Reclassification and Effective Management of the National Protected Areas System

PIMS 1937

Project Brief The main purpose of the project is to strengthen the enabling frameworks and capacities for managing the National Protected Areas System. The project will put in place appropriate policy, regulatory and governance frameworks in order to provide new tools for public/ community/ private/ civil society management partnerships. It also aims at strengthening and enhancing the existing institutional capacities for improved Protected Areas representation, monitoring and evaluation and business and investment planning. The Project is closely tied to the Zambia Poverty Reduction Strategy, which identifies tourism based on the country's wildlife assets to be the second most important growth sector for the country. Ultimately, the project envisages to make Zambia a tourism destination of choice based on a National Protected Areas System comprising a representative sample of Zambia’s ecosystems that are effectively safeguarded from human-induced pressures through management partnerships that contribute not only to economic development, but similarly, rural development.

Government of Zambia United Nations Development Programme

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Table of Contents Abbreviations and Acronyms ........................................................................................................... iii Part 1 A: Situation Analysis............................................................................................................... 1

Socio-Economic Frameworks ............................................................................................ 1 Policy and Legislative Frameworks ...................................................................................3 Institutional Framework.....................................................................................................3

Part I B: Strategy............................................................................................................................... 4 I.B.1 Government Strategy for Protected Areas .................................................................4 I.B.2 Project Strategy.........................................................................................................5

Part II: Management Arrangements ................................................................................................. 16 II A Execution and Implementation Arrangements...........................................................16 II B Financial Arrangements ............................................................................................ 19 II C Stakeholder Participation ............................................................................................ 6 II D Risk Analysis Matrix................................................................................................ 20 II E Monitoring and Evaluation........................................................................................ 19

Part III: Legal Context..................................................................................................................... 21 Part IV Project Results and Resources Framework............................................................................. 8 Part V Total Budget And Workplan for 2005 ................................................................................... 16 Annex 1: Letters Of Endorsement.......................................................Error! Bookmark not defined. Annex 2: Profile of the Protected Area System in Zambia...................Error! Bookmark not defined. Annex 3 Capacity Assessments of Key Partner Institutions.................Error! Bookmark not defined. Annex 4 Budget .................................................................................Error! Bookmark not defined.

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Abbreviations and Acronyms ADB African Development Bank ADMADE Administrative Management Design for Game Areas AMU Area Management Unit APR Annual Project Review CBD Convention on Biological Diversity CBNRM Community-Based Natural Resource Management CBO Community-Based Organization CCA Community Conservation Area (new category to be created) CCA Common Country Assessment CCD Convention to Combat Desertification CEMP Community Environmental Management Program CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora CLZ Conservation Lower Zambezi CO Country Office (UNDP) COP Conference of the Parties CRB Community Resource Board CSO Central Statistics Office DANIDA Danish International Development Agency DoF Division of Fisheries DP Decentralization Policy ECZ Environmental Council of Zambia EOP End-of-project ESP Environmental Support Programme EU European Union FAO Food and Agriculture Organization of the United Nations FD Forest Department in MTENR FINNIDA Finnish Development Agency GDP Gross Domestic Product GEF Global Environment Facility GIS Geographic Information System GMA Game Management Areas GNP Gross National Product GPAZ Game Producers Association of Zambia GRZ Government of the Republic of Zambia GTZ German Technical Aid Agency HDI Human Development Index HDR Human Development Report HIPC Highly Indebted Poor Countries (Initiative) IDA International Development Agency (World Bank) IUCN World Conservation Union KTL Kasanka Trust Limited LIRDP Luangwa Integrated Resource Development Programme LZNP Lower Zambezi National Park MAC Ministry of Agriculture and Cooperatives M&E Monitoring and Evaluation METT Management Effectiveness Tracking Tool MoLA Ministry of Legal Affaires MOU Memorandum of Understanding MT Mid-term MTENR Ministry of Tourism, Environment and Natural Resources MTR Mid-Term Review

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NBSAP National Biodiversity Strategy and Action Plan NCS National Conservation Strategy (1985) NEAP National Environmental Action Plan NGO Non-Governmental Organization NHCC National Heritage Conservation Commission NORAD Norwegian Agency for International Development NP National Park NPWS National Parks and Wildlife Service (ZAWA’s predecessor) NRCF Natural Resources Consultative Forum NRE Natural Resource Economist NRM Natural Resources Management OP Operational Program (GEF) PA Protected Area PASS Protected Areas Systems Specialist PC Peace Corps PCV Peace Corps Volunteer PDF-B Project Development Fund – Block B (GEF) PID Planning and Information Department of MENR PIU Project Implementation Unit PS Permanent Secretary SADC Southern African Development Community SARPO Southern Africa Regional Program Office (WWF) SEED Securing the Environment for Economic Development SHA Safari Hunting Area (proposed new PA category) SIDA Swedish International Development Agency SLAMU South Luangwa Area Management Unit SNRM Sustainable Natural Resources Management STAP Scientific and Technical Advisory Panel (GEF) SWOT Strengths, weaknesses, opportunities & threats TOR Terms of Reference UNDAF United Nations Development Assistance Framework UNDP United Nations Development Programme UNDP/TRAC UNDP-Target for Resources Assignment from the Core UNEP United Nations Environment Program UNFCCC United Nations Framework Convention on Climate Change UNOPS United Nations Office for Project Services UNV United Nations Volunteer USAID United States Agency for International Development WCS Wildlife Conservation Society WECSZ Wildlife and Environmental Conservation Society of Zambia WHS World Heritage Site WPO Wildlife Police Officer (ZAWA) WSAP Wetlands Strategy and Action Plan WWF World Wide Fund for Nature WWF-SARPO WWF-Southern Africa Regional Programme ZAFCOM Zambia Forestry Commission (proposed) ZAWA Zambia Wildlife Authority ZEP Zambian Education Program ZFAP Zambia Forestry Action Plan

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Part 1 A: Situation Analysis

Status of biodiversity Zambia lies at the heart of the Miombo Ecoregion, listed as a WWF Global 200 Ecoregion because of its high species richness. It is also referred to as the Zambezian Regional Center of Endemism, an area of some 3,770 million km2, covering parts of 11 countries and extending from the Katanga Province (DRC) to the Vaal River in South Africa. The Miombo Ecoregion supports important populations of fauna, particularly large mammals. It is also floristically diverse, harboring some 8,500-plant species, of which approximately 54% are endemic. WWF-SARPO (2002) has identified 26 areas of special biodiversity importance within the Ecoregion, based on a) the occurrence of endemic species; b) high species diversity; c) important or globally significant populations and; d) incorporating, or essential for significant animal movements.

Protected Areas System: Zambia’s Protected Area system is considerably larger than the global mean and is line with the Millennium Development Goals 7 “Ensure environmental sustainability” and its indicator, “land area protected to maintain biological diversity”. The most important Protected Areas PAs in Zambia are the 19 national parks (NP) and 35 game management areas (GMA) – together they cover over 30% of the territory of Zambia. The parks and GMAs together provide exceptionally large bio-geographical complexes with the potential, if well managed, to conserve viable populations of even those species that occur naturally at low densities. Legally, the national parks clearly provide the highest level of protection for biodiversity, and provide the bulwark of the national PA estate. Nevertheless, wildlife populations have been depleted through hunting pressure in many sites, and conservation infrastructure is generally rudimentary.

The GMAs generally have good potential for biodiversity conservation. However, few of the GMAs currently provide effective buffers to NPs, there being little distinction in management between ecologically sensitive areas, such as corridors for wildlife movements, and larger dispersal areas, where less intensive management is possible. GMAs include settlements and farmlands within their borders. At the legal level, there are no restrictions on land use within GMA – in particular there are no restrictions on conversion to agriculture. With few exceptions, however, human populations in GMAs are generally low enough to allow co-existence with healthy wildlife populations that can support sustainable harvests if soundly managed. Like the NP, the GMAs also suffer from difficult access and a lack of infrastructure. Traditional chiefs have the right to lease the land under the Lands Act of 1995, which could be tied to commercial joint ventures in GMAs. ZAWA’s concurrence would be required.

Socio-Economic situation

HIV/AIDS The slow-down in the population growth rate in recent times can partly be attributed to high rates of HIV prevalence in the country, estimated at 16% of the population aged 15-491. Life expectancy in 2000 was estimated to be 502 years, and if current trends continue, it is projected to be as low as 33 years by the year 2010. The Living Conditions Monitoring Survey estimated there were a total of 500,000 HIV/AIDS related orphans in Zambia in 1996 and that figure was expected to double by the year 2000 (CSO, 1998). The pandemic has had negative impact on socio-economic development and has infact reserved the development gains that were made in the 1970’s.

Gender Customary law and practice often place women in subordinate positions with respect to property ownership, inheritance and marriage, despite constitutional and legislative provisions to the 1 Zambia Demographic Health Survey 2 CSO 2000

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contrary. Although poverty affects both sexes, it is largely feminized with women being the most severely affected. Female concentration in the lower paying, less skilled occupations results in an estimated 90% of wages and cash income being paid to men. In practice, women are largely excluded from decision-making positions.

Poverty is pervasive in Zambia. The UNDAF3 describes poverty in Zambia as clearly widespread, deep and gender biased, noting that there is a critical need for greater targeting of development resources towards the poor and vulnerable groups, and the improved participation of the poor in decision-making.

Economy For most of the period since independence, Zambia’s economy was a centrally planned economy that was highly dependent on copper mining. Currently the country is implementing an economic recovery program that is intended to promote economic growth, stabilize the economy, promote the private sector, privatize state-owned activities and improve infrastructure and social services delivery systems. Progress has been slow, and GDP growth rate has fluctuated from 2.2% in 1999 to 3.6% in 2000, 4.9% in 2001 and 3.0 in 2002. In 2003, GDP per capita was US$ 7804.

Mining earns approximately 80% of the foreign exchange, accounts for 8.5% of formal employment and for 7% of GDP. Zambia is thus extremely vulnerable to shifts in the price and production of copper. The production of copper has been declining steadily since 1970 (prices have risen in the past year) and this is a major factor contributing to the high levels of poverty in the country. Following the sharp slump in international prices of copper and the January 2002 announcement of Anglo-American PLC to withdraw from its investment in the largest privatized copper mine, GRZ requested the World Bank’s assistance in developing a diversification strategy to mitigate the economic effects of the copper crisis. The GRZ Copper Crisis Task Force, funded by the World Bank, developed a diversification strategy that identified tourism, agribusiness and gemstones as the three high potential sectors in Zambia.

Agriculture The majority of Zambians depend on agriculture-related activities for livelihood, with 67% of the labor force employed in agriculture5. The importance of this sector to Zambian people can also be seen in the 75% of Zambia’s 600,000 farms, which are ‘small-scale’ (less than 9 hectares)6. Zambia has an abundance of resources, which could be exploited to stimulate agricultural and rural development with 12% of the country classified as suitable for arable use. It has been targeted as one of the driving engines of economic growth. With the current decline in mining, focus is being switched to the potential of agriculture and related agribusiness elements. The sector’s high dependence on rainfall results in significant fluctuations in growth, but a more serious threat to long-term growth is the rising cost of inputs such as energy and fertilizer.

Fisheries and Forestry Capture fisheries is one of the most neglected sectors in the country. Officially, fisheries contribute 1.2% to GDP and about 300,000 households are involved. There are nine major fisheries – most of them are based on the country’s massive wetlands and river systems. Official figures put the contribution of the forestry sector to GDP as between 0.9 and 3% (MENR 1997). These figures are likely to be gross underestimates of the contribution of forest resources to Zambia's economy, because the bulk of transactions involving forestry resources go undetected by official accounting mechanisms (MENR 1997). Also, the value of charcoal production is counted under manufacturing rather than the forest sector. In fact, wood-based fuels from the country’s forests and woodlands account for 71% of the nation's energy consumption, and 96% of household energy consumption (MENR 1997).

3 UN Development Assistance Framework for Zambia, 2002 4 UN HDR, 2003 5 WB SEED Project Appraisal Document, September 2003. 6 Ministry of Agriculture and Cooperatives: Agriculture Bulletin 2000

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Tourism has been identified as a driving key growth sector by the World Bank Copper Crisis Task Force. The sector represents a significant opportunity because it is already a sizable contributor to GDP, it is a recognized leader in foreign exchange earnings, and it has the potential to create numerous benefits through its linkages to the rest of the economy. 25% of visitors to Zambia come as tourists. Expectations of economic growth through development of the tourism sector are high7. The wildlife in the PAs is the main tourist attraction in Zambia. Zambia has the largest wildlife estate in the sub-region but the level of tourism development is very low compared to other countries in the region.

Policy and Legislative Frameworks

Responsibility for wildlife and habitat protection was traditionally vested in the local chief on behalf of the villagers. The chief controlled the allocation of land for use by households, and access to forest and wildlife resources. In legislation enacted to set up game reserves in the 1940s, the ownership and access to wildlife resources was taken away from the local chiefs and vested in the State. This process continued, resulting in the alienation of local people from the management of wildlife and natural resources. It did, however, lay the basis for the creation of Zambia’s Protected Areas System.

Zambia is however, in the process of developing an all-embracing national environmental policy to bring together the numerous sectoral policy frameworks and environmental strategies. These policies under review include the National Conservation Strategy (NCS) whose objectives included maintenance of Zambia’s biodiversity and sustainable use of the country’s renewable resources; the policy for National Parks and Wildlife in Zambia (1998); the Zambia Wildlife Act, Act No. 12 of 1998; the Forestry Policy (1998); the Forestry Act Cap 311 of 1973; and the Fisheries Act, cap 311 of 1974.

Institutional Framework

The Ministry of Tourism, Environment and Natural Resources (MTENR) is directly or indirectly responsible for most environmental and natural resource management in Zambia. MTENR plays a coordinating role, which includes the crucial responsibility of policy formulation for these sub-sectors. The MTENR’s role also embodies the facilitation and monitoring of the implementation of international agreements, conventions and treaties, with a view to promoting the country’s conservation interests as well as meeting international obligations.

The Zambia Wildlife Authority (ZAWA) is the key institution for PA and wildlife management in Zambia. It has the legal status of statutory body (a type of parastatal), and was established by Act of Parliament No. 12 of 1998. It commenced operations in 2000. ZAWA’s mission is to contribute to the preservation of Zambia’s heritage, ecosystem and biodiversity for present and future generations through the conservation of Zambia’s wildlife. It is responsible for the management of the national parks and GMAs. GMA are to be managed in partnership with communities. An independent board of directors appointed by Minister of Tourism, Environment and Natural Resources governs it.

The Division of Fisheries (DoF), in the Ministry of Agriculture and Cooperatives, has a mandate for promoting the development of commercial fishing, enforcement of regulations and laws and for registration of fishermen and their boats. It has authority to oversee all fisheries gazetted areas and is extremely interested in community programs. DoF, however, has very little capacity or resources to do any of this. Fisheries is one of the most underdeveloped sectors in the country.

7 WB SEED Project Appraisal Document, September 2003.

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The Environmental Council of Zambia (ECZ) was established under the Environmental Protection Control Act No. 12 of 1990 and has responsibility for monitoring the state of the environment in the country including all gazetted areas. With funding from the Netherlands, ECZ had an active program of monitoring of wildlife populations in PA in the late 1990s. Although ECZ’s monitoring of wildlife stopped with the end of this funding, ECZ still have this unfunded mandate. ECZ has been seeking to transfer this function to ZAWA – and asking to ZAWA to pay for it.

Non-government partners in PA management

Zambia has been a leader in forming innovative partnerships with non-governmental organizations for the management of protected areas. This was largely a spontaneous reaction to the high level of poaching resulting from the institutional void of the 1980s and 1990s. Two prominent examples are Kasanka Trust Limited in Kasanka NP, and Frankfurt Zoological Society in North Luangwa NP. They both operate under formal agreements with ZAWA, and have been active since the late 1980s. A more recently created entity is Conservation Lower Zambezi (CLZ), which exists to reduce poaching and increase community development in the Lower Zambezi area. A number of international NGOs also have operations in Zambia, including, IUCN, WWF, Wildlife Conservation Society and African Wildlife Foundation.

Private Sector participation in PA management

African Parks is the first for-profit, private sector business partner for PA management in Zambia. They have just signed a 20-year lease with ZAWA in June 2004 for the management of Liuwa Plains NP. They plan to operate the park as a business, making the investments in park management and infrastructure necessary to bring the park up to a condition where they can attract large, private, tourism sector investors – and perhaps turn a profit on their own investments. The newly signed lease in Zambia is the most recent of several similar African Parks investments in African PA in at least four countries.

Part I B: Strategy

I.B.1 National Strategy for Protected Areas

The PDF B project development process has solidified the emerging GRZ strategy for the National Protected Areas System. The GEF guidance for Strategic Priority 1 on “Catalyzing Sustainability of Protected Areas” has had considerable influence on the GRZ’s strategy development. The review of lessons learned in Zambia and in the region done as part of the PDF B process has also fed into this strategy development process.

