RP1373v3Ministry of Agriculture and Livestock

Zambia Agriculture Research Institute

Private Bag 7 Chilanga, Zambia

Agricultural Productivity Program for Southern Africa

Resettlement Policy Framework

(RPF)

3 January 2013

Table of ContentsCHAPTER ONE: INTRODUCTION AND BACKGROUND................................................................1

1.0 Introduction.....................................................................................................................11.2 Project Background.........................................................................................................2

1.2.1 National Context.......................................................................................................21.2.2 The Agriculture Sector..............................................................................................21.2.2 APPSA and Centre of Leadership for Food Legumes (CoLFL)....................................31.2.2.1 Overview................................................................................................................31.2.2.2 Project Development Objectives...........................................................................31.2.2.3 Project Components..............................................................................................41.2.2.3.1 Component 1: Technology Generation and Dissemination...............................41.2.2.3.2 Component 2: Center of Leadership Strengthening...........................................51.2.2.3.3 Component 3: Coordination and Facilitation......................................................51.2.3 Description of the Area of Influence.........................................................................51.2.4 Rationale for the Resettlement Policy Framework...................................................61.2.5 Objective of the RPF.................................................................................................71.2.6 Potential Users of the RPF......................................................................................7

1.3 Methodology...................................................................................................................71.3.1 Inception Meeting....................................................................................................71.3.2 Desk Review..............................................................................................................71.3.3 Consultations............................................................................................................71.3.4 Transect walk............................................................................................................8

1.4 Methodological Constraints and limitation.....................................................................81.5 Organization of the Report..............................................................................................8

CHAPTER TWO: AGRICULTURE AND THE SOCIO ECONOMIC ENVIRONMENT.........................10CHAPTER THREE: RELEVANT LEGISLATION AND THE WORLD BANK POLICY............................14

3.1 The Zambian Legal Framework......................................................................................143.1.1 Constitution of Zambia...........................................................................................143.1.2. The Land Act, Chapter 184.....................................................................................143.1.3 Land Tenure System in Zambia...............................................................................143.1.4 Land Delivery System in Zambia.............................................................................163.1.5 Lands Acquisition Act Chapter 189 of the Laws of Zambia.....................................173.1.6 The Local Government Act Chapter 281.................................................................173.1.7 The Town & Country Planning Act Chapter 283......................................................173.1.8 The Public Roads Act (2002)...................................................................................183.1.9 The Agricultural Lands Act......................................................................................183.1.10 Arbitration Act No. 19 of 2000..............................................................................193.1.11 Environmental Impact Assessment Regulations of 1997......................................193.1.12 The Zambia Wildlife Act No. 12 of 1998...............................................................203.1.13 Land Survey Act....................................................................................................203.1.14 Land Conversion of Title Act.................................................................................203.1.15 The Forest Act of 1973..........................................................................................203.1.16 The Valuation Surveyors Act Cap 207...................................................................203.1.17 Lands Tribunal.......................................................................................................20

3.2 World Bank Safeguard Policy.........................................................................................203.3 Overlaps and Gaps between the Zambian Legislation and World Bank PO 4.12...........21

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3.3.1 Overlaps..................................................................................................................213.3.2 Gaps........................................................................................................................223.3.3 Measures to close the Gaps....................................................................................22

CHAPTER FOUR: POTENTIAL SOCIAL IMPACTS OF APPSA.......................................................244.1 Positive Impacts.............................................................................................................244.2 Negative Impacts...........................................................................................................254.3 Identification and Categorization of Loss and Impact....................................................254.4 Project Affected Persons (PAPs)....................................................................................254.5 Project Affected Persons Categories..............................................................................264.6 Number of PAPs and Potential Relocation Areas...........................................................264.7 Risks to Involuntary resettlement and mitigation measures.........................................26

CHAPTER FIVE: PREPARING AND APPROVING RESETTLEMENT AND COMPENSATION PLANS.................................................................................................................................................27

5.1 Introduction...................................................................................................................275.1 The Screening Process...................................................................................................275.2 Preparation of Resettlement Action Plans (RAPs)..........................................................275.3 Review and Submission of the RAP................................................................................285.4 Disclosure of Social Safeguards Instruments.................................................................28

CHAPTER SIX: ELIGIBILITY CRITERIA FOR PAPS, AND COMPENSATION ARRANGEMENTS........296.1 Introduction...................................................................................................................296.2 Eligibility Criteria for Various Categories of Project Affected Persons...........................296.3 Cut-Off Date...................................................................................................................306.4 Proof of Eligibility...........................................................................................................306.5 Defining Entitlements and Preparing an Entitlement Matrix.........................................306.6 Procedures for Valuation of Acquired Land...................................................................326.7 Methods of Compensation............................................................................................336.8 Entitlement for Compensation......................................................................................336.9 Arrangements for Compensation..................................................................................346.10 Community Compensation Payments.........................................................................346.11 Procedures for Delivery of Compensation...................................................................34

CHAPTER SEVEN: RPF IMPLEMENTATION – INSTITUTIONAL ARRANGMENTS, AND BUDGET. 367.1 Institutional Arrangements............................................................................................36

7.1.1 Ministry of Lands....................................................................................................367.1.2 Ministry of Local Government and Housing...........................................................367.1.3 The Ministry of Community Development, Mother and Child Health....................36

7.2 Existing Capacities to coordinate and implement RPF...................................................377.3 Budget........................................................................................................................... 37

7.3.1 Administrative Costs...............................................................................................377.3.2 Compensation Costs...............................................................................................377.3.3 RAPs, Planning and Implementation Costs.............................................................377.2.4 RAPs Monitoring and Evaluation Costs...................................................................37

CHAPTER EIGHT: STAKEHOLDER CONSULTATIONS, GRIEVANCE REDRESS AND MONITORING.................................................................................................................................................39

8.1 Stakeholder Consultation..............................................................................................398.1.1 Screening and Preliminary Assessments.................................................................398.1.2 Social and Economic Baseline Census.....................................................................398.1.3 Preparation and Implementation of Resettlement Action Plans............................39

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8.2 Grievance Redress Methods..........................................................................................408.3 Monitoring.....................................................................................................................41

8.3.1 Arrangements for Monitoring.................................................................................418.3.2 Scope of monitoring...............................................................................................418.3.3 Performance monitoring........................................................................................418.3.4 Impact monitoring..................................................................................................428.3.5 External Monitoring/ Completion Audit.................................................................42

REFERENCES............................................................................................................................ 43Annex 1: Screening Form.........................................................................................................44Annex 2: Template for the Design of RAPs..............................................................................46Annex 3: Outline of a Resettlement Action Plan......................................................................50Annex 4. Categories of Likely Losses and Impacts...................................................................52Annex 5. Sample of Possible Sub-projects That Would Trigger the Involuntary Resettlement Policy with Probable Social Impact..........................................................................................53Annex 6. Eligibility Criteria for Compensation........................................................................54Annex 7: Entitlement Matrix...................................................................................................55Annex 8. Method of Valuation................................................................................................57Annex 9. Arrangements for compensation..............................................................................59Annex 10. Resettlement Schedule...........................................................................................60Annex 11. Summary of Consultation Process.........................................................................61

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ACRONYMSAPPSA Agricultural Productivity Program for Southern Africa

ESMF Environmental and Social Management Framework

CCARDESA Centre for Coordination of Agricultural Research and Development for Southern Africa

CoLFL Centre of Leadership for food legumes

CSO Central Statistics Office

DACO District Agricultural Coordinator

GART Golden Valley Research Trust

GDP Gross Domestic Product

MAL Ministry of Agriculture and Livestock

MoL Ministry of Lands

MCDMCH Ministry of Community Development, Mother and Child Health

MFNP Ministry of Finance and National Planning

MLGH Ministry of Local Government and Housing

NARS National Agricultural Research System

NGOs Non-Governmental Organisations

OP Operational Policies

PAP Project Affected Persons

PMP Pest Management Plan

RCoL Regional Centre of Leadership

RAP Resettlement Action Plans

RPF Resettlement Policy Framework

SADC Southern Africa Development Community

ZARI Zambia Agricultural Research Institute

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Definitions of Key Terms

S/No Word/Term Definition1 Compensation Payment in cash or kind for an asset to be acquired or affected by a

project at replacement cost.2 Cut-off-date The date after which PAPs will NOT be considered eligible for

compensation, i.e. they are not included in the list of PAPs as defined by the socio-economic survey.

3 Displaced Persons

All the people affected by a project through land acquisition, relocation, or loss of incomes and includes any person, household, firms, or public or private institutions who as a result of a project would have their standard of living adversely affected

4 Economically-Displaced Persons

Those affected persons who are affected in waythat they lose incomes from crops, land, businesses etc.

5 Encroachers Those people who move into the project area after the cut-off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project.

6 Entitlement The range of measures comprising cash or kind compensation, relocation cost, income rehabilitation assistance, transfer assistance, income substitution, and relocation which are due to /business restoration which are due to PAPs, depending on the type and degree nature of their losses, to restore their social and economic base.

7 Full Cost of Resettlement

Compensation based on the present value of replacement of the lost asset, resource or income without taking into account depreciation.

8 Household Is the unit which includes all members living under the authority of a household head, they are both family members and other dependents. Under the Land Act, a household would be members of the family whose consent would be required in case of alienation or undertaking any transaction on the family residential land. These members should ordinarily reside on the land. These members typically include the household head, one or several spouses, children and other members of the larger family, tenants, and employee.

9 Income Restoration

The measures required to ensure that PAPs have the resources to at least restore, if not improve, their livelihoods.

10 Indigenous peoples

The people indigenous to an area and include ethnic minorities as defined by World Bank Operational Policy on Indigenous Peoples (OP 4.10).

11 Involuntary Resettlement

Refers both to physical displacement (relocation or loss of shelter) and to economic displacement (loss of assets or access to assets that leads to loss of income sources or means of livelihood) as a result of project-related land acquisition. Resettlement is considered involuntary when affected individuals or communities do not have the right to refuse land acquisition that result in displacement.

This occurs in cases of: lawful expropriation or restrictions on land use based on eminent domain: and

Negotiated settlements in which the buyer can resort to expropriation or impose legal restrictions on land use if negotiations with the seller fail.

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S/No Word/Term Definition12 Land

acquisitionThe process whereby a person or household is involuntarily alienated from all or part of the land s/he owns or possesses, to the ownership and possession of a project for public purposes, in return for fair compensation.

13 Land-Owner An individual/household/institution recognized as owning land either by customary tenure, freehold tenure, or leasehold including customary occupants of former public land.

14 Market Value The process of determining market value has sought to establish appropriate compensation figures so that the affected population is able to restore their standards of living to levels “at least as good as or better than” than they were prior to the project.

15 Physically Displaced Persons

Those affected persons who have to physically relocate because they reside within the land to be acquired for the ROW or encumbered as a result of the Power Project.

16 Project-Affected Area

Is the area where the Project may cause direct or indirect impacts to the environment and the residents.

17 Project-Affected Person

Persons who lose assets as a result of the Project,whatever the extent of the loss; lost assets include land rights, structures, crops, business, access or a combination of those losses; not all Project Affected Persons (PAPs) have to physically relocate as a result of the Project

19 Project Affected Household

The family or collection of PAPs that will Experience effects from and acquisition regardless of whether they are physically displaced or relocated or not.

20 Relocation The physical moving of PAPs from their pre-project place or residence, place of work or business premises.

21 Replacement Cost

WB policies require that all affected assets (land and structures) are compensated for at their replacement cost. Replacement cost of an affected asset is equivalent to the amount required to replace the asset in its existing condition. The replacement cost of land is its market value. The replacement cost of structures is equal to the cost of constructing/purchasing a similar new structure, without making any deductions for depreciation, and inclusive of the labor cost.

22 Resettlement Action Plan

The time-bound action plan with budget setting out resettlement strategy, objectives, entitlements, actions, responsibilities, monitoring and evaluation.

23 Resettlement Impacts

The direct physical and socio-economic impacts of resettlement activities in the project and host areas.Refers not just to the physical displacement of people, but also covers taking land that results in the relocation or loss of shelter, loss of assets or access to assets, and/or Loss of sources of income or means of livelihood (OP 4.12, paragraph 3)...

24 Resettlement Policy Framework

A resettlement policy framework is required for projects with subprojects or multiple components that cannot be identified before project approval. This instrument may also be appropriate where there are valid reasons for delaying the implementation of the resettlement, provided that the implementing party provides an appropriate and concrete commitment for its futureImplementation. The policy framework should be consistent with the

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S/No Word/Term Definitionprinciples and objectives of OP 4.12 of the World Bank.

25 Socio-economic survey

The census of PAHs/ PAPs of potentially affected people, which is prepared through a detailed survey based on actual data collected.

26 Sharecropper An individual/household occupying land under a private agreement with the owner for purpose of agricultural use.

27 Tenant An individual/household/institution occupying land or space in a home under a private agreement with the owner whereby the right of occupancy is paid for in cash to the owner.

28 Vulnerable Any people who might suffer disproportionately or face the risk of being marginalized from the effects of resettlement i.e.; female-headed households with dependents; disabled household heads; poor households; landless elderly households with no means of support; households without security of tenure; and Ethnic minorities.

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EXECUTIVE SUMMARYThis Resettlement Policy Framework (RPF) is for the Zambian Agricultural Productivity Program for Southern Africa (APPSA) which the World Bank intends to finance.

The Agency responsible for the implementation of this RPF is the Ministry of Agriculture and Livestock (MAL). This RPF has been prepared simultaneously with the Environmental and Social Management Framework (ESMF). This RPF is meant for use by the MAL to ensure that the World Bank’s Safeguard OP 4.12 for involuntary resettlement and Zambia’s needs for land acquisition and resettlement are addressed adequately. The ESMF on the other hand stipulates the APPSA mechanisms for screening sub-projects for environmental and social impacts and prescribes measures for mitigating and managing the identified impacts.

Project objective and brief descriptionThe development objective of APPSA is to improve technology generation, dissemination and adoption within and beyond Zambia through enhancing research and development collaboration in food legumes cropping systems through collaboration with other institutions. The Centre of Leadership for food legumes(CoLFL) in Zambia intends to use innovative approaches towards delivering technologies and information to farmers growing food legumes through improving and scaling up, among other things, access by farmers to relevant information and technologies for sustainable food legumes production in Zambia and the entire Southern African region. The APPSA has 3 components namely:

Component 1: Technology Generation and Dissemination which would support technology generation and dissemination activities associated with Regional Centers of Leadership. This would include research activities targeting the technology priorities defined through regional dialogue and consistent with a regional priority setting study. The component would also support regional dissemination programs or technology transfer sub-projects to link Centers of Leadership to institutions in other countries and enable scaling up of innovations.

Component 2: Center of Leadership Strengthening which would support capacity building for Regional Centers of Leadership including infrastructure and equipment investments, capacity building and training for staff, and knowledge sharing and exchange. Targeted training and staff exchanges would take place within the context of technology transfer sub-projects.

Component 3: Coordination and Facilitation which would finance coordination at the national level, which will be managed through the establishment of coordination units or teams within existing structures in implementing agencies. At the regional level, the program will be facilitated by Centre for Coordination of Agricultural Research and Development for Southern Africa (CCARDESA) for the planning and implementation of research and training activities, and the dissemination of information among the Program countries. Each participating country will allocate resources to CCARDESA based on an agreed upon work plan established during the preparation process.

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Need for RPFThe rationale for preparing this RPF is that the exact location and design of the proposed activities are not known at this time, though the types of potential subprojects may be fairly well-defined. While the APPSA subprojects are expected to have potentially positive social and environmental impacts, some adverse impacts are also envisaged. A separate Environmental and Social Management Framework (ESMF) is being prepared for APPSA implementation in Zambia, this RPF deals with issues of involuntary resettlement.

This RPF sets out a framework and process for the application of the World Bank’s Resettlement Policy through the life of the project. This will guide the preparation of separate Resettlement Action Plan (RAP) satisfactory to the World Bank, for each research station and/or site where land is acquired or persons are displaced from the homes, lands or businesses.

Project locationThe APPSA project in Zambia will be implemented in eight districts namely, Lusaka, Chibombo, Kabwe, Kasama, Chipata, Choma and Mongu districts. Project activities will primarily take place on research stations and to some extent on farmers’ fields. Research stations that are expected to be involved in the project include: Kabwe Research Station (Kabwe), Mt. Makulu(Lusaka), Misamfu (Kasama), Msekera (Chipata), Mochipapa (Choma), Mongu and Golden Valley Research Trust (GART)(Chibombo).

