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TECHNICAL AND FINANCIAL PROPOSAL FOR SUSTAINABILITY OF THE COPPERBELT ENVIRONMENT PROJECT IN ZAMBIA
Peter Sinkamba
Thesis presented in partial fulfilment of the requirements for the degree of MPHIL (Sustainable Development Planning and Management) at the University of Stellenbosch
Supervisors: Professor Mark Swilling and Dr Kakoma Maseka
December 2007
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Declaration
I, the undersigned, hereby declare that the work contained in this thesis is my own original work and that I have not previously in its entirety or in part submitted it at any university for a degree. Signature:……………………………… Date:………………………….
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Project Brief
This is a technical and financial proposal for a large-scale and complex sustainable development
project in Zambia. The sustainable development project is the Copperbelt Environment Project
(CEP)1.
This proposal aims at developing strategies for addressing sustainability problems of CEP. One
objective of the proposed strategies is to raise additional funds to support its activities beyond
CEP’s initial project-life. The other is to enhance public participation in CEP, especially of
political and traditional leaders.
CEP is a project of the Government of the Republic of Zambia (GRZ) created in 2002 to mitigate
historical environmental and social liabilities caused by mining after the privatisation of state-
owned mines. Furthermore, CEP is charged with the responsibility to improve compliance of on-
going mining operations through enhanced environmental and social regulation.
CEP is faced with three key sustainability problems. The first problem relates to the cessation of
CEP activities after the end of its conceptual project life span in 2008. If CEP activities cease
without an exit strategy to take care of on-going CEP activities, serious environmental and socio-
economic problems are likely to arise in mining areas.
The second sustainability problem relates to the financial deficit of CEP. Less than US $60
million of the US $200 million required has been sourced for CEP activities implying a deficit of
about US $150 million. Unless the financial deficit is secured, it is unlikely that most historical
environmental liabilities will be addressed. It is also unlikely that environmental and social
regulation targets of CEP will be attained by the end of its initial life span.
The third sustainability problem relates to inadequate public participation in CEP activities.
Although public participation in development programmes is a policy and legal requirement in
Zambia, it is however very low in CEP. Traditional and political leaders are not using their
offices to advance CEP agenda.
1 See CEP Home Page: http//:www.cepzambia.org.zm
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A hybrid of participatory research/action research, evaluation research, empowerment evaluation
and literature reviews research methodologies is proposed to be used to develop the strategies
that will address the above problems. In addition, multiple methods of data collection are
proposed to be used, including structured and semi-structured individual and group interviews,
questionnaires, documentary sources and analysis, plenary and focus group discussions, personal
experience, commissioned expert inputs, websites and participation records.
The long-term target of the proposed project is to generate in excess of US $900 million for CEP
activities by 2025. The proposed project will also utilise the Community-Based Environmental
Protection (CBEP) approach and draw on the South African experience on public participation to
build the capacity of target groups to take stewardship of environmental problems in their areas.
A detailed implementation plan will be developed to serve as the framework for operationalising
the proposed strategies. Existing CEP monitoring and evaluation mechanisms will be used to
track the implementation plan.
A six-man team headed by a team leader is proposed to execute this project proposal. An activity-
based budget including a logical framework, timescales for deliverables, coverage areas, target
groups, action planning, project goals, stakeholder analysis, time plans for staff and activity
schedules are proposed.
Depending on the speed and efficiency with which the project proposal and its strategies are
implemented, a sustainable solution to poor environmental management in mining areas of
Zambia is possible.
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Opsomming Hierdie is ’n tegniese en finansiële voorstel vir ’n grootskaalse en komplekse volhoubare
ontwikkelingsprojek in Zambië. Dit is kortweg bekend as CEP ofte wel die volhoubare
ontwikkelingsprojek - die Koperstreek-omgewingsprojek (Copperbelt Environment Project).
Die voorstel se mikpunt is die ontwikkeling van strategieë om die volhoubaarheidsprobleme van
CEP aan te spreek. Een doelwit van die vermelde strategieë is om bykomende fondse bymekaar
te maak waarmee bedrywighede na die aanvanklike projekduur van CEP onderskraag kan word.
Die ander doelwit is om die openbare deelname aan CEP uit te brei, veral deur politieke en
tradisionele leiers.
CEP is ’n projek van die regering van die Republiek van Zambië (GRZ) wat in 2002 van stapel
laat loop is om historiese omgewings- en maatskaplike aanspreeklikheid te versag wat deur
mynbedrywighede, na die privatisering van staatsbeheerde myne, veroorsaak is. Voorts is dit
CEP se verantwoordelikheid om toegeeflikheid teenoor voortgesette mynbedrywighede te
bevorder deur verbeterde omgewings- en maatskaplike regulasies.
CEP word deur drie sleutel volhoubaarheidsprobleme in die gesig gestaar. Die eerste probleem
het te make met die opskorting van CEP-bedrywighede na afloop van sy konseptuele projek-
lewensduur in 2008. Indien CEP-bedrywighede gestaak word sonder ’n uitgangsweg-strategie,
wat sal sorg vir voortgesette CEP-bedrywighede, is die kans goed dat ernstige omgewings- en
sosio-ekonomiese vraagstukke in gebiede waar daar gemyn word, kan ontstaan.
Die tweede volhoubaarheidsprobleem het te make met CEP se geldelike tekort. Minder as 60-
miljoen van die 200-miljoen Amerikaanse dollar wat vir CEP-bedrywighede benodig word, is
bymekaar gemaak en dit impliseer ’n tekort van sowat 60-miljoen dollar. Indien dié geldelike
tekort nie uit die weg geruim word nie, is dit onwaarskynlik dat die meeste historiese
omgewingslaste aangespreek sal word. Dit is ook onwaarskynlik dat omgewings- en
maatskaplike regulasie-teikens van CEP teen die einde van sy aanvanklike lewensduur haalbaar
sal wees.
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Onvoldoende openbare deelname aan CEP-bedrywighede is die derde volhoubaarheidsprobleem.
Hoewel openbare deelname in ontwikkelingsprogramme ’n beleids- en wetlike vereiste in
Zambië is, gaan daar in hierdie verband wat CEP betref, nie veel aan nie. Tradisionele en
politieke leiers gebruik gewis nie hulle posisies om CEP se agenda te bevorder nie.
Wat aan die hand gedoen word om strategieë te ontwikkel wat die bovermelde probleme behoort
aan te spreek, is ’n hibride deelnemende navorsing/aksie-navorsing, evaluasie-navorsing,
bemagtigingsevaluasie en literatuur oorsigte van navorsingsmetodieke. Daarbenewens word
veelvoudige metodes van data-insameling voorgestel vir aanwending, insluitende gestruktureerde
en semi-gestruktureerde enkel- en groeponderhoude, vraelyste, dokumentêre bronne en analise,
voltallige en fokusgroep-besprekings, persoonlike ondervinding, ingekoopte insette deur
kundiges, webwerwe en deelnamerekords.
Die teiken van die voorgestelde projek oor die langtermyn is om meer as 900-miljoen
Amerikaanse dollar vir CEP-bedrywighede teen 2025 te genereer. Die voorgestelde projek sal
ook gebruik maak van die Gemeenskapsgerigte Omgewingsbeskermingsbenadering (CBEP) en
sterk leun op Suid-Afrikaanse ondervinding ten opsigte van openbare deelname om kapasiteit vir
teikengroepe te bou sodat hulle bereid sal wees om toesig te hou oor omgewingsprobleme in
hulle gebiede.
’n Volledige toepassingsplan sal ontwikkel word om as raamwerk te dien vanwaar die
voorgestelde strategieë in werking gestel sal word. Bestaande CEP-moniterings- en evaluasie-
meganismes sal aangewend word om die toepassingsplan deeglik in die oog te hou.
’n Sesman-span met ’n spanleier as hoof word voorgestel om die projekvoorstel uit te voer. ’n
Bedrywigheidsgerigte begroting, wat ’n logiese raamwerk, tydskale vir lewering,
dekkingsgebiede, teikengroepe, werk-uiteensettingstrukture, projekmikpunte, belanghebbende-
analises, tydroosters vir personeel en aktiwiteit-skedules insluit, word ook aan die hand gedoen.
’n Volhoubare oplossing vir swak omgewingsbestuur in myngebiede in Zambië is wel moontlik,
maar dit hang af van die snelheid en doeltreffendheid waarmee die projekvoorstel en sy strategieë
toegepas gaan word.
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Dedication
In memory of my late daughter Kaluba Chitalu Nankamba (1998-2001), I dedicate this work.
Fondly remembered for her charming smiles and love for crèche, the good her memories bring
into the world for me will never end. May her soul rest in eternal peace!
Acknowledgements
I would like thank all the people who supported me morally, spiritually, financially and
materially during my MPhil studies. My studentship was the greatest challenge. I would like to
acknowledge the special role that Prof Mark Swilling – Division Head at the School of Public
Management and Planning at the University of Stellenbosch – played to facilitate my studentship
and as my supervisor. I am also indebted to Eve Annecke, the Director at Sustainability Institute,
for dealing with the plight of my studentship with great passion.
I am also thankful to Dr Kakoma Maseka who collaborated with Professor Swilling as co-
supervisor.
I am indebted to my lecturers – Professor A.P. Johan Burger and Francois Theron. Their lectures
and work on Project Management ‘in the interest of society’ and ‘the framework for action’ on
Public Participation respectively significantly enriched my project proposal.
I am very grateful to my colleagues at work, Jones Likokoto, Chisoni Phiri and Bwalya Mpange,
who endured my long absence from work and shouldered the burden of running our non-profit
organisation, Citizens for a Better Environment, on pro bono basis.
Finally, I would like to thank my wife Gloria and children – Chazya, Chilombo, Chisola, and
Katai – for their unwavering support during my lonely days of study.
