosystems and biological diversity in forest areas and open areas; c. collect, compile and disseminate information on forest resources in any area and advise on

areas requiring afforestation, re-forestation and protection of flora threatened or in danger of extinction;

d. establish and promote the establishment of plantations; e. devise and implement participatory forest management approaches for indigenous forests

and plantations involving local communities, traditional institutions, non- governmental organisations and other stakeholders, based on equitable gender participation;

f. facilitate equitable access to forest resources for commercial, recreational and indigenous use;

g. promote and regulate beekeeping; Since some of the project interventions as indicated of this document interface with those of the Forest Department, the creation of partnerships with the local communities and relevant civil society for effective forest management will be effective in promoting community-based natural


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resource management and sustainable livelihoods such as beekeeping if the Forest Department is consulted and involved.

6.2.6 The Water Resources Management Authority Some of the functions of the Water Resources Management Authority as enshrined in the Water Resources Management Act of 2011, is to ensure the management, development, conservation, protection and preservation of the water resource and its ecosystems; provide 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 the society have an adequate and sustainable source of water free from any charges; and create an enabling environment for adaptation to climate change. Among the functions of the Authority are included the following: ▪ ensuring extensive participation in interagency and intra-agency research planning related to

climate change; and ▪ investing in climate change education on water issues and supporting the sharing of

information about Government and local responses to water impacts of climate change.

The proposed project interventions are directly linked to functions of the Water Resources Management Authority (WARMA). The key interventions of the project seek to achieve the following: (a) the protection of livelihoods from the effects of climate change on water and land resources;

improved adaptive response to water scarcity through irrigation and water-saving techniques; (b) mainstreaming climate change considerations into sectoral investment plans and policies

regarding water and land use management; (c) enhanced disaster risk management capacity in a changing climate and improved

understanding of and advocacy for climate change implications within various sectors or different sectors.

The establishment of projects for the promotion of sustainable water management practices will require that WARMA is directly involved. Any infrastructure for water harvesting measures such as dams, canal, will require that permission is sought from the Authority. It is important that WARMA is consulted and involved for the above stated project interventions.

6.2.7 The Disaster Management and Mitigation Unit The Disaster Management and Mitigation Unit (DMMU) is vested in the Office of the Vice President and was created in 1994. The following are the objectives of DMMU: ▪ To put in place appropriate preparedness measures in order to manage disasters effectively

and efficiently. ▪ To activate response mechanism for effective and timely search and rescue operations in

order to save life and reduce damage to property. ▪ To put in place measures to restore livelihoods and other life support systems to affected

communities. ▪ To mitigate the disruptive and destructive effects of hazards and all disasters in order to

reduce their impact on vulnerable communities, assets and the environment ▪ To put in place preventive measures in order to reduce the negative effect of hazards and

strengthen the national capacity for disaster management in order to avoid the adverse impact of hazards.

▪ To effectively co-ordinate disaster management activities through a body of procedures and practices in order to avoid duplication of efforts and resources at all levels.


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In view of the fact that the interventions are helping the target beneficiaries to improve their capacity to prevent or respond to climate change induced disasters, it is important that DMMU is actively involved in the implementation of the project interventions.

6.2.8 The Zambia Meteorological Department The Zambia Meteorological Department (ZMD), under the Ministry of Transport and Communication, is charged with the responsibility of weather observation, analysis and prediction, for purposes of protecting life and property, safeguarding the environment, provision of advice and assessment for policy formulation as well as contribution to sustainable development.

In Zambia, ZMD is the National Meteorological Service and the primary provider of meteorological services. The department has offices in every Provincial capital and some districts, and it is responsible for providing weather and climate information to the public and various sectors of the economy. ZMD is also the custodian of the official records of Zambian Weather and Climate. Some of the functions and responsibilities of ZMD are: a) To process and analyze meteorological data for use in the planning of economic development

and rational exploitation of natural resources; b) To provide meteorological services for the development of agriculture, water resources and

other weather-sensitive economic sectors; c) To conduct research in meteorology and co-operate with organizations concerned with

meteorological research and applications;

The ZMD will be involved in all the components of the interventions but particularly critical in the implementation of sub-component which aims to Strengthen benefitial use of hydro-meteorological services. The following section illustrates how relevant ZMD is to the project: Agriculture: Prior to the commencement of each Rainy Season, the ZMD issues a Seasonal Rainfall Forecast in order to provide some indication of the quality (timing and nature of the rains) of the coming season. Farmers use the forecast to choose the best planting date, cropping strategies, tillage practices, etc. The Crop-Weather Bulletin is a popular publication which helps farmers to follow the performance of the rainy season (e.g. as it related to dry spells, number of rainy days, etc) every ten days during the crop growing period. Water Resources Management: The design of drainage systems in towns and cities depends on past records of rainfall intensity. Special problems arise in the replacement or renewal of many civic facilities, e.g. storm water disposal systems, many of them designed and built many years ago, which must now be re-designed to cope with the changing patterns of runoff, due to the greater density of buildings and hard-paved areas, Knowledge of the quantity of water delivered by short heavy falls of rain is essential for such planning. Scheduling of irrigation is more economical when meteorological data is used. The weather statistics often required are evaporation, air temperature, relative humidity, wind speed and sunshine duration.


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7 CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE The environmental sustainability of the proposed projects will be dependent on the capacity of the implementing agencies to coordinate the planning and supervision of service providers. Through the collaboration of the World Bank from the implementation of PPCR Phase I and ongoing PPCR Phase II, capacity has been built in the NCCS core team at the Ministry of National Development and Planning. The secretariat is already familiar with World Bank procedures as evident in the successful six consecutive implementation status reporting rating for the Zambia PPCR Phase II. It is proposed that this capacity will also trickle down into implementing institutions/agencies at national, provincial, district and community levels. Existing capacities to monitor and audit environmental and social management may vary amongst the stakeholder institutions. ZEMA has built capacity to audit and monitor environmental management with respect to national regulatory framework. However, capacity may need to be built among ZEMA staff and other stakeholders in auditing a WB investment project. Capacity building needs assessments of implementing institutions will be undertaken through the NPCU and different training and awareness programs on projects environmental and social management will be undertaken.

Conducting monitoring and auditing with regard to the national and International Policies and in particular the capacity to assess the impacts related to social components including the involuntary resettlement and may need to be built. Training will thus need to be built for the following stakeholders at different levels: ▪ Relevant line ministries ▪ ZEMA and other agencies/departments ▪ Provincial and district administration ▪ Communities

7.1 ESMF IMPLEMENTATION BUDGET The estimated total cost for ESMF implementation cannot be estimated because of variation from project to project. Table 8-3 below however, highlights the key indicative aspects that would require a cost budget.