Legal Framework for Land acquisitionIn Zambia relevant laws related to land administration, ownership, land use, valuation, compensation, entitlement and procedures for grievance redress include the Zambian Constitution, the Land Acquisition Act, the Agricultural lands Act, the Public Roads Act, the Arbitration Act, the Environmental Protection and Pollution Central Act, the Wildlife Act, the Local Government Act, the Town and Country Planning Act, the Land Survey Act, and the Land Convention of Titles Act.

Differences between the Zambian Legislations and the World Bank OP 4.12 on the general principles of resettlement, eligibility criteria, compensation period for expropriation and resettlement include:

The World Bank OP 4.12 provision that resettlement should be avoided as much as possible, while the Zambian Legislation provides for repossession of land in the National Interest whenever deemed necessary.

The World Bank OP 4.12 provision which entitles those without formal rights to the land they occupy to claim compensation while the Zambian legislation provides compensation to land title holders with leases to the properties in question.

The Zambian legislation provides for the vacating of repossessed land as soon as compensation has been paid contrary to the World Banks OP 4.12 provision that vacating should take place only when the necessary measures for resettlement have been put in place. During the preparation of this Resettlement Policy Framework, accurate figures on affected land, numbers of persons and assets were not available and the estimated figures in this regard had to be derived from field observation and various sources.

Potential project impacts from involuntary resettlement

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Under Component 1 of APPSA, technology generation and dissemination will be supported on the research stations and farmers’ fields. At this stage of project preparation, while the research stations have been identified, the details about the site location, local communities, geo-physical land features, nature, possible uses of research land, etc. is not available. In particular, it is not clear if the lands within the research station boundaries are free of encroachments and the reclaiming of this land could result in involuntary resettlement. Potential impacts of this involuntary resettlement include: permanent loss of cultivable, residential, commercial land; temporal loss of access to land for cultivation and forests products; loss of agricultural crops, and fruit and wood trees; loss of income and livelihood; loss of residential and commercial structures; loss of cultural, religious, and community structures /facilities; and change in Livelihood for women and other vulnerable people that need to substitute their income because of adverse impacts.

Key principles for resettlement planningThe RPF recommends that resettlement planning under APPSA must take into account the magnitude of the impacts of the sub-project on the affected people. The RAPs will be prepared in a manner consistent with this framework for Bank approval before the sub-projects are implemented. The resettlement and compensation plans must also include measures to ensure that displaced persons are: informed about their options and rights pertaining to resettlement and compensation; consulted on, offered choices, and provided with technically and economically feasible resettlement and compensation alternatives; provided prompt and effective compensation at full replacement cost for losses of assets and access, attributable to the project; and enabled to restore but preferably, to improve upon their pre-project living standards and conditions.

Grievance redress mechanismIt is anticipated that land acquisition would be avoided or at least minimized, thereby reducing complaints arising from loss of land or resources as a result of implementing any sub-project activities. Affected people in the project area are poor and un-educated; the consultant advises that the grievance procedures should be simple, accessible, flexible, just, fair and capable of being administered properly with minimum delay. In this regard, a complaints committee at the sub-project level under the chairmanship of the Ward Councillor should be set-up with membership of representatives of the affected persons, local NGO’s, the Chiefs’ representative and the District Agricultural Coordinator’s (DACO’s) office. The committee shall be established as soon as RAP preparations start in order to address claims at an early stage because disputes can arise at an early stage of RAP preparation. Complaints should be submitted to the committee. After verification of the complaint through field visit, the concerned parties should be brought together to resolve the matter amicably. If not resolved, local courts system can be approached, as a last resort.

Affected individuals and households should be informed and familiarised with the local grievance redress process well before the individual compensation and Resettlement Action Plans are approved and individual contracts signed. The grievance procedure shall give the affected people time till the end of the next full agricultural season after surrendering their assets, to set-forth their cases.

RPF Coordination and Implementation

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The Ministry of Agriculture and Livestock (MAL) will be responsible for the overall implementation of this RPF. A National Steering Committee chaired by the Permanent Secretary in MAL will be established. The committee will draw representation from Ministry of Local Government and Housing (MLGH), Ministry of Lands (MoL), and Ministry of Community Development, Mother and Child Health (MCDMCH). At the district level, the district committee will oversee the implementation of the RPF. This committee will draw representation from the DACO’s office, Research Station, Local Authority, Village Committee and affected community members representing site specific committees such as the Resettlement and Compensation Committees. The Steering Committee will meet at least quarterly to approve RAPs work plans, provide general guidance on project implementation and resolve any emerging policy issues in the course of project implementation. The Safeguards officer within the National Coordinating Office will be responsible for the implementation of the RFP and the RAP and will be assisted by the District Liaison Officer at each site. Local development committees will be engaged at the local level to contribute to the RAP planning and implementation processes.

Monitoring and evaluation The APPSA monitoring and Evaluation will include arrangements for monitoring compensation and resettlement activities. In this regard, before implementation of sub-project activities are commenced, evaluations will be made to determine whether PAPs have been paid in full and on schedule and whether they enjoy the same or higher living standards than those prevailing before the project commenced. Furthermore the impacts of compensation and resettlement activities shall be monitored using objectively verifiable indicators in order to determine and guide improvements in the PAPs standards of living. The indicators will quantitatively and qualitatively measure the physical and socio-economic status of the PAPs. To accomplish this task successfully, RAPs monitoring indicators tailored to specific site conditions will be developed.

Consultation, review and disclosureThis RPF has been prepared based on consultations with stakeholders across research stations, and it advocates for extensive public consultation and participation of affected individuals/households in the planning and implementation of the RAP. This RPF further recommends that public consultation and participation shall take place through various forms and media, including meetings, request for written proposals/comments, completion of questionnaires/application forms and explanations of the project ideas and requirements by stakeholders at national, Provincial and District levels: PAPs will be consulted and will participate in the required assessments once the proponent of a sub-project has identified the need to undertake an environmental and social screening and study. In this regard meetings will be held with stakeholders including affected groups to discuss potential resettlement issues.

The affected community members and other interested parties will be involved in the planning and implementation of social and economic studies needed for the preparation of the RAPs. Further, in the process of preparing and implementing the RAPs, representatives of the affected people will input their concerns in the processes through discussions on the potential costs of implementing the planned activities, enforcing the RPF provisions, mitigating impacts, rescheduling where necessary the timing of RAP activities.

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Budget for RPF Implementation Some of the costs of resettlement (e.g. professional services, site preparation, etc.) can be financed from the Bank loan, while other costs (e.g. compensation payments, acquisition of land) cannot be financed from the Bank loan and shall be borne out of counterpart funds. Since the scale of resettlement is currently not known, the RPF provides an estimate for training for RPF implementation and monitoring only.

Estimated total costs for implementation of the RPF

DESCRIPTION AMOUNT ($)Cost of training for RPF 50,000Costs of monitoring for RPF 60,000

Total 110,000

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CHAPTER ONE: INTRODUCTION AND BACKGROUND

1.0 IntroductionThe Government of the Republic of Zambia (GRZ) through Zambia Agricultural Research Institute (ZARI) and the Ministry of Agriculture and Livestock (MAL) is seeking financial support from the World Bank through the Agricultural Productivity Program for Southern Africa (APPSA) to improve agriculture technology generation, dissemination and adoption, and establish the Regional Centre of Leadership (RCoL) for food legumes in Zambia. In pursuit of the longer term goal of improving productivity and production of safe and nutritious food within priority farming systems in the Southern Africa region, the project development objective of APPSA is to improve the availability of agricultural technologies within and across SADC countries.

APPSA will pursue this objective by: (i) establishing Regional Centers of Leadership (RCoL) on commodities of regional importance, thereby allowing regional specialization around priority farming systems and more strategic investment in agricultural research capacity; (ii) supporting regional collaboration in agricultural training and dissemination; and (iii) facilitating increased sharing of agricultural information, knowledge and technology across boundaries of participating countries.

Zambia intends to use this financial assistance to establish the Centre of Leadership for food legumes (CoLFL). The objective of this centre will be to improve technology generation, dissemination and adoption within and beyond Zambia by enhancing research and development in food legumes cropping systems through collaboration with other institutions. The CoLFL in Zambia intends to use innovative approach towards delivering technologies and information to farmers growing food legumes thereby improving and scaling up access of farmers to these for sustainable food legumes production in Zambia and the entire Southern African region. APPSA will be implemented by ZARI and MAL. Project activities will primarily take place on research stations and to some extent on farmers’ fields. The project will be implemented in eight districts namely, Lusaka, Chibombo, Kabwe, Kasama, Chipata, Choma and Mongu districts. Research stations in Zambia that are expected to be involved in the project include: Kabwe Research Station (Kabwe), Mt. Makulu(Lusaka), Misamfu (Kasama), Msekera (Chipata), Mochipapa (Choma), Mongu and Golden Valley Research Trust (GART)(Chibombo).

As part of the APPSA project preparation and as per World Bank Operational Policies (OP), MAL is required to: (i) undertake the environment and social impact assessment of the proposed activities; and (ii) prepare the safeguards instruments that would include the mitigation measures to the identified potential adverse impacts of the project. A separate Environmental and Social Management Framework (ESMF) and a Pest Management Plan (PMP) are also being prepared, alongside this Resettlement Policy Framework (RPF).

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1.2 Project Background

1.2.1 National ContextZambia is a landlocked country with a total population of 13,046,508 covering an area of 753,000 km2 in the Southern Central Africa, east of Angola (CSO: 2010). The GDP per capita in 2010 stood at US$1,252.64, increasing to $1,252.64 in 2010 from $210.35 in 1962 over the past 50 years; while the Poverty headcount ratio at national poverty line was 59.3 in 2006.

1.2.2 The Agriculture SectorAgriculture remains the main source of growth and one of the key priority sectors in achieving sustainable economic growth and reducing poverty in Zambia. With 64 percent of the 2010 population residing in the rural areas, the sector accounts for over 80 percent of the country’s employment, and between 18 and 20 percent of GDP, thus viewed as vital for the attainment of a prosperous middle income nation position by 2030 (SNDP, 2011; MFNP, 2002).

The country has vast resource endowment in terms of land, labour and water, indicating the high potential to expand and/or excel in agricultural development. Zambia has a total land area of 75 million hectares (752,000 square km), out of which 58% (42 million hectares) is classified as medium to high potential for agricultural production, with rainfall ranging between 600 mm to 1500 mm annually and suitable for the production of a broad range of crops, livestock and fish. The country has potential of over 423,000 hectares of irrigable land of which about 100,000 Ha is currently irrigated mainly by the Large-scale and Emergent farmers. With the country’s abundant surface and underground water resources, there is potential to dramatically increase the area under irrigation, including by Smallholder farmers.

Zambia has not fully exploited the high potential in the agricultural sector due to many challenges and constraints, major among them being inadequate investment in the sector and low production and productivity especially among the small-holder farmers. In recent years, the sector has also been threatened with the effects of climate change which include droughts, floods, increased temperatures and variation in the pattern and duration of the rainy season (crop growing period). The farming system that has dominated the smallholder agriculture production in Zambia is that of continuous maize production with little or no rotation or intercrop with other crops like soybean and other legumes. Maize is a staple food crop in Zambia and as such, it is widely grown by the majority smallholder farmers. This has led to the development of the continuous maize farming system. However, this system has led to the low crop yields due to nutrient depletion, low soil organic matter and the build-up of pest and diseases and this scenario is worsened by the impact of climate change. As a result, farmers get low income from their produce and are more food and nutritionally insecure.

The sustainable solution to problems associated with the continuous cereal based farming system lies in the integration of food legume crops such as beans (Phaseolus vulgaris), groundnuts (Arachis hypogeae), soybeans (Glycine max) and cowpea (Vigna unguiculata) into the cropping systems. Legumes have the potential to contribute significantly to household and national food security through improved soil health, better nutrition,

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livelihoods and higher incomes to smallholder farmers. When these food legume crops are grown in rotation with maize and sorghum, they have the capacity to contribute to the increased soil organic matter, retain soil moisture and nutrient use efficiency, thereby sustaining the productivity of the soils. In the late 1960s agricultural policies promoted the production of cereals, in particular maize, while neglecting food legumes, forcing farmers to grow those crops that were favoured by government policies. This trend was also reflected in terms of research investment. The establishment of the Regional Centre of Leadership for food legumes in Zambia is meant to address the above limitations.

1.2.2 APPSA and Centre of Leadership for Food Legumes (CoLFL)

1.2.2.1 OverviewZambia intends to use financial assistance from World Bank through the APPSA to improve agriculture technology generation, dissemination and adoption, and establish the Regional Centre of Leadership for food legumes. In pursuit of the longer term goal of improving productivity and production of safe and nutritious food within priority farming systems in the Southern Africa region, the Project Development Objective of APPSA is to improve the availability of agricultural technologies within and across SADC countries. APPSA will pursue this objective by: (i) establishing Regional Centers of Leadership (RCoLs) on commodities of regional importance, thereby allowing regional specialization around priority farming systems and more strategic investment in agricultural research capacity; (ii) supporting regional collaboration in agricultural training and dissemination; and (iii) facilitating increased sharing of agricultural information, knowledge and technology across boundaries of participating countries.

In accordance with the objectives of the APPSA, the objective of CoLFL will be to improve technology generation, dissemination and adoption within and beyond Zambia by enhancing research and development collaboration in food legumes cropping systems through collaboration with other institutions. The centre will use innovative approach towards delivering technologies and information to farmers growing food legumes thereby improving and scaling up access of farmers to relevant information and technologies for sustainable food legumes production in Zambia and the entire Southern African region.

APPSA will be implemented by ZARI and MAL. Project activities will primarily take place on research stations and to some extent on farmers’ fields. Research stations in Zambia that are expected to be involved in the project include: Kabwe, Mt. Makulu, Misamfu (Kasama), Msekera (Chipata), Mochipapa (Choma), Mongu and Golden Valley Research Trust (GART).

1.2.2.2 Project Development ObjectivesThe development objective of APPSA is to improve technology generation, dissemination and adoption within and beyond Zambia through enhancing research and development collaboration in food legumes cropping systems through collaboration with other institutions. The Centre of Leadership for food legumes in Zambia intends to use innovative approach towards delivering technologies and information to farmers growing food legumes. In this proposed project, the CoLFL aims at improving and scaling up, among other things, access by farmers to relevant information and technologies for sustainable food legumes production in Zambia and the entire Southern African region.

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The specific objectives of the project are:

To develop high yielding and stable food legume varieties that are tolerant/resistant to pests, diseases, drought, low soil fertility and low soil pH;

To collect, characterize, evaluate and develop food legume germplasm; To develop, maintain and avail food legume germplasm of beans, groundnuts,

soybeans and cowpea within the region; To develop and adapt agronomic practices for increased and sustainable productivity; To strengthen the adoption of available food legumes based technologies; To strengthen seed production and availability of the released food legumes varieties; To develop Integrated pest and disease management options; To develop post harvest technologies; and To incorporate nutrition and health in food legume research program agenda.

1.2.2.3 Project ComponentsThe project will have three components highlighted below:

1.2.2.3.1 Component 1: Technology Generation and Dissemination. The first component would support technology generation and dissemination activities associated with Regional Centers of Leadership. This would include research activities targeting the technology priorities defined through regional dialogue and consistent with a regional priority setting study. The component would also support regional dissemination programs or technology transfer sub-projects to link Centers of Leadership to institutions in other countries and enable scaling up of innovations. Two key activities will be implemented under this component. These are:

i. Collaborative research projectsZARI will undertake collaborative research around legumes i.e. beans, soybeans, groundnuts and cowpea that could focus on: breeding for yield, quality, resistance to pests and diseases, tolerance environmental stresses, and biofortification to increase micronutrients; Germplasm collection, characterization and conservation for future research; soil management technologies; integrated pest and disease control in production and post-harvest; processing, marketing and value addition; and seed systems research and development.

ii. Technology dissemination activitiesWithin technology dissemination, a number of bottlenecks exist between technology generation and dissemination systems. These include among others: weak research-extension linkages; low human capacity within extension; inadequate technology reference manuals, bulletins, information leaflets at extension level; lack of harmonization of information packaging; inappropriate packaging of extension messages; limited information flow and feedback within the system; limited use of mass communication channels; and inadequate training. While not a fully fledged extension support program, APPSA can play an important role in addressing some of the constraints between technology generation and dissemination systems including improving the content and accessibility of technology messages and knowledge products; improving the capacity of lead farmers, extension

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agents and advisory service providers; and improving farmer-research-extension feedback mechanisms. Further work is expected to define specific activities as part of APPSA implementation.