Protected areas in Zambia are seen as lying on a continuum running from the High level of management on one end of the spectrum to those with Low levels or no management at all on the other. At present the NPs in Zambia run the full gamut of this spectrum. The vast majority of GMAs have Intermediate levels of management effectiveness to none at all. Against this background, GRZ, recognizing that it cannot raise management effectiveness to optimum levels throughout the PA estate immediately owing to budgetary and other constraints, is pursuing a phased approach to capacity building and investment in the National PA System. It is in this regard, it has sought assistance from GEF/UNDP to concretize and implement the strategy for effective management of PA . The envisaged strategy will focus on development of an overall conservation plan for the national Protected Areas System, in the interim, the GRZ will pursue the following interventions over the medium-term:

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• ZAWA will concentrate on the management of a core set of high priority national parks with strong tourism potential8, which will serve as growth hubs for conservation.

• A PA reclassification exercise would be undertaken, to identify priority areas in need of management action (informing the temporal sequence of site level capacity building and investment work, across the PA estate), ensuring that biodiversity conservation priorities are defined, that the PA estate is bio-geographically representative and ensuring that PA classification and management intensity is matched to management objectives at the site level.

• GRZ will develop and pass new legislation that increases the effectiveness of the National System of PA by exploiting opportunities for enhanced biodiversity conservation that are not possible under existing categories of PA. The will include the creation of new categories of PA. Two principal new candidate categories have emerged from the project development process. The Community Conservation Areas (CCA) category of PA would maximize incentives for conservation for communities by giving nearly full control over resources and the revenues derived from these resources while preventing conversion to agriculture or other land uses. The second change would allow portions of national parks to be zoned as ZAWA-managed Safari Hunting Areas (SHA). This would be done for sections of national parks that have little or no present photo-tourism potential, thereby converting them from cost centers to profit centers for ZAWA, while still ensuring a high level of biodiversity conservation and enhancing ZAWA’s overall financial viability. This will require a change in the legal status of these national parks. These two proposed new categories will be developed and validated through a participatory process involving all key stakeholders.

• Simultaneously, ZAWA would pilot an expanded range of public/private/civil society/community partnerships for PA management, with a view to expanding management options for both old and new categories of PA. Steps will be taken to strengthen the underpinning policy framework, and to develop institutional capacities to assure strong regulatory oversight of these partnerships. The new partnerships are expected to allow core management operations to be strengthened across the PA system, more rapidly than under the traditional paradigm.

• Attention would be paid to strengthening core systemic and institutional level capacities, including capacities for business planning, monitoring and evaluation, financial management and other key functions.

These interventions will set the stage for the gradual expansion of management interventions across the larger protected area system, focusing on priority areas, identified through the reclassification exercise.

I.B.2 Project Strategy

The project will provide core strategic support to strengthen the National Protected Areas System – the system of core priority protected areas that have biodiversity conservation as a major objective. More specifically, this will include NP, GMA and new categories be created with project assistance (CCA and SHA are the principal candidate categories identified during project preparation). It will work to move PA management effectiveness from the low end towards the effectively managed end of the spectrum. This will be done through legal and policy reforms, improved governance and institutional capacity building. Two field demonstration sites will be used for testing and implementing the legal and policy reforms, for developing public/private/civil society/community partnerships and other new tools and strategies for effective PA management.

8 Currently listed in PRSP as Mosi oa Tunya, Kafue NP, Lower Zambezi NP and Luangwa NP

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As the term “effective management” of PA is used in a very broad sense in this project design. The following have been identified as key elements of effective management of the national Protected Areas System:

• Definition of the key management objectives (biodiversity conservation, tourism development, trophy hunting, multiple use management, etc.) for each priority site identified from the reclassification planning;

• Based on the bio-physical and socio-economic parameters for each priority site, selection of the category of PA that is most suitable;

• Selection the form(s) of management most suitable for the site (ZAWA-managed or any suitable combination of public/private/civil society/community partnerships;

• Development of business plans for achieving objectives and covering costs in the most cost effective manner;

• Development of the most cost-effective mix of enforcement techniques, M&E systems, infrastructure development, staffing, sustainable natural resource systems, administrative systems, communications and marketing, joint ventures, etc.

The Goal, Project Objective, Outcomes, Outputs and Activities of the project are closely aligned with GRZ policies as presented in the NBSAP and closely reflect the recent evolution of strategic thinking within MTENR/GRZ. The project will address the root causes of threats to biodiversity in the priority PA. The project has specifically been designed to overcome the barriers to effective biodiversity conservation in priority PA. The project is strongly in line with the PRSP, providing support to economic growth and poverty reduction. The project confirms Zambia’s commitment to the Convention on Biological Diversity and to the Millennium Development Goals, MDG number 7, in particular. One of the key constraints to development of the tourism sector will be addressed by restoring PA wildlife populations through improved management effectiveness.

Goal The project will make a major contribution to the achievement of the following : A National PA System that comprises a representative sample of Zambia’s ecosystems is effectively safeguarded from human-induced pressures through effective management partnerships and serves to make Zambia into a tourism destination of choice.

Project Objective has been defined: Enabling frameworks and capacities for managing the system of PAs that have biodiversity conservation as a major objective, will be strengthened. At present only national parks and GMA are relatively effective in conserving biodiversity, with NP providing a much stronger legal base. The project will expand the range of categories of PA that provide effective biodiversity conservation and will enhance management capacities at the national level and at the field level through the development of new partnerships for managing new categories of PA.

This will be achieved through the following three complementary Outcomes: Outcome 1 Appropriate policy, regulatory and governance frameworks are in place providing new tools for public/ community/ private /civil society PA management partnerships. Outcome 2 Institutional capacities for PA system management strengthened including enhanced capacities for PA representation, monitoring and evaluation, business and investment planning and PA system planning. Outcome 3 PA management options expanded through development and field testing of innovative private-public-community management partnerships for new categories of PA.

I.C Beneficiaries and Stakeholder Participation

The legal and policy reforms strengthen and clarify the rights and roles of private sector and community stakeholders. The new models of public/private/civil society/community partnerships will

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be specifically targeted to involve these stakeholders directly in the management of PA and in the benefits of PA management. The new category of PA for community management of wildlife and other resources will be a major step in strengthening community control of land and resources and in maximizing the revenue they receive from natural resource management.

The approaches used to effect legal and policy reforms, improved governance, institutional capacity building and field testing of new partnerships will involve all of the important stakeholders in the PA sectors. The process for policy reforms will involve inputs from, and subsequent validation by, stakeholders from the regional and national levels. Stakeholders will include communities, traditional leaders, PA private sector investors, national and international NGOs and appropriate government and parastatal institutions. The Natural Resources Consultative Forum will provide a formal mechanism for civil society stakeholders to have direct input into key issues concerning the PA sector.

Institutional capacity development will support a balanced mix of capacities in the parastatal ZAWA and in civil society institutions. This is critical for good governance because of the internal conflict within ZAWA’s mandates. ZAWA is charged, on the one hand, with conservation of biodiversity and natural areas, while on the other hand, they are being pushed strongly by government to generate enough revenues to cover their own costs. In addition to capacity development in ZAWA, the project will support capacity development in civil society institutions to enable them to have both a solid knowledge base and inputs in PA policy development.

The field-level demo sites will focus on the development of partnerships and capacities of the key stakeholders, especially of the local communities in the present GMAs at each site. The reclassification at each demo site will be a highly participatory process putting local stakeholders in the forefront of the process. The major emphasis at the demo sites will be on building local stakeholder capacities, especially those of the community management structures of the new CCAs. The project will develop partnerships between communities, NGOs, ZAWA, private sector investors in both photo safari and trophy hunting industries and traditional authorities.

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Part II: Project Results and Resources Framework Goal: Ensuring Environmental sustainability Service Line: Frameworks and strategies for sustainable development Intended Outcome: National Strategies for sustainable development for integrating of economic, social and environmental issues. Partnership strategy: To link/leverage GEF/UNDP support projects for enhancement of national capacity required for effective management of the environment and natural resources and collaborate closely with NORAD, DANIDA, WWF and private sector towards the achievement of the outputs as well as the intended outcomes. Project Objectives: to strengthen the enabling frameworks and capacities for managing the national protected area system.

Intended Outputs

Output Indicators

Indicative Activities Responsible parties

Inputs

Activity 1.1.1. Conduct an updated literature review of lessons learned regarding optimal categories of PA and of reclassification policies in Zambia and in Southern and Eastern Africa resulting in draft policy for reclassification of PA and draft legislation for new categories of PA, particularly a) community-managed conservation areas (CCA) and; b) ZAWA-managed Safari Hunting Areas (SHA)

MTENR Contractor

Consultants, Administrative logistics

Activity 1.1.2. Conduct an updated review and lessons learned concerning public-private-civil society-community partnerships in Zambia and in Southern and Eastern Africa resulting in policy framework drafts for partnerships for NP, CCA, GMA and SHA

MTENR Contractor

Consultants, Administrative logistics

Output 1.1 Legal drafts of legislation/policies/ guidelines prepared based on studies and literature reviews

Background reviews and draft legislation, policies and policy guidelines will be completed for reclassification of PA, the creation of new categories of PA, for PA management partnerships, for CBNRM management structures and for the role of chiefs in CBNRM. Baseline: No reviews have been done. MT 4 reviews and drafts completed.

Activity 1.1.3. Conduct an updated review and synthesis of lessons learned concerning optimum forms of community management structures for multiple resource management in Zambia and in Southern and Eastern Africa resulting in policy drafts allowing for a single community management structure for all NR.

MTENR Contractor

Consultants, Administrative logistics

Output 1.2 Draft legislation/ policies/ guidelines are amended through a participatory process of stakeholder inputs and validation

Draft legislation, policies and guidelines amended and validated through stakeholder inputs: Baseline: No actions taken. MT: All stakeholder inputs completed

Activity 1.2.1. Conduct three regional workshops for stakeholder inputs to the four legal/policy/guidelines drafts

MTENR Consultants, Administrative logistics for conducting workshops

Output 1.4. A Natural Resources Consultative Forum for civil society input on PA/NRM sector issues, for thematic

PA communities, GMA/CCA managers, tourism investors, private/civil society PA managers, NGOs and other civil society actors participate in open

Activity 1.4.1. Develop networks of concerned stakeholders for key sectors, identify key issues, prepare thematic assessments/field visits and develop reference library.

NRCF MTENR, ZAWA

Administrative Logistics for carrying out assessments

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Activity 1.4.2. Organize workshops, seminars and civil society debate, produce advisory notes for relevant ministries/institutions, prepare and diffuse publications of lessons learned on effective PA management/ CBNRM.

NRCF Workshop materials and Administrative logistics for conducting workshops

Activity 1.5.1. Review of procedures and lessons learned in Zambia and in the region

MTENR, Contract

Consultants, Administrative logistics

Activity 1.5.2 Develop a full set of procedures/guidelines for transparency, safeguards and accountability for financial management of CCA & GMA

MTENR, Contract

Consultants, Administrative logistics

Activity 1.5.3. Training in procedures/principles for sound financial governance are provided to CRB and CCA boards and non-board members of GMA and CCA communities.

MTENR, Contract

Consultants, Administrative logistics, training materials

Output 1.5. Development of good governance for financial accountability for GMA/CCA

All CRB receive financial statements giving basis of revenue sharing. All CRB/CCA boards & selected community representatives receive training in safeguards and accountability. Baseline: CRBs commonly don’t know the amount they receive a share of. Standard guidelines not developed. MT: Guidelines developed. All 55 CRBs and new CCA have received training.

Activity 1.5.4 Improve MTENR oversight and monitoring of the implementation of PA sector laws and policies.

MTENR Administrative support

Activity 2.1.1. Compile spatial data on biodiversity and PA, and refine the draft methodology, including conservation criteria and targets, for reclassification through literature review and stakeholder inputs.

ZAWA, MTENR NRCF, NHC, DoF, FD

Administrative logistics, maps, consultants

Output 2.1 Identification of priority sites for reclassification to complete the National System of PA

PA and open area sites that are in need of reclassification and/ or effective management to ensure representative coverage of Zambia’s ecosystems/biodiversity are identified (and are integrated into the Conservation Plan) Reclassification of PA completed at two field demonstration sites. Baseline: A preliminary gap analysis was done as part of project preparation but this did not include the identification of candidate sites. MT: Synthesis document on identification of reclassification priorities completed. Reclassification planning completed for two field demonstration sites.

Activity 2.1.2. Identify candidate sites for reclassification by conducting a gap analysis of the National System of PA, including the following; • Review and update the existing

gap analysis conducted by DSI in 2004 (See Figure 4);

• Identify candidate sites for reclassification by analyzing forest cover loss/ecosystem conversion analysis of all NP and GMA and other sites that could potentially fill identified gaps in coverage by priority PA using manual interpretation of satellite imagery;

ZAWA, Contract, communities, NHC, DoF, FD

Aerial photos, satellite imagery, consultants, Administrative support

Output 2.2 Natural resource economics and business planning tools are developed for

ZAWA uses business planning as a standard tool for PA management planning. The relative financial cost

Activity 2.2.1 Apply natural resource economic analysis to PA to better define priority setting for PA conservation and management;

ZAWA, Contract, NRCF, NHC, DoF, FD

Aerial photos, satellite imagery, consultants, Administrative support

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Activity 2.2.2. Apply financial assessment tools to determine cost coefficients and relative efficiencies of different public/private/civil society/community PA management partnerships;

ZAWA, Contract NRE, FD, DoF, communities,

Administrative support, consultants

Output 2.3 Efficient, effective monitoring and evaluation systems are developed for priority PA management

The METT has been modified for Zambia and is used as a standard tool for all PA managed by, or in partnership with, ZAWA. Monitoring of wildlife for trophy hunting is increasingly accepted as a cost of doing business. Techniques for monitoring ecosystem health have been developed. Baseline: METT is unmodified. Little monitoring is done on an operational basis. MT: Improved M&E techniques are being tested.

Activity 2.3.1. Modify the METT (Management Effectiveness Tracking Tool) to develop Zambia-specific tool and apply it to the priority PA (will include effectiveness of partnerships and compliance with policies and MOU)

ZAWA, MTENR Contract

Consultants, Administrative support

Bangweulu Field Demonstration Site Activity 3.1.1 Identify and develop profiles of all stakeholders

WWF, communities

Administrative support

Activity 3.1.2 Meet with traditional leaders, CRB and community representatives, government authorities, technical services, NGOs, others to fully discuss project objectives, targets, outcomes and participatory approaches to be used.

KTL, WWF, CRB, private sector partner

Consultants, Administrative support

Output 3.1 Awareness raising and two-way dialogue with stakeholders on the Bangweulu field demonstration site objectives and participatory approach

High level of awareness amongst community in project area and bordering areas of the projects objectives methods and goals. Active participation from all sectors with all parties sharing knowledge and lessons learned. Baseline: Traditional leaders, CRB, selected community representatives and local officials/technical services are informed and support the project objectives. MT: All sociological and geographic sectors of community are aware of the project and are represented by participants in the project activities.

Activity 3.1.3. Conduct awareness raising and develop 2-way dialogue with all project area communities by project extension officers with public meetings, written materials, video and drama presentations

KTL, UNV, WWF, private sector partner

Training materials, Administrative support for carrying out awareness campaigns

Activity 3.2.1 Establish telecommunications network for CRB/communities in project area for communications amongst themselves and with ZAWA, KTL, PC and UNV.

ZAWA, KTL, CRB, WWF, private sector

Consultants, telecommunication equipment

Output 3.2 Strategic infrastructure established

Essential infrastructure for functioning of the project is in place. Baseline: KTL and ZAWA Chikuni post have radio communications. Almost no road maintenance in area.

Activity 3.2.2 Repair/open strategic access roads and landing strips

Communities, private sector

consultants

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Activity 3.2.3. Build/rehabilitate and equip offices/facilities/lodging for project needs

KTL, CRB, private sector partner,WWF

Consultants, equipment

Activity 3.3.1 Evaluate the strengths, weaknesses and effectiveness of the present enforcement systems (ZAWA wildlife police officers (WPO), CRB community scouts and KTL scouts), review lessons learned from other PA managers in Zambia and develop an integrated, cost-effective, incentive-based enforcement plan for the GMAs, Lavushi Manda NP and Kasanka NP.

ZAWA, KTL, WWF, CRB, private sector partner

Administrative support

Activity 3.3.2 Recruit/redeploy and equip community scouts/WPO (including transport, equipment and accommodation, management support and incentives.) and implement enforcement plan

WWF equipment

Activity 3.3.3 Provide training of community scouts and WPOs

ZAWA, CRB Training materials, administrative support for conducting training

Output 3.3 Cost-effective protection/ enforcement established for wildlife and other natural resources in project area based on consultations with communities.