viii
List of Tables
1. Table 3.1: Assessment of financial sustainability measures for CEP Phase 2 48
2. Table 3.2: Review of Institutional Measures 54
3. Table 4.1: Hybrid of public participation methodologies 58
4. Table 4.2: Geographical coverage and rapid assessment 59
5. Table 4.5.5.1: Proposed project goals 63
6. Table 4.5.5.2: Proposed activities for Component 1 and 3 64
7. Table 4.5.5.3: Proposed Plan for Component 1 and 3 meetings 66
8. Table 4.5.5.4: Proposed Activities for Component 3 67
9. Table 4.5.5.5: Proposed Time Plan for Component 1 68
10. Table 4.5.5.6: Proposed Time Plan for Component 2 69
11. Table 4.5.5.7 Proposed Time Plan for Component 3 70
12. Table 4.5.5.8 Proposed Time Plan for project staff 71
13. Table 4.5.5.12: Proposed Logistics for Component 1 and 2 75
14. Table 4.5.5.13: Proposed Logistics for Component 3 76
15. Table 4.5.5.14: Proposed Activity Budget for Component 1 77
16. Table 4.5.5.15: Proposed Activity Budget for Component 2 79
17. Table 4.5.5.16: Proposed Activity Budget for Component 3 81
18. Table 4.5.5.17: Composite Budget for Component 1, 2 and 3 83
19. Table 4.5.5.18: Stakeholder Analysis for Component 1 and 3 84
20. Table 4.5.5.19: Stakeholder Analysis for Component 2 85
21. Table 4.5.5.20: Project Risk Analysis 87
22. Table 4.5.5.21: Project Evaluation and Monitoring 88
23. Table 4.5.5.22: Time Scale for Deliverables and Report Format 89
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List of Boxes
1. Box 3.1: Stakeholder concerns raised at CEP Mid-Term Review 55
List of Figures
1. Figure 1.1: The Building Blocks of Development 23
2. Figure 4.5.5.9 Gantt Chart 1: 12th March, 2006- 12th June, 2006 72
3. Figure 4.5.5.10 Gantt Chart 2: 13th June, 2006- 12th Sept, 2006 73
4. Figure 4.5.5.11 Gantt Chart 3: 13th Sept, 2006- 13th Dec, 2006 74
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List of Abbreviations and Acronyms ADC – Area Development Coordinating Committee
AHC- Asset Holding Company
CBEP – Community-Based Environmental Protection Agency
CBO – Community-Based Organisation
CEMP – Consolidate Environmental Management Plan
CEP – Copperbelt Environment Project
CSO – Central Statistical Office
DC – District Commissioner
DDCC – District Development Coordinating Committee
DFA – Development Financing Agreement
DPO – District Planning Officer
DRC – Democratic Republic of Congo
DSP – District Strategic Plan
ECZ – Environmental Council of Zambia
EIR – Extractive Industries Review
EMF – Environmental Management Facility
EMP – Environmental Management Plan
EPA – Environmental Protection Agency of the United States
EPPCA- Environmental Protection and Pollution Control Act
ERM – Environmental Resource Management
FBO – Faith-Based Organisation
GDP – Gross Domestic Produce
GRZ – Government of the Republic of Zambia
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IDA – International Development Association
IEMP – Interim Environmental Management Plan
KCM – Konkola Copper Mines
KSDS – Kabwe Scoping and Design Study
MHSPE – Ministry of Housing, Spatial Planning and Environment
MP – Member of Parliament
MPC – Mineral Policy Centre
MSD – Mines Safety Department
NDF – Nordic Development Fund
NEDT – National Economic Diversification Task Force
NGO – Non-Governmental Organisation
NPS – National Park Service of the United States
PAD – Project Appraisal Document
PAR – Participatory Action Research
PDCC – Provincial Development Coordinating Committee
PIM – Project Implementation Manual
RDC – Resident Development Committee
RSA – Republic of South Africa
ToRs – Terms of Reference
WMC – Water Management Consultants
WRAP – Water Resources Action Plan
ZAMSIF – Zambia Social Investment Fund
ZCCM-IH – ZCCM-Investment Holdings
ZECU – ZCCM-IH Environmental Coordinating Unit
ZIC – Zambia Investment Centre
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CHAPTER 1
Definitions, Guiding Principles and General Concepts 1.1 Introduction……………………………………………………………………………………1 1.2 Definitions……………………………………………………………………………………. 1 1.3 Guiding Principles and Statutory Imperatives…………………………………………………4
1.3.1 Constitutional Imperatives.............................................................................................. 4 1.3.1.1 The Constitution of the Republic of Zambia Act, 1991..........................................................................................4 1.3.1.2 The Draft Constitution of the Republic of Zambia Bill, 2005 ................................................................................5
1.3.2 National Policy Requirements on Sustainable Development ......................................... 9 1.3.2.1 Draft National Policy on Environment (2005)........................................................................................................9 1.3.2.2 National Environment Action Plan (1994) ...........................................................................................................10 1.3.2.3 National Biodiversity Strategy and Action Plan (1994) .......................................................................................11 1.3.2.4 Zambia National Action Plan for Combating Desertification (2002) ...................................................................11 1.3.2.5 National Decentralisation Policy (2002)...............................................................................................................11 1.3.2.6 Zambia Poverty Reduction Strategy Paper: 2002-2004(2002) .............................................................................11 1.3.2.7 Transitional National Development Plan (1994) ..................................................................................................12 1.3.2.8 Draft 5th National Development Plan: 2006-2011 (2006).....................................................................................12 1.3.2.9 National Development Vision 2030 (2002; 2006)................................................................................................13 1.3.2.10 Other National Policy Documents Related to Sustainable Development ...........................................................13
1.3.3 National Regulatory Instruments: EPPCA (1990) and Petroleum Act (1930)............. 14 1.3.4 International Frameworks on Sustainable Development and Public Participation ...... 17
1.3.4.1 Millennium Development Goals ..........................................................................................................................17 1.3.4.2 Convention on Biological Diversity .....................................................................................................................17 1.3.4.3 Convention to Combat Desertification .................................................................................................................17 1.3.4.4 Convention on International Trade in Endangered Species of Wild Flora and Fauna ..........................................18 1.3.4.5 Convention on Wetlands of International Importance..........................................................................................18 1.3.4.6 Convention Concerning Protection of World Cultural and Natural Heritage .......................................................18 1.3.4.7 Framework Convention on Climate Change.........................................................................................................19 1.3.4.8 COMESA Treaty..................................................................................................................................................19
1.4 General Concepts……………………………………………………………………………..19 1.4.1 Sustainability ................................................................................................................ 19
1.4.1.1 Economic sustainability........................................................................................................................................19 1.4.1.2 Social sustainability..............................................................................................................................................20 1.4.1.3 Ecological sustainability.......................................................................................................................................20 1.4.1.4 Physical sustainability ..........................................................................................................................................20 1.4.1.3 Political sustainability ..........................................................................................................................................20
1.4.2 Stakeholder Participation in Environmental Management........................................... 20 1.4.3 Community-Based Environmental Protection Approach ............................................. 21
1.4.3.1 General Objectives of the CBEP Approach..........................................................................................................21 1.4.3.2 Specific Objectives of the CBEP Approach .........................................................................................................21 1.4.3.3 Elements of the CBEP Approach .........................................................................................................................22
1.4.4 Public Participation in Development Planning............................................................. 22 1.4.5 Role of Political and Traditional Leaders in Development Projects ............................ 23
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CHAPTER 2
Copperbelt Environment Project Background and Framework 2.1 Introduction…………………………………………………………………………………..25 2.2 Conceptual Development of CEP…………………………………………………………….25
2.2.1 Economic, Social and Environmental Impacts of Mining............................................ 25 2.2.2 The Genesis of the Need for Mitigation of Negative Impacts of Mining..................... 27
2.3 The CEP………………………………………………………………………………………27 2.4 CEP Funding………………………………………………………………………………….28 2.5 CEP Implementation………………………………………………………………………….28 2.6 CEP Project Cycle, PIMs and EMPs…………………………………………………………29 2.7 Development Objectives, Output and Sector Indicators for CEP……………………………29
2.7.1 Development Objectives for CEP ................................................................................ 30 2.7.2 Key Output Indicators for CEP .................................................................................... 30 2.7.3 Outcome/Impact Indicators for CEP ............................................................................ 31 2.7.4 Sector Indicators for CEP............................................................................................. 31
CHAPTER 3
Background and Review of Initial Sustainability Strategies for CEP 3.1 Introduction…………………………………………………………………………….. ….32 3.2 Background to Sustainability Strategies……………………………………………………...32 3.3 Review of the Approach to Sustainability in CEP Phase 1…………………………………..34 3.4 Review of the Approach to Sustainability in CEP Phase 2…………………………………..35
3.4.1 Financial Measures ....................................................................................................... 35 3.4.2 Participation Measures ................................................................................................. 35
3.4.2.1 Participation of Permanent Member on the EMF Steering Committee ................................................................36 3.4.2.2 Participation of Local Government Representatives on the EMF Steering Committee ........................................37 3.4.2.3 Participation of Local Community-Based NGOs on Alternating Basis on the EMF Steering Committee ...........37 3.4.2.4 Participation of Panel of Experts on the EMF Steering Committee......................................................................37 3.4.2.5 Reasons for Participation at Community Level ....................................................................................................38 3.4.2.6 Steps for Participation at Community Level.........................................................................................................39
3.4.3 Communication Measures ............................................................................................ 40 3.4.3.1 Information-sharing..............................................................................................................................................41 3.4.3.2 Stakeholder Consultation......................................................................................................................................41
3.4.4 Experience from KCM Communication Processes ...................................................... 44 3.4.5 Institutional Measures .................................................................................................. 45
3.5 Stating the Problem…………………………………………………………………………..46 3.5.1 Flaws on Past Performance and Approach to Sustainability........................................ 47
3.5.1.1 Flawed Financial Sustainability Measures ...........................................................................................................47 3.5.1.2 Flawed Participation Measures.............................................................................................................................49 3.5.1.3 Flawed Communication Measures .......................................................................................................................51 3.5.1.4 No Impact of KCM Communication Lessons ......................................................................................................53
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3.5.1.5 Inadequate Institutional Measures to Support ECZ and MSD..............................................................................53 3.5.2 Stakeholders’ Feedback during Mid-Term Review Consultations............................... 54 3.5.3 Stakeholders’ Feedback Post-Mid-Term Review Consultations.................................. 55
3.6 Conclusion……………………………………………………………………………………55
CHAPTER 4 Declaration ...............................................................................................................................................ii Project Brief ............................................................................................................................................iii Opsomming ..............................................................................................................................................v Dedication...............................................................................................................................................vii Acknowledgements ................................................................................................................................vii List of Tables.........................................................................................................................................viii List of Abbreviations and Acronyms.....................................................................................................x
1
CHAPTER 1
Definitions, Guiding Principles and General Concepts
1.1 Introduction This chapter will deal with fundamental definitions and policy frameworks on which this Project
Proposal is anchored. Key words frequently used in this document will be defined. Thereafter,
guiding principles and key policy frameworks will be briefly discussed.
By and large, the proposed strategies will be guided by key CEP output indicators, outcome
indicators and sector indicators outlined in Chapter 2. In addition, they will be guided by
conceptual sustainability approaches for CEP discussed in Chapter 3. Indicators and conceptual
sustainability approaches will finally be backstopped by national regulatory and policy
frameworks, as well as international instruments and concepts on sustainability, sustainable
development and public participation.
1.2 Definitions Sustainable Development – As defined by the Brundtland Commission, sustainable
development is ‘development that meets needs of present generations without sacrificing the
ability of future generations to meet their own needs’ (Dresner, 2002: 63-75). It involves
‘integration of social, economic and environmental factors into planning, implementation and
decision making so as to ensure that development serves present and future generations’ (RSA,
2001; Dresner, 2002: 63-75)
.
Sustainability – Is capacity to continue for a long time at the same level. For example, ensuring
human opportunities endure over generations is sustainability (Harris, 2001:59). Human
opportunities are in various forms of capital including natural, physical, political and financial
(Goodland, 1996: 1002-1017).
Development – Is a word used to mean change, growth, or improvement over a period of time.
For example, progressive transformation of economy and society is development (Dresner, 2002:
63-75).
2
Planning – This is the process of drafting or devising a plan, strategy or policy. The product of
planning is a plan. A plan is a series of actions put forward to help achieve something e.g.
economic, corporate, peace or development. A plan could be integrated, sectoral or spatial.
Planning is simply a forward looking activity.
Development Plan – This is a framework through which planning, management and
implementation of developmental activities takes place in time and space.
Development Planning – This is a process of drafting, formulating or devising a development
plan. A development plan integrates social, economic and physical aspects. This process is used
when implementing projects such as a housing or other infrastructure development. It is also used
in economic and social development. Development planning is sometimes used in the
management of change in social, built, natural and economic environments. It is tool widely used
for urban and rural management.
Public Participation – This is a process whereby people take charge of their own lives and solve
their own problems. Public participation is an essential part of human growth as it facilitates the
development of self-confidence, pride, initiative, responsibility and cooperation. Put simply, it is
both the means for and an end of development (Meyer & Theron, 2000).
Stakeholder Participation – Stakeholders are persons or groups that have historical or future
claim of ownership, rights or interests in something (Clarkson, 1995: 92-117). Stakeholder
participation is therefore a process whereby all or some individuals or groups that have vested
interest in something may have access or be able to participate into it (Adger, 2003:1095-1110).
Through this process, all stakeholder groups- public, private, non-profit and business work
together toward common goals for the interest of present and future generations (EPA, 1997).
Stakeholder participation through community decision-making is strongly considered when
dealing with major policy decisions on local, regional, national, and global environmental
impacts.
Governance – This is a very formal word used to define a process of governing a country,
organisation or programme (Macmillan, 2002: 616). It is often used to refer to participatory
approach to decision-making or problem-solving exercises (Adger, 2003:1095-1110).
3
Integrated Environmental Management – Is a way of managing development by considering
environmental and other factors such as physical, social, cultural and economic in all stages of
development. Further, it requires consulting with all stakeholders affected by a proposed
development project.
Environmental Management Plan – This is an integrated framework which assesses and
documents environmental attributes of an identified geographical area in order to facilitate
informed decisions about development of that area. The plan identifies conservation management
priorities, specific areas or aspects that should be managed or protected as well as implementation
aspects of a proposed development project.
Environmental Mitigation – This is the process of rehabilitation or management of degraded
environments.
Environmental Legacies – These are environmental problems or liabilities of a historical nature.
Gross Domestic Product (GDP) – This is a measure of total final output of goods and services
produced by the country’s economy (within the country’s territory by residents and non-residents,
regardless of its allocation between domestic and foreign claims).
Privatisation – The sale of a business or industry that was owned and managed by the
government (Macmillan, 2002:1121).
Mid-Term Review – This is used to refer to a formal project mid-term evaluation or review. The
objective of the review is to assess the progress made after implementing a project halfway
through its project life in order to establish whether the project implementation is meeting the
project objectives, performance targets and project policy frameworks. The review is also
targeted at identifying the actual and potential problems of the project and provides a sound basis
for restructuring the project design and resource allocation strategies among other activities
(ZCCM-IH, 2002: 109; 2005:114).
Communication – This refers to information flow from and information exchange between
stakeholders comprising of organisations and persons with a certain objective (EPA, 1998).