1.2.2.3.2 Component 2: Center of Leadership Strengthening. The second component would support capacity building for Regional Centers of Leadership including infrastructure and equipment investments, capacity building and training for staff, and knowledge sharing and exchange. Targeted training and staff exchanges would take place within the context of technology transfer sub-projects. Four (4) activities highlighted below will be implemented under this component:

Upgrading of research infrastructure - Investments in physical infrastructure will focus on improving existing facilities in Kabwe and other research stations involved in legume research as well as support for Golden Valley and its maize/sorghum research;

Improving management and performance systems; Scientific training at the post graduate level – primarily MSc and to upgrade skills

through short courses or targeted training; and Strengthening seed, regulatory and related services.

1.2.2.3.3 Component 3: Coordination and Facilitation. The third component would finance coordination at the national level, which will be managed through the establishment of coordination units or teams within existing structures in implementing agencies. At the regional level, the program will be facilitated by CCARDESA for the planning and implementation of research and training activities, and the dissemination of information among the Program countries. Each participating country will allocate resources to CCARDESA based on an agreed upon work plan established during the preparation process. Activities that will be implemented under this component include:

Defining procedures and protocols for APPSA funds flow, financial management and procurement; defining the terms of reference for each layer of the management structure;

Utilizing multi-stakeholder platforms – to guide R&D priorities/activities that includes all stakeholders (research, extension, farmers organizations, private sector);

Defining common indicators to be used by RCoL; Conducting joint planning, implementation and monitoring activities across the

National Agricultural Research System (NARS) (annual plans); conducting regular Monitoring & Evaluation activities; implement the common knowledge sharing mechanism; and

Conducting evaluations and special studies and share the results.

1.2.3 Description of the Area of Influence The APPSA is targeted at smallholder farmers throughout Zambia and the region. The project will improve household and national food security through improved soil health, better nutrition, livelihoods and higher incomes to smallholder farmers. When these food legume crops are grown in rotation with maize and sorghum, they have the capacity to

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contribute to the increased soil organic matter, retain soil moisture and nutrient use efficiency, thereby sustaining the productivity of the soils.

1.2.4 Rationale for the Resettlement Policy Framework The rationale for preparing this RPF is that the exact location and design of the proposed activities are not known at this time, though the types of potential subprojects may be fairly well-defined. While the APPSA subprojects are expected to have potentially positive social and environmental impacts, some adverse impacts are also envisaged. A separate Environmental and Social Management Framework (ESMF) is being prepared for APPSA implementation in Zambia, this RPF deals with issues of involuntary resettlement.

Under Component 1 of APPSA, technology generation and dissemination will be supported on the research stations and farmers’ fields. At this stage of project preparation, while the research stations have been identified, the details about the site location, local communities, geo-physical land features, nature, possible uses of research land, etc. is not available. In particular, it is not clear if the lands within the research station boundaries are free of encroachments and the reclaiming of this land could result in acquisition of land, the loss of assets or access to assets important to production, the loss of income sources or means of livelihood, thereby triggering the World Bank Resettlement Policy.

This Resettlement Policy Framework (RPF) sets out a framework and process for the application of the World Bank’s Resettlement Policy through the life of the project. This will guide the preparation of separate Resettlement Action Plan (RAP) satisfactory to the World Bank, for each research station where land is acquired or persons are displaced from the homes, lands or businesses. To substantiate, Resettlement Policy is triggered, when the natural resource – e.g. land – even if not owned by the affected people was hitherto cultivated by them and provided them with a livelihood, or affected people have established a structure – e.g. temporary shop/shack, in both the instances the policy is triggered. In the first there is a loss of access to livelihood if there is no crop or else also produce; and in the latter the loss of asset and livelihood.

The World Bank’s resettlement policy framework has the following objectives: i. Involuntary resettlement and land acquisition should be avoided where feasible, or

minimized, exploring all viable alternatives; ii. Where involuntary resettlement and land acquisition is unavoidable, resettlement

and compensation activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to give the persons displaced by the project the opportunity to share in project benefits;

iii. Displaced and compensated persons must be meaningfully consulted and have opportunities to participate in planning and implementing the programs linked to their resettlement; and

iv. Displaced persons should be assisted in their efforts to improve their livelihoods; standards of living should be improved as a result of the resettlement program, or at least restored, in real terms, to pre-displacement levels or levels prevailing prior to the beginning of project implementation, whichever is higher.

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1.2.5 Objective of the RPFThe Resettlement Policy Framework (RPF) for APPSA in Zambia sets out the policies, principles, institutional arrangements, mechanisms for consultation, grievance redress mechanisms, schedules and indicative budget that will take care of any anticipated resettlement. These arrangements shall also ensure that there is a systematic process for the different stages of the implementation of a framework that assures participation of affected persons, involvement of relevant institutions and stakeholders, adherence to both World Bank and Government procedures and requirements, and outline compensation for affected persons.

The RPF provides the process and procedures, and the framework within which RAPs will be developed when specific locations and impacts of the sub-project have been identified.

1.2.6 Potential Users of the RPFThe RPF is prepared to be used as a reference manual by key stakeholders involved in the planning, implementation, management and operation of the resettlement activities. Implementation of this RPF will also support and assist with the achievement of compliance with applicable National laws and regulations and with World Bank’s OP 4.12 on Involuntary Resettlement.

1.3 MethodologyThe focus of the RPF is to provide procedures and guidelines that will be followed, and a practical tool (e.g. screening checklist) to guide the preparation of Resettlement Action Plans (RAPs) for sub-projects during the implementation of APPSA. In the development of the RPF, the consultant undertook desk review and field work in the form of consultations and transect walk as the appropriate methodology. The specific details of the methodological approach are described below.

1.3.1 Inception Meeting Upon signing the contract, the consultant held an inception meeting with ZARI staff. The meeting discussed the scope of consultancy, logistics and expectation of the ZARI. This meeting helped to address all grey areas of the consultancy thereby developing a common understanding between ZARI and the consultant. The meeting also helped in identifying relevant literature for review and stakeholders to consult.

1.3.2 Desk ReviewThe consultant reviewed a number of documents relevant to the project such as Research Stations Annual Reports, draft APPSA Country proposal, World Bank OP 4.12 on Involuntary Resettlement, relevant National laws and policies to deepen understanding of the project and consultancy. This helped the consultant to develop a body of literature for the background information of the report.

1.3.3 ConsultationsThe consultant conducted consultations with members of staff of the two research stations namely Kabwe and Misamfu. Outcomes of these, and consultations with communities within the project areas with proposed research land and district stakeholders have informed the RPF. The rationale of these extensive consultations was to solicit views of a cross section of stakeholders, at the local, district, and Central Government level on the anticipated social impacts especially those that can trigger involuntary resettlement, capacities to handle

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resettlement issues, and recommendations to feed into the RPF. Annex 9 provides details of people consulted. Details of consultation events that took place (including dates and venues), the organizations and interest groups which participated, and the main issues discussed during the consultations for the RPF are summarized in Annex 11.

1.3.4 Transect walkThe consultant undertook transect walks on research land proposed for project implementation for the two stations to assess its current occupation, encroachment and utilisation and potential impacts of the project.

1.4 Methodological Constraints and limitationDue to the time constraint, the consultant only consulted members of staff of ZARI and two research stations namely Kabwe and Misamfu to appreciate the site specific potential impacts. The consultant supplemented this with reviewing existing safeguards documents within the MAL developed for different projects namely RPF on Support to Economic Expansion and Diversification (SEED) Project, Zambia, September 2003; RPF on Irrigation Development and Support Programme, Zambia, August, 2010; and RPF on Agricultural Support Project for Smallholder Commercialisation, 2005.

1.5 Organization of the ReportThis report is organized into eight chapters as follows:

Chapter One provides background information on the project and describes its project components, development objectives, implementation arrangements and area of influence. It further introduces the RPF, its rationale and objectives, methodology used in preparing the RPF and constraints and limitation of the methods. This chapter also defines the target audience for the RPF.

Chapter Two gives the socioeconomic environment mainly in relation to agriculture. Chapter Three outlines relevant Zambia policies and legislation applicable to the project and the World Bank OP 4.12 provisions. The chapter then gives comparative analysis of Zambia policies and legislation applicable to the project and the World Bank OP 4.12 provisions giving suggestions for closing gaps. Chapter Four identifies adverse social impacts in the context of involuntary resettlement under APPSA, likely categories of affected persons and an assessment of potential need for relocation. The social impacts are linked to the social components they are likely to impact upon and the sources of the impacts are also described. These sources include the civil works for the rehabilitation of existing structures and opening of fields and demonstration sites. The social impacts are the basis for the development of the RPF in Chapter Five.

Chapter Five outlines the RPF for addressing the project’s adverse social impacts due to involuntary resettlement. The Chapter also provides entitlement matrix for proposed resettlement and compensation policy, methods for valuing affected assets, organizational arrangements and procedures for delivery of entitlements. The chapter also provides details on methods for consultation with and participation of affected people during the RAP preparation process and the grievance redress mechanism for project affected people.Chapter Six gives an overview of the existing social safeguards management capacities in the Ministry of Agriculture and key line agencies in terms of the RPF. It further proposes capacity building and training requirements that need to be undertaken for successful implementation of the RPF. It also provides the budget and funding arrangements for RPF implementation and the implementation schedule.

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Chapter Seven provides a comprehensive monitoring and evaluation system for the project.

Chapter Eight makes recommendations for effective and successful implementation of the RPF that will contribute towards socially sustainable attainment of the project goals and objectives.

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CHAPTER TWO: AGRICULTURE AND THE SOCIO ECONOMIC ENVIRONMENTAgriculture is one of the key priority sectors in achieving sustainable economic growth and reducing poverty in Zambia. About 80 percent of the rural population directly or indirectly depends on agriculture for their livelihood (SNDP, 2011). The agricultural sector employs about 70% of the labour force and is by far the main source of income and employment for the Zambian people especially women who constitute 65% of the rural population (MFNP, 2002; CSO, 2004). Currently, the contribution of agricultural sector to the Gross Domestic Product (GDP) is between 18 and 20 percent (MFNP, 2002). In recent years, the sector has also emerged as an important foreign exchange earner particularly in the horticultural and floriculture sub-sectors. Given the vast resource endowment in terms of land, labour and water and fertile soils, Zambia has the potential to expand agricultural production. The growth of the Agricultural sector is vital in attaining the long-term vision for Zambia which is to become “a prosperous middle income nation by 2030”. It is for this reason that the Zambian government has set the sector’s vision in its Sixth National Development Plan (SNDP) as “an efficient, competitive, sustainable and export-led agriculture sector that ensures food security and increased income by 2030” with the goal “to increase and diversify agriculture production and productivity so as to raise the share of its contribution to 20 percent of GDP” (SNDP, 2011).

Zambia has vast resource endowment in terms of land, labour and water, indicating the high potential to expand and/or excel in agricultural development. Zambia has a total land area of 75 million hectares (752,000 square km), out of which 58% (42 million hectares) is classified as medium to high potential for agricultural production, with rainfall ranging between 600 mm to 1500 mm annually and suitable for the production of a broad range of crops, livestock and fish. The country has potential of over 423,000 hectares of irrigable land of which about 100,000 Ha is currently irrigated mainly by the Large-scale and Emergent farmers. With the country’s abundant surface and underground water resources, there is potential to dramatically increase the area under irrigation, including by Smallholder farmers.

Zambia is divided into three major agro-ecological regions, namely Regions I, II and III (Figure 1). Region I, which covers parts of Southern, Western, Eastern and Lusaka provinces, and the Zambezi, Luangwa and Gwembe valleys, receives less than 800 mm on average per annum. Region II receives 800 -1,000 mm rainfall and covers Eastern, Central, Lusaka and parts of Western and Southern Provinces. Region I and II are prone to drought. Region III covers Northern, Muchinga, Luapula, Copperbelt and North Western Provinces and receives above 1,000 mm of rainfall on average per annum and is characterized by acidic soils (Figure 2).

Zambia has not fully exploited the high potential in the agricultural sector due to many challenges and constraints, major among them being inadequate investment in the sector and low production and productivity especially among the small-holder farmers. In recent years, the sector has also been threatened with the effects of climate change which include droughts, floods, increased temperatures and variation in the pattern and duration of the rainy season (crop growing period).

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Figure 1: Map of Agro-ecological regions of Zambia

Figure 2: Map of soil reaction (pH) of Zambia

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The farming system that has dominated the smallholder agriculture production in Zambia is that of continuous maize production with little or no rotation or intercrop with other crops like soybean and other legumes. Maize is a staple food crop in Zambia and as such, it is widely grown by the majority smallholder farmers (Figure 3). This has led to the development of the continuous maize farming system. However, this system has led to the low crop yields due to nutrient depletion, low soil organic matter and the build up of pest and diseases and this scenario is wasted by the impact of climate change. As a result, farmers get low income from their produce and are more food and nutritionally insecure.

Figure 3: Maize suitability map of Zambia at low input level

The sustainable solution is in the integration of food legume crops such as beans (Phaseolus vulgaris), groundnuts (Arachis hypogeae), soybeans (Glycine max) and cowpea (Vigna unguiculata) into the continuous maize cropping systems and other cereals. The legumes have the potential to contribute significantly to household and national food security through improved soil health, better nutrition, livelihoods and higher incomes to smallholder farmers (Peoples & Craswell, 1992, Ledgard & Giller 1995, Mafongoya 2007, Ashraf H.L.1986). Food legume crops such as soybean, beans, groundnuts and cowpea when grown in rotation with maize have the capacity to meet up to one half of the soil nitrogen fixing requirements of the succeeding crop, leaving behind between 30 kg ha-1 and 90 kg ha-1 of nitrogen that is fixed biologically from the atmosphere (Mallarino et al., 1990). Table 1 provides the statistics of farmers growing the four food legumes crops in Zambia.

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Table 1: Forecast of number small and medium holder farmers, hectares planted, expected yield, production and sales of groundnuts, soybeans, beans and cowpea during 2011/12 season at national level

Commodity

Number of households

growing crops

Area planted

(Ha)

Expected harvested area (Ha)

Expected production

(MT)

Yield rate (MT/ha) Sales (MT)

Groundnuts 555 315 183 581 175 361 112 425 0.61 45 220

Soyabeans 42 299 033 18 957 18 224 14 450 0.76 8 273

Mixed Beans 217 913 88 011 86 183 54 857 0.62 28 562

Cowpeas 17 956 4 776 4 143 2 027 0.42 422

Source: MAL & CSO 2012

The potential for N2 fixation can be tripled by dressing legume seed with rhizobium inoculants (Table 2). When legumes are fertilized with phosphorus fertilizer they produce biomass in excess of 2.0 t ha-1. This can contribute to the increased soil organic matter, retain soil moisture through mulching effect, improve cation exchange capacity (CEC) and plant nutrient use efficiency. Legume biomass also contributes to the soil pH increase through the buffering effect (Sakala et al. 1998; 2007, Wong et al. 2000), an important aspect as more than 50% of the soils in Zambia are acidic (Phiri and Mwale 2003).

In the late 1960s, agricultural policies promoted the production of cereals, in particular maize, while neglecting food legumes, forcing farmers to grow those crops that were favoured by government policies.

Small-scale farmers cultivate food legumes both for food and for cash. They typically inter-crop grain legumes so that they mature and are harvested earlier than the cereal or root/tuber crop. Spreading risk over time in this way is crucially important for livelihood resilience. If the cereal/ root/tuber crop is damaged by drought, the later-sown and short maturing legume crop may be spared and provides households with food and the surplus is sold for much-needed cash.

Currently, there is a shortfall of 7 million tons of supply compared to demand for chickpea, groundnut and pigeon pea in low-income food deficit countries and this is projected to increase by almost 50%, to 10 million tons by 2020, if there is no increase in production in the coming years.

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CHAPTER THREE: RELEVANT LEGISLATION AND THE WORLD BANK POLICY

3.1 The Zambian Legal Framework

Zambia's legal framework for matters related to the compulsory acquisition of property, in particular land and the alienation of land is provided for in the Constitution, Land Act, and the Land Acquisition Act. While these three Acts provide the basis for land acquisition, various other national laws of Zambia define the authority and responsibility of specific sectoral agencies. However, there is currently no specific law or policy pertaining to involuntary resettlement in Zambia. The existing policies and arrangements only deal with voluntary resettlement. What exist are various pieces of legislation that provide guidance regarding legal provisions for resettlement. Below are legal statutes that have provisions pertaining to resettlement.