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Table 7-1. Budget for ESMF Implementation

Activity Description Total Cost, US$

Preparation and implementation of ESIAs, and related safeguard management plans for investments funded from the investment pool

Recruitment of Consultants and experts to prepare and review the ESIAs

30,000

Consultations Site specific consultations before completion of ESIAs and ESMPs and during implementation

20,000

Monitoring of ESIAs and related safeguard management plans for investments funded from the investment pool

Recruitment of Consultants and experts to monitor the ESIAs

30,000

Awareness creation and Capacity building

Training workshop/seminars on Programme for project staff (Detailed in table below)

50,000

Study tours Selected environmental champions participating in TRALARD drawn from ZEMA, Implementing Agencies to visit related or similar project sites

50,000

Independent Environmental and Social audit in year 3 of project

Commissioning of an independent consultancy 50,000

Awareness creation for general public Radio, TV discussions, Newspaper adverts on issues relating to ESMF

20,000

ESMF monitoring and auditing of WB supported projects with respect to national laws and international best practice

Line ministries and departments, local authorities, ZEMA, community heads

10,000

TOTAL $ 260,000

Table 7-2. Type of training to be provided, target and budget

Training Target Budget

Environmental and social impact screening process

ZEMA, line ministries and departments, district environmental planners and even at community levels

$20,000.00

Safeguard policies, procedures and sectorial guidelines ▪ Review and discussion of national

environmental policies, procedures, and legislation

▪ Review and discussion of the WB’s safeguard policies

ZEMA, line ministries and departments, community representatives

$10,000.00

Selected topics on environmental

protection and social safeguards ▪ Air, water and soil pollution ▪ Health and Safety

▪ Waste management and disposal ▪ Gender mainstreaming, HIV/AIDS,

etc.

▪ Natural resource utilization

Line ministries and departments, community representatives

$20,000.00


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8 STAKEHOLDER CONSULTATION AND PARTICIPATION

8.1 ESMF CONSULTATION The public consultation was an important part of the ESMF preparation and was carried out to introduce the project to the stakeholders and obtain their input into the development of the ESMF. The public consultation was carried out in Kasama involving the representatives from the districts of the target provinces. The main issues raised by the stakeholders included the following:

• Include North and South Luangwa National Parks as part of the protected areas to receive intervention; while much of the land for South Luangwa is Muchinga Province, administration is in Eastern Province.

• Consider removing Nsumbu National Park as the park has a number of projects running while Lavushi Manda has a project by African Parks. Include Lusenga Plain and Isangano National Parks instead.

• Provide for the creation of defined boundaries between forest reserves and national parks or GMAs to curb human encroachment and collection of natural resources;

• Emphasis has been put national parks and not on forest reserves; there is need for the project to include at least three national forest reserves.

• Include interventions to add value to the products;

• Ensure civil society has a major role to play in the project;

• The intervention on alternative livelihoods to focus on sustainable production and not asking the people to stop current extraction of natural resources;

• Address the business interest of the project. The minutes of the consultative meetings are attached as Annex 1 while the people consulted are attached as Annex 2.

8.2 ESMF DISCLOSURE The World Bank disclosure policies require that ESIA reports for sub projects are made available to project affected groups, local NGOs, and the public at large. Public disclosure of ESIA documents is also a requirement of the Zambian environmental procedures. NPCU in collaboration with Contracting Authorities will make available copies of the ESMF and ESIAs on the respective websites and offices of the ministries. Public notice in the media should be used to serve as information source to the public. However, the ESIAs will have to be advertised in the local newspaper, website of ZEMA, that of the executing agency and NCCS as required by law.

8.3 PUBLIC CONSULTATION The implementation of each specific sub project investment under the project will require that public consultation and stakeholder engagement is carried out as a means of gathering information on public concerns, issues, perception, fears and suggestions on proposed investment. Public consultation will be conducted in line with the requirements of EIA regulations which calls for utilisation of all forms of consultation and stakeholder engagement and the Bank’s requirements for public consultation. The consultations will be conducted through among others:

• Key Informant Interviews

• Direct Interviews with Project Affected Persons

• Workshops and Meetings

• Public Hearings

• Advertisements’ in the print and electronic media

• Focus Group Discussions


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• Internet and telephone interviews


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9 REFERENCES ▪ Caribbean Climate Innovation Centre (CCIC) Project, 2014, Environmental and

Social Management Framework ▪ CSO, 2005, Zambia HIV/AIDS Service Provision Assessment Survey, Ministry of

Health and Central Statistical Office ▪ CSO, 2010, Census of Population and Housing ▪ CSO, 2010, Census of Population and Housing – Orphanhood and Fosterhood ▪ CSO, 2010, Census of Population and Housing – Population Summary Report, ▪ CSO, 2014, Zambia Labour Survey Report, Central Statistical Office ▪ CSO, 2015, Living Conditions Monitoring Survey Report ▪ FEWSNET, 2014, Zambia Livelihoods Zones and Descriptions, Famine Early

Warning Systems Network ▪ GRZ, 1997, Environmental Impact Assessment Regulations, Government Printers ▪ GRZ, 2011, Environmental Management Act, Government Printers ▪ GRZ, 2016, The Second National Policy on Agriculture, Ministry of Agriculture and

Livestock ▪ GRZ, 2017, Seventh National Development Plan 2017 – 2021, Ministry of National

Development Planning ▪ Manfield J. E et al, 1976, Land Resources of Northern and Luapula Provinces,

Zambia – a reconnaissance assessment Vol. 4. The Biophysical Environment ▪ MTENR, 2008, National Policy on Environment, Ministry of Tourism and

Environment ▪ MTENR, National Adaptation Plan of Action, Ministry of Tourism and Environment ▪ National Climate Change Policy, 2016, Ministry of Land, Natural Resources and

Environmental Protection


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10 ANNEXES

ANNEX 1 - MINUTES OF THE STAKEHOLDER CONSULTATION Minutes of the Stakeholder Consultative Meeting of the Environmental and Social Management Framework for the Transforming Landscapes for Resilience and Development in Zambia (TRALARD) Project Date: 7 December 2018 Venue: Provincial Planning Unit Conference Hall – Kasama Agenda: - Welcome and Introductions