4
1.3 Guiding Principles and Statutory Imperatives There are numerous references and imperatives on public participation, sustainability and
sustainable development that are contained in national regulatory and international policy
frameworks. In this project proposal, focus will be on constitutional and regulatory frameworks
of Zambia, as well United Nations (UN) protocols. These guiding principles and statutory
imperatives will be used to guide public participation in CEP. Special attention will be drawn to
harnessing these principles and imperatives in order to address the challenge of poor public
participation in CEP, especially political and traditional leaders.
1.3.1 Constitutional Imperatives The Constitution of the Republic of Zambia (1996) is the substantive supreme law of Zambia.
The process to repeal the 1996 Constitution is underway. A Draft Constitution of the Republic of
Zambia (2005) is still under consideration. Once the Draft Constitution is approved by relevant
authorities, it will repeal the Constitution of Zambia (1996).
Since the sustainability strategies for CEP will cover Phase 3 (2006 – 2008) and Phase 4 (2008 –
2025), this project proposal will take into consideration imperatives of both the Constitution of
the Republic of Zambia (1996) and the Draft Constitution of the Republic of Zambia (2005).
Review of the two documents will focus on clauses that address sustainable development,
management of natural resources, public participation and benefit-sharing. Imperatives of the two
constitutional documents on the said aspects will be drawn upon through this project proposal to
enhance natural resource management, public participation and benefit-sharing in CEP activities.
1.3.1.1 The Constitution of the Republic of Zambia Act, 1991
a) Article 112: Duty of State to Promote Sustainable Development
In this Article, duty is imposed on the State to:
i) Endeavour to provide clean and safe water, adequate medical and health facilities
and decent shelter for all persons, and to constantly improve these facilities;
ii) Provide a clean and healthy environment for all;
5
iii) Promote sustenance, awareness on the need to manage land, and air and water
resources in a balanced and suitable manner for present and future generations;
and
iv) Implement national policies and enact laws that are consistent with sustainable
environmental management.
b) Article 113: Duty of all Citizens to Participate in Environmental Management
In this Article, members of the public are under the obligation to participate in environmental
management through the constitutional duty of every citizen:
i) To contribute to the well-being of the community where that citizen lives
ii) To observe health controls
1.3.1.2 The Draft Constitution of the Republic of Zambia Bill, 2005
a) Bill of Rights-Articles 65, 66, 67, 68, 69, 70, 71: Environmental Rights Enshrined In the Bill of Rights of the Draft Constitution of the Republic of Zambia (2005) Bill, duty is
imposed on Parliament to enact legislation which provides measures that are reasonable in order
to achieve the progressive realisation of the following fundamental economic, social,
environmental and cultural rights:
i) The right to fair labour practices
ii) The right to social security
iii) The right to health
iv) The right to basic education
v) The right to adequate shelter and housing
vi) The right to food, water and sanitation
vii) The right to an environment that is safe for life and health, free access to
information about the environment, compensation to damage arising from
violation of the Bill of Rights, and protection of the environment for present and
future generations
6
b) Article 361: Duty of all Citizens to Promote Sustainable Management of the
Environment and Benefit Sharing
In this Article of Part XX, the Draft Constitution of the Republic of Zambia (2005) Bill provides
for the following:
i) Respect for integrity of natural processes and ecological communities, including
conservation of habitats and species
ii) Ensuring sustainable exploitation, utilisation, management and conservation of the
environment and natural resources for present and future generations
iii) Ensuring equitable sharing of benefits, among the local communities, accruing
from exploitation, utilisation and management of the environment and natural
resources
iv) Ensuring equitable access to all natural resources
v) Recognition that natural resources have an economic and social value and that this
should be reflected in their use
vi) Prohibition of bestowing private ownership of any natural resources or authorise
its use in perpetuity
vii) Ensuring gender mainstreaming by promoting equity between women and men
and involving women in decision-making processes relating to natural resources
and in efforts aimed at reducing poverty
viii) Ensuring that social and cultural values and methods traditionally applied by local
communities for sustainable management of the environment and natural
resources are observed
ix) Ensuring that planning and utilisation of the environment take account of
disadvantaged areas and their inhabitants
x) Promoting energy saving and use of solar energy and other renewable energy
sources
xi) Preventing pollution and ecological degradation
xii) Allocating adequate resources to reclaim and rehabilitate degraded areas and those
prone to disasters to make them habitable and productive
7
c) Article 362: Duty of Person to Cooperate on Matters Related to Sustainable
Environmental Management
In this Article of Part XX, the Draft Constitution of the Republic of Zambia (2005) Bill imposes
the duty on every person to cooperate with State organs, state institutions and other persons to:
i) Ensure ecologically sustainable development and use of natural resources.
ii) Respect, protect and safeguard the environment.
iii) Prevent, discontinue an act which is harmful to the environment.
iv) Direct the appropriate authority to take measures to prevent or discontinue an act
or omission which is harmful to the environment.
v) Maintain a clean, safe and healthy environment.
d) Article 363: Duty of the State to Ensure Protection of Natural Resources and
Encouraging Public Participation
In this Article of Part XX, the Draft Constitution of the Republic of Zambia (2005) Bill imposes
the duty on the State to:
i) Protect genetic resources and biological diversity.
ii) Discourage waste and encourage recycling.
iii) Establish systems of environmental impact assessment, environmental audit and
monitoring of the environment.
iv) Encourage public participation.
v) Protect and enhance the intellectual property in and indigenous knowledge of
biodiversity and genetic resources of local communities.
vi) Ensure that the environmental standards enforced in the Republic are of essential
benefit to all citizens and are the accepted international standards.
e) Article 364 (1) (2): The Right of Persons to Sue for Violation of Environmental Rights
In this Article, the Draft Constitution of the Republic of Zambia (2005) Bill provides for the
rights of persons to enforce the environmental rights enshrined in the Bill of Rights and other
8
legal remedies through the Constitutional Court. The Constitutional Court may order or give
directions in order to:
i) Prevent, stop or discontinue any act or omission which is harmful to the
environment.
ii) Compel any public officer to take measures to prevent or discontinue any act or
omission which is harmful to the environment.
iii) Provide compensation for any damage to property arising from the exploitation of
natural resources, of any other person, or for the injury or death of any person,
caused by a harmful environment.
f) Article 364 (3): The Right of Third Parties to Sue for Breach of Environmental Rights
In this Article of Part XX, the Draft Constitution of the Republic of Zambia (2005) Bill allows
third parties to sue without showing that the defendant’s act or omission has caused or is likely to
cause the person any injury.
g) Article 365 (1): Duty of the State to Promote Sustainability in Accordance with Basic Policy
In this Article, the Draft Constitution of the Republic of Zambia (2005) Bill imposes the duty on
the State to ensure the protection, management, promotion and sustainable development of
natural resources in accordance with basic policy under this Constitution and shall:
i) Ensure an increase in output and profits.
ii) Undertake strategic research to ensure their enhancement.
iii) Eliminate unfair trade practices in their production, processing, distribution and
marketing.
iv) Regulate their exportation and importation.
v) Regulate their origin, quality, methods of production, harvesting and processing.
vi) Eliminate processes and activities that are likely to endanger or curtail their
existence.
vii) Utilise them for the benefit of all the people of Zambia.
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h) Article 365 (2): Power to Delegate Natural Resources Management to Local Councils
In this Article, the Draft Constitution of the Republic of Zambia (2005) Bill provides for
Parliament to enact legislation aimed at allowing a local authority to utilise and manage a natural
resource where the resources are located. In this regard, duty is imposed on Parliament to:
i) Regulate sustainable exploitation, utilisation, management and equitable sharing
of benefits accruing from natural resources.
ii) Protect intellectual property rights and indigenous knowledge of local
communities in biodiversity and access to genetic resources.
i) Article 366: Duty for All Including Government to Levy Royalties on all Natural
Resources Exploited
In this Article, the Draft Constitution of the Republic of Zambia (2005) Bill imposes the duty on
all parties, including government, to ensure that all transactions involving the grant of a right or
concession by or on behalf of any person for the exploitation of any natural resources of Zambia
in accordance with this Constitution, royalties are paid in respect of the exploitation of the natural
resource.
1.3.2 National Policy Requirements on Sustainable Development
In addition to above constitutional provisions, there are national policies, strategies and plans that
address public participation and sustainable environmental management in Zambia. Since mining
has potential to create extensive damage to the environment and disempowerment of
communities, some of policy documents outlined below will be used to this project proposal to
promote sustainable development and stakeholder and public participation in CEP activities.
1.3.2.1 Draft National Policy on Environment (2005)
This policy document is still in draft form. Although it is not yet in force, the draft document will
be taken into consideration by this project proposal. The document recognises the requirements
10
set out in the constitutional documents on sustainable development and public participation by
augments them as follows;
a) It acknowledges the responsibility of civil society and all citizens to protect and conserve the
environment and all its resources, as well as manage the environment in all its aspects to fulfil
constitutional provisions;
b) It underlines government commitment to partner with the people to effectively manage the
environment for the benefit of present and future generations;
c) It aims at ensuring sound environmental management within the framework of sustainable
development in Zambia; and
d) It also emphasises the duty of all institutions within Zambia, including government, NGOs,
community groups, people’s organisations, or any individual to use or carry out activities in a
manner that maintains the productivity and integrity of the environment.
1.3.2.2 National Environment Action Plan (1994)
The National Environment Action Plan (NEAP) of 1994 identifies for action the following
activities that have serious impacts on the environment and need to be urgently addressed in
Zambia:
a) Deforestation
b) Wildlife depletion
c) Land degradation
d) Air pollution
e) Water pollution and inadequate sanitation
This project proposal will take into consideration the above aspects.
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1.3.2.3 National Biodiversity Strategy and Action Plan (1994)
This strategy and its action plan are aimed at arresting degraded ecosystems, eroded landscapes
and further depletion on the nation’s biodiversity. In formulating strategies for CEP, the strategy
and its action plan will be consulted.
1.3.2.4 Zambia National Action Plan for Combating Desertification (2002)
This action plan is aimed at mitigating impacts of drought in Zambia in the context of the United
Nations Convention to Combat Desertification. In formulating strategies for CEP, this action plan
will be consulted.
1.3.2.5 National Decentralisation Policy (2002)
This is government policy and is aimed at ensuring the implementation of sustainable long-term
development plans. Through this policy, government will facilitate:
a) Transfer of responsibilities, authority, functions, as well as power to lower organs of state;
and
b) Appropriation of resources at provincial, district and sub-district levels.
In line with the Decentralisation Policy (2002), districts started preparing their District Strategic
Plans (DSPs) in 2004. Preparation of DSPs is done through District Development Coordinating
Committees (DDCCs) as well as Provincial Development Coordinating Committees (PDCCs)
with support of Central Statistical Office (CSO). In formulating strategies for CEP, these policy
documents will be consulted.
1.3.2.6 Zambia Poverty Reduction Strategy Paper: 2002-2004(2002)
The Poverty Reduction Strategy Paper (PRSP) identified six priority areas requiring intervention
for sustainable development in Zambia. These are:
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a) Lack of economic growth;
b) High inequality;
c) High debt burden;
d) Excessive external dependence;
e) Burden of diseases; and
f) Lack of planning.
In formulating strategies for CEP under this proposal, priority areas for the strategy paper will be
taken into consideration.
1.3.2.7 Transitional National Development Plan (1994)
In 2002, Zambia reverted to medium and long-term development planning. A Transitional
National Development Plan was adopted. Implementation of both the PRSP 2002 – 2004 and the
TNDP 2002 – 2005 ended in December 2005, and are the precursors to the Fifth National
Development Plan (FNDP).
The two plans focused on poverty reduction and economic growth. In formulating strategies for
CEP, the lessons especially on public participation in the formulation and implementation of the
TNDP will be taken into consideration.
1.3.2.8 Draft 5th National Development Plan: 2006-2011 (2006)
The Fifth National Development Plan (FNDP) is a medium-term planning instrument containing
specific policies, programmes and projects, predominantly targeted at poverty reduction, which
will be implemented from 2007 – 2011. It will succeed the TNDP. It is expected to be officially
launched in December 2006 to guide allocation of resources for national development for the
period 2007 – 2011.
In formulating strategies for CEP, requirements of the FNDP especially with respect to public
participation in the formulation and implementation of the FNDP will be taken into
consideration.
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1.3.2.9 National Development Vision 2030 (2002; 2006)
Government has decided to prepare a national long-term planning instrument entitled ‘Vision
2030’ (NLTV). The Vision 2030 draft version of 2002 and final version of 2006 set the ‘horizon
for developing medium-term plans and also the gravitational pull’ to achieve long-term
objectives. This is the National Long-Term Development Vision for Zambia aimed at addressing
the increase in abject poverty and the low quality of life due to low economic performance.