3.1.1 Constitution of ZambiaZambia's legal framework regulating the taking of land and other assets by the State has its basis in the Constitution of Zambia, Chapter 1, Article 16 of the Laws of Zambia provides for the fundamental right to property and protects persons from the deprivation of property. It states that a person cannot be deprived of property compulsorily except under the authority of an Act of Parliament, which provides for adequate payment of compensation. The Article further provides that the Act of Parliament under reference shall provide that, in default of agreement on the amount of compensation payable, a court of competent jurisdiction shall determine the amount of compensation.

The constitution further provides that nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of the clause which requires that authority be obtained under an Act of Parliament which provides for payment of adequate compensation, to the extent that it is shown that such law provides for the taking possession/acquisition of any property or interest on the land or right over the land.

3.1.2. The Land Act, Chapter 184The Act controls the alienation of land and shall govern the acquisition of land for the APPSA sub-projects. It shall also give guidance in procedures for the conversion of land from customary tenure to statutory.

The Act empowers the President of the Republic to compulsorily acquire property. The principles of compensation are pivoted on the basis that the value of property for the purpose of compensation shall be the value of the amount which the property might be expected to realize if sold on the open market by a willing seller at the time of the publication of notice to yield possession of the property.

3.1.3 Land Tenure System in ZambiaAs land alienation will be a crucial part in the implementation of the APPSA, it is useful to outline the Zambian land tenure system in order to appreciate the alternative ways in which land can be accessed for the APPSA project purposes.

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Land tenure is the way in which rights in land are held and in Zambia tenure is categorized into two tenure systems namely, statutory tenure and customary.

1. Statutory tenure

This refers to state Land which is administered by the Lands Commissioner through local authorities on behalf of the President since all land in the country is vested in the Republican President on behalf of the people.

The president of Zambia holds the country’s land in perpetuity on behalf of the Zambian people. The president has delegated his powers to make and execute grants and disposition of land to the Commissioner of Lands. The Commissioner has agents who plan the land into plots and thereafter select and recommend suitable candidates to the Commissioner of Lands for issuance of certificate of title. The Commissioner’s agents in this regard, are the District, Municipal, and City Councils. These agents use the Town and Country Planning Act to plan the land in their areas in their capacities as planning authorities under the Act.

2. Customary Tenure

This system applies in areas under the jurisdiction of traditional authorities (chiefs/chieftainess). The traditional system of tenure is the most prevalent among the majority Zambians who live in rural areas.

Approximately 94% of the country is officially designated as customary Area. It is occupied by 73 tribes, headed by 240 chiefs, 8 senior chiefs and 4 paramount chiefs (Chileshe, 2005).

Usually, tenure under customary lands does not allow for exclusive rights in land. No single person can claim to own land as the whole land belongs to the community. Land is deemed as belonging to members of the community for their own use (Republic of Zambia, 1995). It is a valuable heritage for the whole community. Communal lands in most of the African countries including Zambia have sprung from a concept of ancestral trust committed to the living for their own interest and for the interest of the unborn. This is embedded in a common West African dictum which says:

I conceive of land to as belonging to a vast family of whom many are dead, a few are living and countless are still unborn. People holding land are thus doing so in trust for ancestors and for those who are not yet born and also the community as a whole. (Nigerian herder)(Lane, 1998)

It is the duty of traditional rulers to ensure that every member capable of owning land is allocated land. The issue of access, as in state land, is tied to capability. However, being capable is entirely up to the discretion of the chief. This has often led to dissatisfaction among the members of the community, the most vulnerable groups being women, youths and the disabled (Zambia Land Alliance, 2005).

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Customary land ordinarily cannot be used as collateral, as in many cases there are no legal defined physical boundaries, as required under the Land Survey Act. Thus customary lands are prone to encroachments which often result in land disputes. Customary land in Zambia which accounts for over 70 % is now very much in demand for the country’s development.

3.1.4 Land Delivery System in ZambiaThe following 2 sections outline the processes for acquiring title to land from state land and from customary land. These guidelines will be useful for land access at the various sites of the APPSA.

1. State land

The system to acquire titled land from state land is as follows: The District, Municipal or City Council identifies an area for which a layout plan is

made, subdividing the identified land into several plots. In the case of agricultural land, the relevant departments in the Ministry of Agriculture and Cooperatives and the Resettlement Department under the Vice President’s office are responsible.

The layout plan is endorsed and stamped by the appropriate planning authority that later transmits the endorsed plan to the Lands Department for scrutiny and verification of the planned land’s availability.

If the planned land is available, the plan is approved and transmitted to the Survey Department for surveying and numbering as per the Land Survey Act.

Upon receipt of numbered and surveyed plots, the relevant authorities advertise them to the public after which applicants are interviewed.

Selected applicants are recommended for further consideration and approval by the office of the Commissioner of Lands, who is the final authority to grant title to land.

2. Customary land

The customary land delivery system is as follows: The prospective developer approaches the Chief or Chieftainess of the area for

consent to hold land on leasehold tenure and obtain certificate of title. Where the Chief or Chieftaness is satisfied that the land being requested for is

available (unoccupied), s/he writes a consent letter to the office of the Council Secretary, with the land’s location site plan, drawn by the local planning authority attached.

The Chief’s consent letter and attached site plan are taken to the relevant Council Secretary who endorses and stamps the document(s).

The Council Secretary arranges for the land in question to be inspected by a committee which deals with land matters in the area.

The committee interviews the applicant. If the applicant is successful, the Council Secretary brings the application to the full

council for consideration.

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If the council approves the application, they will recommend to the Commissioner of Lands the allocation of the unnumbered plot to the applicant.

The application forms, site plans and council minutes are attached to the recommendation letter which certifies that the recommended plot is free of settlement by other subjects in the jurisdiction of the Chief/ Chieftainess.

If satisfied, the Commissioner of Lands approves the application. For land in excess of 250 hectares, the Commissioner of Lands is required to seek clearance from the Minister of Lands before approval.

3.1.5 Lands Acquisition Act Chapter 189 of the Laws of Zambia.Section three of the Lands Acquisition Act empowers the President of the Republic to compulsorily acquire property. Sections 5 to 7 of the Act provides for the issuing of notices to show the intention to acquire, notice to yield up property and to take up possession.

Section 10 of the Act provides for compensation as consisting of such moneys as may be agreed from moneys appropriated for the purpose by Parliament. Furthermore, this section provides that where the property to be compulsorily acquired is land, the President, with the consent of the person entitled to compensation shall in lieu or in addition to any compensation payable under the section, grant other land not exceeding the value of the land acquired.

Under the Lands Acquisition Act, the value of the property for purposes of compensation shall be the value of the amount which the property might be expected to realize if sold on the open market by a willing seller at the time of the publication of the notice to yield up possession of the property. Section 11 of the Lands Acquisition Act provides for the settlement of the disputes relating to the amount of compensation in the High Court.

Part VI of the Lands Acquisition Act (Cap. 189) provides for the establishment of Compensation Advisory Board to advise and assist the Minister in the assessment of any compensation payable under the Act. Other functions of the board, its operations and constitution are also prescribed.

3.1.6 The Local Government Act Chapter 281The Act provides for the system of local government administration in Zambia at city, municipality and district council levels. Each level has delegated statutory functions with respect to development planning and participatory democracy. Therefore the Act shall guide in the distinguishing of the project site with regard to their location. The laid procedure in the acquisition of land for subprojects shall be determined by the provisions of both this Act and the Lands Act.

3.1.7 The Town & Country Planning Act Chapter 283The Act provides for Ministerial powers to appoint planning authorities to prepare structural, regional, integrated development, and layout plans to guide physical urban and rural development in Zambia.

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3.1.8 The Public Roads Act (2002)Section 18(3) gives authority to the Road Development Agency to enter upon any land for the purpose of extraction of material for road function. It further provides for compensation to be paid to the affected if such land owner/occupier of such land is on title. Further, the Environmental Management Unit in the then Department of Roads (now Roads Development Agency - RDA) in 2003 developed an “Involuntary Resettlement Framework and Road Sector”. This guideline elaborates the institutional framework for responding to involuntary resettlement in Zambia. It specifies that the RDA will play a leading role in the District roads, the Agency will be the lead agency and will play the role of carrying out social survey and related assessments and ensuring the participation of other stakeholders such as the project affected communities, individuals and nongovernmental organizations. The Agency will also be responsible for overseeing the implementation process and ensuring the compensation and rehabilitation mechanism is implemented adequately”. The Agency also notes livelihood assessments and enumeration of affected persons (Environmental Management Unit, 2003).

Department of Resettlement:

The Department of Resettlement is responsible for the actual resettlement process, with the following functions:

Identification and acquisition of land for resettlement; Demarcation of farm plots; Processing applications for resettlement; Allocation of settlement farm plots to suitable applicants; Recommending deserving settlers to acquire certificate of titles to their farm

plots from the Ministry of Lands; and Co-coordinating provision of infrastructure in resettlement programme

schemes and resettlement schemes.

Section 18 (5) of the Act allows the land/owner occupier to submit some written request to the Agency for any expense or loss that may be incurred if such land is appropriated. Section 18 (6) states that in the event of failure to agree upon the amount of compensation the matter shall be decided by arbitration in accordance with the Arbitration Act. The Act under section 18 (7) provides a number of conditions which shall form the basis for assessment of properties or envisaged losses that are the subject of disagreements.

3.1.9 The Agricultural Lands Act This Act provides for the establishment of the Agricultural Lands Board and for tenant farming schemes. The act empowers the Minister, by statutory notice, to declare any state land and, with the consent of the registered owner, any freehold land, and to alienate any declared land in any of the following ways:

By state grant; by the lease of holdings; or By any other state lease or tenancy.

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Subsection 5 of section 21 provides that a lessee shall use his holding primarily for agricultural purposes, for purposes ancillary thereto and for the personal residence of himself and his family and necessary staff and for no other purpose.

Subsection 1 of section 40 permits a tenant who obtains approval from the Agricultural Lands Board to make improvements to a holding at his own expense. Improvements which are permitted are those which are reasonably required for the management, improvement or development of the holding. Only improvements which are approved by the Agricultural Lands Boards qualify for compensation.

Section 43 provides that, if any dispute shall arise relating to:-

i. The amount of any compensation, not being an ex gratia payment;ii. Any valuation for an option to purchase a holding; andiii. Any valuation for a state grant;

Such dispute may be referred to arbitration under the provisions of the Arbitration Act.

3.1.10 Arbitration Act No. 19 of 2000 This Act provides for arbitration in cases where the land owner/occupier does not agree with the amount of compensation being offered. Under section 12 (2) of the Act, the parties to arbitration are free to determine the procedure for appointing the arbitrator or arbitrators. Section 12 (3) (b) states that if the parties are unable to agree on the arbitration, another arbitrator shall be appointed, upon request of a party, by an arbitral institution.

3.1.11 Environmental Impact Assessment Regulations of 1997 Environmental Impact Assessment Regulations (1997) are promulgated under the Environmental Protection and Pollution Control Act. The First Schedule of Regulation 3 specifies which type of developments requires a project brief. It specifies that all major roads outside the urban areas, the construction of new roads and major improvements over 10km in length or over 1 km in length, if the road passes through a National Park or Game Management Area, requires a project brief and/or an environmental impact statement.

Regulation 10 provides for public consultation by the developer before submitting the environmental impact statement to the Council. The developer should seek the views of the people in the communities which will be affected by the project. The developer shall:

Publicize the intended project, its effects and benefits in the mass media in a language understood by the community for a period of not less than fifteen days and, thereafter, at regular intervals throughout the project implementation schedule.

After the expiration of fifteen days referred to above, hold meetings with affected communities in order to present information on the project and obtain views of those concerned.

Regulation 11 provides for the contents of environmental impact statements to include:- The social and economic impact of the project, such as resettlement of affected

people;

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Socio-economic and cultural considerations such as effects on generation or reduction of employment in the area, social cohesion or resettlement and local economic impacts; and

Effect on land uses and land potential in the project area and surrounding areas.

3.1.12 The Zambia Wildlife Act No. 12 of 1998 Section 32 of the Zambia Wildlife Act provides that any activity or plan which is likely to have an adverse effect on any wildlife species or community in a National Park, Game Management Area or Open Area shall be subjected to a wildlife impact assessment as required by the Zambia Wildlife Authority (ZAWA). Where resettlement would have or is likely to have an impact on wildlife, a wildlife impact assessment would be required under this Act.

3.1.13 Land Survey Act The Land Survey Act provides for the surveying of lands and properties before they are numbered, allocated and registered.

3.1.14 Land Conversion of Title Act This Act provides for the alienation, transfer, disposition, and change of use of land. The Act also provides for compulsory acquisition of land by the president wherever he is of the opinion that it is desirable or expedient to do so in the public’s interest.

3.1.15 The Forest Act of 1973This Act provides for the establishment and management of national and local forests, conservation and protection of forests and trees; and licensing and sale forest products. The act also provides for the involvement of local communities and the private sector in the planning, management and utilization of forest resources and the sharing of costs and benefits obtained from the open and forest reserves.

3.1.16 The Valuation Surveyors Act Cap 207This Act provides guidance for the valuation practice in Zambia and the requirement that for one to practice as a Valuer he is supposed to be registered under the provisions of this Act by the Valuation Registration Board.

3.1.17 Lands Tribunal The tribunal was set up as being to speedily settle or prevent land disputes.

3.2 World Bank Safeguard Policy

The World Bank safeguard policy OP 4.12 on Involuntary Resettlement relates to the administration of resettlement issues in the event of project activities inducing displacement of people and disrupting their livelihoods. The policy applies to Component 1 and to a limited extent to Component 2 of the APPSA which Invests in physical infrastructure.

According to the World Bank’s safeguard policy OP 4.12, particular attention should be given to the needs of vulnerable groups such as the poverty stricken, the landless, the elderly, widows, child-headed households and other disadvantaged persons. It is also a requirement of the policy that provision of compensation and other assistance be effected prior to

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people’s displacement. This implies that acquisition of land for APPSA activities can only take place after those affected have been compensated.

In addition, the World Bank policy offers the impacted persons an opportunity to improve their livelihoods and living standards through participation in the planning preparation and implementation of RAPs.

OP 4.12 also requires that: Resettlement should be avoided wherever possible or minimized. All viable

alternative project designs should be considered. Resettlement activities should be conceived as sustainable development

programmes, providing sufficient investment reserves to enable the person displaced by the project to shore in project benefits.

Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least restore them, in real terms to pre-displacement levels or to those prevailing prior to the beginning of project implementation whichever is higher.

The OP 4.12 also stipulates that the RPF and RAPs should include measures to ensure that the displaced persons are safeguarded as follows:

They should be informed about their options and rights pertaining to resettlement. They should be consulted on, offered choices among and provided with technically

and economically feasible resettlement alternatives. They should be provided with prompt and effective compensation at full replacement

cost for loss assets attributed directly to the project. The resettlement plan or resettlement policy framework should include measures to assure that the displaced persons are:

Provided with assistance, such as transport and other allowances during relocation.

Provided with residential housing or housing sites or as required agricultural sites for which a combination of productive potential, location advantages and other factors are at least equivalent to the advantages of the old site.

Offered support after displacement, for a transition period, based on a reasonable estimate of time likely to be needed to restore their livelihood and standards of living.

Provided with development assistance in addition to compensation measures such as land preparation, credit facilities or job opportunities.

3.3 Overlaps and Gaps between the Zambian Legislation and World Bank PO 4.12

3.3.1 Overlaps There are many similarities between Zambian law and the World Bank’s OP 4.12. The overlaps include:

The requirement to pay compensation in advance where land is compulsorily acquired;

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Compensation based on full market value or through grant of another plot of land or building of equal quality, size and value;

Avoidance wherever possible impacts on forest reserves, national parks and other fragile ecosystems;

The requirement to compensate for losses whether temporary or permanent in production or damage to productive assets and crops; and

Provision for the rights of appeal and other judicial avenues for resolution of disputes.

3.3.2 GapsThe following gaps exist between the World Bank Op 4.12 provisions and Zambian legislation:

Comprehensive resettlement planning. There is no requirement under the Zambian law for the preparation of a comprehensive formal resettlement action plan (RAP) including carrying out a census, social economic survey, consultations with project affected people, monitoring, reporting, etc. The Town and Country Planning legislation which deals with issues of human settlement and development in Zambia does not refer to involuntary settlement but only to the removal of squatters on state lands needed for urban expansion and development.

Compensation eligibility in Zambia. Under the Zambian law, only people and entities with title deeds are entitled to compensation e.g. those with registered third party rights or those who have legally obtained the right to register but have not yet completed registration.