- Presentation on the ESMF - Feedback and Discussion

Opening Remarks After the singing of the national anthem and prayer, the Acting Deputy Permanent Secretary, Mr Kambanja, welcomed the participants to the consultative meeting on the Environment and Social Management Framework for the Transforming Landscapes for Resilience and Development in Zambia (TRALARD) Project. He informed the gathering that it was important to consult with stakeholders drawn from the districts of the three provinces involved as the project will benefit the community in the northern part of the province. He hoped that the project would start as soon as possible. He concluded his opening remarks by appealing to the stakeholders to feel free to make contributions aimed at improving the draft ESMF. Presentation on the ESMF – Danny Mwango The presentation was aimed at helping the stakeholders to understand the ESMF and covered the following:

• Project description

• Purpose and scope of the ESMF

• Legislation and institutional framework

• Potential social and environmental impacts

• Project Review, Coordination and Implementation

• Screening, review, clearance and implementation

• Institutional arrangements and capacity building

• EIA monitoring and evaluation

• Roles and responsibilities for implementing the ESMF

• Capacity building, training and technical assistance

• Monitoring and evaluation Feedback and discussion

Question/Comment Response

Jonathan Mukabila With particular reference to Component 2.2 of the project, there is need to address the impact of the project by discussing the interests of the business community. Most of the participants are from government institutions and very few from the private sector. This contributes to the lack of

Danny Mwango Component 2 has sub-components that address the business aspect of the project such as increasing smallholder production and productivity of diversified value chains. There is also a sub-component that helps farmers to diversify into alternative livelihoods as sustainable, resilient and non-


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ownership of the environmental assessment reports. There is need for us to learn from previous projects to include all stakeholders and improve market access.

resource based enterprises. Another sub-component aims to strengthen opportunities for primary producers to transform their livelihoods into market based enterprises.

Victor Siame – Isoka We were not availed with the detailed aspects of the project. We were also not consulted on the type of interventions and the areas the project is focusing on. The document has not covered aspects of resettlement and what will happen to households that will be displaced.

Janet Phiri - PPCR Scoping was done with various stakeholders in the province to look at the type of investments the project could focus on. Danny Mwango A separate document addressing potential issues of physical and/or economic resettlement was being prepared.

Kafula Chisanga We need to understand the project especially for those of us coming on board right now. I appeal to my colleagues to suggest if some of the processes will not work. We can draw lessons from Western Province where a similar project has been going on. The sub component on Improved Management of Protected Areas (PA) and Reserves focusses on three protected areas – Lavushi Manda National Park, Lusenga Plain National Park and Nsumbu National Park. Our request is that North Luangwa National Park be considered for it borders Lavushi Manda. Regarding the issue of alternative livelihoods, it is important to focus on sustainability rather than requesting the people to stop. For example, instead of asking people to stop charcoal burning, focus should be on sustainable production of charcoal production since people will not stop producing charcoal. ZEMA should consider delegating some of their functions to lower organs of the government especially at district level.

Danny Mwango The sub-component on. Diversified sustainable livelihoods aims to increase smallholder production and productivity of diversified value chains and help communities diversify into alternative livelihoods as sustainable, resilient and non-resource based enterprises. The idea is to develop a roster of alternative livelihoods that are non-natural resource dependent and culturally acceptable activities. Janet Phiri - PPCR The issue of including North Luangwa National Park as areas receiving interventions will be presented to the Ministry of National Development Planning and the World Bank for consideration. Dickson Kabwe – ZEMA ZEMA is in the process of taking some of its functions to other parts of the country. Currently, there are six offices in the country which include Lusaka, Ndola, Solwezi, Chirundu, Livingstone and Chipata. Plans are also underway to have an office in Nakonde as well as to have honorary inspectors.

Henry Mulenga – Civil Society The ESMF needs to address the participation of the civil society in addressing issues such as charcoal burning. The civil society groups can be used for advocacy. There is need to enter into an MoU with the civil society as the case is in Western Province.

Danny Mwango Noted and the matter will be tabled for consideration.


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Hope Mwelaisha Regarding sub component 2.3, there is need to ensure that that there is value addition to the products from the communities so that the products fetch a reasonable price.

Danny Mwango Noted

Forest Department With regard to sub-component 1.2, emphasis is put national parks but not on forest reserves. We propose that at least three forest reserves are included to address the issues of encroachment.


Department of National Park and Wildlife There are some National Parks that need more attention than those proposed in the ESMF. Nsumbu National Park has a number of projects currently going on. Lavushi Manda has a project by African Parks. Lusenga Plain and Mweru-Wantipa have no project. Isangano National Park and surrounding GMAs which include Chilubi, Luwingu and Kasama districts. Our proposal is that Lusenga Plain and Isangano be included. Good planning should ensure that people living in the protected areas are evicted. This can be done in humane manner. We propose that South Luangwa be considered as most of the park is in Muchinga Province but administration is in Eastern Province. There is need for defined boundaries between forest reserves and national parks or GMAs to curb human encroachment and collecting of natural resources from national parks. Game management plans and land use plans should be developed together with the zoning of GMAs.

Danny Mwango Noted and the matter will be tabled for consideration. Janet Phiri - PPCR The proposal to include evicting people living in the protected areas cannot be sponsored by the project.

With respect to component 2.2, increasing productivity comes at the expense of the environment. Thus, there is need for strong evidenced-based research component. There is also need to reduce on opening up of land but increase productivity on the same piece of land.


Mbozi Danny Mwango Comment appreciated and proposal noted.


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It appears we are offloading all the burdens we have onto the project. There is need to appreciate the limit of the project with regard to resources and time. Some projects of a similar nature have been implemented without being sustainable. There is need to consider how to sustain the project. There should also be consideration of political will versus development projects. This can be done by engaging policy makers such as members of parliament and embarking on integrated land-use planning.

Other contributions received Luapula Province Request to consider include some Forest Reserves in component 2:

• Mbereshi National Reserves (61,500 Ha) covering Kawambwa and Nchelenge districts;

• Mubende Natonal Forest, covering Chipili, Kawambwa and Mwense; Mbereshi and Mubende are watershed areas.

• Mwewa Local Forest Reserve in Samfya district.

DISTRICT COMMENTS

Nchelenge ➢ Page 67, paragraph 3, line 3, Chiengi district is inhabited by the Bwiles and not the Aushi;

➢ Page 69, under settlement, corrections are that: Settlements in Luapula province are linear in most parts of the province but these have been progressively expanding into the hinterland as fishers move from fishing to farming;

➢ Table 6-1. Proposed mitigation measures, under Impact on public

health: include the Development of an HIV/AIDS policy for the construction camp as a mitigation measure;

➢ Table 6-1. Proposed mitigation measures, under Impact on

community relations and social fabrics: comment noted is that there is a possibility of the community resisting the project or low adaptation levels to the project if sensitization is not adequate. Sensitization must be done to the community beneficiaries throughout the project so they can appreciate it. And as a mitigation measure, Employment opportunities must be offered to women as well and not only men;

➢ Table 6-1. Proposed mitigation measures, under Stresses on

housing: there is need to Reduce on setting up construction camps but rent houses from the locals so they can also benefit from the project through rentals as a mitigation measure;


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➢ Table 7-1: Coordination Responsibilities. Column for implementation

responsibility should read Local Authority to be responsible for implementation not an environmental planner as an individual.