Vision 2030 aims at restoring the prosperity of Zambians through excellence and justice.
In formulating strategies for CEP, the guide of the vision especially on public participation and
sustainable development will be taken into consideration.
1.3.2.10 Other National Policy Documents Related to Sustainable Development
Other policy documents that take into consideration environmental issues which will be consulted
in formulating strategies for CEP include:
a) Industrial, Commercial and Trade Policy (1994). This document will be consulted on aspects
of control of pollutants into the environment
b) National Forestry Policy (1998). This document will be consulted on public participation
especially on aspects of Joint Management Boards
c) National Gender Policy (2000). This document will be consulted especially on aspects of
gender mainstreaming in environmental management and benefit-sharing
d) National Policy on Wetlands Conservation (2000). This document will be consulted on issues
related to public participation and benefit-sharing
e) National HIV/AIDS/STI/TB Policy (2002). This document will be consulted on multi-
sectoral approaches to combating HIV/AIDS/STI/TB especially on aspects of public
participation
f) National Water Policy (1994). This document will be consulted on the aspect of public
participation and benefit-sharing in water resources management
g) National Energy Policy (1994), and Draft National Energy Policy (2005) on aspects of public
participation and benefit-sharing in energy resources management
14
h) National Housing Policy (1996). This document will be consulted on the principles of public
empowerment
i) Draft Water Resources Management Bill (2005). This document will be consulted on public
participation and benefit-sharing in water resources management especially with respect to
catchment boards
1.3.3 National Regulatory Instruments: EPPCA (1990) and Petroleum Act (1930) There are several national regulatory instruments in Zambia dealing with public participation and
sustainable development. The principal regulatory instrument is the Environmental Protection
and Pollution Control Act (EPPCA) of 1990.
The EPPCA provides for the establishment of the Environmental Council of Zambia (ECZ)
whose functions are to protect the environment and control pollution. The EPPCA also imposes
the duty on stakeholders to protect the environment as follows:
a) EPPCA Regulation 39: Limitations on Air Emissions
Under this Regulation, no person may emit any pollutants through open air burning of any waste
from industrial, commercial, domestic or community activities which cause air pollution, unless
with written consent of the ECZ. Air emissions limitations are prescribed in the Air Pollution
Control Regulations (1996) under Regulations 10-15.
b) EPPCA Regulations 30, 42, 51, 53, 56, 92: Duty to Obtain Operating Permits
Under this Regulation, no person may discharge pollutant without a permit. ECZ is charged with
the responsibility for issuing licenses for emissions, discharge effluents, waste, keeping toxic and
dangerous products. Permits are required for person operating air, water, waste, safety, toxic
substances, tank and facilities.
In addition to these Regulations, the Petroleum Act of 1930, chapter 424 (as amended from time
to time), under Regulation 3 & 9, also impose the duty to obtain operating licenses for petroleum
tanks and facilities for safety and pollution control purposes.
15
c) EPPCA Regulations 48, 50, 56 and 62: Duty to Keep Operating Regulations
For operators of storage sheds and disposal sites, transportation of waste and dangerous
petroleum in bulk, it is a requirement under EPPCA Regulations 48, 50, 56, 62 to keep operating
regulations at site including tank registration in case of oil facilities, record retention, inventory
control procedures as well as truck loading.
In addition to these Regulations, the Petroleum Act chapter 424 under Regulation 4 and 16 also
imposes a similar duty.
d) EPPCA Regulations 9 and 28 (4): Training Requirements for IES, EMP and Audit
Experts
No incompetent person may make environmental impact assessments in Zambia. According to
the EPPCA Regulations 9 and 29, names and qualifications of persons to prepare the
Environmental Impact Statements (EIS), Environmental Management Plans (EMPs) and conduct
post-assessment environmental audits must be submitted to ECZ for approval.
e) EPPCA Regulation 86: Notification to Government Authorities for Pollution, Materials
Handled
Polluters in Zambia are under duty to report cases of pollution. According to EPPCA Regulation
86, governmental authorities should be notified for leaks, spills and other hazardous releases.
The Regulation also provides reporting requirements to the surrounding community and
governmental authorities (ECZ and others) on the types of hazardous materials handled, e.g.
benzene and lead. In addition, the Regulations provide requirements for posting safety data
bulletins at places where hazardous materials are kept.
16
f) EPPCA Regulation 48 and 50: Requirements for Disposal of Tank and Oil Water
Separator Sludge
No person may discharge into the environment contaminated tank water or oil water sludge.
EPPCA Regulations 48 and 50 empowers local authorities to control and prohibit disposal of
wastewater into the environment.
g) EPPCA Regulation 24: Requirements for Soil and Groundwater Contamination and
Provision of Monitoring Wells
No person may contaminate the soil and groundwater. EPPCA Regulation 24 prohibits soil and
groundwater pollution. The Regulation also provides monitoring requirements.
h) Environmental Impact Assessment Regulations (1997): Requirements for Public
Participation and Public Consultation
No developer may put up a development without conducting an Environmental Impact
Assessment (EIA). The EPPCA (1997) Regulations on EIA require public participation and
public consultation to ensure that public views are taken into account by developers. Local
authorities, NGOs, CBOs and interested and affected parties are some of the stakeholders that
must participate and be consulted in EIA processes.
Regulation 8 (2) provides requirements for public participation in drawing up Terms of Reference
(ToRs) for an EIA. Regulation 10 (2) provides requirements for public consultation while
Regulation 16 (1) is on the requirement to solicit public comments.
Regulations 17-19 are on the requirement for public hearings while Regulation 23 is on the
requirement to communicate the decision of ECZ to stakeholders. Regulation 24 provides
procedures for Appeals by aggrieved parties, and Regulation 26 gives requirement for public to
access EIA documents.
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1.3.4 International Frameworks on Sustainable Development and Public Participation
There are several international obligatory and voluntary instruments dealing with public
participation and sustainable development. Zambia is signatory to 17 multilateral agreements.
This proposal will consider 8 multilateral agreements. It will also take into consideration the
Manila Declaration on Public Participation. The following international instruments to be
considered in formulating sustainability strategies for CEP under this project proposal:
1.3.4.1 Millennium Development Goals
The Millennium Development Goals (MDGs) are a UN instrument on sustainable development.
The Millennium Declaration was signed in 2000 and Zambia is one of the State parties to the
Declaration. Among other MDGs to be considered by this project proposal will be Goal number
7. This Goal requires State parties to ensure environmental sustainability in their countries. Public
participation and role of indigenous knowledge in attainment of MDGs will also be reviewed for
possible integration in the sustainability strategies to be developed for under this project proposal.
1.3.4.2 Convention on Biological Diversity
The Convention on Biological Diversity is a UN Convention. It was adopted 1992 and signed by
Zambia in 1993. This instrument will be reviewed with regard to the role of State parties to
protect biodiversity and aspects of public participation and indigenous knowledge in biodiversity
conservation. Lessons drawn will be integrated in the strategies to be developed under this
proposal.
1.3.4.3 Convention to Combat Desertification
This is a UN Convention. It was adopted in 1994. Zambia signed the Convention in 1994. This
project proposal will review the Convention on the role of the State to combat desertification and
18
aspects of public participation and indigenous knowledge in combating desertification. Lessons
drawn will be integrated in the strategies to be developed under this proposal.
1.3.4.4 Convention on International Trade in Endangered Species of Wild Flora and Fauna
The Convention on International Trade in Endangered Species of Wild Flora and Fauna is a UN
Convention. It was adopted 1973 and Zambia signed it 1981. It is renowned for its achievements
on public participation in the protection of the endangered species especially elephants and
rhinos. This project proposal will draw lessons from it on public participation in environmental
management.
1.3.4.5 Convention on Wetlands of International Importance
The Convention on Wetlands of International Importance is a UN Convention. It came into force
1971. Zambia signed the Convention in 1991. Since Zambia hosts the Kafue Flats which is one of
wetlands of international importance which are impacted by mining activities, this Convention
will be reviewed. Aspects to be considered are regarding the role of the State in wetland
protection and public participation. This project proposal will draw lessons from the Convention
on public participation in wetland management.
1.3.4.6 Convention Concerning Protection of World Cultural and Natural Heritage
The Convention Concerning Protection of the World Cultural and Natural Heritage is a UN
Convention. It came into force 1975. Zambia signed it 1984. One of the early species of man
Zambia (also known as Broken Hill Man) was discovered by archaeologists at Broken Hill Mine
(now Kabwe) years back. Considering that mining has potential to discover more archaeological
materials of cultural and natural significance, the Convention will be considered on public
participation issues.
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1.3.4.7 Framework Convention on Climate Change
The UN Framework Convention on Climate Change was adopted 1992. Zambia signed the
Convention in 1994. Mining activities have potential to significantly impact on climate change
through emissions and energy issues related with mining. The role of public participation in the
implementation of the Framework Convention will be taken into consideration in the preparation
of strategies under this proposal.
1.3.4.8 COMESA Treaty
The Common Market for East and Southern Africa (COMESA) Treaty was signed in 1993 and
Zambia is one of the signatories. The Treaty will be reviewed and lessons drawn from it on
aspects of sustainable resource use, public participation and benefit sharing in COMESA region.
1.4 General Concepts A number of concepts on sustainability and sustainable development will be used for preparations
of the proposed sustainability strategies. In addition, the strategies on public participation in
environmental management and development planning will also be applied. Below the key
concepts that will be considered to guide the proposal:
1.4.1 Sustainability Sustainability has the five domains: economic, social, ecological, physical and political. In this
project proposal, the five domains will mean as follows:
1.4.1.1 Economic sustainability
This will be taken to mean the ability of the local economy to sustain itself without causing
irreversible damage to the natural resource base on which it depends and without increasing the
ecological footprint.
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1.4.1.2 Social sustainability
This will be taken to mean a set of actions and policies aimed at the improvement of quality of
life of all stakeholders including fair access and distribution of rights over the use and
appropriation of the natural and the built environment.
1.4.1.3 Ecological sustainability
This will be taken to mean the balance between the impact of urban production and consumption
and the integrity and health of the city-region and global carrying capacity.
1.4.1.4 Physical sustainability
This will be taken to mean the capacity and aptitude of the urban built environment and techno-
structures to support human life and productive activities.
1.4.1.3 Political sustainability
This will be taken to mean the quality of governance systems and frameworks guiding the
relationship and actions of different actors among the previous four dimensions. It entails the
democratisation and participation of civil society in all areas of decision-making.
1.4.2 Stakeholder Participation in Environmental Management
Stakeholder involvement in environmental management offers multiple benefits. According to
EPA (1997; 1998), stakeholder involvement in environmental protection is important because:
a) Neither the regulatory agencies nor government has all the answers for solving local or
regional problems;
b) Local stakeholders have specific knowledge and expertise about local social, economic, and
environmental conditions;
21
c) It is important for those who will live with environmental decisions to be involved in the
decision-making process;
d) Stakeholder involvement creates a sense of local ownership of issues and solutions;
e) Stakeholder involvement encourages long-term community support and accountability;
f) It is cost effective because it augments government resources with the leveraged resources of
participating public and private stakeholders in terms of funding and technical data and
expertise; and
g) Improved communication and collaboration through integrated action enhances the efficiency
of government services by reducing costly duplication of efforts and conflicting actions.
Due to above benefits, this project proposal will take into consideration above concepts of EPA
(1997; 1998) on stakeholder participation in environmental management.
1.4.3 Community-Based Environmental Protection Approach
In order to achieve sustainable development, EPA (1997; 1998) recommends that stakeholders
need to take stewardship of environmental problems in their areas. According to EPA (1997;
1998), one approach to achieve stewardship is by applying concepts of Community-Based
Environmental Protection (CBEP).
1.4.3.1 General Objectives of the CBEP Approach
Generally, the objective of CEP is to move towards sustainable ecosystems and communities.
Ensuring healthy and well-functioning ecosystems and protection of any country’s biodiversity is
vital to achieving quality of life objectives and supporting economies and communities.
1.4.3.2 Specific Objectives of the CBEP Approach
a) Promote progress towards sustainability at community level by helping communities solve
environmental problems in ways that integrate environmental, economic, and social
objectives;
b) Asses and manage the quality of air, water, land and living resources in a place as a whole;
22
c) Accurately reflect regional and local conditions; and
d) Work more effectively with many partners, both public and private, to achieve environmental
results.