Under World Bank’s OP 4.12, illegal land users without title to the land are entitled to compensation for land use and affected structures on it (but not compensated for land).

Compensation and resettlement assistance. The current Zambian law provides for the payment of compensation at market value for losses of land, buildings, crops and other damages arising from the acquisition of land for project activities. Under the Zambian law, moving costs or rehabilitation support to restore previous level of livelihood or living standard is not recognized, and there is no government agency charged with that responsibility.

Property measurement. Under the Zambian law, compensation is equal to the market value of the property without reference to depreciation. On the contrary, under the World Bank Safeguard policies, compensation for lost properties will be calculated on the basis of full replacement cost i.e. equal to what enables the project affected people (PAP) to restore their livelihoods at the level prior to resettlement.

Income restoration. The current Zambian law does not recognize compensation for lost income contrary to the World Bank’s OP 4.12 provision which requires that lost income due to project activity should be compensated.

3.3.3 Measures to close the Gaps It is clear the procedures described in Section 3.1 are likely less practicable in the event that involuntary resettlement issues arise in APSSA. It will therefore be necessary to streamline the compensation review process under Zambian law to ensure that approvals are consistent with those required by the World Bank for timely sub-project approval and implementation. ZARI should develop valuation and compensation procedures that allow

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the delegation of authority and decision making to the local level in the case of project components that have minimal resettlement impact. Based on the analysis of these differences and common points, the Consultant recommends that ZARI through Government of the Republic of Zambia agrees to implement the policy principles of the RPF as stated above and consistent with World Bank OP 4.12 for the activities to be financed by the Project.

Therefore to harmonise the two legal provisions is a cardinal measure since the primary aim of the RPF is to restore the livelihood of the PAPs to the original status of their economic, social and cultural well-being.

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CHAPTER FOUR: POTENTIAL SOCIAL IMPACTS OF APPSA

4.1 Positive ImpactsThe APPSA project will have a wide range of positive social and socio-economic impacts and will play a key role in the overall economic development of the country’s Agricultural productivity is closely related to reduction of poverty and malnutrition. Hence, small-scale farmers in particular, will have an important role to play in reducing poverty and its benefits, creating widespread growth and reducing malnutrition through the APPSA in the following respects:

Food Security is fundamental in achieving economic growth and envelopment. If households have food security, they can redirect their efforts to other income generating activities or small scale businesses.

Increased agricultural production will promote increased agro processing of different products. This will improve job opportunities for smallholder farmers as well as their output to markets

Agriculture is a primary source of employment and income in Zambia. Employment contributes to offsetting migration, and reducing costs associated with rural to urban migration by providing income-generating opportunities in the rural areas.

Increased smallholder production will result in increased national production of legumes. This will lead to improved exports of other agricultural products or agro-processed product.

Additional income (from surplus legume production) will enable the household’s access other nutritious food such as meat and fish for protein. In the long run therefore, malnutrition levels will be reduced.

A major impact of agricultural growth through the APPSA will be the transfer and adoption of agricultural technologies and the knowledge systems that underpin agriculture, thereby contributing to the transformation of rural society. Farmer training in technologies and improved seed use, will promote individual farmer skill for easy trickling down of information to other farmers.

Agricultural productivity contributes to social development, which in turn has profound effects on health and education, spurring further development.

The institution and capacity building of staff in MAL will effectively improve the economy as a result of efficient use of human and financial resources. The coordinated planning and implementation of agricultural activities, complemented by a well-developed monitoring and evaluation system from APPSA, will bring about efficient use of Government resources.

Infrastructural development and rehabilitation will result in employment opportunities, and the resultant improved economic activity and livelihoods.

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4.2 Negative Impacts

It is not clear if the lands within the research station boundaries are free of encroachments and the reclaiming of this land could result in involuntary resettlement. Potential impacts of this involuntary resettlement are:

Permanent loss of cultivable, residential, commercial land; Temporal loss of access to land for cultivation and forests products; loss of agricultural crops, and fruit and wood trees; loss of income and livelihood; loss of agricultural crops, and fruit and wood trees; loss of residential and commercial structures; loss of cultural, religious, and community structures /facilities; and Change in Livelihood for women and other vulnerable APs that need to substitute

their income because of adverse impact.

4.3 Identification and Categorization of Loss and ImpactThe exact nature of impact is difficult to ascertain now until land acquisition that could lead to physical displacement and/or denial of access to means of livelihood, happens during project implementation.

To ensure that all losses are properly captured, project implementation personnel will: Ensure that identification and categorization of the likely loss or impact is undertaken

during the planning and design stages of each sub-project; and Determine the magnitude and coverage of impacts early in project planning in order

to justify the resettlement instrument to adopt. General categorization of losses will be done to reflect extent of loss in terms of the following: permanent or temporary loss; full or partial loss; minimal or significant loss.

4.4 Project Affected Persons (PAPs) In the context of this RPF, Project Affected Persons (PAPs) are those who stand to lose as a consequence of the project, all or part of their assets resulting from acquisition of land, the loss of assets or access to assets important to production, the loss of income sources or means of livelihood. To substantiate, when the natural resource – e.g. land – even if not owned by the affected people was hitherto cultivated by them and provided with a livelihood, or affected people have established a structure – e.g. temporary shop/shack, in both the instances the policy is triggered. In the first there is a loss of access to livelihood if there is no crop or else also produce; and in the latter the loss of asset and livelihood.

No major negative impact is envisaged in APPSA, but a few micro negative impacts resulting from acquisition of land, the loss of assets or access to assets important to production, the loss of income sources or means of livelihood; is possible.

The displaced persons under the project could potentially include land tenants, agricultural land users, owners of structures, losers of livelihoods (farmers, business people, employees), mobile/itinerant, and those with moveable kiosk, table, container, stall/shed/shop (local materials), shop/store (modern construction), etc.

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The policy does not address “economic displacement” where land is not taken. OP 4.12 requires mitigation only when land is taken. The policy does not discourage compensation for other kinds of losses and damage such as loss of “goodwill” but such compensation is not required by OP 4.12.

4.5 Project Affected Persons Categories In the context of APPSA since the land belongs to Research Stations, essentially, the PAPs may be classified into two groups:

Those who lack formal legal rights to land, but have a claim to land that is recognized or recognizable under the national, local, or traditional laws including those measures put in place by the draft land policy; or

Those who have no recognizable legal right or claim to the land they occupy.

The likely displaced persons can further be categorized into four groups, viz: individuals, households, squatters/other land occupiers & vulnerable persons/ groups.

4.6 Number of PAPs and Potential Relocation AreasFurthermore, the location and extent of land to be taken are not known at present and receiving host communities of potentially displaced persons are also not known at this stage of project preparation. Furthermore, the exact nature of subprojects is yet to be identified or designed. To this extent, even estimated figures with regard to the amount of land-space to be used, exact location of and actual sub-project activities, and numbers of affected peoples, are not available.

The socio-economic study/survey during RAP preparation will provide more information on the social conditions of the potentially affected persons and even accurate figures when the exact nature the sub-projects are known and locations defined for them.

4.7 Risks to Involuntary resettlement and mitigation measures APPSA is expected to have a wide range of social and economic impacts and will play a key role in enhancing agricultural productivity and thus reducing poverty and malnutrition especially among small holders.

However it is necessary to ensure that, PAPs even if they have illegal occupiers of research station land are not removed with brute force or coercion, and there is recognition that these could be among the poorest and vulnerable sections of the Zambian society. It would therefore be useful for the project to facilitate consultation with and participation of those persons impacted by the sub-project activities. PAPs must be offered the opportunity to continue to participate in the planning process that will lead to the preparation of Resettlement Plans by ZARI.

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CHAPTER FIVE: PREPARING AND APPROVING RESETTLEMENT AND COMPENSATION PLANS5.1 IntroductionThe process by which a determination will be made about whether a given subproject will result in physical displacement, and therefore whether a resettlement action plan (RAP) is required, is presented below. The process to be adopted under APPSA to prepare and implement a RAP is also described.

5.1 The Screening Process

i. Identify the intervention (sub-project)ii. Identify the exact sub-project location (defined area)iii. Superimpose the intervention on the defined area to identify the likely social

impact. Each sub-project will be screened in relation to defined area based on the proposed sub-project activity through, for instance, creation of awareness on the project in the communities near the research station, joint walk through with potentially impacted persons and consultations/participatory process inclusive of affected persons for identification of impacts, mitigation and design enhancement measures.

iv. Classify the impact based on its social impact - does the sub-project involve the acquisition of land? Will displacement or restriction of access result? If the answers to these questions are yes, then the resettlement policy has been triggered.

v. Triggering of the resettlement policy will require further preliminary determination of whether the subproject should be proposed or not, based on an assessment of the intensity of the impact and on the mitigation measures that will need to be developed and proposed.

vi. If screening determines that resettlement is likely, the next step will be to initiate resettlement planning, consultation, socio-economic survey and the preparation of RAPs.

Essentially, the steps to be undertaken for each individual resettlement plans include identification of Project Affected Persons (PAPs), a socioeconomic census and asset inventory of the area, identification of impacts and eventual compensation and resettlement of those impacted. A screening form is in Annex 1.

5.2 Preparation of Resettlement Action Plans (RAPs) The Resettlement Plans (RAPs) with clear timeline and budget for implementation, are prepared for every sub-project in which there are resettlement effects. The RAP provides a link between the impacts identified and proposed mitigation measures to realize the objectives of involuntary resettlement. The RAP also identifies the full range of people affected by the project and justifies their displacement after consideration of alternatives that would minimize or avoid displacement. In addition, the RAP specifies the procedures to follow and the actions to take to properly resettle and compensate affected people and communities.

In order to identify affected people at the household level and vulnerable groups in the sub project impact area(s) and to calculate household incomes, the use of the Socio Economic

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Surveys and Census are very essential in the preparation of resettlement plans. The purpose is to collect baseline data within the chosen sites thereby enabling the social assessment/ survey of potentially affected populations/communities focusing on the identification of stakeholders, participation process, identification of affected people (including owners and users of land) and baseline information on livelihoods and income. The census should include information on all income sources including remittances.

The preparation of RAPs is anticipated to be undertaken by a consultant commissioned for this task. It will be prepared in consultation with affected parties, particularly in relation to the cut-off date for eligibility, disturbances to livelihoods and income-earning activities, methods of valuation, compensation payments, potential assistance and timeframes. Detailed guidelines for preparing these instruments are available on the World Bank’s Website (www.worldbank.org) or in the World Bank’s Resettlement Rehabilitation Guidebook and the basic guidelines are in the Annex 2 and the RAP outline is presented in Annex 3. 5.3 Review and Submission of the RAP Following completion of the RAP for a sub-project by the Consultant, it shall be submitted to ZARI along with other interested stakeholders including the participating communities for review and, if needed, revision. ZARI will in turn send the RAP to the Bank for review and approval.

It is essential to note that the RAP must take into account the magnitude of the impacts of the sub-project on the affected people and be prepared in a manner consistent with this framework for Bank approval before the sub-project is accepted for Bank financing. The resettlement and compensation plans must also include measures to ensure that displaced persons are:

i. informed about their options and rights pertaining to resettlement and compensation;

ii. consulted on, offered choices among, and provided with technically and economically feasible resettlement and compensation alternatives;

iii. provided prompt and effective compensation at full replacement cost for losses of assets and access, attributable to the project; and

iv. enabled to restore but preferably, to improve upon their pre-project living standards and conditions.

5.4 Disclosure of Social Safeguards InstrumentsZARI will disclose this Resettlement Policy Framework by making copies available at their office, in all the research stations, the relevant local government councils, relevant State Ministries of Environment and other stakeholders of the participating research stations and states as well as the World Bank Info Shop.

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CHAPTER SIX: ELIGIBILITY CRITERIA FOR PAPS, AND COMPENSATION ARRANGEMENTS

6.1 IntroductionIn order to determine the eligibility of PAPs for resettlement and benefits the following processes will be followed under APPSA.

6.2 Eligibility Criteria for Various Categories of Project Affected PersonsPAPs under OP 4.12 are those who are likely to face relocation or loss of shelter, loss of assets or access to assets; and/or loss of income source, business or means of livelihood, whether or not affected person must move to another location. Annex 4 provides details on likely losses and impacts.

All PAPs irrespective of their status or whether they have formal titles, legal rights or not, squatters or otherwise encroaching illegally on land, are eligible for some kind of assistance if they occupied the project area before the cut-off date. Persons who occupy the area after the socio-economic study (census and valuation) are not eligible for compensation or any form of resettlement assistance, except possibly for moving expense. All persons residing, conducting activities or earning income within the project affected areas at the cut-off-date, which is the last day of inventory of loss, will be entitled to compensation and resettlement assistance.

During the RAP preparation process, APPSA will need to categorize PAPs based on:

(i) Persons who have formal right to land (including customary and traditional rights recognized under Zambian law);

(ii) Persons with temporary or leased rights to use land; (iii) Persons who do not have formal legal right to lands or other assets at the time of

the census, but who have claim to such legal rights by virtue of occupation or use of those assets; and

(iv) Businesses within the community.

Those who do not have the legal title to land but reside in the affected area before the cut-off-date will be compensated for properties such as houses and other investment on the land, but will not be compensated for the land.

The World Bank’s OP 4.12 guidelines require compensation for lost, or impacted, assets and replacement costs to both titled and non-titled landholders and resettlement assistance for lost income and livelihood. In this project, the absence of formal titles should not constitute a barrier to resettlement assistance and rehabilitation. Likely impacts of sample subprojects and the triggering of OP 4.12, is in Annex 5.

The principles adopted entail special measures and assistance for vulnerable PAPs, such as female-headed households, disabled persons, migrants and the poor. PAPs affected through land acquisition, relocation loss of residence and structures, and business enterprise are entitled to a combination of compensation measures and resettlement assistance, depending on ownership right and lost assets. PAPs will be entitled to compensation and

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resettlement assistance that will help in the restoration of their livelihoods to at least, pre-project standards.

6.3 Cut-Off DateTo avoid an influx of outsiders to subproject areas and misuse of the compensation policy, the date of the census will serve as the cut-off date for eligibility and no new arrivals in the project area or assets created after the cut-off date will be eligible for compensation after this date. The cut-off date will be announced and made public through appropriate means of reach-out such as radio advertisement during the community awareness campaigns. The detailed census of PAPs will be appended to the RAP. Subprojects should only be approved if they include at least a preliminary RAP and budget. Special attention shall be taken to secure the sites from opportunistic occupiers. These measures should include close consultation with the recognized PAPs, signs that inform general public of intended use of site, security patrols to identify opportunistic occupation.

Nevertheless, if works are not initiated two years or more pass after declaration of a cutoff date, a new census and evaluation of properties shall be carried out.

6.4 Proof of EligibilityThe PIUs will consider various forms of evidence as proof of eligibility to cover:

Affected persons with legal/formal legal rights, documented in the form of certificates of occupancy, tenancy agreements, rent receipts, building and planning permits, business operating licenses, utility bills among others. Unprocessed/unregistered formal legal documents will not bar eligibility and procedures for confirming authenticity of such documents will be established in the RAP.

Affected persons with no formal or recognized legal rights. Criteria for establishing non-formal, undocumented or unrecognized claims to eligibility shall be established by alternative means of proof of eligibility such as:

o Affidavit signed by landlords and neighbourso Witnessing or evidence by recognized traditional authority, customary heads,

community elders, family heads and elders and the general community. In the event of family dispute over such a property or land, avoid it or wait for court

of competent jurisdiction to arbiter in the dispute with a final judgment before eligibility is determined.

Eligibility criteria will also be determined by the status of development up to when the study starts and will be further determined by other development approval as issued by the government (Annex 6). The consultant will interview key government officers in the various local government Areas.

6.5 Defining Entitlements and Preparing an Entitlement Matrix The basis of what is to be paid as compensation will be determined by identifying the most appropriate entitlement for each loss. Based on the entitlements, options for resettlement will be selected in accordance with Bank Policy OP 4.12 (6a (ii)) and the merits of the option.

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The RAP planner will prepare an entitlement matrix with respect to both temporary and permanent displacement. This matrix will set the measure for the payment for all losses or impacts (Annex 7). It will also list the type of loss, criteria for eligibility and define entitlements as presented below, and at a minimum will meet requirements under the World Bank OP 4.12. The missing values in the entitlement matrix will be determined at the time the resettlement plans (RAPs) are being negotiated and prepared.

