BACKGROUND

RP1373v3

Ministry of Agriculture and Livestock

Zambia Agriculture Research Institute

Private Bag 7 Chilanga, Zambia

Agricultural Productivity Program

for Southern Africa

Resettlement Policy Framework

(RPF)

3 January 2013

Table of Contents

CHAPTER ONE: INTRODUCTION AND BACKGROUND1

1.0 Introduction1

1.2 Project Background2

1.2.1 National Context2

1.2.2 The Agriculture Sector2

1.2.2 APPSA and Centre of Leadership for Food Legumes (CoLFL)3

1.2.2.1 Overview3

1.2.2.2 Project Development Objectives3

1.2.2.3 Project Components4

1.2.2.3.1 Component 1: Technology Generation and Dissemination.4

1.2.2.3.2 Component 2: Center of Leadership Strengthening.5

1.2.2.3.3 Component 3: Coordination and Facilitation.5

1.2.3 Description of the Area of Influence5

1.2.4 Rationale for the Resettlement Policy Framework6

1.2.5 Objective of the RPF7

1.2.6 Potential Users of the RPF7

1.3 Methodology7

1.3.1 Inception Meeting7

1.3.2 Desk Review7

1.3.3 Consultations7

1.3.4 Transect walk8

1.4 Methodological Constraints and limitation8

1.5 Organization of the Report8

CHAPTER TWO: AGRICULTURE AND THE SOCIO ECONOMIC ENVIRONMENT10

CHAPTER Three: RELEVANT LEGISLATION AND THE WORLD BANK POLICY14

3.1 The Zambian Legal Framework14

3.1.1 Constitution of Zambia14

3.1.2. The Land Act, Chapter 18414

3.1.3 Land Tenure System in Zambia14

3.1.4 Land Delivery System in Zambia16

3.1.5 Lands Acquisition Act Chapter 189 of the Laws of Zambia.17

3.1.6 The Local Government Act Chapter 28117

3.1.7 The Town & Country Planning Act Chapter 28317

3.1.8 The Public Roads Act (2002)18

3.1.9 The Agricultural Lands Act18

3.1.10 Arbitration Act No. 19 of 200019

3.1.11 Environmental Impact Assessment Regulations of 199719

3.1.12 The Zambia Wildlife Act No. 12 of 199820

3.1.13 Land Survey Act20

3.1.14 Land Conversion of Title Act20

3.1.15 The Forest Act of 197320

3.1.16 The Valuation Surveyors Act Cap 20720

3.1.17 Lands Tribunal20

3.2 World Bank Safeguard Policy20

3.3 Overlaps and Gaps between the Zambian Legislation and World Bank PO 4.1221

3.3.1 Overlaps21

3.3.2 Gaps22

3.3.3 Measures to close the Gaps22

CHAPTER four: POTENTIAL social impacts OF APPSA24

4.1 Positive Impacts24

4.2 Negative Impacts25

4.3 Identification and Categorization of Loss and Impact25

4.4 Project Affected Persons (PAPs)25

4.5 Project Affected Persons Categories26

4.6 Number of PAPs and Potential Relocation Areas26

4.7 Risks to Involuntary resettlement and mitigation measures26

CHAPTER FIVE: PREPARING AND APPROVING RESETTLEMENT AND COMPENSATION PLANS27

5.1 Introduction27

5.1 The Screening Process27

5.2 Preparation of Resettlement Action Plans (RAPs)27

5.3 Review and Submission of the RAP28

5.4 Disclosure of Social Safeguards Instruments28

CHAPTER SIX: ELIGIBILITY CRITERIA FOR PAPS, AND COMPENSATION ARRANGEMENTS29

6.1 Introduction29

6.2 Eligibility Criteria for Various Categories of Project Affected Persons29

6.3 Cut-Off Date30

6.4 Proof of Eligibility30

6.5 Defining Entitlements and Preparing an Entitlement Matrix30

6.6 Procedures for Valuation of Acquired Land32

6.7 Methods of Compensation33

6.8 Entitlement for Compensation33

6.9 Arrangements for Compensation34

6.10 Community Compensation Payments34

6.11 Procedures for Delivery of Compensation34

CHAPTER SEVEN: RPF IMPLEMENTATION INSTITUTIONAL ARRANGMENTS, AND BUDGET36

7.1 Institutional Arrangements36

7.1.1 Ministry of Lands36

7.1.2 Ministry of Local Government and Housing36

7.1.3 The Ministry of Community Development, Mother and Child Health36

7.2 Existing Capacities to coordinate and implement RPF37

7.3 Budget37

7.3.1 Administrative Costs37

7.3.2 Compensation Costs37

7.3.3 RAPs, Planning and Implementation Costs37

7.2.4 RAPs Monitoring and Evaluation Costs37

CHAPTER EIGHT: STAKEHOLDER CONSULTATIONS, GRIEVANCE REDRESS AND MONITORING39

8.1 Stakeholder Consultation39

8.1.1 Screening and Preliminary Assessments39

8.1.2 Social and Economic Baseline Census39