1.4.3.3 Elements of the CBEP Approach
The CBEP approach integrates environmental goals with economic and social goals at
community level. The approach includes the following elements:
a) Identifying the geographical area which is the focus of the environmental protection efforts,
generally using the natural boundaries or ecological features of the place
b) Involving diverse stakeholders in developing a vision, goals, priorities and strategies
c) Assessing the local ecosystem, including the ecological, human health, economic and socio-
cultural aspects of the community that relate to the environment
d) Developing a plan aimed at meeting environmental, economic and social goals in a
sustainable manner
e) Taking actions through a potentially wide array of voluntary, educational and regulatory
activities
f) Monitoring conditions, evaluating results and re-directing efforts through adaptive
management
g) Increasing efficiency and effectiveness by building partnerships and leveraging resources, and
developing better ways of informing, assisting and involving the public
1.4.4 Public Participation in Development Planning
Participation of community stakeholders or beneficiaries in the development process is an
acknowledgement that the development should relate to empowering and liberating people
(Meyer, 2005). According to Meyer and Theron (2005), participation of the public is an essential
part of human development since people learn to take charge of their own lives and solve their
own problems. Public participation is both a means and end in the process of development, which
consists of the processes all of which are related to one another (Meyer, 2005).
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Figure 1.1: The building blocks of development
PUBLIC PARTICIPATION
SOCIAL LEARNING
SELF-SERVICE
CAPACITY BUILDING
EMPOWERMENT
SUSTAINABILITY Source: Meyer and Theron (2005: 5)
Building blocks of development in Fig 1 above will be taken into consideration by the project
proposal.
1.4.5 Role of Political and Traditional Leaders in Development Projects
Participation of political and traditional leaders in developmental projects is very important. It
ensures the quality of governance systems and frameworks guiding the relationship and actions of
different actors. The participation of these leaders is also important because, by virtue of their
positions, they lobby and push government for a continued support of projects that they support.
Usually, political and traditional leaders are responsible for the appropriation of government
funds at district, provincial and national level. Therefore, if these leaders have bought into a
project, they can take advantage of their positions to lobby and push for more sustainable
financing for the project that they support.
Secondly, it is the responsibility of political and traditional leaders to ensure that projects funded
through public resources comply with policy, financial and legal requirements. Therefore, unless
their commitment and support are secured, these leaders are unlikely to use their positions to
24
advise free of charge to ensure that a project complies with policy, financial and legal
requirements.
Thirdly, political and traditional leaders are usually involved in drafting or devising plans,
strategies, laws or policies for district, provincial and national frameworks. If the commitment
and support of these leaders for a project is not secured, it is unlikely that they will strategically
support a project when they are involved in drafting or devising plans, strategies, laws or policy
issues connected to or incidental to that project.
Fourthly, political and traditional leaders serve as spokespersons for the public. Furthermore,
these leaders also have a popular mandate to mobilise the community around programmes.
Therefore, if their participation in projects is not secured, it is unlikely that these leaders will
mobilise their constituencies to participate the projects.
For above stated reasons, this project proposal will enhance the participation of political and
traditional leaders in CEP within national and international policy and regulatory frameworks.
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CHAPTER 2
Copperbelt Environment Project Background and Framework
2.1 Introduction
Copperbelt Environment Project (CEP) is a project of the Government of the Republic of Zambia
(GRZ). It was created in 2002 and charged with the responsibility to mitigate historical
environmental and social liabilities caused by mining after the privatisation of state-owned mines.
Furthermore, CEP was charged with the responsibility to improve the compliance of on-going
mining operations through enhanced environmental and social regulation (ZCCM-IH, 2002;
2005).
2.2 Conceptual Development of CEP
2.2.1 Economic, Social and Environmental Impacts of Mining
Up until the late 1990s, the Copperbelt Province and Kabwe were for decades the leading
economic regions of Zambia. Large-scale mining of copper, cobalt and lead was the main
economic activity. At the peak of mining in Zambia in the 1970s and 1980s, revenue from
minerals earned 80 per cent of the country’s foreign exchange, accounted for 40 per cent of Gross
Domestic Product (GDP), and contributed 62 per cent towards government overall tax revenue
(NEDT, 2003:2).
Although mining was and continues to be the leading economic activity of Zambia, mining
operations cause a wide range of problems. Excavations and dumping of overburden rocks,
slimes and tailings have caused major disturbances to the natural environment, especially on the
Copperbelt and in Kabwe (Komex, 2002). Craters caused by open-pits, as well as subsidence and
caving-in of land as a result of underground mining, have significantly defaced the landscape,
reduced land-use, and increased safety problems for communities.
In addition to impacts on the physical environment, mining has caused serious human health
problems. Smelters on the Copperbelt which emit between 300 000 and 700 000 tonnes of
sulphur dioxide per annum and dust contaminated with lead in Kabwe negatively affect human
health (Komex, 2002; WMC, 2006). Lead poisoning in Kabwe is a serious health problem
26
especially for children. Although the actual number of children affected by lead has not yet been
verified, it is estimated that the health of close to 90 000 children has been affected by lead
poisoning (Komex, 2002).
Furthermore, water pollution caused mainly by mining activities is known to affect humans and
the integrity of the ecosystem on the upper catchment of the Kafue River. Toxic chemicals from
mineral beneficiation, as well as run-off and leachates from waste rock dumps and overburden
dumps, contaminate both surface and underground water systems on the Copperbelt (Komex,
2002; Norconsult, 2004; ECZ, 2001). The contamination has resulted in widespread negative
impacts on the ecosystems of the upper Kafue catchment, including significantly reducing aquatic
life. The extent to which human health has been affected is not yet known (Komex, 2002).
Negative impacts on the Kafue River have national and transboundary implications. In terms of
national implications, the Kafue River is a major source of water for the majority of Zambia’s
population and the river also supports the majority of the country’s key economic sectors,
including mining, agricultural, energy and manufacturing (Norconsult, 2004).
In terms of transboundary implications, activities that have a negative impact on the Kafue water
system cascade to affect populations in the national economic sectors of other countries. The
Kafue River drains into the Zambezi River Basin. The Kafue River catchment forms the largest
sub-catchment of the Zambezi River Basin. The Zambezi River Basin services riparian countries
including Zambia, Zimbabwe, Malawi, Mozambique, Angola, Namibia and Botswana. Negative
impacts on the Kafue River and its catchment therefore not only affect Zambia but other riparian
countries within the Zambezi River Basin.
Mining activities also indirectly pose social and environmental issues and challenges on the
Copperbelt and in Kabwe. The high rate of urbanisation caused by in-migration due to people
seeking jobs at the mines indirectly impacts negatively on the forests of the Kafue River
catchment when they are not employed by the mines. According to the World Bank (2002), the
unemployed resort to cutting trees for charcoal production fuel-wood. Charcoal and fuel-wood
are the major source of energy and income for the unemployed in the region. Although
significant quantities of charcoal and fuel-wood are exported to other provinces like Lusaka, the
high demand for these energy sources on the Copperbelt has aggravated deforestation.
27
Privatisation has also contributed to major social issues like unemployment. Privatisation of the
mines and the subsequent retrenchment of employees, as well as the closure of some mines
significantly reduced employment and affected management of hazardous facilities on the
Copperbelt and in Kabwe (NEDT, 2003:2; Komex, 2002). Poor control of mine dumps especially
in Kabwe is a safety problem due to substantial artisanal salvage activities. The salvage activities
are propelled by post-mine closure unemployment impacts (WMC, 2006).
Other social issues that are indirectly caused by mining include resettlements, illegal
encroachment, and destruction of livelihoods (Golder, 2003; 2004).
Poor environmental management in mining areas is on going notwithstanding national and
international policy and legal frameworks that impose the duty to take stewardship of their
environment on all stakeholders.
2.2.2 The Genesis of the Need for Mitigation of Negative Impacts of Mining
In 1991, as a condition to receive donor support, Zambia adopted fully-fledged World Bank and
IMF ‘stabilisation and structural adjustment’ policies. These policies required GRZ to privatise
state-owned enterprises, including the mines (ZIC, 2000:9).
In pursuance of these policies, GRZ privatised the state mining company, Zambia Consolidated
Copper Mines (ZCCM) Limited, and retained up to 20 per cent interest in the privatised mines.
GRZ formed ZCCM-Investment Holding (ZCCM-IH) to manage GRZ interest in the privatised
mines (World Bank, 2002).
The new mine investors refused to inherit the historical environmental, social and trade liabilities
of ZCCM. As part of the privatisation transaction, GRZ and ZCCM-IH agreed to retain
environmental, social and trade liabilities that the new mine investors were not willing to inherit
(ZCCM-IH, 2002; 2005).
2.3 The CEP
As indicated in 1.1 above, in order to deal with historical environmental and social liabilities it
retained with ZCCM-IH, GRZ created the CEP. GRZ charged CEP with the responsibility to
28
remediate historical liabilities inherited on the Copperbelt and in Kabwe. CEP was also charged
with the responsibility to improve compliance in the mining sector in terms of environmental and
social impact regulation.
2.4 CEP Funding
GRZ sourced funds for CEP from the World Bank’s International Development Association
(IDA) and the Nordic Development Fund (NDF). The amount sourced from IDA is about US $40
million. NDF support is €10 million (ZCCM-IH, 2002; 2003; GRZ & IDA, 2003).
From the initial assessment made in 2002, it was estimated that the financial requirement for
mitigation of environmental liabilities on the Copperbelt and in Kabwe was in excess of US $
200 million (Komex, 2002).
2.5 CEP Implementation
Implementation of CEP is done through two Components. One Component deals with mitigation
of historical liabilities. The other Component strengthens the monitoring, regulation and
negotiation of environmental strategies in the mining sector.
The two components of CEP are executed by three lead agencies. These are ZCCM-IH
Environmental Coordination Unit (ZECU), the Environmental Council of Zambia (ECZ) and
Mines Safety Department (MSD) (ZCCM-IH, 2002; 2005).
Mitigation of environmental liabilities is the responsibility of ZECU, while strengthening
monitoring, regulation and negotiation of environmental strategies in the mining sector is the
responsibility of the ECZ and MSD (ZCCM-IH, 2002; 2005).
CEP funding responsibilities lie with the Environmental Management Facility (EMF) of the
Ministry of Finance and National Planning (ZCCM-IH, 2002; 2005).
29
2.6 CEP Project Cycle, PIMs and EMPs
CEP is a five-year project. CEP implementation commenced in 2002 and, unless extended, CEP
is expected to cease operations in December 2008 (ZCCM-IH, 2002; 2005).
A Project Implementation Manual (PIM) was developed for CEP in 2002 and later updated in
2005. The aim of the PIM is to assist orderly and effective implementation of the CEP.
Mitigation activities and strengthening the monitoring, regulation and negotiation of
environmental strategies in the mining sector is envisaged to be executed by way of
Environmental Management Plans (EMPs). EMPs developed for CEP implementation include
Interim Environmental Management Plans (IEMPs), Counterpart EMPs, Investor EMPs,
Consolidated Environmental Management Plans (CEMPs), Copperbelt Environment and
Resettlement Framework (CERF), and Kabwe Scoping and Design Studies (KSDS). EMPs are a
legal requirement. Stakeholder participation in EMP preparation and implementation is also a
legal requirement.
The PIM and EMPs are intended to be used by all stakeholders implementing CEP. Among the
stakeholders that are supposed to implement CEP are ZECU, MSD, ECZ, contractors, non-
governmental organisations (NGOs) and other community organisations, academia, local
government and the communities in general (ZCCM-IH, 2002; 2005).
The IDA Country Assistance Strategy goal for supporting CEP is to ensure environmentally
sustainable economic growth through an effectively regulated mining sector by December 2008
(ZCCM-IH, 2005). This being the case, mining activities in Zambia need to comply with existing
national policy and regulatory frameworks. In addition, mining activities need to comply with
international instruments on sustainable development to which Zambia is a party.
2.7 Development Objectives, Output and Sector Indicators for CEP According to ZCCM-IH (2005), the following are development objectives, key outputs, and
impact and sector indicators for CEP:
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2.7.1 Development Objectives for CEP
The Development Objectives of CEP are to:
a) Address environmental liabilities associated with the mining sector following privatisation of
ZCCM; and
b) Improve future compliance of the mining sector in terms of environmental and social
regulation.
2.7.2 Key Output Indicators for CEP The following are Key Output Indicators for CEP: a) CEMP completed and approved the EMF Steering Committee and ECZ by December 2005.