Lunga ➢ The document is okay, however, there is need to include the statistics for Lunga population in the data for Luapula and the training table should have the cost attached.

Kawambwa ➢ Page x, paragraph one, line two, indicate the source for the statistics of 59% poverty level

➢ Page x, project development objective should read as project development objectives and the objectives must be in bullet form and not paragraph form;

➢ Page xi, paragraph 4, line 2, TA must be included in the list of acronyms;

➢ Page xii, paragraph two, ESMF should appear in the list of acronyms; ➢ Under policy and regulatory framework, consider including the

decentralization policy as the activities will be implemented at a Ward level;

➢ Under Potential Negative impacts and proposed mitigation measures, The proposed mitigation measures, implementation criteria and performance indicator under soil degradation impact are not talking to each other with the impact, for example, for the proposed mitigation measure should do more with the enforcements;

➢ Page 1, paragraph 1, indicate the sources for statistics given; ➢ Page 6, paragraph 3, line 5, diaster should read disaster;

Concluding remarks Following the deliberations, the participants were thanked for the fruitful deliberations. The meeting was closed after prayer and national anthem.


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ANNEX 2 - LIST OF STAKEHOLDERS ON THE CONSULTATIVE MEETING FOR THE DRAFT ESMF


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ANNEX 3 - CHECKLIST FOR SCREENING OF PROJECTS To be Filled and prepared by Environmental Planner at the District and submitted to the environmental and social safeguards specialist at the provincial centre.

Project Name: Project Type: Location:

No. Questions considered

Yes/ No/ ?

Which Characteristics of the Project Environment could be affected?

Is the effect likely to be significant? Why?

1.0 Will the project involve any actions during construction, operation or decommissioning which would create changes in the locality as a result of the nature, scale, form or purpose of the new development?

1.1 Permanent or temporary change in land use, land cover or topography including increases in intensity of land use?

1.2 Clearance of existing land, vegetation and buildings?

1.3 Creation of new land uses?

1.4 Pre-construction investigations e.g. boreholes, soil testing?

1.5 Temporary sites used for construction works or housing of construction workers?

1.6 Above ground buildings, structures or earthworks including linear structures, cut and fill or excavations?

1.7 Dredging?

1.8 Facilities for storage of goods or materials?

1.9 Facilities for treatment or disposal of solid wastes or liquid effluents?

1.10 New road, altered routes, traffic during construction or operation?

1.11 Closure or diversion of existing transport routes or infrastructure leading to changes in traffic movements?

1.12 New or diverted transmission lines or pipelines?

1.13 Impoundment, damming, culverting, realignment or other changes to the hydrology of watercourses or aquifers?

1.14 Stream crossings?

1.15 Abstraction or transfers of water from ground or surface waters?

1.16 Changes in water bodies or the land surface affecting drainage or run-off?

1.17 Long term dismantling or decommissioning or restoration works?

1.18 Ongoing activity during decommissioning which could


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Yes/ No/ ?



have an impact on the environment?

1.19 Influx of people to the area either temporarily or permanently?

1.20 Introduction of alien species?

1.21 Loss of native species or genetic diversity?

1.22 Any other actions?

2. Will the project use any natural resources, especially any resources which are non-renewable or in short supply?

2.1 Land especially undeveloped or agricultural land?

2.2 Water?

2.3 Minerals?

2.4 Aggregates?

2.5 Forests and timber?

2.6 Energy including electricity and fuels?

2.7 Any other resources?

3.0 Will the project involve use, storage, transport, handling or production of substances or materials which could be harmful to human health or the environment or raise concerns about actual or perceived risks to human health?

3.1 Are there especially vulnerable groups of people who could be affected by the project e.g. hospital patients, the elderly?

3.2 Will the project result in changes in occurrence of disease or affect disease vectors (e.g. insect or water borne diseases)?

3.3 Will the project affect the welfare of people e.g. by changing living conditions?

3.4 Any other causes?

4.0 Will the Project produce solid wastes during construction or operation or decommissioning?

4.1 Spoil or overburden?

4.2 Municipal waste (household and or commercial wastes)?

4.3 Hazardous or toxic wastes (including radioactive wastes)?

4.4 Sewage sludge?

4.5 Construction or demolition wastes?

4.6 Redundant machinery or equipment?

4.7 Contaminated soils or other material?

4.8 Agricultural wastes?

1.9 Any other solid wastes?

5.0 Will the Project release pollutants or any hazardous, toxic or noxious substances to air?

5.1 Emissions from combustion of fossil fuels from stationary or mobile sources?

5.2 Emissions from materials handling including storage or transport?


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Yes/ No/ ?



5.3 Emissions from construction activities including plant and equipment?

5.4 Dust or odours from handling of materials including construction materials, sewage and waste?

5.5 Emissions from any other sources?

6.0 Will the Project cause noise and vibration or release of light, heat energy or electromagnetic radiation?

6.1 From operation of equipment?

6.2 From blasting or piling?

6.3 From construction or operational traffic?

6.4 From lighting or cooling systems?

6.7 From any other sources?

7.0 Will the Project lead to risks of contamination of land or water from releases of pollutants onto the ground or into sewers, surface waters, or groundwater?

7.1 From handling, storage, use or spillage of hazardous or toxic materials?

7.2 From discharge of sewage or other effluents (whether treated or untreated) to water or the land?

7.3 By deposition of pollutants emitted to air, onto the land or into water?

7.4 From any other sources?

7.5 Is there a risk of long term build-up of pollutants in the environment from these sources?

8.0 Will there be any risk of accidents during construction or operation of the Project which could affect human health or the environment?

8.1 From explosions, spillages, fires etc from storage, handling, use or production of hazardous or toxic substances?

8.2 From events beyond the limits of normal environmental protection eg failure of pollution controls systems?

8.3 From any other causes?

8.4 Could the project be affected by natural disasters causing environmental damage (e.g. floods, earthquakes, landslip, etc)?