8.1.3 Preparation and Implementation of Resettlement Action Plans39

8.2 Grievance Redress Methods40

8.3 Monitoring41

8.3.1 Arrangements for Monitoring41

8.3.2 Scope of monitoring41

8.3.3 Performance monitoring41

8.3.4 Impact monitoring42

8.3.5 External Monitoring/ Completion Audit42

REFERENCES43

Annex 1: Screening Form44

Annex 2: Template for the Design of RAPs46

Annex 3: Outline of a Resettlement Action Plan50

Annex 4. Categories of Likely Losses and Impacts52

Annex 5. Sample of Possible Sub-projects That Would Trigger the Involuntary Resettlement Policy with Probable Social Impact53

Annex 6. Eligibility Criteria for Compensation54

Annex 7: Entitlement Matrix55

Annex 8. Method of Valuation57

Annex 9. Arrangements for compensation59

Annex 10. Resettlement Schedule60

Annex 11. Summary of Consultation Process61

ii

ACRONYMS

APPSA

Agricultural Productivity Program for Southern Africa

ESMF

Environmental and Social Management Framework

CCARDESA

Centre for Coordination of Agricultural Research and Development for Southern Africa

CoLFL

Centre of Leadership for food legumes

CSO

Central Statistics Office

DACO

District Agricultural Coordinator

GART

Golden Valley Research Trust

GDP

Gross Domestic Product

MAL

Ministry of Agriculture and Livestock

MoL

Ministry of Lands

MCDMCH

Ministry of Community Development, Mother and Child Health

MFNP

Ministry of Finance and National Planning

MLGH

Ministry of Local Government and Housing

NARS

National Agricultural Research System

NGOs

Non-Governmental Organisations

OP

Operational Policies

PAP

Project Affected Persons

PMP

Pest Management Plan

RCoL

Regional Centre of Leadership

RAP

Resettlement Action Plans

RPF

Resettlement Policy Framework

SADC

Southern Africa Development Community

ZARI

Zambia Agricultural Research Institute

Definitions of Key Terms

S/No

Word/Term

Definition

1

Compensation

Payment in cash or kind for an asset to be acquired or affected by a project at replacement cost.

2

Cut-off-date

The date after which PAPs will NOT be considered eligible for compensation, i.e. they are not included in the list of PAPs as defined by the socio-economic survey.

3

Displaced Persons

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

4

Economically-Displaced Persons

Those affected persons who are affected in way

that they lose incomes from crops, land, businesses etc.

5

Encroachers

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

6

Entitlement

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

7

Full Cost of Resettlement

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

8

Household

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

9

Income Restoration

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

10

Indigenous peoples

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

11

Involuntary Resettlement

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

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

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

12

Land acquisition

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

13

Land-Owner

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

14

Market Value

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

15

Physically Displaced Persons

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

16

Project-Affected Area

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

17

Project-Affected Person

Persons who lose assets as a result of the Project,

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

19

Project Affected Household

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

20

Relocation

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

21

Replacement Cost

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

22

Resettlement Action Plan

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

23

Resettlement Impacts

The direct physical and socio-economic impacts of resettlement activities in the project and host areas.