The CEMP is supposed to include an inventory of the environmental liabilities and
obligations of ZCCM-IH and GRZ, and a ranking system for environmental liabilities.
b) Environmental liabilities of ZCCM-IH prioritised according to transparent and accepted
ranking system by December 2005.
c) Monitoring system established to monitor implementation of EMPs and their compliance
with environmental regulation by December 2006.
d) Completion of sub-projects to agreed standard by December 2008.
e) Pipeline of environmental sub-projects prepared based on agreed priorities.
f) Preparation of an Environmental Regulatory Framework Study.
g) Establishment of an Inter-Agency Coordinating Committee.
h) Investor and Counterpart Environmental Management Plans (EMPs) for each site completed
with adequate participation of local governments and stakeholder groups (NGOs, community
organisations) by January 2005.
i) All mines monitored and regulated by December 2006.
j) Formulation mitigation and rehabilitation plan (KSDS ) for Kabwe to address the wider
closure and rehabilitation requirements of the Kabwe Mine site by June 2006.
k) Non-compliance resulting in levying of appropriate fees, fines and legal measures.
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2.7.3 Outcome/Impact Indicators for CEP The following are Impact Indicators for CEP: a) ZCCM-IH and GRZ liabilities are addressed on priority basis by December 2005.
b) Investors address their liabilities as committed in the Environmental Management Plans
(EMPs) by December 2008.
c) Environmental regulations are applied to current mining activities by December 2006.
d) Mining sector is in compliance based upon results of regular monitoring by December 2006.
e) Pollution flows and loads in the Kafue River resulting from historical and current mining
operations are reduced by December 2006.
2.7.4 Sector Indicators for CEP
The following are Sector Impact indicators for CEP:
a) Environmental degradation in mining sector managed and regulated by December 2008.
b) Environmental management related to privatization in mining sector established and
maintained by December 2008.
c) Pollution flow into Kafue and Zambezi River Basins reduced by 70 per cent by 2008.
d) Zero breaching of tailings dams by 2008.
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CHAPTER 3
Background and Review of Initial Sustainability Strategies for CEP
3.1 Introduction
The sustainability of CEP largely depends on the availability of adequate funds and the effective
participation of stakeholders. This chapter focuses on a review of the initial sustainability
strategies for CEP to determine the degree of implementation of the strategies.
In order to simplify the assessment, CEP is split into four de facto phases. Phase 1 is taken as the
period between 2001 and 2002 during which CEP was conceptualised and its inception activities
initiated.
Phase 2 is taken as the period between 2002 and 2006. This is the period between CEP
operationalisation and the CEP mid-term review.
Phase 3 of CEP is taken as the period between 2006 and 2008. This is the period between the
mid-term review and the end of CEP’s conceptual project life.
Phase 4 is taken as the period between 2008 and 2025. This is the period between the end of the
conceptual project life of CEP and the completion point for the implementation of CEMP.
The financial sustainability and public participation strategies of CEP in Phase 1 and 2 will be
addressed, as well as national outreach strategies for the same phases.
The lessons learned in Phase 1 and 2 will then be used to develop strategies for Phase 3 and 4 in
order to ensure that environmentally sustainable economic growth is achieved through an
effectively regulated mining sector.
3.2 Background to Sustainability Strategies
It was recognised from CEP’s inception that the project would not only deal with the one-off
physical remediation of mine sites (ZCCM-IH, 2002). Rather, it was recognised that CEP would
deal with the longer-term sustainability of this remediation. As indicated in 1.4 above, the
33
estimated cost to address CEP’s concerns in the longer term was estimated to be in excess of US
$ 200 million (Komex, 2002). However, as at mid-term review, only approximately US $50
million was sourced (GRZ, 2006). This implies that from inception up to mid-term review, CEP
had a deficit of US $150 million in order for its objectives and outputs to be successfully
achieved.
Secondly, as pointed out in 1.1 above, it was observed that the negative impact of historical and
on-going mining activities on the communities and the environment was significant (Komex,
2002; WMC, 2006; ZCCM-IH, 2000). National legal and policy requirements impose a duty on
mining investors like all other developer to develop mitigation plans such as EMPs (GRZ, 1990;
1994a; 1994b; 1994c; 1994d; 1996a; 1997; 1998; 2000b; 2002a, 2002c).
It is also a statutory and policy requirement for stakeholders, including communities and
community interest groups, to participate in the preparation of EMPs and other developmental
programmes and processes (GRZ, 1990;1997; 2000a; 2002 ); Furthermore, it is also a statutory
requirement for stakeholders to monitor implementation of EMPs (GRZ, 1997).
Zambia is a party to over 17 multilateral and international agreements on sustainable
development. Some of these agreements encourage State parties to entrench public participation
and benefit sharing in their countries (UN, 1971; 1973; 1975; 1992a; 1992b; UN, 1994; UN
2000; COMESA, 1993).
Some financial institutions from which Zambia borrows developmental funds also offer loans
tied to sustainable development conditions. The World Bank for example offers loans to Zambia
which encourage public participation, benefit sharing and sustainable environmental management
(World Bank, 2002; GRZ and IDA, 2003; ZCCM-IH, 2000; 2002; 2004; 2005; EIR, 2003;
WMC, 2006).
Despite statutory and policy requirements, it was observed that mining activities were not in
compliance with national and international regulatory and policy frameworks (GRZ, 1994a;
1994b; 1994c; 2000a; 2002a; 2002c; 2005a; 2005c; 2005d; 2005e; 2006a; 2006b; World
Bank,2002; Komex, 2002).It is observed that some communities are unaware of environmental,
health and safety issues around them associated with mining such as mine dumps (ECZ, 2001;
34
WMC, 2006; Komex, 2002). Also observed is that some communities are involved in salvage
activities at mine dumpsites as a source of livelihood (Komex, 2002).
These salvage activities not only cause destabilisation of the dumps, but also cause pollution
which has not only local and transboundary implications (ECZ, 2001; AHC, 2004, Komex,
2002). Moreover, it is observed that salvage activities incur costs for CEP as funds continue to be
wasted on the rehabilitation of dumps that repeatedly get destabilised through salvage activities
(GRZ and IDA, 2006; World Bank, 2002).
On account of the above premises, it is considered prudent to develop strategies that will ensure
compliance of the mining sector to national and international regulatory and policy frameworks.
Further, is considered prudent to develop strategies that will ensure financial sustainability of
CEP through enhanced public participation. Focus of the strategies should be on effective
involvement of political and traditional leaders in CEP activities.
Additionally, it is important for CEP to position itself in such way that it prepares to take on
board some policy and statutory instruments still in the pipeline for implementation such as Draft
Constitution (2005a), Draft 5th National Development Plan (2006a), National Vision 2030
(2002a;2006b), Draft Water Resources Bill (2005c) and Draft Energy Policy (2005b).
3.3 Review of the Approach to Sustainability in CEP Phase 1
As indicated above, Phase 1 contained CEP’s conceptualisation and inception activities. At the
time, the sustainability of CEP depended on the compliance of the project with national policy
and regulatory frameworks as well as World Bank safeguard policies (World Bank, 2002;
Komex, 2002). Furthermore, it was a requirement for the project to entrench public participation.
Hence, there were extensive public participatory strategies employed relating to the preparation
of the Environmental Assessment (EA) and Social Assessment (SA). Thereafter, there were also
extensive public participatory strategies employed relating to the disclosure of both the EA and
SA to stakeholder groups. Copies of EA and SA were circulated to local stakeholders and posted
on the internet as well (World Bank, 2002). Due to CEP’s compliance with regulatory and policy
frameworks, initial funding for the project was sourced and the project was successfully launched
35
(ZCCM-IH, 2002; 2005). In Phase 1, CEP was designed with the view to ensure self-
sustainability thereafter (ZCCM-IH, 2002).
3.4 Review of the Approach to Sustainability in CEP Phase 2
In Phase 2 (2002 – 2006), measures for CEP were outlined in the Project Appraisal Documents
(PADs) and PIM. According to the World Bank (2002), the following measures were proposed:
• Financial
• Participation
• Communication
• Adaptation of lessons from Konkola Copper Mines on communication experience
• Institutional
3.4.1 Financial Measures According to ZCCM-1H (2002; 2005), the following financial measures were proposed:
a) Need for CEP to support mechanisms that enhance internal revenue generation by ZCCM-IH,
GRZ, MSD and ECZ
b) Need for ZCCM-IH, MSD and ECZ to push for continued and a more sustainable financing
strategy from government
c) Need for continued government commitment and funding of CEP activities
d) Need for continued goodwill from cooperating partners, particularly IDA and NDF in
providing financial support
3.4.2 Participation Measures
The PIM for CEP contains a significant community and communications component. In addition,
the commitment to community participation is reflected in ZECU staffing where there is
specialised expertise in communications and management of community programmes on an on-
going basis (ZCCM-IH, 2005). As explained in detail below, Public participation in Phase 2 was
envisaged at various levels as follows:
36
a) Participation of permanent members on the EMF Steering Committee
b) Participation of local government representatives on the EMF Steering Committee
c) Participation of local community-based NGOs on EMF Steering Committee on alternating
basis
d) Participation by stakeholders at community level in sub-project design, approval and
execution
3.4.2.1 Participation of Permanent Member on the EMF Steering Committee
At national level, CEP was designed for stakeholder participation in the CEP through the EMF
Steering Committee (ZCCM-IH, 2002; 2005). The EMF Steering Committee was to be composed
of permanent representatives from the following institutions:
a) Ministry of Finance and National Planning
b) Ministry of Tourism and Natural Resources
c) Ministry of Mines and Minerals Development
d) Ministry of Local Government and Housing
e) Chamber of Mines
f) NGOs (Citizens for a Better Environment)
g) ECZ
h) ZCCM-IH
i) Ministry of Health
One of the key tasks of the EMF Steering committee included approving of Terms of Reference
(ToRs) developed by the project preparation team (ZCCM-IH, 2002; World Bank, 2002).
Considering the diversity of stakeholders involved, representation on a permanent basis and the
mode of approval of ToRs, this was the precursor to public participation.
Other role tasks of Committee include selecting and finally approve EMF projects (ZCCM-IH,
2002). This is yet another form of participation. Detailed tasks for the Committee are, gaining
consensus on EMPs/CEMP, developing transparent understanding of the criteria for site selection
37
under the EMF, coordinating decisions on plans for specific sites, and overview social and
environmental sub-project screening under the EMF.
3.4.2.2 Participation of Local Government Representatives on the EMF Steering Committee
While the EMF Steering Committee had local government representation through the Ministry of
Local Government and Housing, CEP was also designed to have local government
representatives from the towns for which EMF projects were being considered. In addition, the
EMF Steering Committee was supposed to include as permanent members local government
representatives from towns where significant works were expected to be executed under CEP.
Such representatives had to be consulted about how they wished to organise such representation,
whether by electing a member among themselves or rotating attendance, for example (World
Bank, 2002).
3.4.2.3 Participation of Local Community-Based NGOs on Alternating Basis on the EMF Steering Committee
As indicated above, one NGO (Citizens for a Better Environment) was supposed to be
represented on a permanent basis. The EMF Steering Committee was also supposed to have
representatives of a community-based NGO, at least on a rotating basis, given the importance of
the community participation to the project’s sustainability.
3.4.2.4 Participation of Panel of Experts on the EMF Steering Committee
In addition local government and community groups, the EMF Steering Committee had to have
access to a panel of experts to review project proposals as required (World Bank, 2002; ZCCM-
H, 2002; 2005). This panel had to include highly experienced specialists in the following fields:
a) Community development
b) Risk communication
c) Geotechnical engineering
d) Mine site rehabilitation
38
e) Medical toxicology
f) Forestry
g) Other specialists as necessary
Community groups represented on the EMF Steering Committee, if given access to the panel of
experts, would be empowered by the experts through technical assistance. Such an arrangement is
also a precursor to public participation.
3.4.2.5 Reasons for Participation at Community Level
The PIM for CEP lays down procedures for project preparation and project review under the
EMF (ZCCM-IH, 2002; 2005; World Bank, 2002). These include public participation as the core
element of the project preparation process. According to the World Bank (2002), the community
was envisaged to be essential to the project’s exit strategy for the following reasons:
a) Several sites require some minimal long-term maintenance (drain cleaning, preventing,
deforestation of re-vegetated areas, etc.) which would eventually become the responsibility of
the organisation or individual who takes over the site. If the site reverts to local government,
capacity for even minimal maintenance is low. Therefore, the project needed to explore the
possibility of encouraging interested parties to help with maintenance (for example, a group
of downstream farmers and fishermen that may find it to their benefit to clean drains of a
tailings dam to prevent siltation in the streams they use) and to refrain from vandalism of the
site.
b) The cause of instability of many sites is poverty-driven vandalism and only by working to
prevent the cause of this vandalism could there be a chance for reducing vandalism.
c) Re-vegetation could only be effective if incentives are created for communities to refrain
from cutting down the vegetation.