9.0 Will the Project result in social changes, for example, in demography, traditional lifestyles, employment?

9.1 Changes in population size, age, structure, social groups etc?

9.2 By resettlement of people or demolition of homes or communities or community facilities e.g. schools, hospitals, social facilities?

9.3 Through in-migration of new residents or creation of new communities?

9.4 By placing increased demands on local facilities or services e.g. housing, education, health?


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Yes/ No/ ?



9.5 By creating jobs during project implementation or causing the loss of jobs with effects on unemployment and the economy?

9.6 Any other causes?

10.0 Question - Are there any other factors which should be considered such as consequential development which could lead to environmental effects or the potential for cumulative impacts with other existing or planned activities in the locality?

10.1 Will the project lead to pressure for consequential development which could have significant impact on the environment e.g. more housing, new roads, new supporting industries or utilities, etc?

10.2 Will the project lead to development of supporting facilities, ancillary development or development stimulated by the project which could have impact on the environment e.g.: ▪ supporting infrastructure

(roads, power supply, waste or waste water treatment, etc.)

▪ housing development ▪ extractive industries ▪ supply industries other?

10.3 Will the project lead to after-use of the site which could have an impact on the environment?

10.4 Will the project set a precedent for later developments?

10.5 Will the project have cumulative effects due to proximity to other existing or planned projects with similar effects?

If you have answered Yes to any of the above and the effect is likely to be significant, please describe the measures that the project will take to avoid or mitigate environmental and social impacts

What measures will the project take to ensure that it is technically and financially sustainable?

ATTACH PHOTOGRAPHS BEFORE AND AFTER


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ANNEX 4 – EIA REGULATIONS FIRST SCHEDULE

Projects Which Require Project Briefs

a) Urban area rehabilitation.

b) Water transport.

c) Flood control schemes.

d) Exploration for and production of hydrocarbons including refining and transport.

e) Timber harvesting and processing in forestry.

f) Land consolidation schemes.

g) Mining and mineral processing, reduction of ores, minerals, cement and lime kilns.

h) Smelting and refining of ores and minerals.

i) Foundries.

j) Brick and earthen manufacture.

k) Glass works.

l) Brewing and malting plants.

m) Plants for manufacture of coal briquettes.

n) Pumped storage schemes.

o) Bulk grain processing plants.

p) Hydro power schemes and electrification.

q) Chemical processing and manufacturing.

Others

a) Resettlement schemes.

b) Storage of hydrocarbons.

c) Hospitals, clinics and health centres.

d) Cemetery designation.

e) Touring and recreational development in national parks or similar reserves.

f) Projects located in or near environmental sensitive areas such as:- I. indigenous forests; II. wetlands;

III. zones of high biological diversity; IV. areas supporting populations of rare and endangered species;

V. zones prone to erosion or desertification;

VI. areas of historical and archaeological interest; VII. areas of cultural or religious significance; VIII. areas used extensively for recreation and aesthetic reasons; (ix) areas prone to

flooding and natural hazards; IX. water catchments containing major sources for public, industrial or agricultural

uses; and

X. areas of human settlements (particularly those with schools and hospitals).


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ANNEX 5 – EIA REGULATIONS SECOND SCHEDULE Projects which require Environmental Impact Assessment 1. Urban Development

a) Designing of new townships, which are more than 5Ha or more, or sites covering 700

dwellings and above.

b) Establishment of industrial estates. c) Establishment or expansion of recreational areas such as golf course, which would

attract 200 or more vehicles

d) Shopping centres and complexes - 10, 000m2 and above, floor area. 2. Transportation

a) All major roads outside urban areas, the construction of new roads and major improvements over 10 Km in length or over 1 Km in length if the road passes through a

national park, Game Management Area.

b) Railway lines: 10 Km from built up area.

c) Airport and airfields; runaway 1, 800 m or more. d) Pipelines: for water, diameter 0.5 m and above and length 10 Km outside built up area,

for oil 15 Km or more of which 5 Km or more of their length will be situated in a protected

area, a serious polluted water abstraction area.

e) Establishment or harbours or pontoons areas.

3. Dams, Rivers and Water Resources

a. Dams and barrages: covering a total of 25 Ha or more. b. Exploration for, and use of, ground water resources including production of

geothermal energy: water to be extracted to be more than 2 million cumecs m3/s.

4. Mining: Including Quarrying and Open Cast Extraction

a) Copper mining, coal site.

b) Limestone, sand, dolomite, phosphate and clay extraction’s of 2Ha or more.

c) Precious metals (silver, zinc, cobalt, nickel).

d) Industrial metals.

e) Gemstones.

f) Radioactive metals. 5. Forestry Related Activities

a) Clearance of forestry in sensitive areas such as watershed areas or for industrial use

50Ha or more.

b) Reforestation and afforestation.

c) Wood processing plants - 1, 000 tonnes or more. 6. Agriculture

a) Land clearance for large scale agriculture.

b) Introduction and use of agrochemical new in Zambia.

c) Introduction of new crops and animals especially exotic ones new to Zambia.


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d) Irrigation schemes covering an area of 50 Ha or more.

e) Fish farms: production of 100 tonnes or more a year.

f) Aerial and ground spraying 7. Processing and Manufacturing Industry

a) Cement works and lime processing - 1, 000 tonnes or more a year.

b) Fertilizer manufacturing or processing - 1, 000 tonnes or more a year.

c) Tanning and dressing of hides and skins - 1, 00 skins a week.

d) Abattoirs and meat processing plants - 20, 000 carcasses and above a month.

e) fish processing plant - more than 100 tons a year.

f) Pulp and paper mills - daily out put 50 air dried tonnes and above a day.

g) Food processing plants - 400 tonnes or more out put a year. 8. Electrical Infrastructure

a) Electricity generation station.

b) Electrical transmission lines - 220 Kv and more than 1 Km long.

c) Surface roads for electrical and transmission lines for more than 1 Km long.

9. Waste Disposal

a) Sites for solid disposal: construction of permanent disposal site with 1, 000 tonnes and

above a day.

b) Sites for hazardous disposal 100 tonnes or more a year.

c) Sewage disposal works - with capacity of 15, 000 litres or more a day. 10. Nature Conservation Areas

a) Creation of national parks, game management areas and buffer zones.

b) Commercial exploitation of natural fauna and flora.

c) Introduction of alien species of flora and fauna to local ecosystems.


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ANNEX 6 – ISSUES TO BE CONSIDERED WHEN PREPARING THE TERMS OF REFERENCE The following impacts and issues may, among others, be considered for inclusion, as appropriate, in the preparation of the terms of reference.