Refers not just to the physical displacement of people, but also covers taking land that results in the relocation or loss of shelter, loss of assets or access to assets, and/or Loss of sources of income or means of livelihood (OP 4.12, paragraph 3)...

24

Resettlement Policy Framework

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

Implementation. The policy framework should be consistent with the principles and objectives of OP 4.12 of the World Bank.

25

Socio-economic survey

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

26

Sharecropper

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

27

Tenant

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

28

Vulnerable

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

EXECUTIVE SUMMARY

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

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

Project objective and brief description

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

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

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

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

Need for RPF

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

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

Project location

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

Legal Framework for Land acquisition

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

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

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

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

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

Potential project impacts from involuntary resettlement

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

Key principles for resettlement planning

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

Grievance redress mechanism

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

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

RPF Coordination and Implementation

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

Monitoring and evaluation

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

Consultation, review and disclosure

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

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

Budget for RPF Implementation

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

Estimated total costs for implementation of the RPF

DESCRIPTION

AMOUNT ($)

Cost of training for RPF

50,000

Costs of monitoring for RPF

60,000

Total

110,000

CHAPTER ONE: INTRODUCTION AND BACKGROUND 1.0 Introduction

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

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

Zambia intends to use this financial assistance to establish the Centre of Leadership for food legumes (CoLFL). The objective of this centre will be to improve technology generation, dissemination and adoption within and beyond Zambia by enhancing research and development in food legumes cropping systems through collaboration with other institutions. The CoLFL in Zambia intends to use innovative approach towards delivering technologies and information to farmers growing food legumes thereby improving and scaling up access of farmers to these for sustainable food legumes production in Zambia and the entire Southern African region.

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

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

1.2 Project Background 1.2.1 National Context

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

1.2.2 The Agriculture Sector

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

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

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

The sustainable solution to problems associated with the continuous cereal based farming system lies in the integration of food legume crops such as beans (Phaseolus vulgaris), groundnuts (Arachis hypogeae), soybeans (Glycine max) and cowpea (Vigna unguiculata) into the cropping systems. Legumes have the potential to contribute significantly to household and national food security through improved soil health, better nutrition, livelihoods and higher incomes to smallholder farmers. When these food legume crops are grown in rotation with maize and sorghum, they have the capacity to contribute to the increased soil organic matter, retain soil moisture and nutrient use efficiency, thereby sustaining the productivity of the soils. In the late 1960s agricultural policies promoted the production of cereals, in particular maize, while neglecting food legumes, forcing farmers to grow those crops that were favoured by government policies. This trend was also reflected in terms of research investment. The establishment of the Regional Centre of Leadership for food legumes in Zambia is meant to address the above limitations.

1.2.2 APPSA and Centre of Leadership for Food Legumes (CoLFL)1.2.2.1 Overview

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

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

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

1.2.2.2 Project Development Objectives

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

The specific objectives of the project are:

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

To collect, characterize, evaluate and develop food legume germplasm;

To develop, maintain and avail food legume germplasm of beans, groundnuts, soybeans and cowpea within the region;

To develop and adapt agronomic practices for increased and sustainable productivity;

To strengthen the adoption of available food legumes based technologies;

To strengthen seed production and availability of the released food legumes varieties;

To develop Integrated pest and disease management options;

To develop post harvest technologies; and

To incorporate nutrition and health in food legume research program agenda.