Planned, managed and supported cost efficient protection measures in place to conserve resources as appropriate in each PA. Co-operation between government agencies and community managers across wildlife, fisheries and forestry. Baseline: ZAWA, CRBs and KTL have scouts but ZAWA units and CRB are not well managed or supported so have limited effectiveness and operational scope. Few if any Fisheries and Forestry Officers are working in the Project Area MT: Existing units functioning well and adapting to new roles and responsibilities from emerging plans. Fisheries and Forestry Officers provide support as needed. ZAWA WPO, community scout equipped, motivated, well managed and working in close cooperation.

Activity 3.3.4 Provide training for PA managers directly responsible for managing enforcement officers/scouts.

ZAWA, KTL Training materials, administrative support for conducting training

Activity 3.4.1. Conduct village-level workshops on strategic capacities needed during reclassification planning, e.g. participatory planning processes, good governance principles of transparency, accountability, equity, involvement of women and minority groups, systems of checks and balances, etc.

WWF, CRB, private sector partner

Training materials, administrative support for conducting training

Output 3.4 Increased capacity for community managers for planning, governance, record keeping, financial management, business skills, gender empowerment and HIV/AIDS awareness and prevention

Community PA managers have the capacities needed to sustainably manage the natural resources of the PA, including capacities for good governance, business management and planning, NR management and adaptive management. Traditional leaders, ZAWA, local government and technical service staff and NGO understand critical needs for CBNRM support and monitoring. Raised awareness amongst wider community means leaders and representatives enjoy the informed support of community at large. Baseline: Indications are

Activity 3.4.2. Conduct training workshops for CRB/CCA managers, community leaders, ZAWA and local government staff in financial management, resource management, community development, business skills, management skills including adaptive management, democratic processes, gender empowerment leadership and HIV/AIDS awareness and its links to environment/community development

KTL, WWF, ZAWA,CRB, private sector partner

Training materials, administrative support for conducting training

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Activity 3.4.3 Organize exchange visits with other community PA management/CBNRM pilot projects in Zambia and sub-region

ZAWA, KTL Administrative logistics

Activity 3.4.4 Develop and implement conservation awareness education program with schools, leaders and broader community. Project extension officers liaise closely and regularly with schools and adult groups using printed materials, video, drama and educational visits to wildlife areas.

KTL, WWF, Private sector partner

Training materials, administrative logistics

Activity 3.5.1. Compile and analyze all existing spatial information on ecosystem/habitat/vegetation types, species occurrences and range, presence of critical species (threatened and endangered), limits of gazetted areas (NP, GMA, FR, RAMSAR site, other), settlements, road networks, etc.

WWF, ZAWA, Aerial photos, satellite imagery, administrative logistics

Activity 3.5.2 Acquire and analyze satellite imagery of field demo site to assess ecosystem/habitat/vegetation types, extent of agriculture, settlements, roads and other man-made features, signs of habitat degradation, possibilities for establishing corridors, etc.

WWF & ZAWA Aerial photos, satellite imagery, administrative logistics, GIS

Activity 3.5.3. Conduct aerial survey of project area to complement image analysis, assess wildlife populations, vegetation types and human activities. Survey to use manual strip counting and video recording.

WWF, ZAWA & KTL

Consultants, administrative logistics, field equipment

Activity 3.5.4 Conduct biological ground surveys to determine presence and ranges of rare, threatened, endangered species and to complement aerial analyses of wildlife populations (using line transect for wildlife counts)

WWF, ZAWA, KTL, CRB

Consultants, administrative logistics, field equipment

Activity 3.5.5 Conduct technical and participatory surveys of fishery resources and current fishing practices and develop management recommendations.

WWF, DoF, Consultants, administrative logistics, field equipment

Output 3.5 Reclassification options identified based on bio-physical and socio-economic studies completed.

Comprehensive sociological and biodiversity/ecological database and maps exist for Project Area. Baseline: Kasanka NP and Kafinda GMA are quite well surveyed but other areas only very partially. There is no clear picture of the status or distribution of resources and their interaction with the community. MT: Surveys published of wildlife, fisheries and habitats. Comprehensive community survey report published. GIS map of project area developed showing habitats, vegetation, wildlife, fisheries, settlement, agriculture and other socio-geographic features. Reclassification options identified

Activity 3.5.6. Conduct a survey of the field demonstration site to identify national heritage sites and develop recommendations for integrating them into PA management and community development activities

NHCC, WWF Consultants, administrative logistics, field equipment

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Activities 3.5.7 Conduct community survey of entire project area using participatory techniques to evaluate economic activities and production systems, resource utilization and dependence, commercial and non-commercial biodiversity products, attitudes to resources and biodiversity, resource and land tenure systems, nutrition, access to social services, social structures, concerns and aspirations, systems of governance.

WWF, ZAWA, FD,

Consultants, administrative logistics, field equipment

Activity 3.5.8 Synthesize and analyze all studies conducted to develop a preliminary set of reclassification and zoning options for Bangweulu, Chikuni and Kafinda GMAs, Lavushi Manda NP, Forest Reserve #210 and open areas..

ZAWA, WWF, KTL, Inter-agency working group

Consultants, administrative logistics

Activity 3.8.6 In collaboration with the national PIU, test and develop community-based monitoring systems for the monitoring of wildlife for science-based quota-setting, of partnerships/joint ventures by community managers and for the monitoring of governance practices of community managers by community members.

WWF, Private sector partner, KTL, CRB

Administrative, logistics

Output 3.8. Sustainable natural resource management systems are developed for community-managed PA

Adaptive management systems are functional for the wildlife, fisheries and other natural resources of the CCA(s)/GMAs. The CCA/GMA M&E systems shows that the populations of large herbivores in the CCA have increased by 50% since the beginning of the project. Baseline: Large parts of Kafinda GMA have good habitat but almost no large wildlife. There is little enforcement in the three GMA except around the ZAWA post at Chikuni. The wetlands fisheries are an open access resource that is heavily overfished. Most resources of commercial value are heavily exploited but not managed sustainably. MT: NR management techniques are being tested, monitored and adaptively modified. The plan for NRM-based revenue generation is being implemented.

Activity 3.8.8 Each community structure holds annual adaptive management reviews with all partners/technical services to distill lessons learned and to modify management plans/interventions in each sector.

ZAWA, KTL, WWF, CRB

Administrative logistics

Chiawa/Lower Zambezi Field Demonstration Site Output 3.9 Awareness raising and two-way dialogue with

High level of awareness amongst community in project area and bordering areas of the

Activity 3.9.1 Identify and develop profiles of all stakeholders

WWF, CRBs Administrative logistics

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Activity 3.9.2 Meet with traditional leaders, CRB and community representatives, government authorities, technical services, lodge owners, trophy hunting lease holder, NGOs, others to fully discuss project objectives, targets, outcomes and participatory approaches to be used.

ZAWA, WWF, CRBs

Administrative logistics

Activity 3.9.3. Conduct awareness-raising and develop 2-way dialogue with all project area communities by project extension officers to build solid foundation of local, contextual knowledge.

WWF, ZAWA, Private sector partner

Logistical support

Activity 3.10.1 Establish telecommunications network for CRB/communities, chieftainness and project staff for communications amongst themselves and with ZAWA and project staff.

ZAWA, WWF, Private sector partner

Telecommunication equipment, contract

Activity 3.10.2 Repair/open strategic access roads and landing strips

Communities, private sector partner

Contract

Output 3.10 Strategic infrastructure established

Essential infrastructure for functioning of the project is in place. Baseline: CLZ, the ZAWA Chirundu Post and many lodge owners have radio communications but not the CRB/communities. Little road maintenance in area for community access roads. MT: CRB/communities, PCV and UNV and strategic points equipped with radio communications.

Activity 3.10.3 Build/rehabilitate and equip offices/facilities/lodging for project needs

ZAWA, WWF, Communities

Activity 3.11.1 Compile existing data and conduct biological/ecological surveys/analyses to determine presence and ranges of rare, threatened, endangered species needed as inputs for identifying reclassification options including boundaries, zoning and corridors for the proposed CCA and for the creation of a SHA in LZNP.

WWF, ZAWA, communities

Logistical support, contract

Activity 3.11.2 Acquire and analyze satellite imagery of field demo site to assess ecosystem/habitat/vegetation types, extent of agriculture, settlements, roads and other man-made disturbances/impacts, signs of habitat degradation, possibilities for establishing corridors, etc

WWF, ZAWA, FD, CRB

Satellite imagery, contract, logistical support

Activity 3.11.3. Conduct aerial survey of project area to complement image analysis, assess wildlife populations, vegetation types and human activities.

WWF, ZAWA, Private sector

Contract, logistical support

Output 3.11 Background surveys completed for reclassification planning

Comprehensive biodiversity/ ecological and sociological database and maps exist for Project Area. Baseline: LZNP is moderately well surveyed but other areas only very partially. There is no clear picture of the status or distribution of resources and their interaction with the community. MT: Surveys published of wildlife, fisheries and habitats. Comprehensive community survey report published. GIS map of project area developed showing habitats, vegetation, wildlife, fisheries, settlement, agriculture and other socio-geographic features. Reclassification options identified

Activity 3.11.4 Survey the field demonstration site to identify national heritage sites and develop recommendations for integrating them into PA management and CCA/tourism development activities

NHCC, UNV, WWF

Logistical support

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Activity 3.11.5 Conduct community survey in and around Chiawa GMA using participatory techniques to evaluate economic activities and production systems, resource utilization and dependence, commercial and non-commercial biodiversity products, attitudes to resources and biodiversity, resource and land tenure systems, access to social services, social structures, concerns and aspirations, systems of governance.

WWF, Private sector partner

Contract

Activity 3.11.6 Synthesize and analyze all studies conducted to develop a preliminary set of reclassification and zoning options for Chiawa GMA and LZNP

ZAWA, WWF, Private sector partner

Contract

Activity 3.13.1 Evaluate the strengths, weaknesses and effectiveness of the present PA enforcement system using ZAWA WPO and CRB community scouts, review lessons learned from other PA managers in Zambia and develop a cost-effective, incentive-based enforcement plan for Chiawa GMA that is integrated with LZNP enforcement.

ZAWA, WWF, CRB, Private sector partner

Logistical support

Activity 3.13.2 Recruit/redeploy and equip additional community and WPO scouts as needed (including transport, equipment and accommodation, management support and incentives.) and implement enforcement plan

ZAWA, WWF, CRB

Logistical support, equipment

Activity 3.13.3 Provide training of community scouts and WPOs

ZAWA Logistical support, training materials

Activity 3.13.4 Implement enforcement plan

ZAWA, CRB, WWF

Logistical support

Output 3.13 Sustainable natural resource management systems are developed for the new CCA

Adaptive management systems are functional for the wildlife and other natural resources of the CCA(s). The CCA M&E systems shows that the populations of large herbivores in the CCA has increased by 40% since the beginning of the project. Baseline: Wildlife populations are excellent in the vicinity of the CLZ camp in eastern Chiawa. Although generally depleted in the rest of the GMA, but they do support trophy hunting. The CRB has recently participated in quota setting for the first time. Most resources of commercial value are heavily exploited but not sustainably managed. MT: NR management techniques are being tested, monitored and adaptively modified. The plan for NRM-

Activity 3.13.5 Identify game management/investment options, conduct economic/financial analyses to determine the viability and profitability, and develop a wildlife management and investment plan for the new CCA including establishment of zones for photo safaris and trophy hunting.

WWF, ZAWA, CRBs, Private sector partner

Logistical support, consultants

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Activity 3.13.6 Identify, analyze and prioritize other biodiversity products and markets chains for the current and potential economic uses of the CCA. o Identify user groups, their

organizational structures and their capacities;

o Analyze the traditional resource access rights;

o Analyze the sustainability of current uses;

o Identify value-added opportunities through better storage, processing, transport, respect for market standards, etc.

o Identify priority products and market chains for development

WWF, FD, Dept of Cooperatives

Logistical support

Activity 3.14.1 Conduct village-level workshops on strategic capacities needed during reclassification planning, e.g. participatory planning processes, good governance principles of transparency, accountability, equity, involvement of women and minority groups, systems of checks and balances, etc.

WWF, CRBs Logistical support Output 3.14 The needed capacities for sustainable management of the new CCA are developed

A portion of the revenues from all commercial NR-based products are reinvested in a natural resource management fund. The CCA managers have mastered basic bookkeeping and record keeping skills. Accounts and records are openly accessible to all CCA members. Trophy hunting quotas are based on the CCA’s wildlife monitoring system. The CCA is reinvesting some of their income in ways specified by their business plan. Baseline: The CRB has no M&E capacity and no business plan. It has no management fund. Basic administrative and financial management capacities of are very low.

Activity 3.14.2. Develop administrative and financial management capacities of the CCA managers (including management structures at village and CCA levels)

Accounting & bookkeeping skills Record keeping General management skills including adaptive management Business management

WWF, CRBs, Private sector partner

Logistical support

Part III: Management Arrangements

III.A Execution and Implementation Arrangements

The project will be implemented over a period of six years beginning in early 2005. The project will be nationally executed. The Department of Environment and Natural Resources Management (ENRM)

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will be the designated institution for the management of the project. The Ministry of Tourism, Environment and Natural Resources (MTENR) will have an overall oversight and monitoring role on the part of GRZ. In addition, UNDP will assist in the procurement of equipment and local consultants for the project as needed/requested. The project will receive high-level policy guidance and orientation from the project’s Steering Committee (SC). The SC will be chaired by MTENR and will be composed of the Permanent Secretaries of concerned ministries plus UNDP. The SC will meet twice a year during the first two years and once a year thereafter. A Project Coordination Group (PCG) functioning as the Technical Advisory Group will provide technical support to the project. The PCG will be composed of 14 individuals from relevant government line ministries, implementing partners, Field Demonstration Agency and allied partners, PIU, civil society, private sector associations (tourism/safari hunting sectors), and experts appointed in their own right. The PCG will also be a planning authority of the project and will oversee and advise on the day-to-day implementation of the project and will meet every quarter for the life of the project.

As the designated institution, ENRM will be responsible for managing the project including the timely delivery of inputs and the outputs. ENRM will through the PIU coordinate the activities of all the other implementing agencies (MTENR, NRCF, WWF, KTL, CLZ, and ZAWA) to ensure the efficient and timely project implementation and the attainment of maximum impacts. ENRM will lead and coordinate the preparation of annual work plans and will also coordinate the interventions of all the other implementing agencies at the field demonstration sites, including facilitating the identification and contracting of all international consultants. WWF and other implementing agencies (e.g., KTL, UNV) will be contracted by UNDP with whom they will sign an MOU with MTENR.

A Project Implementation Unit (PIU) will play a key role in project implementation. It will be attached to ENRM and will be headed by a Zambian national with the title of Project Technical Coordinator (PTC). He/she will work under the supervision of the Directorate of ENRM and will be responsible to UNDP for the proper application of all UNDP administrative and financial regulations and procedures for the use of UNDP/GEF funds. The PTC will be a national consultant and will fill this post for six years. Further, a Protected Areas Systems Specialist (PASS) and a Natural Resources Economist (NRE) will support the PTC. The PASS and NRE will be highly qualified international consultants recruited through UNOPS. The PASS will be a full time advisor during the first two years of the project and will conduct annual support missions to the project, which will coincide with the PCG’s annual review meetings for the remainder of the project’s life. The NRE will conduct annual support missions beginning in the 2nd year of the project up to the end of the project. The PIU will have overall responsibility for project management, administrative, technical and financial reporting. The PIU will manage the selection process for all local contracts and recruitment of local consultants. This will include preparation of TOR; call for bids and organization of the selection process and this will all be done in close collaboration with UNDP and contracts let by MTENR. The PIU will oversee and coordinate the execution of all local contracts. The PIU will have a small support staff.

MTENR will have lead responsibility for the development of the policy and legal reforms under Outcome 1 and MTENR will monitor and oversee the implementation of PA sector laws and policies. ZAWA will be the lead implementing agency for Outcome 2. Under Outcome 3, WWF shall play a duo role. Firstly, it will act as the Field Facilitation Agency (FFA) for the forging and testing of links and partnerships between the private sector partners and communities as options for natural resource management; secondly, WWF will provide key technical support to both sites in the areas of biodiversity surveys, image interpretation, reclassification planning, the development-based M&E systems and other specialized technical inputs needed at the two sites.

In fulfillment of its role as the Field Facilitation Agency (FFA), WWF shall be assisted by ZAWA and other field partners. WWF, in conjunction with the communities, will identify an acceptable private sector partner at each site who shall assume the leadership role in activities to test the private/public/community partnerships. The process for the identification of the private sector partners shall include intensive tripartite consultations between a) Communities, WWF and KTL in Bangweulu and b) between Communities, WWF and CLZ in Chiawa. In the event that the consultations are stalled at any of the sites, the concerned community and WWF shall seek new private sector partners. However, in the Kafinda GMA, Bangweulu Basin, where the local community has already identified a private sector partner (Kasanka Trust Limited) project activities will start while awaiting the outcome of consultations in other project areas.