Entitlement Matrix1. Permanent loss of land

1.1 Cultivable/residential

/commercial land

1.1 (a)Legal owners of land

(b)Occupancy/Hereditary tenant

Affected households to be compensated according to the Land Acquisition Act. World Bank OP 4.12 provides for the PAPs to be entitled for compensation under this framework which will have to be at replacement cost.

Provision of land for those who become landless.

Encroachers/ squatters are not entitled to compensation under Zambian law. World Bank OP 4.12 states that persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance

2. Loss of income and livelihood

2.1. Temporary loss of access to land for cultivation

2.1.Cultivator occupying land Give advance notice, allow harvesting if possible

Facilitation to have alternative comparative source of income such as land for cultivation.

Rehabilitation support for income restoration

3.1. Loss of agricultural crops, and fruit and wood trees.

3.2 Loss of income by agricultural tenants because of loss of land they were cultivating

3.1. (a) Owner/s of crops or trees. Includes crops trees owned by encroachers/squatters

(b) /tenant

3.2 Persons working on the affected lands

Give advance notice, allow harvesting if possible

Compensation as per the agreement between APPSA and PAP

Rehabilitation support to non-title holders

4. Permanent loss of Structures

4.1 Residential and commercial structures

4.1. (a)Owners of the structures whether or not the land on which the structure stands is legally occupied

(b) Renters

- Compensation at replacement cost.- Non- title holders (squatters) will not be entitled to any compensation for their affected unauthorised public land but will be provided with cost compensation to structures at replacement value without depreciation deduction.- Resettlement assistance will be

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provided to the most vulnerable groups to restore their livelihoods to pre-project levels. Encroachers/ squatters are not entitled to compensation under Zambian law. World Bank OP 4.12 states that squatters are provided with resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives of the policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank.

Compensation for re-establishment / transition allowance in consultation with affected families.

4.2. Cultural, Religious, and community structures /facilities

4.2. School, church, water channels, pathways, and other community structures/installations

Re-construct or re-establish lost community resources, facilities like grave yards, churches and provide alternatives in consultation with affected communities. This also includes water points, community roads, etc.

5. Special provision for vulnerable PAPs

5.1.Restablishing and/or enhancing livelihood

5.1 Women headed households, disabled or elderly persons and the landless

Resettlement assistance will be provided to the most vulnerable groups to restore their livelihoods to pre-project levels.

Unanticipated adverse impact due to project intervention or associated activity

The Project team will deal with any unanticipated consequences of the Project during and after project implementation in the light and spirit of the principle of the entitlement matrix.

6.6 Procedures for Valuation of Acquired LandValuation methods for affected land and assets will depend on the type of asset. The land and asset types applicable for the policy framework include:

State owned Land

Privately owned Land

Assets held under Customary Law

6.6.1 Method of ValuationIn ensuring that during the project implementation, PAPs will be provided full replacement cost of lost structures and other impacted assets and are able to rebuild or replace their

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structures/assets without difficulties. The valuation will estimate asset compensation rates based on full replacement cost without depreciation. The replacement cost approach is based on the premise that the costs of replacing productive assets is based on damages caused by project operations (Annex 8).

Relevant data to be captured during valuation will include: Location details of the land, boundaries of the area/section of the land to be affected Affected immovable properties: detailed measurement of buildings, shops, other

assets, and structures; Property details including noting accommodation, constructional details of affected

property external works (fence walls, gates, pavements) affected details are relevant. Categorizing temporary structures based on constructional details (wall materials),

size of structure and use of structure (business/residential/institutional/agricultural); and,

Data on households affected (tenants, owners, relatives apprentices/trainees and livelihood).

Valuation shall be based on comparisons to recent comparable transactions/costs and comparable assets or land and not simply on general tables that may be out of date and may be based on non-comparable assets or land.

6.7 Methods of CompensationIndividual and household compensation will be made in cash, in kind, and/or through assistance in the knowledge and presence of both man and wife and adult children or other relevant stakeholders where applicable. The type of compensation will be an individual choice although every effort will be made to see the importance and preference of accepting in-kind compensation especially when the loss amounts to more that 20% of the total loss of productive assets.

When land holdings necessary for the livelihood of affected persons are taken away or reduced in size by project works, OP 4.12 states that the preferred form of compensation is to offer an equivalent parcel of land elsewhere, i.e. “land for land.” Such land is not always available, but cash compensation is not the preferred form of compensation in such cases.

It is also important to note that, under this policy, cash compensation is only appropriate where there is a market for land or other lost assets in the area of the impact. If all the available land in the area is controlled by the State or by kinship groups such as clans and there is no functioning land market, it is unacceptable to offer cash compensation to, say, a farmer, when he/she has no possibility of acquiring new land in the same area.

6.8 Entitlement for CompensationEntitlements for compensation shall be based on the eligibility criteria and the various categories of losses identified in this RPF and the actual field consultations during the preparation of the RAP. Unless otherwise indicated, payment of compensation and other entitlements and the extension of assistance will be made to PAP households and individual PAPs, as the case may be. In dealing with compensation, preference shall be given to land based resettlement strategies for PAPs whose livelihoods are land-based. Where sufficient

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land is not available at a reasonable price, non-land based options centered on opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. However this lack of land shall be documented and justified. Palliative assistance should be avoided, i.e. assistance that is not sustainable such as temporary payments or food donations.

6.9 Arrangements for Compensation A Compensation and Relocation Committee will be set up and be responsible for planning, coordinating and monitoring of compensation and relocation activities. The compensation process for the subproject will involve several steps to be carried out in accordance with the resettlement and compensation plan and the RAP (Annex 9). This will be in accordance with the individual project resettlement and compensation plans.

6.10 Community Compensation PaymentsCommunity compensation will be in-kind only for a community as a whole in the form of reconstruction of the structure to at least the same standard or equivalent better standard to that being built by the program in the area to serve the same function. Examples of community compensation include School Building (public or religious), Churches, Well or borehole, Market Place, Road, and Storage warehouses.

Community compensation may in itself require land take and people may be affected, thus a change of impacts which will be compensated.

6.11 Procedures for Delivery of CompensationThe procedure for delivery of compensation will be detailed in each RAP. ZARI will follow approved procedures ensuring that:

Full payment of compensation is carried out before possession of acquired sites and before works begin.

ZARI formally make offers to affected persons and allow persons to accept or reject offer, offer a counter claim and seek redress under the grievance procedures established.

Land/Asset valuation committee communicates the amount to be paid to the acquiring agency and the Ministry of lands will ensure that the amounts are fair and adequate.

Cheques in the name of the beneficiary or deposits to the beneficiary’s bank account shall be the preferred and first mode of payment; however payment may be by banker’s draft where the amounts involved are “minimal”. ZARI shall make arrangements with nearest bank to effect payments by banker’s draft.

Payments are made to the affected person personally by the State Agency in the presence of Land/Asset Valuation Committee and an independent witness of the affected person/opinion leader.

Proper receipts are issued and copies given to the affected person, the Finance Department of the State Agency and the Land/Asset Valuation committee.

Comprehensive reports on payment made are submitted for review by Management of the PIUs and the Land/Asset Valuation committee.

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Appropriate safeguards will be developed, utilizing gender-disaggregated socioeconomic information from the census surveys, to ensure that men and women are compensated equally (i.e., that cash payments to households are made jointly, entitlements to land and other in kind compensation are provided equally, etc.).

While it may be necessary to disclose the payment at community or LGA levels to ensure transparency, the implication on safety of the affected individuals must be taken into cognizance seriously.

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CHAPTER SEVEN: RPF IMPLEMENTATION – INSTITUTIONAL ARRANGMENTS, AND BUDGET

7.1 Institutional Arrangements7.1.1 RPF Coordination and ImplementationThe MAL will be responsible for the overall implementation of this RPF. A National Steering Committee chaired by the Permanent Secretary in MAL will be established. The committee will draw representation from MLGH, Ministry of Lands (MoL), and The Ministry of Community Development, Mother and Child Health (MCDMCH). At the district level, the district committee will oversee the implementation of the RPF. This committee will draw representation from the DACO’s office, Research Station, Local Authority, Village Committee and affected community members representing site specific committees such as the Resettlement and Compensation Committees. The Steering Committee will meet at least quarterly to approve RAPs work plans, provide general guidance on project implementation and resolve any emerging policy issues in the course of project implementation. The Safeguards officer within the National Coordinating Office will be responsible for the implementation of the RFP and the RAP and will be assisted by the District Liaison Officer at each site. Local development committees will be engaged at the local level to contribute to the RAP planning and implementation processes.

The MLGH, MoL and MCDMCH will be the main government agencies involved in the implementation of RFP activities at national and provincial Levels. Their main task will include:

7.1.1 Ministry of LandsThe Ministry of Lands through the Department of Lands and Surveying will be involved in alienation of land and allocation of plots; and survey and demarcation of lands earmarked for sub-project development and/or compensation.

7.1.2 Ministry of Local Government and Housing The MLGH through relevant City, Municipality, and District Councils and its Departments of Physical Planning and Housing (DPPH), Government Valuations Department (GVD), Department of Local Government Administration (DLGA) and Decentralisation Secretariat will provide a variety of services at district levels such as resettlement planning, valuation of land and other assets, the approval of Council by-laws needed necessary for project implementation, involvement in conflict resolution at ward and council levels, disbursement of compensation; and provision of other support services to PAPs as stipulated in this RPF. Through its Department of Valuation, MLGH will also provide valuation services for resettlement and compensation purposes and in accordance with the Zambian Constitution, the Land Acquisition Act, the Agricultural Lands Act, etc. Furthermore, MLGH will review and monitor the implementation of RAPs by the Councils to ensure that they adhere to relevant national and local by laws.

7.1.3 The Ministry of Community Development, Mother and Child Health The MCDMCH, through the Department of Social Welfare will provide a variety of services to PAPs such as resettlement planning; involvement in conflict resolution; disbursement of

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compensation; livelihood restoration; and provision of other support services to PAPs as stipulated in this RPF.

7.2 Existing Capacities to coordinate and implement RPFSuccessful implementation and coordination of the RPF will require capacity building of some of the key stakeholders shown above to execute their activities. Within the MAL, capacity to coordinate and implement RPF exists developed over past similar works on SEED Project, IDSP and Agricultural Support Project for Smallholder Commercialisation. Some of the stakeholders will require basic tailor made training on RAP. The consultant will therefore conduct capacity assessment and provide appropriate trainings through workshops to build the capacity of relevant stakeholders.

7.3 BudgetGiven the localized and moderate impacts of the works, land acquisition and involuntary resettlement is not expected to be significant. The four categories of resettlement costs that must be estimated when developing Resettlement Action Plans budget once the impacts have been identified and located are:- administrative, compensation, land acquisition (surveying, resettlement planning and valuation), and Monitoring and Evaluation costs.

7.3.1 Administrative Costs These include salaries for staff, transportation, office administrative costs (stationery, electricity, water, rentals, communications etc), operating supplies and other miscellaneous costs.

7.3.2 Compensation Costs These are to be estimated by determining the number of persons, type and value of assets likely to be affected by project activities. The Government will finance these costs out of its own budget.

7.3.3 RAPs, Planning and Implementation CostsThe following costs will have to be estimated under this category when the relevant information is available after the conclusion of site specific socio-economic studies including information on specific impacts, individual and household incomes and numbers of affected persons. Relevant costs are those for inventory assessments, land acquisition, preparation and implementation of Resettlement Action Plans, surveying and valuation of properties and resettling people on alternative lands, buying land and developing it into a habitable settlement. Also to be budgeted for are community development activities such as provision of public services, access roads, markets, etc. Format for resettlement schedule is in Annex 10.

7.2.4 RAPs Monitoring and Evaluation CostsThese costs relate to planning and implementation of monitoring and evaluation activities. Table below shows the tentative budget for implementing the RAP.

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Estimated total costs for implementation of the RPF

DESCRIPTION AMOUNT ($)Cost of training for RPF 50,000Costs of monitoring for RPF 60,000

Total 110,000

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CHAPTER EIGHT: STAKEHOLDER CONSULTATIONS, GRIEVANCE REDRESS AND MONITORING

8.1 Stakeholder ConsultationThis RPF has been informed by stakeholder consultations as described in Annex 11 and it advocates for extensive public consultation and participation of affected individuals/ households in the planning and implementation of the RAP during APPSA implementation. Consultation should be a continuous process throughout all stages of the project cycle namely:

Project inception and planning, involving choices of alternative designs; Screening process and feasibility study, involving assessment of project impacts etc.; Preparation of sub-project designs involving resettlement strategies and options,

choice of resettlement sites and timing of relocation; Planning of resettlement and compensation packages involving decisions on

compensation rates, eligibility, entitlements, etc.; Drafting and reading/signing of the compensation contracts; Payment of compensations; and Resettlement activities involving the development of opportunities and initiatives,

development of procedures for grievance redress as well as mechanisms for monitoring.

This RPF further recommends that public consultation and participation shall take place through various forms and media, including meetings, request for written proposals/comments, completion of questionnaires/application forms and explanations of the project ideas and requirements by stakeholders at national, Provincial and District levels. Key consultations with stakeholders including the affected people will be an integral part in the RAPs will take place as outlined below planning, implementation and monitoring as follows:

8.1.1 Screening and Preliminary Assessments People affected will be consulted and participate in the required assessments once the proponent of a sub-project has identified the need to undertake an environmental and social impacts study. In this regard meetings will be held with stakeholders including affected groups to discuss potential resettlement issues.

8.1.2 Social and Economic Baseline CensusThe affected community members and other interested parties will be involved in the planning and implementation of social and economic studies needed for the preparation of the RAPs.

8.1.3 Preparation and Implementation of Resettlement Action PlansIn the process of preparing and implementing the RAPs, representatives of the affected people will input their concerns in the processes through discussions on the potential costs of implementing the planned activities, enforcing the RPF provisions, mitigating impacts, rescheduling where necessary, and timing of RAP activities.

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8.2 Grievance Redress MethodsIt is anticipated that land acquisition would be avoided or at least minimized, thereby reducing complaints arising from loss of land or resources as a result of implementing any sub-project activities. Affected people in the project area are poor and un-educated; the grievance procedures should be simple, accessible, flexible, just, fair and capable of being administered properly with minimum delay. In this regard, the grievance redress mechanisms shall make provisions for the following:-

Formation of complaints committee at the sub-project level under the chairmanship of the Ward Councillor whose membership should consist of representatives of the affected persons, local NGO’s, the Chiefs representative and the DACO’s office. The committee shall be established as soon as RAP preparation starts in order to address claims at an early stage because disputes can arise from any census operation.

Any complaint can be submitted to the committee. After verification of the complaint by field visit, the concerned parties should be brought together to resolve the matter amicably. If not resolved, local courts system can be applied as last resort. The Local Court’s shall deal with cases of rejected complaints if the matter cannot be resolved at local community level. Unresolved cases should be referred to the Local Magistrate Court, and if not resolved at that level then they shall be referred to the High Court for final decision on the matter. Courts of law should be the last resort, triggered only if amicable resolution of the grievances cannot be obtained at community level.

Affected individuals and households should be informed and familiarized with the local grievance redress process well before the individual compensation and Resettlement Action Plans are approved and individual contracts signed. The grievance procedure shall give the affected people up to the end of the next full agricultural season after surrendering their assets, to set-forth their cases.

Community Representatives and affected peoples’ representatives will be part of the contracts to be signed by the affected persons, and all complaints of non fulfilment of contracts, levels of compensation and seizure of assets should be addressed to the Local and District Authorities in the area either in person or in writing.

Given the participatory process in which this RPF has been prepared, it is expected that the affected individuals, households and communities associated with the conception, design and location of the sub-project activities would have expressed their grievance or dissatisfaction to the relevant authorities prior to the RAP’s approvals. In this regard, it is also expected that MAL would sensitize the affected persons and communities on Zambia’s grievance redress mechanisms which incorporate two integrated approaches namely the District and Provincial Administrative structures; and the Local Government structures, Ward/Village Council, Organisational Structures including laid down Committees as already explained.Aggrieved parties can air their grievances through the District, Provincial Local Government organs; through Local Government organs such as Village, Wards, and Chiefdoms or through IDSP institutional structure. The grievances shall be transmitted to the District Project

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Office/DACO, facilitation team, District Commissioner, or to the District Provincial or national steering committee of the project.

8.3 MonitoringTo be effective, the implementation of this RPFs provisions will require the involvement of the affected communities in the discussions on the development of the necessary measures needed to deal with identified problems and implement the planned activities. In this regard community members shall be involved in the monitoring of the project’s activities throughout its planning cycle starting from inception through to impact assessment.