1.2.2.3 Project Components

The project will have three components highlighted below:

1.2.2.3.1 Component 1: Technology Generation and Dissemination.

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

i. Collaborative research projects

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

ii. Technology dissemination activities

Within technology dissemination, a number of bottlenecks exist between technology generation and dissemination systems. These include among others: weak research-extension linkages; low human capacity within extension; inadequate technology reference manuals, bulletins, information leaflets at extension level; lack of harmonization of information packaging; inappropriate packaging of extension messages; limited information flow and feedback within the system; limited use of mass communication channels; and inadequate training. While not a fully fledged extension support program, APPSA can play an important role in addressing some of the constraints between technology generation and dissemination systems including improving the content and accessibility of technology messages and knowledge products; improving the capacity of lead farmers, extension agents and advisory service providers; and improving farmer-research-extension feedback mechanisms. Further work is expected to define specific activities as part of APPSA implementation.

1.2.2.3.2 Component 2: Center of Leadership Strengthening.

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

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

Improving management and performance systems;

Scientific training at the post graduate level primarily MSc and to upgrade skills through short courses or targeted training; and

Strengthening seed, regulatory and related services.

1.2.2.3.3 Component 3: Coordination and Facilitation.

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

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

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

Defining common indicators to be used by RCoL;

Conducting joint planning, implementation and monitoring activities across the National Agricultural Research System (NARS) (annual plans); conducting regular Monitoring & Evaluation activities; implement the common knowledge sharing mechanism; and

Conducting evaluations and special studies and share the results.

1.2.3 Description of the Area of Influence

The APPSA is targeted at smallholder farmers throughout Zambia and the region. The project will improve household and national food security through improved soil health, better nutrition, livelihoods and higher incomes to smallholder farmers. When these food legume crops are grown in rotation with maize and sorghum, they have the capacity to contribute to the increased soil organic matter, retain soil moisture and nutrient use efficiency, thereby sustaining the productivity of the soils.

1.2.4 Rationale for the Resettlement Policy Framework

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

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

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

The World Banks resettlement policy framework has the following objectives:

i. Involuntary resettlement and land acquisition should be avoided where feasible, or minimized, exploring all viable alternatives;

ii. Where involuntary resettlement and land acquisition is unavoidable, resettlement and compensation activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to give the persons displaced by the project the opportunity to share in project benefits;

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

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

1.2.5 Objective of the RPF

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

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

1.2.6 Potential Users of the RPF

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

1.3 Methodology

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

1.3.1 Inception Meeting

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

1.3.2 Desk Review

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

1.3.3 Consultations

The consultant conducted consultations with members of staff of the two research stations namely Kabwe and Misamfu. Outcomes of these, and consultations with communities within the project areas with proposed research land and district stakeholders have informed the RPF. The rationale of these extensive consultations was to solicit views of a cross section of stakeholders, at the local, district, and Central Government level on the anticipated social impacts especially those that can trigger involuntary resettlement, capacities to handle resettlement issues, and recommendations to feed into the RPF. Annex 9 provides details of people consulted. Details of consultation events that took place (including dates and venues), the organizations and interest groups which participated, and the main issues discussed during the consultations for the RPF are summarized in Annex 11.

1.3.4 Transect walk

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

1.4 Methodological Constraints and limitation

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

1.5 Organization of the Report

This report is organized into eight chapters as follows:

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

Chapter Two gives the socioeconomic environment mainly in relation to agriculture.

Chapter Three outlines relevant Zambia policies and legislation applicable to the project and the World Bank OP 4.12 provisions. The chapter then gives comparative analysis of Zambia policies and legislation applicable to the project and the World Bank OP 4.12 provisions giving suggestions for closing gaps.

Chapter Four identifies adverse social impacts in the context of involuntary resettlement under APPSA, likely categories of affected persons and an assessment of potential need for relocation. The social impacts are linked to the social components they are likely to impact upon and the sources of the impacts are also described. These sources include the civil works for the rehabilitation of existing structures and opening of fields and demonstration sites. The social impacts are the basis for the development of the RPF in Chapter Five.

Chapter Five outlines the RPF for addressing the projects adverse social impacts due to involuntary resettlement. The Chapter also provides entitlement matrix for proposed resettlement and compensation policy, methods for valuing affected assets, organizational arrangements and procedures for delivery of entitlements. The chapter also provides details on methods for consultation with and participation of affected people during the RAP preparation process and the grievance redress mechanism for project affected people.