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As a lead Field Facilitation Agency, WWF will sub-contract parts or whole activities related to the field demonstration sites to field partners such as KTL in Bangweulu or CLZ in Chiawa in consultation with the communities. WWF will have primary responsibility for on-the-ground implementation and support to communities as well as for awareness raising, support for a highly participatory approach to reclassification planning, support for community-level capacity development, development of community-based natural resource management systems, support for development of community-based enforcement systems and the development of NR-based income generating activities. The private sector partners and the communities at the two sites shall identify and set up suitable and sustainable management structures to service the joint community/public/private sector initiatives. The project shall assist in empowering such community/private sector structures through training and skills provision.

Demonstration Site Working Groups (DSWG) operating alongside WWF and serviced by the Demonstration Site Manager will be set up at each site with the primary responsibility of distributing functions and activities to key field partners, approve annual work plans and budgets, monitor progress, and support the work of the Field Demonstration Site Manager.

Implementation of Outcome 1 MTENR will be the lead implementing agency for all legal and policy reforms under Outcome 1. Background studies and legal drafts will be contracted for by the PIU/UNDP. Stakeholder workshops will be organized by the PIU. ZAWA will provide co-financing for improving their financial management of revenue sharing with CRB. Support for improved financial management and governance at the CRB and VAG level will be done under competitively awarded contracts through the PIU/UNDP. Funding will be provided by DANIDA for the functioning of the NRCF for the first three years. This will then be picked up under UNDP/GEF funding for the final three years.

Implementation of Outcome 2 The work on reclassification priorities will be done through direct support to ZAWA’s Research, Policy and Planning Department and will also be supported by competitively awarded contracts (PIU/UNDP). The PIU will play a strong advisory role on the reclassification methodologies. The development and application of economic, financial and business planning tools will make use of a lead natural resource/environmental economics consultant (NRE). ZAWA, WWF, Forestry Department, and National Heritage Commission will do modifications to the METT and use it for monitoring PA management effectiveness under this project. The review of M&E systems will be done under NEX contract and the adaptive testing of these systems will be done primarily by ENRM assisted by consultants. The development of the Conservation, the Investment and the Marketing Plans will involve all the necessary key stakeholders with the assistance of contractors.

Implementation of Outcome 3 All implementing agencies working at the two field demonstration sites will be coordinated by WWF, who will be assisted in this by the PIU. WWF and field partners will be directly involved with awareness raising, enforcement, reclassification planning and the development of improved M&E systems. WWF will be the lead field facilitation agency at each site, and will initially be responsible for most operational, field level activities and for different forms of community support. However, this responsibility shall be passed on to the private sector/community partnership which shall coordinate these functions through its own management structure.

The smooth functioning and the possibility of conflicts/misunderstandings at the two field demonstration sites will be monitored closely to nip any potential problems “in the bud”. Every three or four months, coordination visits to each site will be organized by the PIU, MTENR, UNDP and others who may participate in these field visits. Two or three days will be spent at each site with discussions with DSWG members as well as visits to key stakeholders to review progress, successes and constraints and concerns of each party. A plan of action will be developed for each potential problem identified and follow-up will be monitored carefully.

Steering Committee High Level Policy Guidance and Project Oversight would be provided by a high-level Steering Committee (SC) comprised of the Permanent Secretaries (PS) of the Ministry of Tourism, Environment and Natural Resources, Ministry of Agriculture and Cooperatives, Ministry of Lands, Ministry of Finance and UNDP. The SC will meet twice a year during the first two years of the project (the period during which most of the new policies and legislation will be developed) and once a year thereafter.

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Technical Advisory Group. A 14 member Project Coordination Group (PCG) will provide technical support to the project. The PCG shall function as the Technical Advisory Group to the project and shall ensure effective participation of the private sector. This group will be composed of representatives from project implementing agencies, Line ministries, donor agencies, PIU, ENRM, civil society, associations (tourism/safari hunting/lodges), and 2 reputable and competent experts in PA systems and social-ecological fields.

Donor Coordination MTENR will play the lead role in donor coordination for the environment sector and for this project through the Sector Advisory Group on Tourism.

Intellectual Property Rights on Data, Study Results, Reports, etc. All data, study results, information, reports, etc. generated with UNDP project funds will be the property of UNDP and the GRZ.

III.B Financial Arrangements

Both GEF and UNDP/TRAC funds will be administered by UNDP. The PTC will assist ZAWA and UNDP to manage project resources. The PIU will manage all local service providers. The PTC will manage the funds for the local staff and operating expenses of the PIU. UNDP will advance funds for a three-month period. At the end of the three month period, the PIU will submit justification for expenses and the funds spent will be renewed by UNDP.

Criteria and procedures will be developed for performance-based contracts with service providers. Under performance-based contracts, the service provider will be paid only for work completed. Work partially completed will be paid on a pro rata basis.

The project will comply with UNDP’s monitoring, evaluation and reporting requirements as spelled out in the UNDP Programming Manual. The PIU PTC will have lead responsibility for reporting requirements to UNDP. Annual audits will be completed in line with UNDP procedures.

III.C Monitoring and Evaluation

The project is strongly focussed on increasing PA management effectiveness. The development and use of appropriate tools for monitoring management effectiveness are therefore critical. In establishing the Baseline, the WWF/World Bank Management Effectiveness Tracking Tool (METT) was applied to 5 NP and 4 GMA including 3 NP and 3 GMA at the field demonstration sites. The results appear to be quite meaningful, but the tool could be much approved by modifying it to the Zambia context. This will be done as a priority during the first year of the project. The new modified tool will then be applied to all NP and GMA during the first year to provide a complete baseline for PA management effectiveness. Both the METT and the modified METT will be applied to those sites already measured for the Baseline in 2004 – this will be done to allow a proper correlation between the rankings of the two tools. All NP, GMA and newly created PA of new categories will again be ranked with the modified METT just before the mid-term and at the end-of-project.

Another area of emphasis of the project is on the expansion and multiplication of PA management partnerships. A number of public/private partnerships already exist, but there is no formal system for monitoring these partnerships. The modified METT will be used to compare the effectiveness of different forms of management partnerships. New M&E tools will be developed for monitoring how well management partners respect the new policy framework to be developed for management partnerships and how well they respect signed MOU or leases. Likewise, there need to be monitoring safeguards developed so that ZAWA or MTENR can ensure that CCA managers are respecting the basic conditions for CCA – such as the ban on conversion to agriculture. The two mid-term and the EOP evaluations will place a particular emphasis on capturing lessons learned concerning management partnerships.

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Other areas of emphasis will be on the development of community-managed M&E systems, especially for monitoring wildlife populations for trophy hunting, and on the development of systems for monitoring ecosystem health and biodiversity. It is critical that monitoring of game populations be seen as a basic cost of doing business for trophy hunting. Community managers need assistance in developing systems that are scientifically valid and that are within their means to implement.

Quarterly progress reports will be prepared by the PIU. Annual Project Reviews (APR) will be done annually by the PIU and completed by the UNDP CO. The project will be overseen by the Steering Committee. Annual Tripartite Reviews of the project will be involve GRZ/ZAWA, UNDP and the UNDP/GEF Regional Coordinator and the PIU. Two mid-term reviews (MTR) will be conducted at the end of year 2 and year 4 and a final evaluation near the end of year 6. The primary purpose of the MTR will be to identify strengths and weaknesses, to reinforce what works well and to make mid-term corrections to correct weaknesses.

Responsibilities for monitoring the specific indicators in the logframe will be divided between the PIU, ZAWA, the executing agencies for the field demonstration labs and contractors hired to conduct independent monitoring of indicators. The full M&E plan is presented in Annex 4.

III.D Risk Analysis Matrix

Key Risks: the following risks and risk identification measures have been identified Risk Risk

Rating Risk Mitigation Measure

External pressures on national parks and protected areas increase significantly. Private sector/communities do not respond positively to improved policies/incentives. Tourism does not develop as hoped and tourism levies do not cover most of the recurrent costs of PA management. The approval/enactment of needed legal and regulatory framework is delayed. Government does not effectively address documented cases of mal-governance. Adequate staffing profiles/ numbers in ZAWA is not

M M M M M/S M

The strengthened M&E system would provide an early warning of increasing pressures, allowing ZAWA and its partners to intervene where pressures warrant. The new policy framework for private/ public/ community partnerships will clarify and codify the rights and responsibilities of each party. Sound business planning for PA will identify private sector investment opportunities. Integration of private sector investors into legal/policy reforms and planning processes builds confidence. The development of multiple use management approaches on community managed lands diminishes dependence on a single sector. Support to the Natural Resources Consultative Forum will bring civil society and donor pressure to bear on government policy makers. The participatory process of policy formulation will minimize risk of delays. Increased transparency and civil society input and oversight through the NRCF will minimize these risks. The development of a clear business plan for ZAWA will provide GRZ and the donors

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maintained relative to core PA management functions. Stakeholder conflicts cannot be successfully mediated.

M

providing core support to ZAWA a roadmap towards financial sustainability for many of ZAWA's functions as well as defining biodiversity priorities that will require government subsidies, trusts or other mechanisms for their protection. The participatory design process minimizes this risk and the participatory, transparent execution will also reduce risks of conflicts.

Overall Risk rating M +

Risk rating – H (high Risk), S (Substantial Risk), M (Modest Risk), and N (Negligible or Low Risk) Risks refer to the possibility that assumptions defined in the logical framework may not hold.

Part IV: Legal Context

This project document shall be the instrument referred to as such in Article 1 of the Standard Basic Assistance Agreement between the Government of Zambia and the United Nations Development Programme.

The following types of revisions may be made to this project document with the signature of the UNDP Resident Representative only, provided he or she is assured that the other signatories of the project document have no objections to the proposed changes, that is to say revisions which do not involve significant changes in the outcomes, outputs or activities of a project, but are caused by rearrangement of inputs agreed to or by cost increases due to inflation.

The Government will provide the Resident Representative with certified periodic financial statements, and with an annual audit of the financial statements relating to the status of UNDP (including GEF) funds according to the established procedures set out in the Programming and Finance manuals. The Audit will be conducted by the legally recognized auditor of the Government, or by a commercial auditor engaged by the Government.

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Part V: Budget

BUDGET Expected Outputs Activities Year 1 Year 2 Year 3 Year 4 Year 5

1.1.1 15,500.00

1.1.2 Public-private-community (PPC)

partnerships literature review and draft

12,500.00

1.1.3 Community management

structures literature review and draft

12,500.00

1.1 Legal/ policy/ guidelines draft

1.1.4 Analysis of role of traditional leaders

12,500.00

1.2.1 Three regional workshops for

stakeholder input 19,470.00 19,470.00

1.2 Stakeholder participation to amend drafts

1.2.2 National stakeholder workshop

12,980.00 1.3.1 Finalize legal text for new PA

category and guide to adoption

- - - 1,666.67 1,666.67 1.3.2 Finalize policy framework text

for PPC partnerships and guide to adoption

1,000.00 1,000.00 1,000.00 1.3.3 Finalize policy text for single

community management structure and guide to adoption

1,000.00 1,000.00 1,000.00

1.3 Adoption of new policies and legislation

1.3.4 Finalize guidelines on role of traditional leaders and communities and guide to adoption

1,000.00 1,000.00 1,000.00 1.4.1 Develop network of stakeholder,

identfy issues, conduct assessments and assemble reference library

- - - - - 1.4.2 Organize workshops/ seminars/

civil society debate and prepare and diffuse advisory notes and lessons learned

- - - - -

1.5.1 Review of procedures and

lessons learned in Zambia and the region

47 ,000.00 1.5.2 Development of full set of

guidelines - - - - - 1.5.3 Training in procedures 63,488.33 63,488.33 63,488.33

1.5 Development of good governance and accountability

1.5.4 Improve MTENR oversight and monitoring of implementation of PA sector laws and policies

101,833.33 I O 1 SUBTOTAL 284,791.66 98,938.33 66,488.33 4,666.67 1,666.67 IMMEDIATE OBJETIVE 2

2.1 Identification of priority sites for

2.1.1 Compilation of existing data, refine methodology and set

53,000.00

23

2.1.2 Identify candidate sites for

reclassification 170,000.00 2.1.3 Validation/ verification of

candidate sites 150,000.00 2.1.4 Final synthesis to produce

priority listing for PA reclassification.

40,000.00 2.2.1 Apply economic analyses to

better define PA management priorities

57,908.00 2.2.2. Determine cost coefficients of of

public/ private/ community partnerships

19,302.67 19,302.67

2.2.3 Strengthen local institutional capacities through the use of business planning for PA management

48,333.00 53,333.00 58333 150002.2.4 Develop investment profiles for

priority unmanaged PAs 16,848.00 16,848.00

2.2 Development of economics and business planning tools

2.2.5

Define PPC partnerships best suited for unmanaged priority PAs

6,666.00 9,477.00 9,477.00

2.3.1 Modify METT for Zambian context and apply to priority PAs

66,000.00 2.3.2 Conduct review of M&E

systems in Southern and Eastern Africa

18,000.00

2.3 Development of effective monitoring and evaluation systems

2.3.3 Test and adaptively modify improved M&E systems 45,416.00 45,416.00 45,416.00 45,416.00

2.4.1 Integration of reclassification priorities, business planning tools, improved M&E systems and other management tools into overall conservation plan

75,000.00 87,405.00 2.4.4 Develop investment plan for

national system of PAs 10,000.00

2.4.5 Develop marketing plan to attract investment partners 10,000.00

I O 2 SUBTOTAL 366,210.67 287,717.67 138,749.00 205,074.00 194,146.00

Bangweulu Field Demontsration Site 3.1.1 Identify and develop profiles of

all stakeholders 7,000.00 3.1.2 Meet with traditional leaders,

CRB and community representatives, government authorities, technical services, NGOs, others to fully discuss project objectives, targets, outcomes and participatory approaches to be used. 4,000.00

3.1 Awareness raising and two-way dialogue with stakeholders on the Bangweulu field demonstration site objectives and participatory approach

3.1.3 Conduct awareness raising and develop 2-way dialogue with all project area communities

5,000.00 3.2 Strategic infrastructure established

3.2.1 Establish telecommunications network 70,000.00

24

3.2.2 Repair/open strategic access roads and landing strips 169,250.00 169,250.00 169,250.00 169,250.00 169,250.00

3.2.3 Build/rehabilitate and equip offices/facilities/lodging for project needs

46,666.36 90,000.00 90,000.00 90,000.00 90,000.00 3.3.1 Evaluate current enforcement

and develop an integrated, cost-effective, incentive-based enforcement plan

5,000.00 3.3.2 Recruit/redeploy and equip

community scouts/WPO and implement enforcement plan

20,500.00 17,000.00 17,000.00 17,000.00 17,000.00 3.3.3 Provide training of community

scouts and WPOs 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00

3.3 Cost-effective protection/ enforcement established for wildlife and other natural resources in project area based on consultations with communities.

3.3.4 Provide enforcement training for PA managers 3,000.00 3,000.00 3,000.00 3,000.00

3.4.1 Conduct village-level workshops on strategic capacities needed during reclassification planning. 5, 600.00

7,000.00 7,000.00 7,000.00 7,000.00 7,000.00

3.4.2 Conduct training workshops for CRB/CCA managers, community leaders, ZAWA and local government staff in financial management, resource management, community development, business skills, management skills including adaptive management, democratic processes, gender empowerment leadership and HIV/AIDS awareness and its links to environment/community development.

3.4.3 Organize exchange visits with

other community PA management/CBNRM pilot projects in Zambia and sub-region.

6,500.00 2,000.00 4,000.00 2,000.00

3.4.4 Develop and implement conservation awareness education program 4,833.33 3,000.00 3,000.00 3,000.00 3,000.00

3.4 Increased capacity for community managers for planning, governance, record keeping, financial management, gender empowerment and HIV/AIDS awareness and prevention

3.4.5 Training of trainers 3.5.1 Compile and analyze existing

spatial information 1,000.00 3.5.2 Acquire and analyze satellite

imagery of field demo site 20,000.00 3.5.3 Conduct aerial survey of project

area to complement image analysis 20,000.00

3.5.4 Conduct biological ground surveys

3.5.5 Conduct technical and participatory surveys of fishery resources

25,000.00 3.5.6 Field survey to identify national

heritage sites 5,000.00 3.5.7 Conduct community survey

using participatory techniques 1,000.00

3.5 Reclassification options identified based on bio-physical and socio-economic studies completed

3.5.8 Synthesize and analyze all studies conducted to develop a

5,000.00 2,500.00

25

3.6.1 Village-level workshops to present reclassification options, to facilitate debate and negotiation of new PA

5,000.00 3.6.2 Higher level workshops to

debate reclassification options.

10,000.00 3.6.3 Conduct financial feasibility

analyses of reclassification options.

2,000.00 3.6.4 Central workshop to agree on

PA reclassification options 2,000.00 3.6.5 Prepare and distribute draft

Reclassification/Land Use Zoning Plan

5,000.00

3.6 Plan for Reclassification of Protected Areas (including creation of new types) and for land use zoning within PA and of open areas is developed with strong stakeholder participation.