Ecological consideration, including

(a) Biological diversity

i. Effect on number, diversity, breeding sites, etc. of flora and fauna

ii. Breeding populations of fish and game; and

iii. Effects on the gene pools of domesticated and wild sustainable yield.

(b) Sustainable use including

(i) Effects of soil fertility;

(ii) Nutrient cycles;

(iii) Aquifer recharge, water run-off rates, etc;

(iv) Aerial extent of habitats; and

(v) Bio-geographical processes.

Social, economic and cultural considerations including:

(i) Effects on generation or reduction of employment in the area;

(ii) Social cohesion or disruption (resettlement);

(iii) Immigration (including induced development when people are attracted to a development

site because of possible enhanced economic opportunities);

(iv) Communication - roads opened up, closed, re-routed; and

(v) Local economic impacts.

Land Scape

(i) Views opened up or closed.

(ii) Visual impacts (features, removal of vegetation, etc.).

(iii) Compatibility with surrounding areas.


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(iv) Amenity opened up or closed e.g. recreation facilities.

Land Use

(i) Effects on land uses and land potential in the project area and in the surroundings areas.

(ii) Water

Possibility of multiple use.

(1) Effects of surface water quality and quantity.

(2) Effects on underground water quality and quantity.

(3) Effects on the flow regime the water course.

Air Quality

(i) Effects on the quality of the ambient air of the area.

(ii) Type and amount of possible emissions (pollutants).


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ANNEX 7 - CULTURAL PROPERTY PROTECTION MEASURES AND CHANCE FIND PROCEDURES A. World Bank Policy on Management of Physical Cultural Resources (OP/BP 4.11, July 2006) Physical Cultural Resources (PCR) include resources of archeological, paleontological, historical, architectural, religious (including graveyards and burial sites), aesthetic, or other cultural significance. Cultural resources are important as sources of valuable historical and scientific information, as assets for economic and social development, and as integral parts of a people's cultural identity and practices. The loss of such resources is irreversible, but fortunately, it is often avoidable. The objective of OP/BP 4.11 on Physical Cultural Resources is to avoid, or mitigate, adverse impacts on cultural resources from development projects that the World Bank finances. B. The National Heritage and Conservation Commission Act, No. 13 of 1994 An Act that established the National Heritage Conservation Commission and provides for the conservation of ancient, cultural and natural heritage, relics and other objects of aesthetic, historical, prehistorical, archaeological or scientific interest as well as to provide for the regulation of archaeological excavations and export of relics. C. Definitions Section 2 of Part I of the Act defines ancient, cultural and natural heritage as follows: "ancient heritage" means- a) any building, ruin, or remaining portion of a building or ruin; b) any pillar or statue; c) any settlement, cave or natural rock shelter with traces showing that people once lived there,

any house site or church-site of any kind, or remains or parts of these, any mound representing the midden of an ancient settlement, and any other site with concentrations of buildings, such as trading centres, town sites and the like, or remains of these;

d) any site and remains of workings and any other place of work of any kind, such as a quarry or other mining site, iron extraction site, charcoal kiln and any other trace of a craft or industry;

e) any trace of any kind of cultivation of land, such as a pile of stones heaped up when land was cleared, a ditch and any trace of ploughing;

f) any fence or dry stone wall, and any enclosure or arrangement for hunting, fishing or snaring; g) any road or other track entirely unpaved or paved with stones, wood or other materials; h) any dam, weir, bridge, ford, harbour-works, landing place or ancient slip-way or the remains

of such; i) any bar made of sunken vessels; j) any landmark for use on land or on water; k) any kind of defence such as a fort, entrenchment, fortress and remains of these; l) any site for holding council, any cult site or any place where objects were thrown for purposes

of magic, any well, spring or other place with which archaeological finds, tradition, belief, legends or customs are associated;

m) any stone or solid rock with inscriptions or pictures such as rock carvings, rock paintings, cup marks, ground grooves or any other rock art;

n) any monolith, cross or other such heritage; o) any stone setting, stone paving or the like; p) any burial place of any kind, individually or in collected sites, such as a burial mound, burial

cairn, burial chamber, cremation patch, urn burial and coffin burial; q) any place or thing which is designed by the Commission as an ancient heritage;


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which is known or believed to have been erected, constructed or used as the case may be, before 1st January, 1924, whether above ground, underground or underwater. "cultural heritage" means- a) any area of land which is of archaeological, traditional or historical interest or contains objects

of such interest; b) any old building or group of buildings of historical or architectural interest; c) any relic, national monument or ancient heritage; d) any other object constructed by man, other than a relic, of aesthetic, archaeological, historical

or scientific value or interest; "natural heritage" means- (a) any area of land which has distinctive beautiful scenery or has a distinctive geological

formation; and includes any palaeontological area; (b) any area of land containing rare distinctive or beautiful flora or fauna; (c) any waterfall, cave, grotto, old tree or avenue of trees; (d) any other natural object with aesthetic, or scientific value or interest; (e) any natural relic and national monument; D. Chance Find Procedures

1. Chance find procedures will be used as follows:

(a) Stop the construction activities in the area of the chance find. (b) Delineate the discovered site or area. (c) Secure the site to prevent any damage or loss of removable objects. In cases of removable

antiquities or sensitive remains, a night guard shall be present until the responsible authorities take over. The National Heritage and Conservation Commission (NHCC) shall be responsible for significant movable and immovable cultural, ancient, and natural property and their conservation.

(d) Notify the person in charge who in turn will notify the NHCC. The NHCC contact details are: The Director, National Heritage Conservation Commission, P.O Box 60124, Livingstone Phone +260 213 320481

(e) NHCC will carry out a preliminary evaluation of the findings to be performed and will also be in charge of protecting and preserving the site before deciding on the proper procedures to be carried out. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values.

(f) Ensure that decisions on how to handle the findings are taken in consultation with NHCC. This could include changes in the layout (such as when the finding is an irremovable remain of cultural or archaeological importance) conservation, preservation, restoration and salvage.

(g) Implementation for the authority decision concerning the management of the findings shall be communicated in writing by NHCC; and

(h) Construction work will resume only after authorization is given NHCC concerning the safeguard of the heritage.


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2. These procedures must be referred to as standard provisions in construction contracts, Safeguards Procedures for Inclusion in the Technical Specifications for Contracts. During project supervision, the supervisor shall monitor the above statute relating to the treatment of any chance find encountered are observed.

3. Relevant findings will be recorded in the Construction Monitoring Report and Implementation Completion Reports will assess the overall effectiveness of the project’s cultural property mitigation, management, and activities, as appropriate.