8.3.1 Arrangements for MonitoringMonitoring and evaluation are important in the implementation of a project because it provides feedback needed to detect success, challenges and opportunities in the development process. In the case of this RPF, monitoring would ensure compliance with the RAPs provisions. In addition, monitoring would provide regular feedback from stakeholders such as management staff and beneficiaries, needed for the efficient and effective management of project activities. Furthermore, responses to RAP implementation challenges would be timely if feedback is received regularly.

However, for RPF and RAPs to be implemented efficiently, effectively and to be responsive to issues raised in the feedback meetings, reports etc., a cost effective monitoring system with adequate human, financial and material resources needs to be put in place in order to successfully improve the implementation of sub-project activities.

8.3.2 Scope of monitoring Depending on the complexity of the RAPs sub-project activities, the monitoring systems to be used in the implementation of the RPF and the RAPs needs to consider the following if the desired project objectives are to be realised:

Availability of the resources and expertise for monitoring; and The degree of stakeholders’ and cooperating partners’ willingness to be involved and

participate in the monitoring arrangements.

8.3.3 Performance monitoringTo enable the sub-project proponents to measure progress against set targets, performance monitoring will be carried out as an internal function by the organization(s) responsible for implementing the RAPs. In this regard performance monitoring reports will be prepared at monthly, quarterly, half yearly and yearly intervals depending on the issues to be monitored. Performance targets in this regard will include:

Public meetings held, Compensation disbursed, Census surveys completed, Assets inventories and socio-economic studies completed, Proportion of displaced people relocated; and Income restoration and development activities initiated.

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If the volume of work involved in performance monitoring is beyond the capacity of the RAP’s implementing organization to carry out, then the monitoring function could be sub-contracted to a consultant.

8.3.4 Impact monitoringImpact monitoring to be undertaken by the sub-project proponent, or an independent agency, will provide assessments of the effectiveness of the RAP strategies in meeting the affected populations needs. Quantitative and qualitative indicators will be used to compare the effects of the RAPs activities with the baseline conditions of the affected populations before and after the resettlement exercises. The satisfaction of the affected population with the resettlement initiatives will be assessed for their adequacy or deficiency, while the census assets inventories and socio-economic studies will constitute the baseline for the affected population, for the purpose of evaluating impact assessment.

8.3.5 External Monitoring/ Completion AuditCompletion audit(s) shall be carried out after the completion of all RAP inputs. The main aim of the completion audit or external monitoring is to assess how far the sub-project proponents’ efforts have gone in the restoration of the living standards of the affected population; and also assess whether the strategies for the restoration for the living standards of the affected people have been properly conceived and implemented.

The following are some of the several issues which need to be verified in the external monitoring:

Physical inputs committed in the RAPs Delivery of services provided in the RAPs The effects of Mitigation measures prescribed in the RAPs The affected populations and host populations social economic status after

displacement measured against the baseline conditions after the exercise.

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REFERENCES

Ministry of Agriculture and Cooperatives, APPSA Social Impact Terms of Reference, 2012.

Ministry of Agriculture and Cooperatives, APPSA Draft Proposal, 2012.

Ministry of Agriculture and Cooperatives, The National Agricultural Policy ( 2004 -2015)

RPF on Participatory Agricultural Development and Empowerment Project, Tanzania, February 2003

RPF on Support to Economic Expansion and Diversification (SEED) Project, Zambia, September 2003

RPF on Agricultural Support Project for Smallholder Commercialisation, Zambia, 2005.

RPF on Irrigation Development and Support Programme, Zambia, August, 2010

Draft Land Policy (2005), Government, Republic of, Ministry of Lands; LusakaEssentials of Property valuation - with Applications to Zambia, Ephraim K. Mushimfwa 2011.

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Annex 1: Screening Form

Sub-project name Technology Generation and Dissemination

Sub-project Location (Include Map/sketch)- Type of Activity

Estimated CostProposed Date of Commencement of workTechnical Drawing/specificationsReviewed

(Circle answer) Yes (No)

This report is to be kept short and concise.1. Site Selection:When considering the location of a subproject, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse social effects, and that more substantial social planning may be required to adequately avoid, mitigate or manage potential effects.

Issues Site Sensitivity RatingLow(L) Medium(M) High(H) L, M, H

Involuntaryresettlement

Low populationdensity; dispersedpopulation; legal tenure is well-defined.

Medium populationdensity; mixedownership and land tenure.

Highpopulationdensity; majortowns and villages;low incomefamiliesand/or illegalownership ofland; communalProperties

Cultural property

No known or suspected cultural heritage sites

Suspected cultural heritage sites; known heritage sites in broader area of influence

Known heritage sites in project area

Natural hazards vulnerability, floods, soil stability/ erosion

Flat terrain; no potential stability/erosion problems; no known flood risks

Medium slopes; some erosion potential; medium risks from flood

Hilly/mountainous terrain; steep slopes; unstable soils; high erosion potential; flood risks

Natural habitats

No natural habitats present of any kind

No critical natural habitats; other natural

Critical natural habitats present

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habitats occurChecklist questions:

Physical data Yes/No answers and bullet lists preferred except where descriptive detail is essential.

Extension of or changes to existing alignmentAny existing property to transfer to sub-projectAny plans for new construction

Refer to project application for this information.Land and resettlement: Yes/No answers and bullet lists

preferred except where descriptive detail is essential.

Require that land (public or private) be acquired (temporarily or permanently) for its development?Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forests)Displace individuals, families or businesses?Result in the temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens?Impact assets?Negatively impact livelihood and/or standard of living?Result in the involuntary restriction of access by people to legally designated parks and protected areas?What level or type of compensation is planned?Who will monitor actual payments?

(It the answer to any of the questions is “Yes”, please consult the APPSA Resettlement Policy Framework and, if needed, prepare a Resettlement Action Plan (RAP).

Actions:List outstanding actions to be cleared before sub-project appraisal.Approval/rejection Yes/No answers and bullet lists

preferred except where descriptive detail is essential.

Recommendations:Requires a RAP to be submitted on date: _________________________________Does not require further studiesReviewer: _____________________________________________________________Name: ________________________________________________________________Signature: _____________________________________________________________Date: _________________________________________________________________

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Annex 2: Template for the Design of RAPs

(Adapted from the World Bank Operational Policies: Involuntary Resettlement Instruments)

1. The scope and level of detail of the resettlement plan vary with the magnitude and complexity of resettlement. The plan is based on up-to-date and reliable information about (a) the proposed resettlement and its impacts on the PAPs and other adversely affected groups, and (b) the legal issues involved in resettlement. The resettlement plan covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the resettlement plan.

2. Description of the project. General description of the project and identification of the project area

3. Potential impacts. Identification of:

(a) the project component or activities that give rise to resettlement; (b) the zone of impact of such component or activities; (c) the alternatives considered to avoid or minimize resettlement; and (d) the mechanisms established to minimize resettlement, to the extent possible, during

project implementation.

4. Socioeconomic studies. The findings of socioeconomic studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people, including:

(a) The results of a census survey covering:

(i) Current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;

(ii)Standard characteristics of displaced households, including a description of production systems, labour, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population;

(iii) The magnitude of the expected loss—total or partial—of assets, and the extent of displacement, physical or economic;

(iv) Information on vulnerable groups or persons as provided for in OP 4.12, for whom special provisions may have to be made; and

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(v)Provisions to update information on the displaced people’s livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement.

(b) Other studies describing the following:

(i) Land tenure and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area;

(ii) The patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project;

(iii) Public infrastructure and social services that will be affected; and

(iv) Social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities.

5. Institutional Requirements.

(a) The identification of agencies responsible for resettlement activities; and NGOs that may have a role in project implementation;

(b) Any steps proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation.

6. Eligibility. Criteria for determining the eligibility for compensation and other resettlement assistance, including relevant cut-off dates

7. Valuation of and compensation and resettlement and for losses. The methodology to be used in valuing assets and in the determination of their replacement cost. A description of the proposed types and levels of compensation. A description of the packages of compensation and other resettlement measures that will assist each category of eligible PAPs to achieve the objectives of the policy (see OP 4.12, para. 6)

8. Relocation. Alternative relocation sites considered, covering: (a) Relocation sites, whether rural or urban, which are at least comparable to the advantages of the old sites; (b) Procedures for physical relocation under the project, including timetables for site preparation and transfer; and (d) Legal arrangements for regularizing tenure and transferring titles to resettlers.

9. Housing, infrastructure, and social services. Plans to provide (or to finance resettlers’ provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services

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(e.g., schools, health services); plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities.

10. Environmental protection and management. An assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement).

11. Community participation. Involvement of resettlers and host communities, including:

(a) A description of the strategy for consultation with and participation of resettlers and hosts in the design and implementation of the resettlement activities;

(b) A summary of the views expressed and how these views were taken into account in preparing the resettlement plan;

(c) A review of the resettlement alternatives presented and the choices made by PAPs regarding options available to them, including choices related to forms of compensation and resettlement assistance.

(d) Institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and women are adequately represented.

12. Grievance procedures. Affordable and accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms.

13. Organizational responsibilities. The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing agencies’ capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate.

14. Implementation schedule. An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project.

15. Costs and budget. Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies.

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16. Monitoring and evaluation. Arrangements for monitoring of resettlement activities by the implementing agency, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the PAPs in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation.

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Annex 3: Outline of a Resettlement Action PlanS/N Elements Activities

1 Description of the Project

Define the Project, and its components and the Project Site (s)Determine whether the Project will require land acquisition and relocation of personsDescribe the amount of land acquisition and resettlement requiredIdentify options of reducing amount of resettlementQuantify the options of minimizing resettlement

2 Project Objectives

Formulate the main objectives of the ProjectIdentify Specific Objectives

3 Socio-Economic Studies/Census

Carry out census of affected community/individual and their assets.Determine income levels and livelihood patterns of the affected personsIdentify alternatives of restoring income for the displaced populationDefine magnitude of the impacts with special reference to vulnerable groups( aged, HIV and other ailed persons, female-headed households, the poor etc)-Document landholding tenure system in place, lot sizes and any cultural heritages/values that may be restricted by the projectDescribe any social organizations in place that may be impactedDocument type and size of infrastructure and other services that may be impactedSummarize impacts of the project for each categories of affected groupsProvide mechanism for updating information on the displaced population

4 Legal/Institutional Framework

Define the Project affected PersonsIdentify local agencies responsible for resettlementDiscuss staffing of the Project Resettlement UnitAssess capacity of the agencies to handle the magnitude of the resettlementComply with national and local legislation on matters relating to land and environmentDescribe plan to inform the affected population

5 Eligibility and Entitlements

Set criteria for the displaced persons to be eligible for compensation and resettlementPrepare Entitlement MatrixDetermine Assistance required for resettlement

6 Compensation Assessment

Appoint Registered/District Valuer for compensation purposesCarry out consultation with affected personsIdentify and inspect affected assets for valuationProcess Valuation Report and prepare Compensation ScheduleDetermine whether additional income assistance is necessary

7 Resettlement Plan

Determine need for relocation and discuss with affected personSelect site for relocation and make arrangement for land titling in favour of resettlersIn consultation with respective District Settlement Planning Department,

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S/N Elements Activitiesprepare Resettlement PlanDiscuss outsourced services if any and draw up cost implicationsEnsure Plan comply with environmental considerationEvaluate the impact of the Plan on host communityDetermine any special assistance measures necessary to vulnerable groupsIdentify risks associated with the Plan and chart out ways of overcoming themProvide information on updating of the Plan

8 Grievances Procedures

Design system for recording grievances and establish response timeDiscuss mechanism for hearing grievancesDiscuss appeal Measures

9 Organizational Responsibilities

Prepare implementation schedule indicating target dates and backstopping measuresDiscuss arrangements for coordinating agencies and other jurisdictionsDescribe measures of transferring responsibilities of resettlement sites back to respective authorities

10 Costs and Budgets

Prepare a financial plan with emphasis on responsibilities and accountabilityList sources of fundsIdentify components of the sub-project that may require additional external fundingDiscuss provisions for handling price fluctuations, contingencies and excess expenditurePrepare a template for Project Cost Estimate/budget

11 Monitoring and Evaluation

Discuss measures for external and internal monitoringDefine monitoring indicatorsDetermine mode and frequency of reporting and content of internal monitoringDiscuss feedback mechanism

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Annex 4. Categories of Likely Losses and ImpactsCategory Type of Loss

Loss of Income and LivelihoodBusiness Loss of rental income

Loss of clientele Loss of business income

Impact on accommodation

Loss of Business, Residential or Industrial Accommodation or Room

Opportunity to Livelihood

Loss of income-generating activities

Plants & Crops Loss of economic or perennial trees Loss of grazing land Loss of food crops

Physical Loss of AssetsLand Loss of land for residential, agricultural, commercial or

industrial useStructures Buildings

Temporary Buildings and building sites Fence walls Other Civil works – concrete wells or reservoirs

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Annex 5. Sample of Possible Sub-projects That Would Trigger the Involuntary Resettlement Policy with Probable Social Impact

Sub project : Component 1 Impact? Triggered OP 4.12? (yes/no)

Breeding legumes for yield, quality, resistance to pests and diseases, tolerance environmental stresses

Trigger displacement, lack of access, loss of livelihood due to take of land.

Yes

Sub project : Component 2National capacity building activities of both human resources and physical infrastructure within the RCoL

Trigger displacement, lack of access, loss of livelihood due to take of land.

Yes

Sub project : Component 3Support for implementation of the program and coordination activities

Trigger displacement, lack of access, loss of livelihood due to take of land.

No

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Annex 6. Eligibility Criteria for Compensation

PAP Classification Eligible forCompensation No Compensation Assistance

Those with legal right Land or asset at replacement cost

For land, assets, and structure on the land after the cut-off-date

Assistance as needed

Those with temporary orleased rights at cut-off date

Land and assets at replacement cost

For land, assets, and structure on the land after the cut-off-date

Assistance as needed

Those with no legallyrecognised right butarrived before cut-off date.

Assets at replacement cost except that compensation may be “topped off” to allow the PAP to acquire a new residence.

Assistance as needed

Those who arrived afterCut-off-date

None None None

Those with businesslocated within theCommunity

Assets and lostincome as aresult of lostbusiness duringproject duration

For business located incommunity after the cutoff-date and outside the affected area.

Assistance as needed

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Annex 7: Entitlement Matrix1. Permanent loss of land

1.1 Cultivable/residential

/commercial land

1.1 (a)Legal owners of land

(b)Occupancy/Hereditary tenant

Affected households to be compensated according to the Land Acquisition Act. World Bank OP 4.12 provides for the PAPS to be entitled for compensation under this framework which will have to be at replacement cost.

Provision of land for those who become landless.

Encroachers/ squatters are not entitled to compensation under Zambian law. World Bank OP 4.12 states that persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance

2. Loss of income and livelihood

2.1. Temporary loss of access to land for cultivation

2.1.Cultivator occupying land Give advance notice, allow harvesting if possible

Facilitation to have alternative comparative source of income such as land for cultivation.

Rehabilitation support for income restoration

3.1. Loss of agricultural crops, and fruit and wood trees.

3.2 Loss of income by agricultural tenants because of loss of land they were cultivating

3.1. (a) Owner/s of crops or trees. Includes crops trees owned by encroachers/squatters

(b) /tenant

3.2 Persons working on the affected lands

Give advance notice, allow harvesting if possible

Compensation as per the agreement between APPSA and PAP

Rehabilitation support to non-title holders

4. Permanent loss of Structures

4.1 Residential and commercial structures

4.1. (a)Owners of the structures whether or not the land on which the structure stands is legally occupied

(b) Renters

- Compensation at replacement cost.- Non- title holders (squatters) will not be entitled to any compensation for their affected unauthorised public land but will be provided with cost compensation to structures at replacement value without depreciation deduction.- Resettlement assistance will be provided to the most vulnerable groups to restore their livelihoods to pre-project levels. Encroachers/ squatters are not entitled to compensation under Zambian law. World Bank OP 4.12 states that squatters are provided

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with resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives of the policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank.

Compensation for re-establishment / transition allowance in consultation with affected families.

4.2. Cultural, Religious, and community structures /facilities

4.2. School, church, water channels, pathways, and other community structures/installations

Re-construct or re-establish lost community resources, facilities like grave yards, churches and provide alternatives in consultation with affected communities. This also includes water points, community roads, etc.

5. Special provision for vulnerable APs

5.1.Restablishing and/or enhancing livelihood

5.1 Women headed households, disabled or elderly persons and the landless

Resettlement assistance will be provided to the most vulnerable groups to restore their livelihoods to pre-project levels.