Chapter Six gives an overview of the existing social safeguards management capacities in the Ministry of Agriculture and key line agencies in terms of the RPF. It further proposes capacity building and training requirements that need to be undertaken for successful implementation of the RPF. It also provides the budget and funding arrangements for RPF implementation and the implementation schedule.

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

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

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CHAPTER TWO: AGRICULTURE AND THE SOCIO ECONOMIC ENVIRONMENT

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

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

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

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

Figure 1: Map of Agro-ecological regions of Zambia

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

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

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

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

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

Commodity

Number of households growing crops

Area planted (Ha)

Expected harvested area (Ha)

Expected production (MT)

Yield rate (MT/ha)

Sales (MT)

Groundnuts

555 315

183 581

175 361

112 425

0.61

45 220

Soyabeans

42 299 033

18 957

18 224

14 450

0.76

8 273

Mixed Beans

217 913

88 011

86 183

54 857

0.62

28 562

Cowpeas

17 956

4 776

4 143

2 027

0.42

422

Source: MAL & CSO 2012

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

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

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

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

CHAPTER Three: RELEVANT LEGISLATION AND THE WORLD BANK POLICY 3.1 The Zambian Legal Framework

Zambia's legal framework for matters related to the compulsory acquisition of property, in particular land and the alienation of land is provided for in the Constitution, Land Act, and the Land Acquisition Act. While these three Acts provide the basis for land acquisition, various other national laws of Zambia define the authority and responsibility of specific sectoral agencies.

However, there is currently no specific law or policy pertaining to involuntary resettlement in Zambia. The existing policies and arrangements only deal with voluntary resettlement. What exist are various pieces of legislation that provide guidance regarding legal provisions for resettlement. Below are legal statutes that have provisions pertaining to resettlement.

3.1.1 Constitution of Zambia

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

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

3.1.2. The Land Act, Chapter 184

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

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

3.1.3 Land Tenure System in Zambia

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

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

1. Statutory tenure

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

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

2. Customary Tenure

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

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

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

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

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

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

3.1.4 Land Delivery System in Zambia

The following 2 sections outline the processes for acquiring title to land from state land and from customary land. These guidelines will be useful for land access at the various sites of the APPSA.

1. State land

The system to acquire titled land from state land is as follows:

The District, Municipal or City Council identifies an area for which a layout plan is made, subdividing the identified land into several plots. In the case of agricultural land, the relevant departments in the Ministry of Agriculture and Cooperatives and the Resettlement Department under the Vice Presidents office are responsible.

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

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

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

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

2. Customary land

The customary land delivery system is as follows:

The prospective developer approaches the Chief or Chieftainess of the area for consent to hold land on leasehold tenure and obtain certificate of title.

Where the Chief or Chieftaness is satisfied that the land being requested for is available (unoccupied), s/he writes a consent letter to the office of the Council Secretary, with the lands location site plan, drawn by the local planning authority attached.

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

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

The committee interviews the applicant.

If the applicant is successful, the Council Secretary brings the application to the full council for consideration.

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

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

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

3.1.5 Lands Acquisition Act Chapter 189 of the Laws of Zambia.

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

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

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

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

3.1.6 The Local Government Act Chapter 281

The Act provides for the system of local government administration in Zambia at city, municipality and district council levels. Each level has delegated statutory functions with respect to development planning and participatory democracy.

Therefore the Act shall guide in the distinguishing of the project site with regard to their location. The laid procedure in the acquisition of land for subprojects shall be determined by the provisions of both this Act and the Lands Act.

3.1.7 The Town & Country Planning Act Chapter 283

The Act provides for Ministerial powers to appoint planning authorities to prepare structural, regional, integrated development, and layout plans to guide physical urban and rural development in Zambia.

3.1.8 The Public Roads Act (2002)

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

Department of Resettlement:

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

Identification and acquisition of land for resettlement;

Demarcation of farm plots;

Processing applications for resettlement;

Allocation of settlement farm plots to suitable applicants;

Recommending deserving settlers to acquire certificate of titles to their farm plots from the Ministry of Lands; and

Co-coordinating provision of infrastructure in resettlement programme schemes and resettlement schemes.