3.6.6 Final central workshop to make final amendments to the Plan.

1,500.00 1,500.00 3.7.1 Apply the legal procedures 5,000.00 3.7.2 Modify and register community-

management structures

3,000.00

3.7 Creation/ reclassification of PA completed

3.7.3 Organize formal inauguration ceremonies for the new/reclassified PA.

5,000.00 3.8.1 Identify, analyze and prioritize

the natural resource-based products and market chains

3.8.2 Identify the user groups

associated with existing market chains,their organizational structures and their capacities.

3.8.3 Develop management plans for

testing management of wildlife, fisheries and other natural resources

2,000.00 2,000.00 2,000.00 2,000.00 3.8.4 Develop natural resource-based

revenue generating activities

2,000.00 2,000.00 2,000.00 2,000.00 3.8.5 Develop or modify existing

community-managed natural resource management plans

3.8.6 Develop community-based M&E

systems 20,000.00 2,000.00 3.8.7 Develop business plans for

each community management structure

3,000.00

3.8 Sustainable natural resource management systems are developed for community-managed PA

3.8.8 Each community holds annual adaptive management reviews

2,000.00 3.9.1 Continued enhancement of

Kasanka NP management model, through adaptive management.

3.9 Improve PA management models through adaptive management and targeted research 3.9.2 Conduct research targetted to

meet PA and NR management needs.

SUBTOTAL BANGWEULU 455,349.69 330,250.00 319,750.00 300,250.00 298,250.00

26

Chiawa/Lower Zambezi Field Demonstration Site 3.9.1 Identify and develop profiles

of all stakeholders 1,000.00 3.9.2 High level meeting to

discuss project objectives, targets, outcomes and participatory approaches.

2,000.00

3.9 Awareness raising and two-way dialogue with stakeholders on the Chiawa/Lower Zambezi field demonstration site objectives and participatory approach

3.9.3 Awareness-raising and 2-way dialogue with all project area communities

2,000.00 3.10.1 Establish and maintain

telecommunications network

4,666.62 3,000.00 3,000.00 3,000.00 3,000.00 3.10.2 Repair/open strategic

access roads and landing strips

6,666.67 6,666.67 6,666.67 6,666.67 6,666.67

3.10 Strategic infrastructure established

3.10.3 Build/rehabilitate and equip offices/facilities/lodging for project needs

260,000.00 120,349.00 120,349.00 120,349.00 120,349.00 3.11.1 Compile existing data and

conduct biological/ecological surveys/analyses

20,000.00 3.11.2 Acquire and analyze satellite

imagery 12,000.00 3.11.3 Conduct aerial survey of

project area to complement image analysis

6,000.00 3.11.4 Field survey to identify

national heritage sites 2,000.00 3.11.5 Conduct community survey

in and around Chiawa GMA using participatory techniques

6,000.00

3.11 Background surveys completed for reclassification planning

3.11.6 Synthesize and analyze all studies conducted to develop a preliminary set of reclassification and zoning options

3,000.00 5,000.00 3.12.1 Village-level workshops to

debate reclassification options

3,000.00 3.12.2 High level workshops to

debate reclassification options

4,000.00 3.12.3 Facilitate the negotiation of

CCA borders and zoning 2,000.00 3.12.4 Develop appropriate

community management structures

600.00 600.00

3.12 One (or more) new community-managed conservation areas (CCA) are established on the basis of public/ private partnerships, to provide effective conservation of ecosystems with species of global importance.

3.12.5 Apply the legal procedures for gazetting of the new CCA

5,000.00

27

3.12.6 Organize formal inauguration ceremonies for the new/reclassified PA.

3,000.00 3.12.7 Assist/support the

negotiation of formal partnerships in support of PA managers

- 3.13.1 Evaluate present PA

enforcement system and develop a cost-effective, incentive-based enforcement plan

5,000.00 3.13.2 Recruit/redeploy and equip

additional community and WPO scouts

15,000.00 3,333.00 3,333.00 3,333.00 3,333.00 3.13.3 Provide training of

community scouts and WPOs

2,833.33 2,500.00 25,000.00 25,000.00 25,000.00 3.13.4 Implement enforcement plan

3,333.00 3,000.00 3,000.00 3,000.00 3,000.00 3.13.5 Develop a wildlife

management and investment plan for the new CCA

5, 000.00 2,500.00 3.13.6 Identify, analyze and

prioritize biodiversity products and market chains

1,000.00 2,000.00 3.13.7 Develop natural resource

management techniques for priority biodiversity products

8,500.00 4.5.8 Develop natural resource-

based revenue generating activities

20,000.00 4.5.9 Assist the CCA managers to

negotiate the roles and responsibilities of other institutions

-

3.13 Sustainable natural resource management systems are developed for the new CCA

4.5.10 Support/assist the negotiation/development of joint ventures

- 3.14 The needed capacities for sustainable management of the new CCA are

3.14.1 Conduct village-level workshops on strategic capacities needed during reclassification planning

5,000.00

28

3.14.2 Conduct training workshops for CRB/CCA managers, community leaders, ZAWA and local government staff in financial management, resource management, community development, business skills, management skills including adaptive management, democratic processes, gender empowerment leadership and HIV/AIDS awareness and its links to environment/community development.

567,601.67 295,000.00 295,000.00 295,000.00 295,000.00 3.14.3 Development of capacities

for good governance 1,000.00 1,000.00 1,000.00 1,000.00 3.14.4 Develop management funds

fed by revenues from NR use

- 3.14.5 Develop and implement a

business plan for the management of the CCA

- 3.14.6 Develop community M&E

capacities 2,000.00 2,000.00 2,000.00 2,000.00 3.14.7 Develop an HIV/AIDS

awareness program, understanding of links to environmental degradation

2,000.00 2,000.00 2,000.00 2,000.00 3.15.1 Conduct a ZAWA-managed

Safari Hunting Area options workshop

3,000.00 3.15.2 Undertake the formal

gazetting/reclassification of LZNP/ZMHA

2,500.00 2500 3.15.3 Develop and implement

modified enforcement plan

3.15 ZAWA-managed hunting area created out of the mountainous portion of LZNP

3.15.4 Establish wildlife monitoring system for science-based setting of hunting quotas.

SUBTOTAL CHIAWA 930,101.29 491,948.67 472,448.67 461,348.67 461,348.67 Grand total 2,036,453.31 1,208,854.67 997,436.00 971,339.34 955,411.34

29

UNITED NATIONS DEVELOPMENT PROGRAMME Project of the Government of the Republic of Zambia

PROJECT DOCUMENT

Project Number: ------------------------------- Project title: Reclassification and Effective Management of National Protected Areas System Executing agent: Ministry of Tourism, Environment and Natural Resources Implementing Agencies: Depts. Environment& Natural Resources, Fisheries, Heritage and ZAWA Estimated start date: April 2005. Estimated end date: April 2011.

Funding Summary

GEF: $ 6,000,000 UNDP: TRAC (1+2) $ 1,000,000 Sub Total GEF/UNDP $ 7,000,000 Third Party: Government Contribution: In kind $ 600,000 ZAWA $ 3,100,000 NORAD $ 7,000,000 DANIDA $ 357,000 Total $ 17,457,000

30

____________________________________________________________________________ On behalf of: Signature Date Name and Title Government

Permanent Secretary Ministry of Finance and National Planning

Delegated/ Executing Agency Permanent Secretary

MTENR

UNDP ____________ Aeneas C. Chuma

Resident Representative __________

Classification information Sector/Sub sector: General Development Issues

Primary areas of focus: Ensuring Environmental

Sustainability

Primary type of intervention: Capacity building

Secondary type of intervention: Policy & Regulatory

Frameworks Reforms

Primary target beneficiaries: Government

31

Annex I: Letters of Intent for Co-Financing

Annex II: Budget And Workplan for 2005 Outcome/output Activity Responsible

party Period of year

Q1 Q2 Q3 Q4

1.0 Appropriate policy, regulatory and governance frameworks are in place providing new tools for Partnerships 1.1Legal drafts of Legislation/ polices/guidelines

• Literature

Review/synthesis of draft lessons learned for PA management/partnerships and role of traditional leaders. Draft polices/legal framework guidelines(1.1.1;1.1.2; 1.1.3)

MTENR Communities Contract

3,000

31,250

18,750

_

1.2Draft Legislation/ polices/guidelines amended through a participatory process

• Two regional workshops for stakeholder inputs into legal/policy/guidelines drafts(1.2.1)

MTENR

_

_

_

38,940

32

• Develop network of stakeholder, identity issues, conduct assessments and assemble reference library (1.4.1)

NRCF, MTENR, ZAWA FD DoF, etc

_

_

_

_

1.4 Operational Platform for civil society analysis, debate and peer review of PA issues

• Organize

workshops/seminars/civil society debate and prepare and diffuse advisory notes and lessons learned.(1.4.2)

NRCF

_

_

_

_

• Review of procedures and lessons in Zambia and the Region (1.5.1)

MTENR Contract

_

23,500

23,500

_

• Development of

full set of guidelines(1.5.2)

Contract, MTENR

_

_

_

_

• Training in procedures (1.5.3)

_

_

63,488.33

_

1.5Development of good governance for financial accountability for GMA/CCA .

• Improve MTENR over

sight and monitoring of the Implementation of PA sector, laws and polices (1.5.4)

MTENR

25,458.33

25,458.33

25,458.33

25,458.33

Sub- total for Outcome 1

•

33

2.0 Institutional Capacities for PA system Management Strengthened 2.1 Identification of priority sites for reclassification to complete the national system of PA

• National biodiversity

assessment, refine draft methodology, including conservation criteria and targets through literature and stakeholder participation (2.1.1)

MTENR ZAWA NRCF NHC DoF FD

_

3,000

25,000

25,000

• Gap analysis of the national PA system and forest cover loss analyses to identify candidate sites for reclassification (2.1.2)

ZAWA FD DoF NHC Communities Contract ZAWA

_

_

85,000

85,000

2.2 Natural Resource Economic and Business planning Tools are developed for enhanced PA management efficiency

• Apply natural

Recourse economic analysis to PA to better define priority setting for conservation and management in 3PAs (2.2.1)

ZAWA DoF NHC Contract(NRE)

_

_

57,908

_

• Apply financial assessment tools to determine cost coefficient and relative efficient of one(1) public/private/civil society/community PA management partnerships (2.2.2)

ZAWA FD DoF Communities Contract NRE ZAWA

19,302.67

34

2.3Efficient, effective monitoring and evaluation systems are developed for priority PA management

• Advert for consultant • Modify the METT to

develop Zambian- specific.

• Advert for consultant • Modify the METT to

develop Zambian- specific.

• Select 8 Priority NP/GMAs (2.3.1)

ZAWA, FD, DoF NHC Communities Contract , (NRE) ZAWA, FD, DoF NHC, WWF MTENR, Contract

34,500

31,500

-

-

Sub total for Outcome 2

• Identify and/develop profiles of all stakeholders(3.1.1)

WWF/Stafff Communities Contract

1,000

6,000

-

-

• Meet with traditional

leaders, CRB and community representatives, government authorities, NGOs, technical services, communities over the project (3.1.2)

WWF Private Sector KTL Communities CRB

-

4,000

-

-

3.0 PA management options expanded through development and field testing of innovative private- civil society- public- community 3.1 Awareness raising and two-way dialogue with stake holders on the Bangweulu Field Demonstration

• Conduct community Awareness workshops (3.1.3)

WWF, Private Sector UNV KTL

1,666.67

1,666.67

1,666.67

-

3.2 Strategic infrastructure established

• Establish

telecommunication network in project area(3.2.1)

WWF Private Sector Partner ZAWA KTL CRBs

-

70,000

-

-

35

• Repair/ open strategies access roads and landing strips(3.2.2)

Contract Communities

3,933.75

3,933.75

3,933.75

3,933.75

• Build/ rehabilitate and equip offices/facilities/ lodging for project needs(3.2.3)

WWF Private Sector Partner KTL ,CRBs

11,666.67

11,666.67

11,666.67

11,666.67

• SWOT and lessons learned analysis of the present law enforcement plan

• Develop enforcement

plan (3.3.1)

ZAWA KTL WWF CRBs Private Sector Partner

-

2,500

2,500

-

• Recruit/redeploy and

equip 60 community scouts/24WPO and implement enforcement plan (3.3.2)

WWF

-

10,250

10,250

-

3.3Cost- effective protection enforcement established for wildlife and other natural resources in project area based on consultations with communities.

• Provide 3* 6-week

training for 15 community scouts and WPOs(3.3.3)

ZAWA CRBs

-

-

3,583.34

3,583.33

• Develop modules and trains staff

• Conduct 15* 2-day

workshops on strategic capacities(3.4.1)

WWF CRBs Contract WWF, CRBs Contracts

-

2,800

2,800

• Conduct 8* 3-day training at 20 participants workshops for CRB/CCA managers Zawa and local government staff in various skills(3.4.2)

WWF, KTL, ZAWA, CRBs Contracts

-

-

-

18,166.67

3.4 Increased capacity for community managers for planning, governance, record keeping, financial management, business skills, gender empowerment and HIV/AIDS awareness and prevention

• Organize one (1)

exchange visit with other community PA management/CBRNM pilot projects and sub region for five (5) members (3.4.3)

WWF KTL

-

-

-

6,500

36

• Develop and implement conservation awareness education Programme through visits to schools, leaders and broader community (3.4.4)

WWF KTL Contract

-

-

-

4,833.3

• Compile and analyze all existing spatial information on ecosystem/habitat/vegetation types,etc (3.5.1)

WWF, ZAWA -

1,000

-

-

• Acquire and analyze

satellite imagery of field Demo site (3.5.2)

WWF, ZAWA

-

6,666.67

6,666.67

6,666.67

3.5 Reclassification options identified based on biophysical and social economic studies completed

• Conduct technical

and participatory surveys of fishery resources (3.5.5)

WWF, DoF

-

8,333.33

8,333.33

8,333.33

37

-

10,000

10,000

• Conduct Arial survey

of project area to complement image analysis, etc (3.5.3)

WWF, ZAWA KTL

• Conduct a survey of the national heritage sites (3.5.6)

NHCC WWF

1,666.67

1,666.67

1,666.67

• Conduct comprehensive community surveys using participatory techniques(3.5.7)

WWF, ZAWA, FD, Contract

4,000

4,000

4,000

38

• Synthesize and

analyze and prioritize all studies conducted to develop a preliminary set of reclassification and zoning options. (3.5.8)

ZAWA, WWF,KTL, Inter agency Working Group

-

-

5,000

• Develop and test community based monitoring of wildlife for science- based Quota-setting of partnerships/ joint ventures and for the monitoring of governance practices(3.8.6)

WWF, Private Sector Partner, KTL, CRBs

-

11,500

-

11,500

3.8 Sustainable Natural Recourse Management are developed for community managed PA

• Each community

structure holds annual adaptive management reviews.(3.8.8)

ZAWA,WWF, CRBs, KTL

-

-

-

2,000

• Identify and develop profiles of all stakeholders (3.9.1)

WWF, CRBs 500.00

500.00

-

-

• Meetings with various stakeholders to discuss the project (3.9.2)

WWF, ZAWA, CRBs

-

2,000

-

-

3.9Awareness raising and two- way dialogue with stakeholders on the Chiawa/ Lower Zambezi field Demonstration Site objectives and participatory approach

• Conduct awareness raising throughout the project area (3.9.3)

WWF, CRBs, Contract

666.67

666.67

666.67

-

3.10 Strategic infrastructure established

• Establish telecommunications network in project area (3.10.1)

WWF,ZAWA, Private Sector Partner

-

1,555.89

1,555.89

1,555.8

39

• Repair/ open strategic access roads and landing strips (3.10.2)

Communities, Private Sector, Contract

1,666.67

1,666.67

1,666.67

1,666.67

• Build/ rehabilitate and equip offices/ facilities/lodging for project needs. Private sector partner (3.10.3)

WWF, ZAWA, Communities

78,962.50

78,962.50

78,962.50

78,962.50

• Compile existing data and conduct biological/ ecological surveys/ analysis (3.11.1)

WWF, ZAWA, Private Sector partner, Communities

-

30,000

-

-

• Acquire and analyze satellite imagery of field demo site (3.11.2)

WWF, ZAWA, FD, CRBs

-

4,000

4,000

4,000

• Conduct aerial survey of project area to complement image analysis, assess wildlife populations, vegetation types and human activities. (3.11.3)

WWF, ZAWA, Private Sector Partner.

-

2,000

2,000

2,000

• Field survey to

identify national heritage sites (3.11.4)

NHCC, UNV, WWF

-

666.67

666.67

666.67

3.11 Back ground surveys completed for reclassification planning

• Conduct participatory community surveys in and around Chiawa GMA (3.11.5)

WWF, Private Sector Partner, Contract.