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ANNEX 8: NEGATIVE LIST

Involuntary land acquisition

Activities involving involuntary land acquisition

Child Labour

Activities involving use of child labour

Waste

Activities involving discharge of untreated wastes and effluents

Activities involving mining of sands, rocks and other substrata materials

Forests, Natural Habitats and Trees

Activities likely to cause significant damage to forests, nesting grounds or any other kind

of identified / designated natural habitat.

Activities in forest areas and inside designated Protected Areas

Any activity that involves cutting of any tree or trees except in accordance with the

national regulations

Activities involving destruction / exploitation of any kind of wildlife.

Physical and cultural resources

Activities likely to cause damage to objects, sites, structures, groups of structures, and

natural features and landscapes that have archaeological, paleontological, historical,

architectural, religious, aesthetic, or other cultural significance

Any subproject involving construction within 200 meter to historical monuments and

within 100 meters to railways, highways, etc.

Air, land and water resources

Activities connected with quarrying of sand in any area in a water course within a

distance of five hundred metres from any dam, check dam, reservoir or any other

structure or construction on or across such watercourse, owned or controlled or

maintained by Government for the purpose of irrigation

Any activity involving promotion, use, storage and distribution of pesticides that are

banned or are included in classes Ia, Ib and II of the WHO classification (Refer to

Annexure IX on WHO classification of pesticides)

Any industrial and mining activity without obtaining necessary permits

Any construction activity involving locating of the leach pit, soak pit, earth closet or

septic tank within a distance of 7.5 m radius from existing well or 1.2 m from the plot

boundary


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ANNEX 9: Demography – Luapula Province

10.1.1.1 Population Size In Luapula Province the population captured during the 2010 Census of Population and Housing of 991,927 represents an increase of 27.9 percent from the population of 775,353 captured during the 2000 Census, Table 5-1.

The population of Luapula Province grew at an average rate of 2.5 percent per annum during the inter-censal period 2000-2010. Milenge District was the fastest growing district with an annual rate of population growth of 4.2 percent, followed by Nchelenge District at 3.2 percent per annum and Chienge District at 3.1 percent. Mwense District had the least annual rate of population growth at 1.3 percent per annum.

Table 10-1. Average annual rate of growth by district, Luapula Province, 2000-2010

District 2000 Census 2010 Census Growth Rate (percent) 2000-2010

Luapula Province Total 775,353 991,927 2.5

Chienge 83,824 114,225 3.1

Kawambwa 102,503 134,414 2.7

Mansa* 179,749 228,392 2.4

Milenge 28,790 43,337 4.2

Mwense 105,759 119,841 1.3

Nchelenge 111,119 152,807 3.2

Samfya 163,609 198,911 2.0 Source: 2000 and 2010 census of Population and Housing *Includes data for Chembe District

10.1.1.2 Population Composition Of the total population in the province, 49.3 percent (488,589) were males and 50.7 percent (503,338) were females. There were more females than males in both rural and urban areas. Rural areas had 50.6 percent (403,792) females compared to 49.4 percent (393,615) males, while urban areas had 51.2 percent (99,546) females compared to 48.8 percent (94,974) males.

10.1.1.3 Population Distribution Of the 991,927 total provincial population, 80.4 percent (797,407) were in rural areas and 19.6 percent (194,520) were in urban areas. With respect to the percentage share of the population by district in the province, Mansa District had the largest percent share of the total provincial population with 23.0 percent (228,392). Samfya District was second with 20.1 percent share (198,911), while Nchelenge District is third with a population of 152,807, representing 15.4 percent share of the provincial population. The district with the least share of the population in the province was Milenge District with 4.4 percent (43,337).

10.1.1.4 Population Density In 2010, the population density for Luapula Province was 19.6 persons per square kilometre. The population density increased from 15.3 persons per square kilometer in 2000 to 19.6 persons per square kilometer in 2010, representing an increase in density of 4.3 persons per square kilometer.

The most densely populated district in the province was Nchelenge District with a population density of 37.4 persons per square kilometre. This is followed by Chienge District with 28.8


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persons per square kilometre and Mansa District with 23.1 persons per square kilometer. Milenge District had the lowest population density of 6.9 persons per square kilometer.

10.1.1.5 Household Size and Composition The total number of households in Luapula Province as captured during the 2010 Census of Population and Housing was 194,962. Male headed households made up 77.9 percent (151,913) of the total number of households, while female headed households made up 22.1 percent (43,049).

The average household size for Luapula Province was 5.1 persons. Male headed households had a larger average size of 5.4 persons compared to 4.0 persons for female headed households.

10.1.2 Demography - Muchinga Province

10.1.2.1 Population Size In Muchinga Province the population captured during the 2010 Census of Population and Housing was 711,657. This represents an increase of 35.8 percent from the population of 524,186 captured during the 2000 Census. As Table 5-2 below shows, the population in Muchinga Province grew at an average rate of 3.1 percent per annum during the inter-censal period 2000-2010. Muchinga Province was created in 2011, but the growth rate has been calculated based on the districts that make up the province by adding the population of the districts as at 2000. Nakonde District was the fastest growing district with an annual rate of population growth of 4.8 percent, followed by Mafinga District at 4.6 percent per annum and Mpika District at 3.4 percent. Chinsali District had the least annual rate of population growth at 1.3 percent per annum.

Table 10-2. Average Annual Rate of Population Growth by District, Muchinga Province, 2000-2010

District 2000 Census 2010 Census Growth Rate (Per Cent), 2000 - 2010

Muchinga Province Total 524,186 711,657 3.1

Chama 74,890 103,894 3.3

Chinsali 128,646 146,518 1.3

Isoka 57,239 72,189 2.3

Mafinga 42,080 65,989 4.6

Mpika 146,196 203,379 3.4

Nakonde 75,135 119,708 4.8

Source: 2000 and 2010 Censuses of Population and Housing

10.1.2.2 Population Composition Of the total population in the province, 49.2 percent (349,872) were males and 50.8 percent (361,785) were females. ere were more females than males in both rural and urban areas (Table 5-3). Rural areas had 50.8 percent (300,085) females compared to 49.2 percent (290,490) males, while urban areas had 51.0 percent (61,700) females compared to 49.0 percent (59,382) males.