39
d) Economic problems in the Copperbelt and Kabwe regions pointed to the increasing
importance of employment generation. Therefore, use of community labour and labour-
intensive methods should have been prioritised.
e) Community members and stakeholders may have innovative ideas for solving some of the
community-driven problems at sites (vandalism, accidents, deforestation). Therefore, for each
sub-project a project document or project brief needed to be completed.
f) Key stakeholders (local government, leaders or community associations in the vicinity of the
site, others as appropriate) needed to sign-off on the project brief showing that they have read
the brief and agreed to any obligations for the site they may have.
3.4.2.6 Steps for Participation at Community Level
The World Bank (2002) suggests that a project brief could include the following steps:
a) Present and discuss alternatives that were considered for site rehabilitation and present the
results of a simplified cost/benefit model of the different alternatives. More than one
rehabilitation option should have been considered (including a simple, lowest cost option) and
some review of the potential to achieve the same objective using local labour versus more
sophisticated, capital intensive approaches should have been included.
b) Identify the current use of the site (numbers of people, nature of use), and explain how the
site rehabilitation might affect those using the site.
c) Define the proposed end-use for the site-use based participatory methodologies such as
brainstorming and information-sharing sessions with those using the site, particularly if the
site is marked for closure.
d) Outline any community education components for those around and currently using the site,
or any other community proposals that a group requires assistance for presentation to Zambia
Social Investment Fund (ZAMSIF) for funding.
40
e) Identify opportunities for community labour in rehabilitation.
f) Define how the site will be maintained (if required) so that it does not pose a danger in the
future, and specify who will maintain the site in the short, medium and long-term.
g) Present proposals for how this long-term maintenance would be handled after site closure (for
sites that are being closed), and how the project would contribute to this plan.
h) Seek views of stakeholders at the site regarding which of the considered options is most
appropriate, and on other options that may be available to address the problems at the site.
i) List those who specifically had been consulted in the process of formulating the plan, record
the outcome/feedback from these consultations and state how these were addressed in design,
and agree on who would represent a given group or community.
j) Screen the sub-projects for any negative social or environmental impact, assess whether any
World Bank or Zambian safeguards are triggered. Explain any potential negative
environmental impacts (including any destruction of known archaeological sites) associated
with the various options for rehabilitation, or indicate how such a negative impact would be
avoided (particularly important for sites involving the movement of hazardous materials such
as lead dust in Kabwe, Poly-Chlorinated Biphenyls (PCBs) or radio-nuclides, or indeed dam
safety etc.).
All measures stated above are also precursors to public participation.
3.4.3 Communication Measures
As indicated earlier, it was recognised at CEP inception that the project needed to contain a
significant community and communications component, hence in ZECU staffing there is
specialised expertise in communications and management of community programmes on an on-
going basis.
41
From review of the Project Appraisal Document (PAD) of the World Bank (2002),
communication was envisaged to be in three categories: Information-sharing, Stakeholder
consultation and Disclosure.
3.4.3.1 Information-sharing
Information-sharing was envisaged as one of the key sustainability measures for CEP. That is
why, during project preparation, CEP was extensively publicised by both ZCCM-IH and the
Ministry of Finance and National Planning (as delegated by the Steering Committee). The
publicity was done through national newspapers, radio and television.
The project message clearly explained the project’s focus on remediation and not on
compensation. Furthermore, given international media attention to CEP, a press release was
issued to the international press as well.
In addition, the project management team has to provide a transparent presentation of the criteria
used for site selection under the EMF and disseminate these criteria for the Copperbelt and
Kabwe to the stakeholders. This is particularly important as residents may have assumed that the
project’s primary objective was to cater for investor interests rather than interests of public health
and safety (although these could sometimes overlap).
The project team is also encouraged to publish the criteria used for selecting EMF sub-projects in
newspapers, on radio and during any town-specific meetings on the project. All of the foregoing
information-sharing measures that had to be implemented in Phase 2 of CEP are precursors to
public participation.
3.4.3.2 Stakeholder Consultation
At CEP inception, stakeholder consultation was envisaged at four levels: at sub-project level
under EMF, during preparation of the terms of reference for the EMP/CEMP, during drafting of
the EMP/CEMP, and during review of EMP/CEMP.
42
a) Stakeholder Consultation at Sub-Project Level
At sub-project level under the EMF, it was made a requirement that a project proposal/project
brief should be displayed in the town concerned according to Zambian regulations under
Environmental Impact Assessment Regulations (1997), Statutory Instrument (SI) 28 of the
Environmental Protection and Pollution Control Act (EPPCA). According to the regulations,
comments should be sought from all interested and affected parties or stakeholders on the project
brief. The stakeholders envisaged among others are NGOs, residents, community members near
the site and local government.
For sub-projects triggering World Bank safeguard policies (dam safety, resettlement, cultural
property, etc.) or Zambian laws, further disclosure and consultation are required as outlined in
Zambian regulation and World Bank Operational Directives (World Bank, 2002; ZCCM-IH,
2002).
Legal and policy compliance are precursors to public participation.
b) Stakeholder Consultation during Preparation of ToRs for the EMP/CEMP
The EMP and CEMP had to be designed to provide a key forum for education of communities in
the Copperbelt and Kabwe about the presence and impact of mine pollution (World Bank, 2002).
To prepare EMP/CEMP TORs, it is a requirement, according to Zambian regulations (GRZ,
1997), to prepare an environmental impact statements (EIS) as opposed to a project brief. The
developer in the case of CEMP-ZCCM-IH needs to ensure that the public’s views are taken into
account in preparing the ToRs for the EIS. ZCCM-IH needs to ensure that the terms of reference
for the CEMP include adequate coverage of those issues of most concern to the population, such
as air pollution from sulphur dioxide and water pollution.
Also according to the regulation (GRZ, 1997), a developer has to organise a meeting with
stakeholders, including community-based organisations, local authorities, government agencies
and affected parties, to determine the scope of the ToRs.
43
In the case of CEP, it was envisaged that ZCCM-IH could potentially call upon parties in the
EMF Steering Committee, assuming that an adequate range of local authorities and community-
based organisations were represented, to carry out this function (World Bank, 2002).
This is also a precursor to public participation.
c) Stakeholder Consultation during Drafting of the EMP/CEMP
To prepare the EMP/CEMP, it was a requirement that the team contracted to undertake the
assignment obtain feedback from the local stakeholders on priorities in the EMP/CEMP (World
Bank, 2002). It was decided that consultations should take the form of workshops in several
municipalities to present summary information on the analysis of mine pollution to date and on
specific sites with regard to the following:
i) The threat they do or do not pose to health, ecology
ii) What the proposed solutions/actions are
iii) Raise awareness about the CEP
iv) Seek feedback on the EMP proposed
Above measures are precursors to public participation.
d) Stakeholder Consultation during Review of the EMP/CEMP
Once a revised draft EMP is available, it was envisaged that ZCCM-IH would consult
stakeholders as follows:
i) Distribute a brief summary of the relevant conclusions on mine pollution and sites to
each town’s local authorities, including clear explanations of what is known about the
impact of different types of pollutants on people, animals and vegetation, and
including a presentation of the specific sites in each town. This activity was envisaged
to also provide an opportunity to discuss the social issues that affect the site and serve
to introduce the concept of a site management plan. Full documents should be
available if requested.
44
ii) Distribute the EMPs/CEMP to key stakeholders who may consult with their own
constituents. These could include NGOs working in affected communities,
universities, think tanks, key government agencies such as the Water Resources
Action Plan (WRAP) Kafue pilot group, the Ministry of Agriculture, and others
currently on the core and expanded EMF Steering Committee at least 20 days prior to
any consultative meetings.
iii) Advertise document availability and all planned meetings as specified in SI No. 28 of
the EPPCA.
iv) Display the EMPs/CEMP document in public places in each town for at least fifteen
days.
v) Organise meetings in the Copperbelt to gather the views of key stakeholders on the
EMPs/CEMP after the EMPs/CEMP has been available for at least twenty days. At a
minimum, meetings should be held in those towns most likely to be affected by
agreements contained in the EMPs (for example, Chambishi, Kitwe, Mufulira,
Chingola, Luanshya).
vi) Organise a meeting in Kabwe to gather views of key stakeholders on the EMP after it
has been available for at least twenty days.
All above measures are precursors to public participation.
3.4.4 Experience from KCM Communication Processes
At CEP inception, experience was drawn from the EMP consultative processes of Konkola
Copper Mines (KCM). According to World Bank, 2002, KCM experience suggested that the
simple task of distributing and getting timely feedback on long and complex documents was a
daunting one. The following lessons emerged from the KCM’ experience:
a) It is important to make the CEMP/EMPs available in electronic format and via the web for
international NGOs, professional, scientific and academic audience.
45
b) It is important to have brief, simple summaries in hard-copy format for every town for the
local audience to absorb more easily (town-specific stakeholders).
c) It is important to have a neutral and skilled facilitator to organise meetings, ensure adequate
distribution, record statements and provide feedback. One role of a facilitator is to ensure that
participants receive an equal opportunity to express themselves in a forum they would be
comfortable in. Thus, a facilitator needs to ensure that specific individuals/groups do not
dominate a discussion so that others who may be timid are never heard from by seeking views
in a variety of forums or by moderating the discussion. A facilitator is also supposed to
translate into and from local languages as many people, although capable of expressing
themselves in English, may be more comfortable and more likely to speak up if they also
have the option of speaking in local languages.
d) Those that are not available to come to meetings should be permitted to submit written
comments.
e) Meetings need to be scheduled with sufficient advance notice to participants.
f) In cases where an EMP outlines a significant health impact that the population is not already
aware of, additional briefing meetings within specific towns and organisations working at the
community level must be given to adequately answer questions and to reduce anxiety.
g) ZCCM-IH required short-term assistance with the process of dissemination and consultation.
h) As well as neutral facilitation (including in local languages), other specific skills need to be
sought, including document production and Internet or web page expertise.
These KCM lessons are precursors to public participation.
3.4.5 Institutional Measures
At CEP inception, it was envisaged that CEP needed to support focused programmes in ZCCM-
IH, MSD and ECZ on training and awareness (ZCCM-IH, 2002). According to ZCCM-IH
46
(2002), given the importance of EMPs to future mine environment management in Zambia, and
given the new role that ECZ and MSD were to play in critically reviewing and monitoring
implementation of EMPs, it was found important to bolster the technical capacity of ECZ and
MSD to review and negotiate the EMPs. Such measures were necessary to build capacity of
ZCCM-IH, MSD and ECZ to undertake long-term environmental planning and management.
With regard to the disclosure function, it was envisaged that some support to ZCCM-IH, MSD
and ECZ would take the form of facilitation consultants to ensure adequate stakeholder
consultation on the EMPs (ZCCM-IH, 2002).
These measures are also precursors to public participation.
3.5 Stating the Problem
The key to the sustainability of CEP activities is the effective implementation of the project
sustainability measures. Although the PIM and PADs outline CEP sustainability measures as
indicated above, it is however unlikely that these sustainability measures will bear fruit unless a
review of strategies is undertaken.
The first flaw in the initial strategies relates to lack drivers for implementation the sustainability
strategies. In development planning, strategic and implementation plans usually serve as vessels
of development while political and traditional leaders are drivers. Without drivers to
operationalise the plans, ideas or measures, intentions usually become a non-starter. Of course,
the drivers need full public participation and adequate financial and other resources in order to
effectively steer the vessel of development.
The second flaw in the initial strategies relates to lack of a monitoring and evaluation regime for
the sustainability measures. Although CEP has an overall monitoring and evaluation mechanism,
the design of the mechanisms does not cover sustainability measures per se.
The way CEP Phase 2 sustainability strategies are formulated, they have no clear-cut outputs and
targets to be achieved. Furthermore, they have no specific timeframes in which the strategies
have to be implemented. And lastly, neither are there resources allocated nor responsible
47
organisations specifically delegated to ensure implementation of the sustainability measures.
These lapses collectively inhibit effective monitoring and evaluation of the measures.
As will be noted below, these conclusions are drawn from analysis of the following points:
• Flaws in past performance and approach to sustainability
• Stakeholders’ feedback during CEP mid-term review consultations
• Stakeholders’ feedback after mid-term review
3.5.1 Flaws on Past Performance and Approach to Sustainability
3.5.1.1 Flawed Financial Sustainability Measures
Although CEP Phase 2 implementation was executed for close to three years, only €10 million
additional funds were secured from NDF (in 2003) to boost the US $40 million earlier secured
from IDA. The IDA and NDF support put together is approximately US $50 million, the only
funds sourced up to mid-term review in 2006.
The strategic plan matrix in Table 3.1 below shows where there is a flaw in the implementation
of CEP Phase 2 financial sustainability measures.
Table 3.1: Assessment of financial sustainability measures for CEP Phase 2 Activity
No.