-

2,000

2,000

2,000

40

• Synthesis and analysis of all studies conducted to develop a preliminary set of reclassification and zoning options. (3.11.6)

ZAWA, WWF, Private sector Partner, Contract

-

-

-

3,000

• Undertake SWOT for the present PA enforcement system and review lessons learned, develop enforcement plan. (3.13.1)

ZAWA, WWF, Private Sector Partner, CRBs

2,500

2,500

-

-

• Recruit/redeploy and

equip additional community and WPO scouts as needed and implement enforcement plan (3.13.2)

ZAWA, CRBs, WWF

-

10,000

10,000

-

• Provide 2*6-week training of community scouts and WPOs and one annual1-week workshop for Zawa managers of scouts. (3.13.3)

ZAWA

-

-

1,416.67

1,416.67

• Implement

enforcement plan(3.13.4)

ZAWA, CRB, WWF

-

-

1,666.67

1,666.67

3.13 Sustainable natural resource management systems are developed for the new CCA

• Develop a wildlife management and investment plan for the new CCA(3.13.5)

CRB, Private Sector Partner, ZAWA, WWF

-

-

2,500

2,500

41

• Identify analyze and

prioritize other biodiversity products and market chains for the current and potential economic uses of the CCA. (3.13.6)

WWF, CRBs, FD, Dept of Co-operatives, contract.

-

-

500

500

• Conduct 9*2-day village-level workshops on strategic capacities needed during reclassification. (3.14.1)

WWF, CRBs

-

2,500

2,500

-

• The needed capacities for Sustainable management of the CCA are developed

• Develop administrative and financial management structures and capacities of the CCA managers. (3.14.2)

WWF, CRBs Private Sector Partner, Contract

141,900.42

141,90042

141,900.42

141,90042

Sub total for 0utcome 3

TOTAL FOR PROJECT ACTIVITIES

307,421.68 563,27758 629,873.58 545,02048

42

Annex 2: Profile of the Protected Area System in Zambia

PA PROFILE

Zambia’s most important categories of protected area are national park (NP) and game management area (GMA). The 19 NPs in Zambia cover an area of 63,580 km2, and the 35 GMAs cover 167,557 km2 – 8.5% and 22.3% of the total land area respectively. Approximately 490 forest reserves (FR) also cover large areas (around 75,000 km2, about 10.2% of the country), but the precise number and area covered is difficult to establish due to frequent de-classification and new additions and the lack of an updated database in the Forest Department (FD). There are four other categories of public-managed PAs: wildlife sanctuaries (2 gazetted), bird sanctuaries (2 gazetted), protected fisheries, Ramsar sites (Wetlands of International Importance for Migratory Birds) (2 gazetted) and Heritage sites9[1]. Other PA categories include game ranches, botanical and zoological parks.

Table 1 - Categories of Protected Areas in Zambia and their stated objectives

Protected Area No. Purpose Act/Policy Authority

National Parks

19 • • For the conservation and enhancement of wildlife ecosystems, biodiversity and of objects of aesthetic, pre-historic, geological, archaeological and scientific interest for the present and future generations.

• • For the promotion of opportunities for the equitable and sustainable use of special qualities.

Wildlife Act No.10 1998

ZAWA

Game Management Areas

35 • • To provide for the sustainable use of wildlife and effective management of the wildlife habitat in communally owned lands..

• • To enhance the benefits of GMAs to local communities and to wildlife.

• • To serve as buffer areas for wildlife species that move outside the NPs.

• • To provide for the development and implementation of management Plans and involvement of local communities.

Wildlife Act No.10 1998

ZAWA

National Forests

180 • • Exclusively for the conservation and development of forests for the purpose of securing supplies of timber and other forest produce.

• • Protecting watersheds, providing protection against floods, erosion and desiccation.

• • Maintaining the biodiversity, ecological balance and the flow of rivers as well as cultural values.

Forest Act No.39 1973 Proposed Forest Act 1999

Forestry Dept

Local Forests 310 • • For the conservation and development of forests for the purpose of securing supplies of timber.

• • Affording protection to land and water supplies and maintaining the biodiversity and ecological balance of the local area.

Forest Act No.39 1973 Proposed Forest Act 1999

Forestry Dept

43

Protected Area No. Purpose Act/Policy Authority

Wildlife Sanctuaries

02

• • To ensure that natural conditions necessary to protect natural significant species, biotic communities or physical features of environment where these may require specific human manipulation for their perpetuation.

Policy for National Parks and Wildlife, 1998

ZAWA

Bird Sanctuaries

02

• • For the conservation, protection and enhancement of unique birdlife ecosystems and biodiversity significant to the nation.

Wildlife Act No.10 1998

ZAWA

Protected Fisheries

• • Promoting fish management, production and sustainable utilization of fisheries resources.

Fisheries Act 1974 Draft Policy

Fisheries Dept

Private Game Ranches

26

• • To enhance ex-situ conservation of wildlife ecosystems and biodiversity.

• • To promote wildlife conservation through the involvement of the private sector.

• • Diversification of the wildlife gene pool • • To enhance wildlife production for economic

and social purposes for the developer.

Wildlife Act No.10 1998 Policy 1998

Private Landowner

Community Game Ranches

01

• • To develop a viable economic development for the developer as well as for the rural community.

• • Rural economic empowerment with the benefit on the environment.

Wildlife Act No.10 1998 Policy 1998

Local Community & Private Sector

National Monuments (Natural & Cultural Sites)

77 • • To ensure conservation of unique heritage in perpetuity as well as for public enjoyment and education.

National Heritage Conservation Act

NHCC

World Heritage Sites (Victoria Falls)

01 • • To ensure conservation of unique heritage in perpetuity as well as for public enjoyment and education.

National Heritage Conservation Act

NHCC

Ramsar Sites (5 other proposed sites)

02 • • For the conservation and enhancement of wetland ecosystems and biodiversity especially as waterfowl habitats of international significance.

• • Sustainable management and utilization of wetland resources.

Proposed Wetlands Policy 2001 Wildlife Policy 1998

Now ZAWA (Before it was Environmental Council of Zambia)

Botanical reserves

59 • • For the preservation of important plant genetic resources.

Forest Act No.39 1973 Proposed Forest Act 1999

Forestry Dept

Source: DSI, 2004

The distribution of NP and GMA by watershed is given in Error! Reference source not found. (see Error! Reference source not found.). Amongst the major categories of PA in Zambia, only managed NPs give a high level of protection. Only NPs offer legal protection from conversion and extractive activities, as they are designated as sites for biodiversity conservation and tourism. In GMAs, the Wildlife Act only protects classified game species, which are then hunted under license. Conversion to agriculture and other land uses are allowed under GMA legislation. FRs are classified as national forest or local forest. However, FRs are unmanaged and largely unprotected and do not represent at present an effective category of PA.

44

Table 2 - Extent of National Parks and Game Management Areas in Zambia by river basin

River basin National parks Game management areas Name Area (ha) Number Area (ha) % basin Number10[2] Area (ha) % basin Upper Zambezi 26,286,040 4 1,068,600 4.1 7 5,516,000 21.0 Middle Zambezi 1,482,800 1 409,200 27.6 1 234,400 15.8 Luangwa 13,874,050 5 1,673,800 12.1 10 5,305,900 38.2 Kafue 15,620,040 3 2,326,000 14.9 8 3,806,900 24.4 Chambeshi-Luapula 16,176,030 5 674,400 4.7 8 1,892,500 11.7 Tanganyika 1,821,030 1 206,300 11.3 0 0 0 Total 75,259,990 19 6,358,300 8.4 34 16,755,700 22.3 Source: Chi-Chi, 2004

The Zambia Wildlife Authority (ZAWA) has management responsibility for NPs and GMAs. The 1998 Wildlife Act specifies that the management of GMAs is to be done in partnership with local communities, and provides for the establishment of Community Resources Boards (CRBs) that can be involved in revenue sharing and co-management of wildlife in GMAs. Currently there are 54 CRBs in the country. The same act also provides for the establishment of private game ranches. Forest reserves are administered by the Forest Department (FD). The 1999 Forest Act provides for the establishment of Joint Forest Management Committees (JFMCs) to be involved in the co-management of some FRs. However, no such committee has been established in the country.

Little is known and documented about the state of ecosystems in the PAs system11[3]. Similarly, there is no systematically updated information on the state of wildlife populations in both NPs and GMAs. Most wildlife experts in Zambia believe that there has been a drastic decline in populations of large mammals in the country in the last 20 to 30 years. For example, the black rhino is believed to be extinct and the elephant population has declined to 22,000 from nearly 250,000 in the 1960s. Because of poor census data for wildlife species, it is difficult to determine the conservation status of wildlife populations. However, the IUCN Red Data List shows that at least 13 mammal and 9 bird species in Zambia are either endangered or vulnerable. Threats to biodiversity range from poaching to habitat loss arising from agricultural expansion, but the magnitude of these threats is poorly established. The significant threats and their root causes are presented in Error! Reference source not found..

SUMMARY OF KEY FEATURES

Management objectives

Error! Reference source not found. presents the formal management objectives of the different categories of PA. As most of the gazetted areas in categories other than NP and GMA are unmanaged, these objectives are often not applied. Almost all of the PA management objectives listed, save for education, are primary objectives for at least one PA category. Two management objectives – preservation, of species and genetic diversity and maintenance of environmental services, are primary in national parks, protected fisheries, botanical reserves, and national forest reserves. This is in line with the basic protection functions of Zambia’s PA institutions. Notably, national parks and national forest reserves combine protective measures (including natural/cultural features), scientific research, and education as secondary objectives. The national forest reserve category does allow sustainable use of resources only in the form of selective logging under license but the same management objective is a primary one under local forests reserves as these are a source of goods and services for the local people. Similarly, the sustainable use objective is important for GMAs.

Table 3 - Mix of Management Objectives for Zambian Protected Areas

MANAGEMENT OBJECTIVE NP

GM

A

PF

BR

LFR

NFR

HS

45

Scientific Research 2 3 2 1 3 2 3 Wilderness protection 1 3 3 3 3 1 ~ Preservation of species and genetic diversity 1 2 1 1 2 1 2 Maintenance of environmental services 1 2 3 1 2 1 ~ Protection of specific natural/cultural features 2 2 3 3 3 2 1 Consumptive/Non-Consumptive Tourism and recreation 1nc 1c ~ 3 3 2nc 1nc Education 2 2 2 2 2 2 2 Sustainable use of resources ~ 1 ~ ~ 1 2 3 Maintenance of cultural/traditional attributes ~ 3 ~ ~ ~ ~ 1

Source: WWF, 2004

Key: 1-Primary Objective; 2-Secondary Objective; 3-Potentially applicable; ~ Not applicable; c/nc-Consumptive/Non-Consumptive; NP-National Park; GMA-Game Management Area; PF-Protected Fisheries; BR- Botanical Reserve; LFR-Local Forest Reserve; NFR-National Forest Reserve, HS-Heritage Site

National Parks

National Parks (NPs) are natural areas established for the purpose of protecting the integrity of one or more ecosystems for present and future generations and the provision of a foundation for spiritual, scientific, educational, recreational and visitor opportunities which are environmentally and culturally compatible with conservation objectives. These objectives are achieved through the exclusion of exploitation or occupation that is inimical to the purposes for which the national park was established. The major characteristics of Zambia’s NPs are listed in Error! Reference source not found..

Table 4 - Major characteristics of National Parks in Zambia

Name Area (km2) Major ecosystem Major threats Blue Lagoon 450 Floodplain grassland Invasive alien species

Livestock grazing Isangano 840 Swamp grassland Poaching

Agricultural clearing Kafue 22,400 Woodland Poaching

Uncontrolled burning Kasanka 390 Woodland & Dambo grassland Poaching

Uncontrolled burning Lavushi Manda 1,500 Woodland Poaching

Uncontrolled burning Liuwa Plain 3,660 Floodplain grassland Poaching

Uncontrolled burning Lochnivar 410 Floodplain grassland Livestock grazing

Mining Lower Zambezi 4,140 Woodland & Floodplain Grassland Agricultural clearing

Poaching Uncontrolled burning

Luambe 2,540 Woodland Uncontrolled burning Lukusuzi 2,720 Woodland Poaching

Agricultural clearing Mining Uncontrolled burning

Lusenga Plain 880 Woodland & Grassland Poaching Uncontrolled burning

Mosi-oa-Tunya 66 Woodland Agricultural clearing Invasion by alien species

Mweru Wantipa 3,134 Woodland & thicket Agricultural clearing Poaching Mining

North Luangwa 4,636 Woodland Poaching Uncontrolled burning

Nsumbu 2,020 Aquatic & Woodland Poaching Nyika 80 Montane Grassland Uncontrolled burning

Poaching

46

Name Area (km2) Major ecosystem Major threats Sioma Ngwezi 5,276 Woodland Poaching South Luangwa 9,050 Woodland Uncontrolled burning West Lunga 1,680 Forest Poaching

Uncontrolled burning Source: Chi-Chi, 2004

The major threats to biodiversity in NPs are over-hunting/poaching, encroachment, uncontrolled bush burning and, for parks in wetlands, invasion by alien species and over fishing. The classification of the condition of national park by the ZAWA is based on the occurrence of activities or invasive alien species that are inimical to the purposes for which the national park was established. Using ZAWA’s system, national parks in which unauthorized settlements, mining and livestock grazing occur are considered encroached, while those with invasive alien species are considered degraded. Out of the 19 national parks, two are degraded (Lochnivar and Mosi-oa-Tunya) and six are encroached (Lukusuzi, Mweru-Wantipa, Nsumbu, Isangano, Sioma Ngwezi and Lower Zambezi). Lochnivar NP has been invaded by the prickly bush, Mimosa pigra, while Mosi-oa-Tunya NP has been invaded by Lantana camara and water hyacinth, Eichhornia crassipes. There are also boundary disputes in Kafue and Mosi-oa-Tunya NPs. Lochnivar NP is also affected by livestock grazing. In addition, several national parks have suffered greatly from excessive illegal hunting (poaching) which now threatens the viability of a number of larger mammals, especially those with a low intrinsic growth rate. Well stocked parks include South Luangwa, North Luangwa, Kasanka, Lochnivar, Blue Lagoon and Luambe.

NP Stakeholder analysis The following stakeholder analysis l(Error! Reference source not found.) looks primarily at authority (statutory, management, planning, and regulation), investment and benefits. It shows a fairly healthy picture with a single primary authority that is also the primary beneficiary. The main concern is that there is no effective formal monitoring or regulation of ZAWA itself.

Table 5 - Assessment of NP Stakeholder roles

A = Authority; S = Stakeholder Source: DSI, 2004

NP SWOT analysis The strengths, weakenesses, opportunities and threats (SWOT) analysis (Error! Reference source not found.) emphasizes that ZAWA is a new institution with many capacity constraints but is at least reasonably structured to successfully manage national parks. It can expect significant donor support provided it continues to perform and to develop reasonable policies. The greatest external threats are the high macro-economic costs (financial and bureaucratic) for the wildlife-tourism sector in Zambia. Internally, there is a danger that if ZAWA does not radically liberalize its policies towards the private and community sectors (e.g. reduce non value-adding bureaucracy and encourage revenue generation and full retention), then major opportunities will be lost. Short term

47

financial survival also reduces ZAWA’s vision in terms of encouraging the sector.

Table 6 - SWOT Analysis for National Parks

Strengths • • Single authority responsible • • Large, potentially valuable, parks estate • • ZAWA appears politically stable (after years of

instability)

Opportunities • • Governance and capacity of ZAWA reasonable and

improving • • Donors, particularly NORAD, willing to invest in

ZAWA • • At least seven parks can be viable within ten years

(building on growth of tourism in the region) • • ZAWA prepared to experiment with performance

management, outsourcing, etc. • • Buffer parks by modifying policy to encourage

community and private wildlife management in buffer zones

• • To take seriously the emerging protected area paradigm of using parks as engines of economic growth

Weaknesses • • ZAWA is both the regulatory and management

authority • • Goals, indicators and monitoring not in place • • Many stakeholders have low capacity and

ZAWA monopolizes sector • • Wildlife depleted and infrastructure ramshackle • • Unable to manage at least half of the parks

(lacking capacity and resources) • • Serious neglect of wildlife management

capacity in Zambia for several decades • • Mandates and policies for park management

unclear, eg biodiversity goals not defined, nor tradeoff with social goals

Threats • • ZAWA focuses on institutional survival (financial) at

the expense of national gain (economic) • • Excessive expansion of ZAWA and imposition of

overhead expenses • • High cost structure of Zambia makes viability

challenging • • Poor relationship between ZAWA and private sector,

including excessive short term fees limiting re-investment and growth

• • Continued depletion of wildlife and infrastructure • • Excessive mandate, and inability to meet this

Source: DSI, 2004

Game Management Areas Most game management areas (GMA) were created as buffers around NPs (see Error! Reference source not found.). The justification for the establishment of GMAs is that they provide viable alternatives to commercial agriculture in areas of low agricultural potential. Unlike national parks, progress in GMAs is made exceedingly difficult because of the plethora of sector authorities (many/most with little capacity), while the primary stakeholders (i.e. the villagers) have little authority and are largely excluded from benefit. ZAWA intends for communities to retain 45-50% of revenues which is a considerable improvement from previously, but may not be sufficient incentive for successful CBNRM. License fees for fish and timber are extracted from communities, and consequently use is de facto open access. With the complexity of planning authorities, coordinating land use in GMAs is extremely difficult and the economically sub-optimal settlement in areas such as Chiawa and Lupande is a major concern for the growth of the wildlife-tourism sector. Of critical importance, GMA residents have no formal legal rights over the sale, management and benefit of any natural resources. While policy, rhetoric and even legislation suggest that the potential for CBNRM in Zambia is high, there is considerable slippage between stated intention and practice. The huge potential for profitable community-based natural resource management (CBNRM) in communal areas in Zambia is undermined by the absence of strong rights to manage, benefit and sell these products. This problem is exacerbated by over-centralized institutional structures and elite capture where attempts have been made to do CBNRM, and by generally weak CBNRM support capacity. Should the will to make CBNRM work emerge, there are certainly the resources and techniques to do so with a high probability of success, and at least in the wildlife sector the

legislation is already in place.