Unanticipated adverse impact due to project intervention or associated activity

The Project team will deal with any unanticipated consequences of the Project during and after project implementation in the light and spirit of the principle of the entitlement matrix.

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Annex 8. Method of ValuationMethod of Valuation

S/No Loss of Land Comparative Sales Method Based on the open market value of comparable recent land transactions

1 Loss of Buildings, structures and other civil works

Replacement Cost Method or Comparative Sales Method (which ever gives a commensurate value)

Full replacement cost value as if new – recent construction cost rates

2 Loss of Business Income and Loss of Business Goodwill

Comparative Method Based on the average monthly net profit

3 Loss of Income from Rent and Expenditure Incurred for Alternative Accommodation during reinstatement period

Comparative Sales Method Based on the comparable rent passing, rent advance paid

4 Expenditure incurred for Transfer of movable properties and temporary structures

Comparative Method Based on truck/transport hiring charges

5 Loss of Wages, Loss of Fees from Apprentice, Loss of Job Training

Comparative Method Based on Current Fees and Wages

6 Loss of access to land used forAgriculture

Comparative method Based on Crop compensationResettlement assistanceEconomic Rehabilitation assistance

Note: Valuation MethodologyValuation was conducted in line with Principle 8 of the International Resettlement Standards which states that “Resettlement must be seen as an upfront project cost”. Valuation can simply be "defined as the art or science of establishing the value (worth) of a particular interest in property for a specific purpose and at a particular moment in time; taking into considerations all the features of the property and also considering all the underlying factors of the market."All valuation techniques rely on the collection and analysis of data such as social, economic, government and environmental attributes. Specific data include local market conditions and details of property transactions such as location, physical and functional form and legal characteristics. The value of the property is affected by the rights of enjoyment or compensation when such benefit may be alienated.

Basically there are five methods of valuation namely:1) Comparison Method: while it is true that no two properties can be the same, this method compares like

properties. It is the most reliable and requires an active market while adjustments are made to fit specific properties. The limitation faced by this method is lack of data and sometimes misleading data. Comparables may be biased where the seller may sell more or less depending on the needs at the time. Elsewhere the data given may not be correct because of personal secrecy. Thus in long run valuers have been able to come up with values per square foot/meter that can be used in various regions and give a reasonable value. Adjustments are made depending on various factors.

2) Investment Method: on the other hand is based on the expected future returns and its applicable where active investment market is available. Just like comparison method, investment method is limited due to lack of varied data.

3) Cost approach method: this is where the property value is assessed based on the cost of buying the site and constructing the building. It is based on the reproduction/replacement value.

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4) Profit method: this method is used in absence of sufficient rental or sales evidence and where the hypothetical purchaser would base his/her offer of profit from the business conducted from the property.

5) Residual method: this is applied to property with development potential either undeveloped or partially developed. The above methods together with the above factors lead to the value of the property. It is important to note that the above methods can apply to the same property if the data was available. They however give varied values; experience and the knowledge of the existing property market are necessities for any property valuer to come up with appropriate value and not just the quantification and method of calculation.

COST ESTIMATES AND CONTINGENCIESS/N Item Cost Assumptions1 Compensation for

land acquiredper hectare For land acquisition purposes, based on cost

realized in projects involving similar issues in Zambia

2 Compensation for loss of crops

per hectare of farm lost

Include cost of labour invested and average of highest price of staple food.

3 Compensation for buildings and structures

N/A This compensation will be in-kind. New buildings will be built and given to those affected

4 Cost of relocation assistance/expenses

per household This cost is to facilitate transportation

5 Cost of restoration of individual income

N/A Assume to be higher than the GDP/capita

6 Cost of restoration of household income

N/A For household of ten

7 Cost of Training Per participant Depends on the number of stakeholders in the counties selected

8 Cost of Management

Per sub-project site

Incurred by stakeholders such as ministries, districts

9 Cost of Monitoring and Evaluation

Per sub-project site

Dependent on the each sub-project site

10 TOTAL Per sub-project site

Addition of all the cost incurred

11 Contingency Per Total Cost 5% of the Total cost12 Grand Total N/A Sum of Total and contingency costs

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Annex 9. Arrangements for compensationARRANGEMENTS FOR COMPENSATION

1. Public ParticipationThis process seeks the involvement and concerns of the PAPs and the communities in a participatory approach with the project, from the beginning to implementation.

Public participation with local communities is an ongoing process throughout resettlement planning and this will have taken off at the screening stage. PAPs will be notified during the identification of subprojects and consulted with as part of the screening process.

The subsequent socio-economic survey will record all relevant information about the PAPs, and ensure that this is accurately reflected in the RAP in order to allocate the appropriate compensation. Periodic monitoring will ensure that PAPs have been consulted and that compensation and relocation has been carried out satisfactorily. This will ensure that no affected individual/household is simply “notified” one day that they are affected in this way.

2. NotificationLandowners will be notified by the ZARI that their property is required for development of the subproject. The user will be informed through both a formal notification, both written and verbal, to be delivered in the presence of the community heads and the Coordination Committee. To ensure that any sensitive areas are accurately identified during this procedure, all necessary community heads, religious leaders, other elders and individuals will accompany the project team to the site.

3. Documentation of Holdings and AssetsZARI officials and the local community will arrange meetings with the project affected persons to discuss the compensation process. For each individual or household affected, the project officials completes a compensation dossier containing necessary personal information on, the affected party and those individuals considered as household members, total land holdings, inventory of assets affected, and information for monitoring future arrangements. The dossier shall be confirmed and witnessed by village/community officials and will be kept up-to-date. This is necessary because it ensures monitoring of an individual over time. All claims and assets should be documented in writing.

4. Agreement on Compensation and Preparation of ContractsThe types of compensation shall be clearly explained to the individual or household involved. ZARI will draw up a contract, listing all property and/or land being surrendered, and the types of compensation (cash and/or in-kind). A person selecting in-kind compensation has an order form, which is signed and witnessed. The compensation contract and the grievance redress mechanisms are to be read aloud in the presence of the affected party and the representative of the local government chairman (or his/her representative), the project officials, and other community leaders prior to signing.

5. Compensation PaymentsAll handing over of property such as land and buildings and compensation payments will be made in the presence of the affected party, representative of the state environmental agency and the community officials.

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Annex 10. Resettlement ScheduleRESETTLEMENT SCHEDULE

Activities Dates Budget CommentsPlanning of census and surveysInformation to people affectedConduct census and socioeconomic surveyAnalysis of data and identification of impactsDefinition of assistance measuresRelocation/assistanceFollow-up Visit by Responsible Agency

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Annex 11. Summary of Consultation Process

Involvement of stakeholders is important to improve the quality of analysis, obtain input from varied perspectives and build a consensus on the future of the technology system and the project design.

Stakeholder consultations under APPSA program is an on-going process to inform the wider public of the project’s planned activities and receive feedback. Initial consultations took place in three locations: Mt. Makulu Research Station, ZARI Headquarters, Misamfu Research Station and Kabwe Research station. The first stakeholder consultation after selecting sorghum as the focal crop for establishing the Regional Center of Leadership (RCoL) was held in February 2012. Given the shift in the RCoL focus to food legumes the second stakeholder consultation took place on November 8, 2012 where food legume RCoL was presented and discussed with a larger stakeholder constitution including the private sector representatives. Additional consultations are also on-going as part of the Project Preparation Advance funded technical study and gap analysis. Issues raised from this consultation process will be used to update the final RPF.

APPSA will be implemented at the following research stations; Golden Valley Agricultural trust (GART), Zambia Agricultural Research Institute (ZARI) headquarters at Mount Makulu, and ZARI regional stations at Misamfu, Mutanda, Mochipapa, Msekera, Mongu, Nanga, Kabwe, Mufulira and Mansa. Additionally, the APPSA programme uses the research infrastructure at University of Zambia in Lusaka. Various Technical Assessment Sites (TAS) are also proposed to be used for research evaluations/ field testing such as Lusitu in Siavonga district and Masumba in Mambwe district. Furthermore, the Department of Agriculture (DoA) has Farmer Training Centres (FTCs) in each district.

Topics discussed in consultations*

Location Issue CommentsMt. Makulu Institutional linkages Institutional linkages need to be addressed [institutional

linkages are a must because Zambian fertilizers has already established a linkage with ZARI in terms of inoculums distribution]

Objectives Objectives should be comprehensive to address all relevant issues like capacity building, nutrition, etc.

Product development and utilization

Product development and utilization need to be looked at.

Generic concerns on farmers/ small holders:

Inclusion of budgetary provisions in the project for capacity building for farmers involved in the project activities and if not who will fund those activities which are considered to be essential

Seed issue Consider farmer and industrial preferences when considering what varieties to give farmers

Access to services on station Will the project subsidize service costs (e.g., water, electricity, transport) etc for those associated with the project

Characteristics of land (legal status, employees and size)

Mt Makulu is located 15km south of the Capital Lusaka and is 1.5km off the Lusaka - Kafue road going westwards. The station has a total area of about 550 ha

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Location Issue Commentsout of which 90 ha is cleared for experiments while 75 ha is occupied by buildings. The total road network of the station is 12km of which 7km is tarred. The station is under region II. The soil type is mainly Makeni series.

To be completed after gap analysis is doneOccupation inside station area Include ZARI staff, other MAL staff, and other

government ministry support staffSurrounding area occupation Industrial, semi-industrial, government offices including

wild-life and fisheries and FarmingRelationship with local population As the key field testing activities will be done within the

station premises local population will be least affected by the project. On- going relationship between the station staff and local population is solid.

MisamfuCharacteristics of land (legal status, employees and size)

Misamfu Regional Research Centre is found in Kasama, the provincial capital of the Northern Province of Zambia. The Centre is located along the Kasama – Mbala Road in the north of Kasama District, 5 km from Kasama Post Office and almost 1 km from the main Kasama – Mbala road in the north eastern direction. It is about 960 km from Lusaka and approximately 10o 10’S and 31o 10'E.

The name “Misamfu” is derived from the stream that cuts the research land almost in half. Misamfu is the coordinating center for region III (high rainfall zone above 1000 mm per annum), comprising four provinces namely; Northern, Luapula, Copperbelt, and North-Western. The region has Misamfu Regional Research Centre in Kasama, Mansa Technological Assessment Site in Mansa, Mufulira Technological Assessment Site in Mufuria and Mutanda Research Station in Solwezi.To be completed after gap analysis is done

Occupation inside station area Agricultural interventionsSurrounding area occupation On-farm and off-farm activitiesRelationship with local population Very little negative feedbacks are expected given the

expected positive benefits of the project.Kabwe

Characteristics of land (legal status, employees and size)

Kabwe Research Station is located about 8 km north of Kabwe town in the medium rainfall region of Zambia, on a 140 hectare farmland commonly representing typical soils of Central Province. The Research centre is easily accessible from the Main Kabwe-Kapiri road known as the Great North Road (GNR) by a 400m gravel road. Ample research farmland is found north of the offices, while the south western portion of the station has become a school development area. The area is located between 28°29’E, 14°23S and 28°30’E, 14°24S.

Research teams are involved in both on-station experiments and demonstrations, and off-station activities. All teams consist of a professional and technical staff. The station works in collaboration with

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Location Issue Commentsinternational research organizations like CIYMMT, ICRAF, ICRISAT and local institutions such as University of Zambia (UNZA), Environmental Council of Zambia (ECZ), and a number of farmer organizations.To be completed after gap analysis is done

Occupation inside station area Annual cropping (maize and legume–based)Surrounding area occupation Mostly agriculture related; minor trade activities.Relationship with local population As most farmers around the station are growing crops

related legume based systems, expectations from the project are positive. As the key field testing activities will be done within the station premises local population will be least affected by the project.

*To be further adjusted based on continued consultations

Names of persons consultedName Position Institution Tel E-mail

Dr. Stephen W. Mulyokela

Director GART Gart@zamnet.zm

Alexis Jones Agricultural Development Officer

USAID aljones@usaid.gov

Andrew Levin Economic Growth Team Leader

USAID alevin@usaid.gov

David Chikoye Director IITA SA Center dchikoye@cgiar.orgCheelo J. Hantolo IITA Regional

coordinatorUSAID, IITA SA Center cjhantolo@yahoo.com

Dr. Catherine Mungomba

Director Seed Control and Certification Institute

scci@zamnet.zm

Dr EmilyDr. Joseph Mwanamwenge

PARO Kabwe Research Station

0969499399 mwanamwengej@gmail.com

Mr. A. N Mukobe SARO Kabwe Research Station

0976663980 mukobeabraham@yahoo.co

Ms. Hellen Kasalu CARO Kabwe Research Station

0977701612 Hkasalu@gmail.com

Mr. C. Malambo SARO Kabwe Research Station

0970708822 codrimem@gmail.com

Mrs. Justina Nachalwe Mwenda

PATRA Kabwe Research Station

0977121065

Mr.Kangwa Francis

Executive Officer

Misamfu Research Station

0977934449

Mr. Kennedy Muimui

Plant Breeder Misamfu Research Station

0977636498 muimuikennedyk@gmail.com

Mr. Chisulo Extension services

MoA & L – PACO Central

223927/223544

Ms Chuma Extension services

MoA & L – PACO Central

05 223313 emchuma@yahoo.co.uk

Ms Kasalu Farming system ZARI - Kabwe Kasalu_helen@yahoo.comhkasalu@gmail.com

Mr. Mashuta Research ZARI - Kabwe mashuta@yahoo.commaskalez@gmail.com

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Name Position Institution Tel E-mailProf. Yerokun Training &

ResearchMulungushi University oyerokun1@yahoo.com

Mr. Siamuyoba Extension MoA & L – DoA phillip_siamuyoba@yahoo.co.uk

Mr. Mbewe Marketing and Planning

MoA & L – DoP chrismbewe@gmail.com

Dr. Mungoma Seed Regulation SCCI maize@zamnet.zmMr. Nathan Phiri Seeds

production training

SCCI nathprm@yahoo.co.uk0964867043

Dr. Mwala Training & Research

UNZA 0977670635

Dr. Munyinda Training & Research

UNZA kmunyinda@unza.zm0978270898

Mr. Musonda Seed production and Marketing

ZAMSEED Company zack@zamseed.co.zm

Mrs S. Angomwile Seed production and Marketing

Sterwards Globe Ltd +260955888534sangomwile@yahoo.co.uk

Director Seed production and Marketing

Indigenous Seeds company

indigseed@yahoo.com

Mr. Hanzala Seed production and Marketing

Seedco 288048/286559

Mr. Graham Soybean Out - grower scheme

Dunavant cotton Company

Graham.Chilimina@dunavant.co.zm

Mr. Andrew Soybean Off taker

ZAMBEEF andrewl@zambeef.co.zm

Mr. Banda Soybean Off taker

Mt. Meru Company 0977489571

Mr. Muleya Fertilizer producer

Zambian Fertilizer Company

0966716412

Chairperson Poultry production

Poultry Association of Zambia

272697/286558

Chairperson Piggery production

Piggery Association of Zambia

Mr. Muleba Farmer Organization

Farmer Organization Support Program

+26096522208mmuleba@yahoo.co.uk

Director Crop sales Commodity Holding Company

Food Nutritionist Animal feed formulation

Tiger Animal Feeds 286266

Food Nutritionist Human Food Formulation

UTH

Director Human and Animal food formulation

National Milling Company

229548/229549

Mr. Hamusimbi Extension Zambia National Farmers Union

znfu@zamnet.zm

Dr. Mwale Seed and IPR ZASTA Mwale.watson@yahoo.com0977780497

Mr. Manda Agro Dealer Nutri Aid peterjmanda@nat.org.zm

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Name Position Institution Tel E-mailDevelopment

Mr. Banda Crop Marketing Frontier Organization +260979490345Mr. Chirwa Farmer

OrganizationZambia Cooperative Federation

Dr. Chikoye CGIAR – Crops Research

IITA

Dr Gondwe CGIAR – Crops Research

IITA +260973399701T.Gondwe@cgiar.org

Mr. Nsansaula Crop extension DAPP 0962294162/0955223378nnsansaula@gmail.com

Chairperson National Nutrition Commission

Mr. Mweemba Input sales Crop tech agro dealer +260955776230croptechzambia@ymail.com

Self Help AfricaFresh Pkt 840429PAVIDIA/RESCAPFarmers LinkCentral Statistics Office

252370/251377/231647

Kamano Seed CompanyPACO Extension MoA & L -Lusaka

ProvincePAO Extension MoA & L -Lusaka

ProvinceDr. Mwanamwenge

Research ZARI KABWE

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