Table 10-3. Total population by District, Region and Sex, Muchinga Province, 2010

Region and District Total Population Percent of the population

Total Male Female Male Female

Muchinga Province Total 711,657 349,872 361,785 49.2 50.8

Rural 590,575 290,490 300,085 49.2 50.8

Urban 121,082 59,382 61,700 49.0 51.0

Chama 103,894 50,856 53,038 48.9 51.1


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Chinsali 146,518 72,526 73,992 49.5 50.5

Isoka 72,189 35,314 36,875 48.9 51.1

Mafinga 65,969 32,035 33,934 48.6 51.4

Mpika 203,379 100,267 102,112 49.3 50.7

Nakonde 119,708 58,874 60,834 49.2 50.8

Source: 2010 Census of Population and Housing

10.1.2.3 Population Distribution Of the 711,657 total provincial population, 83.0 percent (590,575) were in rural areas and 17.0 percent (121,082) were in urban areas.

With regard to percentage share of the population by district in the province. At district level, Mpika District had the largest percent share of the total provincial population with 28.6 percent (203,379). Chinsali District was second with 20.6 percent share (146,518), while Nakonde District was third with a population of 119,708, representing 16.8 percent share of the provincial population. The district with the least share of the population in the province was Mafinga District with 9.3 percent (65,969).

The most densely populated district in the province was Nakonde District with a population density of 25.9 persons per square kilometre. This was followed by Mafinga District with 16.0 persons per square kilometer and Isoka District with 14.2 persons per square kilometer. Mpika District had the lowest population density of 5.0 persons per square kilometer.

10.1.2.4 Household Size and Composition The total number of households in Muchinga Province as captured during the 2010 Census of Population and Housing was 138,783. Male headed households made up 78.4 percent (108,853) of the total number of households, while female headed households made up 21.6 percent (29,930).

10.1.3 Demography - Northern Province

10.1.3.1 Population Size In Northern Province the population captured during the 2010 Census of Population and Housing was 1,105,824, Table 5-4. This represents an increase of 36.6 percent from 809,400 captured during the 2000 census.

The population of Northern Province grew at an average rate of 3.2 percent per annum during the inter-censal period 2000-2010. Luwingu District was the fastest growing district with an annual rate of population growth of 4.2 percent, followed by Mpulungu District with 3.8 percent per annum and Kaputa District with 3.2 percent per annum. Chilubi District had the least annual rate of population growth at 2.0 percent per annum.

Table 10-4. Average annual rate of population growth by district, Northern Province, 2000-2010

District 2000 Census 2010 Census Growth Rate (Percent), 2000-2010

Northern Province Total 809,400 1,105,824 3.2

Chilubi 66,338 81,248 2.0

Kaputa 87,233 119,514 3.2

Kasama 170,929 231,824 3.1

Luwingu 80,758 122,136 4.2

Mbala 149,634 203,129 3.1


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Mporokoso 73,929 98,842 2.9

Mpulungu 67,602 98,073 3.8

Mungwi 112,977 151,058 2.9

Source: 2000 and 2010 Census of Population and Housing

10.1.3.2 Population Composition Out of the total population in the province, 49.5 percent (546,851) were males and 50.5 percent (558,973) were females. There were more females than males in both rural and urban areas. Rural areas had 50.4 percent (455,453) females compared to 49.6 percent (447,755) males while urban areas had 51.1 percent (103,520) females compared to 48.9 percent (99,096) males.

10.1.3.3 Population Distribution Of the 1,105,824 total provincial population, 81.7 percent (903,208) were in rural areas and 18.3 percent (202,616) were in urban areas.

At district level, Kasama District had the largest percent share of the total provincial population with 21.0 percent (231,824). Mbala District was second with 18.4 percent share (203,129), while Mungwi District was third with a population of 151,058 representing 13.7 percent share of the provincial population. The district with the least share of the population in the province was Chilubi District with 7.3 percent (81,248).

10.1.3.4 Population Density In 2010, the population density of Northern Province was 14.2 persons per square kilometer. The population density increased from 10.5 persons per square kilometer in 2000 to 14.2 persons per square kilometer in 2010, representing an increase in density of 3.7 persons per square kilometer.

The most densely populated district in the province was Mbala District with a population density of 24.3 persons per square kilometre. This was followed by Kasama District with 21.5 persons per square kilometer and Chilubi District as third with a population density of 17.5 persons per square kilometer. Mporokoso District had the lowest population density of 8.2 persons per square kilometer.

10.1.3.5 Household Size and Composition The total number of households in the province as captured during the 2010 Census of Population and Housing was 220,561. Male headed households made up 79.4 percent (175,037) households, while female headed households made up 20.6 percent (45,524) households.


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ANNEX 10: ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK DEVELOPMENT METHODOLOGY

The preparation of the ESMF consisted of several steps.

10.2 LITERATURE REVIEW The development of the ESMF included familiarization with relevant documents including but not limited to the following:

10.2.1 World Bank Documents ▪ International Bank for Reconstruction and Development/The World Bank, 2017, The

Environmental and Social Framework ▪ Draft Project Appraisal Document (PAD) ▪ World Bank Safeguard Policies and Procedures ▪ The ESMF developed to date in the context of other World Bank-funded projects; such as

- Roads Development Agency, 2016, Countrywide Roll-out of the Output and Performance Based Road Contracts – OPRC Region I, Environmental and Social Management Framework

- Ministry of National Development and Planning, 2017, Zambia Integrated Forest Landscape, Environmental and Social Management Framework

10.2.2 Zambian Legislative Documents National Policy Framework ▪ The Vision 2030 ▪ The Seventh National Development Plan ▪ The National Policy on Climate Change ▪ The National Adaptation Programme of Action ▪ The National Policy on Environment ▪ The Second National Policy on Agriculture

National Regulatory Framework ▪ The Constitution of Zambia ▪ The Environmental Management Act ▪ The Environmental Impact Assessment ▪ The Water Resources Management Act ▪ The Forests Act ▪ The Wildlife Act ▪ The Lands Act ▪ The Lands Acquisition Act ▪ The Urban and Regional Planning Act ▪ The Employment Act ▪ The Public Health Act ▪ The Occupational Health and Safety Act ▪ The National Heritage and Conservation Act

10.3 STAKEHOLDER CONSULTATION The development of the ESMF included stakeholder consultation and included government agencies and institutions, non governmental organisations (NGOs), community members in the three provinces. The stakeholder consultation was significant to the preparation of this ESMF and formed the basis for the determination of potential project impacts and design of viable mitigation measures.


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10.4 PREPARATION OF ESMF Preparation of the ESMF included the following stages: ▪ Collation of baseline data on the environmental conditions of the country in general; ▪ Identification of positive and negative environmental and social impacts of sub projects

investments; ▪ Identification of environmental and social mitigation measures; ▪ Preparation of screening procedures to be for sub project proposals; ▪ Formulation of environmental and social monitoring plans.