48

Wildlife populations are at great risk in GMAs because there are no controls on land use. Given the high poverty levels and over-dependence on extensive low productivity agriculture in the rural areas of the country, agricultural expansion is continuously encroaching upon wildlife habitats in GMAs. Other threats to biodiversity in GMAs include unsustainable hunting of wildlife species, logging and uncontrolled bush burning. The impact and root causes of these threats are presented in Error! Reference source not found..

Table 7 - Attributes of Zambia’s GMAs

Name Size km2 Buffer for

Bangweulu (with Chikuni) 6,470 Lavushi Manda Bilili Springs 3,080 Kafue Chambeshi 620 Isangano Chiawa 2,344 Lower Zambezi Kalasa Mukoso 675 None Chibwika-Ntambu 1,550 West Lunga Chisomo 3,390 South Luangwa Chizela 2,280 West Lunga Kafinda 3,860 Kasanka Kafue Flats 5,175 Blue Lagoon and Lochinvar Kaputa 3,600 Lusenga Plain, Mweru Wantipa Kasonso-Busanga 7,780 Kafue Luano 8,930 None Lukwakwa 2,540 West Lunga

Lumimba 4,500 Lukusuzi, Luambe, North and South Luangwa

Lunga-Luswishi 13,340 Kafue Lupande 4,840 South Luangwa Luwingu 1,090 Isangano Machiya-Fungulwe ? None Mansa 2,070 None Mukungule ? North Luangwa Mulobezi 3,420 Kafue Mumbwa 3,370 Kafue Munyamadzi 3,300 North and South Luangwa Musalangu (Fulaza and Chikwa-Chifunda GMAs) 17,350 North Luangwa Musele Matebo 3,700 West Lunga Namwala 3,600 Kafue Nkala 194 Kafue Rufunsa 3,179 Lower Zambezi Sandwe 1,530 South Luangwa Sichifulo 3,600 Kafue Tondwa 540 Lusenga Plain, Mweru Wantipa West Petauke 4,140 South Luangwa West Zambezi 38,070 Liuwa Plain and Sioma Ngwezi Source: various, including Macmillan Map of Zambia and ZAWA Five Year Strategic Plan

GMA Stakeholder analysis The stakeholder analysis for GMAs shows a much more fragmented arrangement than in the NPs,

49

with many more authorities and potential beneficiaries. The breakdown between those with authority for management, and the other stakeholders is also spread more widely than for NPs.

Table 8 - Assessment of GMA Stakeholder roles

A = Authority; S = Stakeholder Source: DSI, 2004

GMA SWOT analysis The following table is a SWOT analysis for GMAs. The focus is on the huge potential, which is limited by weak legislation and limited devolution.

Table 9 - SWOT Analysis for Game Management Areas

Strengths • • ZAWA Act provides a base for moving towards full

devolution, and forestry and fisheries sectors are discussing CBNRM

• • Strong evidence from region that principled CBNRM works

• • Zambia has more inherent potential (land, wildlife, forests, etc.) than neighbouring countries

Opportunities • • Huge inherent potential provided by low

population densities and large areas of land • • The knowledge to implement CBNRM

with a high probability of success is available • • Substantial funding is available for

performing programmes • • General attitude that CBNRM and

community empowerment has potential • • Evidence that communities respond

rapidly to rights/benefit based approaches

50

Weaknesses • • Legislation allows for conversion to agriculture and other

land uses. • • Too many single sector authorities with little

accountability or capacity for performance, yet landholder communities have little/no authority (no land rights or rights to NRs)

• • Opportunities for devolution not taken and enabling policy/practice not in place

• • Targeted at inappropriate level (i.e. at representational rather than participatory levels of governance) that is ineffective and allows elite capture

• • Devolution of rights partial and weak. For wildlife, communities get 45% of benefits, but no rights to control management or sale, and other sectors worse,

• • Act not converted into enabling SI legislation and policy • • Weak, non-cooperating, CBNRM support agencies • • Many stakeholders have low capacity and ZAWA

monopolizes sector • • Wildlife depleted and infrastructure ramshackle • • Commercial performance of Zambian wildlife sector

way below regional levels

Threats • • Failure to convert lip service support into

real devolution • • Lack of technical capacity • • Proliferation of parallel single sector NR

institutions at community level • • Elite capture (by chiefs, CRBs) if

devolution, policy and guidelines not got right from the start

• • Embarking on “CBNRM” without following correct principles or monitoring and adaptively managing process

• • High cost structure of Zambia makes viability challenging

• • Continued depletion of wildlife and infrastructure

• • Capture of funding by non-performing NGOs / agencies

• • Weak private, NGO, civil and state sectors

Source: DSI, 2004

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THREATS TO BIODIVERSITY AND ROOT CAUSES ANALYSIS

Table 10 - Threats and root causes of biodiversity loss in Zambia PA

Relevant to Threat Biological Impacts Root Causes Alternative Strategy • • Poachers consider the benefits to be

gained from poaching to be greater than the risks of being caught and prosecuted

• • Strengthen enforcement by increasing budget and staffing level in ZAWA

• • Incentive-based payments for game guards

• • Better training and equipment for game guards

• • Innovative partnerships between ZAWA and CRB for more cost-effective anti-poaching in NP

NP/GMA Unsustainable illegal harvesting of wildlife for subsistence and commercial use

• • Reduction in wildlife numbers, especially of large mammals, sometimes to local extinction

• • Loss of biodiversity

• • Collapse of symbiotic systems

• • Barrier: Current legal and policy frameworks serve to constrain the empowerment and incentives for communities to manage wildlife and other natural resources.

• • Devolution of authority for wildlife management to communities

• • Creation of a new category of community managed PA

• • Transparent financial management procedures for the sharing of revenues between ZAWA and CRB and between CRB and VAG/communities

52

• • Hunting licenses are awarded by ZAWA without sound, science-based monitoring of wildlife populations for quota-setting;

• • Monitoring of wildlife populations has not been instituted as a necessary cost of doing business for trophy hunting

• • Monitoring for science-based quota setting is required as a standard cost of doing business for sustainable hunting

• • Regional review of M&E systems to select and adapt the most cost-effective systems for Zambia.

• • Develop community-based monitoring systems that communities are obliged to implement for quota setting.

• • Oversight by MTENR and civil society to ensure that quotas are based on science based monitoring

• • Pressure to increase quotas to increase revenues for ZAWA, traditional chiefs, communities, etc.

• • ZAWA is faced with an internal conflict, mandated with biodiversity conservation while pushed by government to become financially self-sustaining

• • Civil society inputs/oversight of sector

• • Increase incentives for CRB and GMA communities through devolution of authority and increased revenues

GMA Trophy hunting at unsustainable levels

• • Loss of wildlife species, especially large mammals

• • Inadequate supervision of licensed hunters, including safari hunters

• • Barrier: Resource rights Wildlife belongs to the government and not to local communities.

• • I|nternal community-level controls through improved governance at CRB and village level

• • Empowerment of communities leads them to recognize that when hunters exceed their quotas, it is the communities revenues that decrease

• • Improvements in the supervision of legal hunters by WPO and village scouts to ensure compliance with hunting quotas

53

• • Illegal timber cutters perceive that the benefits of illegal logging outweigh the risks of being caught.

• • Strengthen enforcement by increasing budget and staffing level in ZAWA (for NP) and FD (for GMA)

• • Incentive-based payments for guards

• • Better training and equipment for game guards

• • Barrier: Resource rights Forest resources belong to the State and access is controlled by the state

• • Communities have little incentive to protect/manage forest resources

• • Devolution of authority to legally constituted community management structures.

• • Integration of forest management with other forms of natural resource management under a common village-level management structure.

GMA/FR Unsustainable commercial and non-commercial harvesting of wood products

• • Habitat degradation and loss of wildlife populations

• • Barrier: Management model there are no tested/proven models of natural forest management

• • Development of pilot natural forest management models, especially for community-based management

• • Barrier: PA category Conversion to agriculture is legal and permitted within GMAs.

• • Land use plans in GMAs do not have the legal clout to prevent abuses

• • Creation of a new category of community-managed PA that disallows conversion of habitats.

• • Legislation reforms to make land use plans an effective legal instrument for conservation.

• • Farmers will clear land for agriculture in NPs if the risk of penalties is too low.

• • Strengthen enforcement by increasing budget and staffing level in ZAWA (for NP)

NP/GMA Conversion of habitat to agriculture and settlement

• • Reduction and/or loss of wildlife habitats

• • Contraction and fragmentation of distribution ranges of wildlife species and loss of movement corridors

• • Changes to hydrological systems • • Limited political commitment to deal

with encroachment in NPs • Economic analysis to convince

decision-makers and authorities of the importance of stopping encroachment

54

Use of habitat for livestock grazing

• • Habitat degradation and introduction of livestock diseases to wildlife species

• • Herders will graze cattle in NP if benefits are greater than the risk of penalties.

• • More effective enforcement NP/GMA

Conversion for mining • • Pollution • • Wildlife sector is given lower priority than agriculture and mining

• • Economic and financial analyses to show the importance of the wildlife sector.

• • Development of the wildlife sector so that it contributes significantly to local and national socio-economic development

NP/GMA • • Excessive fishing and destructive fishing methods: − − Building of weirs

to trap breeding fish − − Use of fish

poisons. − − Use of undersize

nets

• • Fishing during the closed season (breeding season)

• • Reduction of fish in the food chain: impacts on higher trophic levels

• • Disturbance to fish breeding and other wildlife.

• • Disturbance to hydrology.

• • Toxic damage from poisons.

• • Barrier: Resource rights De facto open access resource

• • Increasing population.

• • Large, growing seasonal influx of non-traditional fishermen

• • Lack of alternative income and food sources.

• • Almost total lack of control by responsible government agencies.

• • Poor understanding of ecology.

• • Assessment of fishery resources status and identification of traditional and modern management techniques for testing

• • Empowerment of local populations for community-based fisheries management.

• • Testing and development of sustainable fisheries techniques plan with stakeholders.

• • Enforcement of agreed rules/code by community and government.

• • Enhanced revenues from improved processing and marketing of fish (in conjunction with a fisheries management system)

• • Community NR management fund fed by % of revenues

• • No effective controls on the introduction of invasive alien species

• • Development of a national policy on invasive alien species

NP/GMA Invasion of wetlands by alien species

• • Habitat degradation and loss of indigenous species

• • Inadequate knowledge on alien species and lack of appropriate control measures

• • Research on alien species and development and implementation of appropriate control measures

55

NP/GMA Uncontrolled bush burning

• • Degradation of wildlife habitats and destruction of wildlife food resources

• • Breakdown in the authority of traditional leaders (GMA)

• • Inadequate research and knowledge on the impacts of fire on wildlife and habitat

• • Development of fire control programs as part of NP/GMA management plans

• • Involvement of traditional authorities and local people in fire control activities

56

Annex 3 Capacity Assessments of Key Partner Institutions

1.0 1.0 Introduction The Government of the Republic of Zambia has demonstrated its commitment to the conservation and management of the country’s biodiversity by putting in place various legal instruments and policy frameworks as well as through the establishment of various relevant institutions at national and local levels. The Zambia Wildlife Authority (ZAWA) is the key institution mandated by Government with the responsibility of looking after the wildlife estate in the country. The Forestry and Fisheries Departments as well as the National Heritage Commission are, respectively, responsible for the management of forest and fisheries resources and the national heritage sites. This national commitment to biodiversity conservation has been positively augmented by efforts of a number of international and local NGOs with interest in biodiversity conservation and management. Examples of such NGOS include WWF, Conservation Lower Zambezi (CLZ), Kasanka Thrust Ltd, and the Wildlife and Environment Society. The proposed project on “Reclassification” and Effective Management of National Protected Area System intends to use these private sector and NGO institutions as it’s implementing partners in addition to the Zambia Wildlife Authority, Fisheries and Forestry Departments, the National Heritage Commission as well as the Ministry of Tourism, Environment and Natural Resources itself. The project aims at achieving three immediate objectives, namely the enactment of appropriate policy, regulatory and governance frameworks which would provide new tools for public/community/private PA management partnerships; secondly, the strengthening of institutional capacities for protected area (PA) system management and lastly, the expansion of the protected (PA) management options through the development and field testing of innovative private-public- community management partnerships. An assessment of the capacities of key partner institutions was thus undertaken on the Zambia Wildlife Authority (ZAWA), Wild Wide Fund for Nature (WWF), Kasanka Trust Ltd(KTL), Conservation Lower Zambezi (CLZ) and Peace Corps. 2.0 2.0 Rationale and Key Criteria for Capacity Assessment of Key Partner Institutions

2.1 Rationale for Assessment of Partner Institutions

The successful implementation of the various components of the project by partner Institutions will require mass of institutional capacity to ensure the timely and effective Implementation of various activities. This will particularly be important as this will be a Complex project with many key players. The purpose of the assessment, therefore, was not only to identify institutional strengths, but also institutional weaknesses which can be addressed to enable institution play an effective role in project implementation and biodiversity conservation in general. This report represents a preliminary review of project partner institutions and will be followed by a

57

2.2 Key Criteria used for Capacity Assessment Institutional Assessment is a comprehensive approach for profiling institutional capacity and performance. The various factors that are considered include:

• • Forces in the external environment (administrative and legal, political and economic, social and cultural, including stakeholder analysis); • • Institutional factors (history and mission, culture, leadership, structures, human and financial resources, formal and informal management systems and

an assessment of performance); and • • Inter-institutional linkages.

The capacity elements which are applicable to the project and which were assessed in respect of each institution were as follows:

i. i. Technical capacity ii. ii. Managerial capacity

iii. iii. Administrative capacity and iv. iv. Financial capacity.

3.0 3.0 Methodology used in Capacity Assessment The assessment of capacity of partner institutions was carried out using a modified METT tool originally developed by WWF and UNDP and using personal interviews and literature review. Appropriate worksheets were developed for the collection of relevant information. Although good preliminary information was collected on the partner institutions, the major shortcoming of the method used was the reliance on the partner institution to provide information on themselves. 4.0 4.0 Results of the Preliminary Assessment of Partner Institutions

4.1 4.1 Kasanka Trust Limited

Background Kasanka Trust Ltd. is a charitable NGO established in 1989 to further the cause of wildlife conservation and community development, primarily in and around Kasanka National Park, Zambia. The Trust is governed by a board of honourary trustees under a chairman. The Trust meets regularly in Lusaka to review the work of the Trust and plan future activities.

The Park Manager leads a management team in the field and reports regularly to the Chairman. [See organizational Chart]

58

The Trust raises funds for its work from charitable sources, mainly outside Zambia, and through the operation of tourism in Kasanka and Bangweulu. Technical Capacity In the field, the Trust has a Park Manager who is capable of managing the technical aspects of the project on the ground. He is sometimes assisted by volunteers who are either students or recent graduates. The Park Manager however takes care of the day to day running of the park, overseeing activities as well as other responsibilities. Therefore there will be need for more technical people to be employed by the project to ensure the regular monitoring of the project. Management Capacity The Trust does possess adequate facilities for a field office. The Trust currently has 4 laptop computers with printers and network infrastructure. Around 10 staff members are trained to use computers. The field office also has email, telephone, radio, fax and copier facilities. A library of technical reference material and reports in maintained at the field headquarters. In addition to the 5 vehicles mentioned above the Trust owns a Tractor, 2 motorcycles, 3 tourist lodges, and 8 boats. There are also 3 4x4 vehicles, 2 motorcycles and a Cessna Aircraft (owned by Sky Trails Ltd.) There will be need however to support the Trust with additional equipment to ensure the smooth running of the Project and to ensure sound knowledge management. Improvements to the managerial function will include the ability to prepare and use agreed workplans and budgets for project activities. This is not currently the practice in the current activities of the trust. Financial Capacity Kasanka trust has a financial system in place. However, a pre and post audit system has to be put in place that will comply with the UNDP standards. Conclusion Kasanka needs Technical, Administrative and Financial Capacity Building. Considering the above, the following are recommended:

1. 1. Additional technical/administrative personnel will be required to boost the capacity of KTL in the implementation of the project. 2. 2. The preparation and use of annual workplans and budgets will require to be institutionalized, including a pre and post audit system.