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

3.1.9 The Agricultural Lands Act

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

By state grant;

by the lease of holdings; or

By any other state lease or tenancy.

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

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

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

i. The amount of any compensation, not being an ex gratia payment;

ii. Any valuation for an option to purchase a holding; and

iii. Any valuation for a state grant;

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

3.1.10 Arbitration Act No. 19 of 2000

This Act provides for arbitration in cases where the land owner/occupier does not agree with the amount of compensation being offered. Under section 12 (2) of the Act, the parties to arbitration are free to determine the procedure for appointing the arbitrator or arbitrators. Section 12 (3) (b) states that if the parties are unable to agree on the arbitration, another arbitrator shall be appointed, upon request of a party, by an arbitral institution.

3.1.11 Environmental Impact Assessment Regulations of 1997

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

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

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

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

Regulation 11 provides for the contents of environmental impact statements to include:-

The social and economic impact of the project, such as resettlement of affected people;

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

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

3.1.12 The Zambia Wildlife Act No. 12 of 1998

Section 32 of the Zambia Wildlife Act provides that any activity or plan which is likely to have an adverse effect on any wildlife species or community in a National Park, Game Management Area or Open Area shall be subjected to a wildlife impact assessment as required by the Zambia Wildlife Authority (ZAWA). Where resettlement would have or is likely to have an impact on wildlife, a wildlife impact assessment would be required under this Act.

3.1.13 Land Survey Act

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

3.1.14 Land Conversion of Title Act

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

3.1.15 The Forest Act of 1973

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

3.1.16 The Valuation Surveyors Act Cap 207

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

3.1.17 Lands Tribunal

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

3.2 World Bank Safeguard Policy

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

According to the World Banks safeguard policy OP 4.12, particular attention should be given to the needs of vulnerable groups such as the poverty stricken, the landless, the elderly, widows, child-headed households and other disadvantaged persons. It is also a requirement of the policy that provision of compensation and other assistance be effected prior to peoples displacement. This implies that acquisition of land for APPSA activities can only take place after those affected have been compensated.

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

OP 4.12 also requires that:

Resettlement should be avoided wherever possible or minimized. All viable alternative project designs should be considered.

Resettlement activities should be conceived as sustainable development programmes, providing sufficient investment reserves to enable the person displaced by the project to shore in project benefits.

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

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

They should be informed about their options and rights pertaining to resettlement.

They should be consulted on, offered choices among and provided with technically and economically feasible resettlement alternatives.

They should be provided with prompt and effective compensation at full replacement cost for loss assets attributed directly to the project. The resettlement plan or resettlement policy framework should include measures to assure that the displaced persons are:

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

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

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

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

3.3 Overlaps and Gaps between the Zambian Legislation and World Bank PO 4.12 3.3.1 Overlaps

There are many similarities between Zambian law and the World Banks OP 4.12. The overlaps include:

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

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

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

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

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

3.3.2 Gaps

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

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

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

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

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

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

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

3.3.3 Measures to close the Gaps

It is clear the procedures described in Section 3.1 are likely less practicable in the event that involuntary resettlement issues arise in APSSA. It will therefore be necessary to streamline the compensation review process under Zambian law to ensure that approvals are consistent with those required by the World Bank for timely sub-project approval and implementation. ZARI should develop valuation and compensation procedures that allow the delegation of authority and decision making to the local level in the case of project components that have minimal resettlement impact. Based on the analysis of these differences and common points, the Consultant recommends that ZARI through Government of the Republic of Zambia agrees to implement the policy principles of the RPF as stated above and consistent with World Bank OP 4.12 for the activities to be financed by the Project.

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

CHAPTER four: POTENTIAL social impacts OF APPSA4.1 Positive Impacts

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

Food Security is fundamental in achieving economic growth and envelopment. If households have food security, they can redirect their efforts to other