59

4.2 Conservation Lower Zambezi (CLZ)

Background Conservation Lower Zambezi (CLZ) is an NGO run and supported by private sector representation by interests with communities. Its goal is to safeguard wildlife and its habitat as an asset and a resource in the Lower Zambezi National Park (LZNP) and surrounding GMAs. In line with this goal, CLZ’s key objectives include the following: § § To promote, foster and maintain interest in the protection of wildlife; § § To encourage recognition of the importance of safeguarding habitat and wildlife for its cultural, scientific and economic value;

60

§ § To promote and support the improvement of any existing national parks and wildlife protection areas, and sponsor the establishment of any other such

areas; § § To assist in all efforts to safeguard the security and permanence of the national park and to promote its reasonable and proper development and maintenance

as a national asset, for the benefit of all people; and § § To encourage recognition of the importance of safeguarding wildlife for its cultural, scientific amenity and economic value, inter alia, in attracting tourists,

visitors and other commercial activities for the sustainable management of such resources and economic empowerment of the communities in the GMAs. These objectives are to be achieved through the accomplishment of actions, including, the following: § § Supporting the Government or any of its departments in their efforts towards natural resource conservation; § § Assisting the LZNP Warden in the development, protection and maintenance of the natural resource base in CLZ target areas; § § Assisting GMA communities to mobilise into legally recognised bodies that are capable of managing their natural resources; § § Increasing community awareness and knowledge of natural resource management opportunities and benefits; and § § Supporting non-governmental organizations and individuals, whose work furthers the goals of CLZ, to protect habitat and wildlife in the Lower Zambezi

Valley.

In this respect, the strategy of CLZ is to support organisations and individuals sharing the above objectives and goals by providing technical assistance, training, equipment and supplies. All activities and projects utilising CLZ funds and equipment are implemented in the LZNP and/its surrounding GMA’s. TECHNICAL CAPABILITY Organisation and Management Conservation Lower Zambezi (CLZ) is managed by an Executive Committee (“EXCO”) comprising of a Chairman, Vice Chairman, Treasurer, Secretary and other

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committee members who are elected at Annual General Meetings. The Executive Committee is charged with the ultimate responsibility of control, management and conduct of the affairs of the organization on a day-to-day basis. The Executive Committee reports to the Board of Directors, who set policy and other strategic decisions that govern the general operations of CLZ. CLZ is managed through sub-committees, which include: § § Community Affairs Sub-committee; § § Roads Sub-committee; § § Operations Sub-committee; § § Fund Raising Sub-Committee; and § § Conservation Camp Sub-committee. Chairpersons of all sub-committees are voting members of the Executive Committee. CLZ is in the process of finishing the construction of a new Base Camp (“the Camp”) within the Lower Zambezi area where its activities are coordinated. The facilities and equipment at the Camp include: § § Accommodation facilities; § § Office facilities; § § Kitchen; § § Power generator; § § Basic camping facilities; § § Education training centre; § § Hostels; § § 1 x 1 engine aeroplane; § § 3 x Landcruiser vehicles; § § 1 x Boat; § § GIS system; and § § Communication equipment, including telephone, radios and e-mail.

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Currently, the Camp’s operations are coordinated by expert volunteers, whose basic costs are covered partly by CLZ and partly by the Royal Danish Embassy (“RDE”) supported Environment Education Centre (“EEC”). They are supported by a small team of full-time employees comprising: § § 1 x Manager; and § § 5 x General workers/Helpers § § 1 x Environmental Educator § § An Accountant/Administrator (Based in Lusaka). Managerial Capability The Camp Manager and two Volunteers are responsible for managing the affairs of CLZ at the camp level. Quarterly reports are prepared for the Executive Committee and the Board. However, with the increase in the responsibility of CLZ which may come with the project, this management capacity level will require to be enhanced. Administrative Capability:

Conservation Lower Zambezi (CLZ) has capacity to oversee the procurement process through its administrator/accountant based in Lusaka. However, no written procurement procedures are in place and CLZ would need capacity and training in this area by adopting and using processes/standards preset by the UNDP/GEF Project.

Financial Capacity Conservation Lower Zambezi has ability to produce program and project budgets, including the management of expenditures against the budget on a consolidated basis, including the maintenance of physical security of advances, cash and records. It also has clear procedures on authority, responsibility, monitoring and accountability for handling funds.

However, there are written procedures for processing payments to control risks as well as monitoring controls. CLZ will require addressing these with the input of

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UNDP standard procedures.

Conclusion

Conservation Lower Zambezi has the capacity to play a lead role in the implementation of the project in the Lower Zambezi/Chiawa area. However, additional technical, administrative and accounting/personnel would be required to strengthen the management, administrative and accounting functions of the institution.

4.3 Ministry of Tourism Environment and Natural Resources:

Department of Tourism

Background The Department of Tourism Development plays a pivotal role in the development of the tourism sector, which has been identified as one of the key sectors that can contribute to economic growth and development. The Department develops , manages and coordinates the implementation of compatible tourism policies and strategies that will facilitate the activities of the various players in the tourism sector and enable the industry gain foreign exchange and generate employment opportunities. The Department performs functions such as

1. Formulation and analysis of policy framework in the development, product quality, promotion, diversification and marketing of tourism industry 2. Reviewing existing and developing new legislation on tourism in collaboration with the Planning and Information Department 3. Facilitating, promoting and coordinating research on the utilizations of wildlife, natural and cultural heritage for tourism purposes 4. Promoting and coordinating bilateral and multilateral cooperation projects and treaties in tourism, in order to promote Zambia’s interests and meet

international obligations 5. Planning, implementing, coordinating and monitoring and evaluating tourism sector programmes and projects that are in line with the national

direction and vision in tourism in oder to ensure the development of the tourism sector 6. Facilitating the rehabilitation of existing and construction of new tourism infrastructure in order to promote tourism development 7. Preparing tourism sector planning and budgeting for submission to the Planning and Information Department; and 8. Regulating the development, conduct and management of the tourism sector so that all activities performed and implemented by different players are

in compliance with legislation.

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The Department is comprised of two sections. These are The tourism development section and the Standards, Inspections and Licensing section.

Technical Capability The Department is in need of some technical assistance. The ability to monitor the project activities exists but resources to carry out these activities would have to be awarded. The department has few qualified personnel to undertake the monitoring of Biodiversity Projects. There is still a shortage of manpower. The Department is in a good position to consult widely with beneficiaries. Administrative Capacity The Department has ample administrative capacity. World Bank Guidelines and procedures are employed in the procurement of goods and services. The Department is monitored by the Zambia National Tender Board. Ll contracts are reviewed and approved by the Ministry of Legal Affairs. Management Capacity The Department has good Management Capacity. Regular Meetings are held and these are minuted. The Department is able to produce and review annual workplans and budgets. This is a Government requirement.

Financial Capacity The Department has a financial system in place that is adequate. An internal audit system is in place. Furthermore, the Department along with the entire Ministry is audited on an annual basis by the Office of the Auditor General. The systems employed ensure that all UNDP Monitoring requirements are taken care of.

4.4 Ministry of Tourism Environment and Natural Resources: Department of Environment and Natural Resources

The Ministry of Tourism, Environment and Natural Resources is designated as the focal point for all environmental and natural resource management issues in the country. The Ministry shall perform such a function through the Department of Environment and Natural Resources Management which shall be responsible for the overall policy formulation on environment, natural resources, pollution control and also monitor and evaluate the operation of the executive agencies that have been created to implement policies on behalf of the Government.

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The functions of the Department are as follows:

i. i. Analysing and initiating the formulation of policies on the management of the environment and natural resources in order to contribute to the sustainable socio-economic development of the country;

ii. ii. Reviewing existing and developing new legislation on the management of the environment and natural resources in order to ensure quality environmental management;

iii. iii. Facilitating, promoting and coordinating research on the management of the environment and natural resources in order to achieve sustainable environmental management;

iv. iv. Undertaking and promoting the implementation of education and public awareness strategies and programmes in order to foster community participation in tourism, environment and natural resources;

v. v. Promoting and coordinating bilateral and multilateral cooperation projections and treaties in tourism, environment and natural resources management in order to promote Zambia’s interest and meet international obligations;

vi. vi. Planning, coordinating, montoring and evaluating environment and natural resources management programmes and projects in order to ensure their effective implementation; and

vii. vii. Providing advisory functions to the general public and stakeholders in matters relating to environment and natural resource management. Technical Capacity The Department is in need of some technical assistance. The ability to monitor the project activities exists but resources to carry out these activities would have to be awarded. Although the Department has qualified personnel o undertake these activities, there is still a shortage of manpower. The Department is in a good position to consult widely with beneficiaries and is capable of receiving and interpreting reports from Project Sites. Administrative Capacity The Department has substantial administrative capacity. World Bank Guidelines and procedures are employed in the procurement of goods and services. The Department is monitored by the Zambia National Tender Board. All contracts are reviewed and approved by the Ministry of Legal Affairs.

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Management Capacity The Department has good Management Capacity. Regular Meetings are held and these are minuted. The Department is able to produce and review annual work plans and budgets. This is a Government requirement. Financial Capacity The Department has a financial system in place that is adequate. An internal audit system is in place. Furthermore, the Department along with the entire Ministry is audited on an annual basis by the Office of the Auditor General. The systems employed ensure that all UNDP Monitoring and Evaluation requirements are taken care of.

4.4 Zambia Wildlife Authority (ZAWA)

Background Vision To achieve excellence in wildlife estate management by developing innovative approaches and partnerships that encompass best practice,

with complete transparency and integrity. Mission Statement To contribute to the preservation of Zambia’s National Heritage, ecosystem and biodiversity for present and future generations through the

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careful conservation of Zambia’s Wildlife. Technical Capacity The Zambia Wildlife Authority has the capacity to monitor the technical aspects of a programme. The Directorate of Research, Planning and Information has a special Unit for programme monitoring. It has the ability to both prepare and receive for review Quarterly and Annual reports. The Directorate for Game Management Areas specifically deals with matters related to local community beneficiary groups while other mechanisms exist for dealing with various contractors. Management Capacity ZAWA has capacity for planning, monitoring and coordination and produces annual workplans. It also has five-year strategic plan (2002 – 2006). It has logistical infrastructure through out the country. However, this will require to be re-enforced at Park/GMA levels, particularly in the project areas. Administrative Capacity The Zambia Wildlife Authority has the ability to procure goods and works on competitive basis and has the authority to enter into standard contracts with the assistance of its own legal counsel. The Institution has a property ledger (inventory) and also has well established procedures for the recruitment of the best personnel, including for the appointment and deployment of staff. Financial Capacity ZAWA has the ability to produce programme and project budgets. They are able to track all commitments and planned expenditures. ZAWA also maintains physical security of advances, cash and records and is able to disburse funds in a timely and effective manner. Clear procedures on authority, responsibility, monitoring and accountability for handling funds are maintained and are well documented. The monitoring controls employed by ZAWA are compatible with UNDP requirements. ZAWA has also been assessed by the World Bank, an assessment which

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was positive. Procurement procedures are documented and the World Bank guidelines are followed. Conclusion The Zambia Wildlife Authority (ZAWA) will be an effective partner for the implementation of Outcome 1 and other project activities. The institution has experience in implementing similar project activities.

4.5 WORLD WIDE FUND FOR NATURE (WWF)

Background The World Wide Fund for Nature (WWF) (formerly, the World Wildlife Fund) is the largest and most experienced independent conservation organization. Established in 1961, WWF has over 4.7 million supporters on five continents. The WWF network or family as it is most often referred to, is a grouping of autonomous associate National Organizations in 28 countries world wide. For example there is WWF-US, WWF-UK, WWF-Denmark, WWF-Switzerland, WWF-South Africa, WWF-Indonesia etc. It also includes affiliated organizations such as the Nigerian Conservation Foundation. WWF International, based in Switzerland, acts as international secretariat to the international conservation programme.

The global mission of the World Wide Fund for Nature (WWF) is to stop the degradation of the natural environment and to build a future in which humans live in harmony with nature by: ♦ ♦ Conserving the world's biological diversity ♦ ♦ Ensuring the use of renewable natural resources is sustainable ♦ ♦ Promoting the reduction of pollution and wasteful consumption WWF pursues the above mission through a wide range of conservation activities carried out by over 4000 staff across a network of offices scattered all over the globe. WWF has chosen to guide its Global Conservation Programme using two main strategic approaches namely, Target Driven Programmes (TDP's) and Ecoregion Action Programmes (EAP's). The TDP's emphasize the use of globally set conservation targets in thematic areas such as forests, oceans and coasts, and species of

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'special concern'. In the Ecoregion Action programme, conservation approaches are driven by the principles of conservation biology, with emphasis being on the maintenance of essential ecological processes often at large spatial scales, assemblages, identification of areas of biological importance and their possible connectivity within the defined bio-geographic areas. WWF in Zambia WWF has been involved in Conservation in Zambia since 1962 and has implemented many activities to help secure the resources upon which the nation’s livelihood depends. In 1991 the international secretariat recognized Zambia as a focal country with respect to conservation effort within the region. A WWF Programme Office for Zambia was formally established to administer and manage the development and implementation of a WWF country programme, and to provide technical assistance. This programme gives priority to:- ♦ ♦ the conservation and management of protected areas and indigenous animal and plant species; ♦ ♦ integrated conservation and development programmes; ♦ ♦ improving management capacities of Zambian conservation and environmental management institutions; ♦ ♦ environmental education and awareness; and ♦ ♦ supporting policy and legislative reform for environmental conservation and management. Over the last decade or so, WWF has spent in excess of US$20 million on environmental projects in Zambia. Specific project support has included:- ♦ ♦ Support to the species protection Department of the Anti-Corruption Commission; ♦ ♦ Conservation and Management of the Kafue Flats and the Bangweulu Basin; ♦ ♦ Support to the National Parks and Wildlife Service ADMADE Programme; ♦ ♦ Support to the Wildlife and Environmental Conservation society of Zambia’s Education Programme; ♦ ♦ Institutional support to the Environmental Council of Zambia; ♦ ♦ Support to the Environmental Council of Zambia-development of Wetlands Programme for Zambia and lastly but not the least; ♦ ♦ Environmental Education activities for Schools, Colleges and Communities in Zambia; ♦ ♦ Private Sector partnership Conservation activities for Blue Lagoon National park; ♦ ♦ Community based conservation and development activities in Game Management Areas. Technical Capacity WWF has the technical capacity to monitor the programme. For instance, WWF undertakes an assessment of its current project in Zambia every six months. Finance and Administration staff go round the various project sites to ensure good financial management. WWF ensures Quarterly reports which are uploaded on the network database every Quarter as a general requirement. Technical project reports are prepared every six months, linking field progress and project expenditure.

WWF has the capacity to consult widely using the available networks.

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Management Capacity WWF has the ability to plan, monitor and coordinate activities, including the preparation of annual work programmes and budgets and undertaking annual project reviews. It has a lot of experience in programme coordination and strategic planning. The organization possess good logistical infrastructure at the main office in Lusaka as well as the project demonstration site in the Bangweulu Basin, with email linkages and the knowledge management system in place. The field Office is located in Samfya. Administrative Capacity WWF has a long-standing experience in procuring goods, services and works on a competitive basis and has procurement procedures to ensure high quality and competitiveness in the acquired goods, services and works. WWF Zambia has authority to enter into standard contracts and has access to the legal counsel, in addition to the Administration and Financial Manual. It has the experience to track down budget commitments and in property handling and monitoring as well as the management and maintenance of equipment. WWF has written procedures in its Recruitment Toolkit for ensuring best personnel recruitment and as well as for the employment of consultants under specific Terms of Reference. Financial Capacity WWF has a lot of experience in the preparation of programmes and project budgets and have solid budget tracking system on a standardized reporting base. All projects under WWF are project activity based and therefore have the required timing of planned expenditure. WWF’s Bankers are Barclays Bank in the United Kingdom and Barclays Bank Zambia Limited and have strong durable safes for safe keeping of cash at hand and other important records. WWF has also clear procedures on authority, responsibility, monitoring and accountability for handling funds, including risk control. Although WWF does not have a goods received note system of verifying receipts of goods and services, they have other systems that can track any procurement of goods and services as well as authorization. They also have a standard reporting system that allows programme or project expenditures to be reported to various donors Quarterly, and which accumulates programme or project-to-date expenditures against budget-for management purposes. WWF Zambia also undergoes annual internal and external audits. Conclusion WWF has the capacity to play the duo role as the technical back-stopper at the two project sites as well as the Field Facilitating Agency for the initial forging of links for the public/community/private sector partnerships. It has adequate experience to play the two roles. However, their field presence in the Lower Zambezi area

and in the Bangweulu Basin will require to be strengthened.

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