Sustainability Measure Objective Key
Output
Required
Actions
Required
Level Timeframe Resources
Allocated
Responsible
Organisation
Status
at Mid-Term Review
1.
CEP to support
mechanisms that
enhance internal revenue
generation
Financial
Sustainability
Not stated Not
stated
Not
stated
Not stated Not stated ZCCM-IH,
MSD, ECZ,
GRZ
No funds raised, no reports,
etc. on implementation of
this measure
2. Continued and more
sustainable financing
strategy from
government
Financial
Sustainability
Not stated Not
stated
Not
stated
Not stated Not stated ZCCM-IH,
MSD, ECZ
No funds raised, no
strategy, no reports, etc. on
implementation of this
measure
3. Continued government
commitment and funding
of CEP activities
Financial
Sustainability
Not stated Not
stated
Not
stated
Not stated Not stated ZCCM-IH,
MSD, ECZ
No funds raised, no reports,
etc. on implementation of
this measure
4. Continued goodwill from
cooperating partners
particularly IDA and
NDF in providing
financial support
Financial
Sustainability
Not stated Not
stated
Not
stated
2002-2008 No
resources
Allocated
ZCCM-IH,
MSD, ECZ,
GRZ
Only €10 million additional
funds raised, prospects for
project support to 2010; no
reports, no strategy on
implementation of measure
Source: ZCCM-IH (2002; 2005)
49
As noted in Table 3.1 matrix, Phase 2 sustainability measures were not strategically networked;
there are no clear-cut deliverables, no allocated resources, no timeframes, etc. Furthermore, the
measures did not have a plan of implementation. When strategies are not strategically networked,
measuring effectiveness (monitoring and evaluation) is absent.
3.5.1.2 Flawed Participation Measures
As indicated above, CEP participation measures were at two levels:
• During Phase 1
• During Phase 2
There are no questionable issues regarding participation during Phase 1, whereas the following
issues for concern did emerge during Phase 2 implementation:
a) Composition of the EMF Steering Committee
Firstly, other than ZECU and a few other members, the majority of EMF steering technocrats
were from government ministries and CEP framework does not provide for direct participation of
political and traditional leaders (ZCCM-IH 2002; 2005). Therefore, CEP lacks political influence.
The lack of participation of political and traditional leaders on the EMF Steering Committee is
the first flaw in public participation.
Secondly, the EMF Steering Committee does not have sub-organs or operational arrangements at
provincial and district levels (ZCCM-IH, 2002; 2005). Since CEP by design requires effective
public participation, without provincial and district operational structures, there is a missing
operational link between the EMF Committee and the communities. The missing link in turn
creates problems in terms of public awareness and public participation in CEP activities. This is
the second public participation flaw.
Thirdly, there is no security of tenure for permanent members. According to CEP project design
(ZCCM-IH, 2002), Citizens for a Better Environment (CBE) was appointed as a permanent
member on the EMF Steering Committee. Since tenure for permanent representatives on the
50
committee is not entrenched, CBE was unilaterally relieved of its position on the EMF Steering
Committee (ZCCM-IH, 2005). Unilateral removal of permanent members from the committee
creates a governance problem. This is the third flaw in public participation.
Fourthly, government representatives dominate EMF Steering Committee membership, compared
to non-governmental representatives (ZCCM-IH 2002; 2005). The imbalance creates a
government supremacy problem on the EMF Steering Committee. This is the fourth flaw in
public participation.
b) Participation of local government representatives on EMF Steering Committee
Although CEP project design provides for the appointment of local government representatives
from towns where CEP is implemented as permanent members (ZCCM-IH, 2002; 2005), no such
members were by mid-term review appointed to serve on the EMF Steering Committee. As will
be noted below,, most local government representatives in towns where CEP was implementing
significant projects have very little appreciation of CEP’s objectives and activities in their towns.
The absence of local government representatives on the EMF Steering Committee is the fifth
flaw in public participation.
c) Participation of local community-based NGOs on EMF Steering Committee on
alternating basis
Although CEP project design provides for the appointment of representatives from local
community-based NGOs as alternate members on the EMF Steering Committee (ZCCM-IH,
2002; 2005), no local community-based NGO representatives were appointed during CEP Phase
2 implementation. This is the sixth public participation flaw.
d) Participation at community level in EMF sub-project execution
Although CEP project design provides for participation at community level in sub-project
execution, other than in Kabwe, very little is done by the community in the following areas:
51
i) Minimal long-term maintenance, e.g. drain cleaning, preventing deforestation of re-
vegetated areas as a means to create employment, minimise vandalism and promote
innovative ideas on environmental management.
ii) Ensuring that key stakeholders (local government, leaders or community associations
in the vicinity of the site, others as appropriate) sign-off on the project brief showing
that they have read the brief and agreed to any obligations they may have for the site.
The insignificant participation of communities does not help to empower communities. This is
the seventh public participation flaw.
3.5.1.3 Flawed Communication Measures
In addition to flaws in financial sustainability and public participation, there are also flaws related
to communication measures. Here, communication measures will be reviewed for the following
three categories: Information-sharing, stakeholder consultation and public disclosure.
a) Flawed Information-sharing
During Phase 1 and 2, CEP was widely publicised through national newspapers, radio, television
and other media. Publicity through various medium of communication is a form of information
sharing. CEP was also widely publicised during information-sharing sessions at town-specific
meetings.
CEP sub-projects and criteria used for selecting consultant were also widely publicised.
However, as noted below, not much publicity with regard to criteria for the selection of EMF
sub-projects and eligible sub-projects was done. This is the first flaw in initial communication
measures.
b) Flawed Stakeholder consultation
As already stated, CEP stakeholder consultation was envisaged at four levels: At sub-project
level under EMF, during preparation of Terms of Reference for the EMP/CEMP/KSDS, during
52
drafting of the EMP/CEMP/KSDS, and during review of EMP/CEMP/KSDS. Performance of
CEP in terms of stakeholder consultations will be reviewed to above four levels as follows:
i) Consultation at sub-project level
Although it is a requirement according to Zambian regulations that a project proposal/project
brief should be displayed in the town concerned to invite comment from all interested and
affected parties or stakeholders, as will be noted below, there was very little stakeholder
participation in such consultative arrangements..
ii) During preparation of ToRs for the EMP/CEMP/KSDS
Although EMP and CEMP preparation is designed to provide a key forum for the education of
communities about the presence and impact of mine pollution, as is noted below, there was
however very little public participation during preparation of EMP/CEMP/KSDS ToRs.
iii) During drafting of the EMP/CEMP/KSDS
Although it was a requirement that during EMP/CEMP/KSDS preparation the team contracted to
undertake the assignment should obtain feedback from the local level on priorities in the
EMP/CEMP/KSDS, as will be observed below, public participation was not effective.
iv) During review of the EMPs/CEMP/KSDS
CEP has put in place the following measures to enhance public participation for review of its
EMPs/CEMP/KSDS as follows:
• Making full documents available to stakeholders if requested
• Distributing EMPs/CEMP/KSDS to key stakeholders
• Advertising document availability and all planned meetings in good time
• Displaying the EMPs/CEMP/KSDS document in public places in each town for at least
fifteen days
53
• Organising meetings in the Copperbelt and in Kabwe to gather the views of key
stakeholders on the EMPs/CEMP/KSDS after the EMPs/CEMP/KSDS had been available
for at least twenty days.
In addition to the above measures, brief summaries outlining relevant conclusions on mine
pollution and sites to each town’s local authorities, including clear explanations of what is known
about the impact of different types of pollutants on people, animals and vegetation, and including
a presentation of the specific sites in each town, have been made available.
However, as observed below, these measures have not provided an opportunity to stakeholders to
discuss social and environmental issues that affect their sites. Further, the measures did assist to
introduce the concept of participatory site management plans in these areas.
3.5.1.4 No Impact of KCM Communication Lessons
Despite adapting the above measures, as will be noted below, very little is known about the CEP
and its activities in the project areas.
3.5.1.5 Inadequate Institutional Measures to Support ECZ and MSD
Although CEP is supposed to support focused programmes in ZCCM-IH, MSD and ECZ on
training and awareness to bolster the technical capacity of ECZ and MSD, e.g. to review the
EMPs with regard to the disclosure function, ensure adequate stakeholder consultation on the
EMPs, etc., not much has been achieved. A synthesis of institutional strengthening measures for
CEP is analysed in Table 3.2 below:
54
Table 3.2 Review of Institutional Measures Serial
No.
Institutional Measure
Comments on the Measure
1. Need for CEP to build capacity of ZCCM-IH,
MSD and ECZ to undertake long-term
environmental planning and management
including coordination of sub-projects.
Capacity is already built in ZCCM-IH and ECZ. More
capacity-building programmes are still earmarked for
ZCCM-IH and ECZ. Participation of MSD in CEP
sub-project coordination is not satisfactory.
2. Need for CEP to support focused programmes in
ZCCM-IH, MSD and ECZ on training and
awareness, including practical attachments and
promotion of good governance.
CEP supporting focused programmes in ZCCM-IH,
MSD and ECZ on training and awareness. Few
practical attachments have been arranged. Few
programmes on good governance have been arranged.
3. Need to create special units within lead agencies
to deal with environmental matters and make
budgetary provisions for them to function
effectively.
Special units on environmental matters created for
ZCCM-IH. Units already exist in ECZ and MSD
though enhancing capacity of these units is still an
issue.
4. Creation of an enabling environment for project
implementation including combating fraud and
corruption.
No fraudulent activities have so far been reported at
EMF, ECZ and MSD.
3.5.2 Stakeholders’ Feedback during Mid-Term Review Consultations
CEP had its mid-term review in 2006. The objective of the review was to assess the progress
made after implementing a project halfway through its initial project life in order to establish
whether project implementation met the project objectives, performance targets and project
policy frameworks. The review was also targeted at identifying actual and potential problems of
the project and provided a sound basis for restructuring the project design and resource allocation
strategies among other activities.
Box 3.1 below summarises stakeholders’ feedback during mid-term review.
55
Box 3.1: Stakeholder Concerns raised during the CEP Mid-Term Review
• Need for action on the ground now that the project preparation period has been completed
• Need for improvement with respect to the speed of CEP sub-project implementation
• Need for recognition of a shared responsibility and working together
• Need for maximization of community participation
• Need for involvement of locals in sub-project implementation
• Need for continued stakeholder engagement and involvement in CEP implementation
• Need for formalization of a regular stakeholder forum
• Need for more involvement with stakeholders, especially local communities in sub-project implementation
• Need to link CEP to local government initiatives e.g. UN Sustainable Cities program in Kitwe
• Need for use of informal methods of communication to reach more people
• Need for long-term funding of CEP activities Source: GRZ and IDA, 2006. Aide Memoir- Mid-Term Review for the Copperbelt Environment Project
3.5.3 Stakeholders’ Feedback Post-Mid-Term Review Consultations
In addition to the problems identified above, a series of consultative meetings with political,
traditional and other community leaders will be held on the Copperbelt, Kabwe Lusaka and other
mining areas of Zambia in order to further feedback from stakeholders.
3.6 Conclusion
As has been observed in this Chapter, all the measures that were put in place from 2002 to 2005
to ensure sustainability of CEP failed to deliver intended purposes. Financial measures failed to
generate the US $ 150 million deficit. Participation, communication and institutional measures
failed to enhance public participation in CEP activities. Not even the lesson drawn from KCM
assisted to make a difference.
The next Chapter is the Technical and Financial Proposal. The Proposal will take into
consideration concepts and guiding principles on sustainability, sustainable development and
participation propounded in Chapter 1. Lastly, the Proposal will also consider input from
stakeholders during consultative meetings as well as lessons drawn from CEP failure since 2002.
Focus will be on ensuring that political and traditional leaders drive the CEP vessels with
enhance public participation.
56
CHAPTER 4
Technical and Financial Proposal
4.1 Introduction
In this Chapter the Technical and Financial Proposal is presented. The Proposal presents what
will be required to be done to ensure the technical and financial sustainability of CEP from 2006
forward. The format of the Proposal has been developed in accordance with the guidelines on
public participation and project management as outlined by Meyer (2000) and Burger (2005).
To begin with the Chapter presents objectives of the Technical and Financial Proposal. The
objectives provide guidance on what will be gained through this project. Project outputs are also
defined including the scope of work. The scope of work includes among other aspects the
methodology to be used, geographical coverage, range of stakeholders, financial goals, activity
based budget and other technical and financial boundaries of the project. Sustainability
considerations, interdependences in the task environment, prerequisites, assumptions and
constraints likely to directly or indirectly affect the implementation of the project proposal are
also covered.
Lastly, the Chapter presents timescales and format for deliverables including Chapter outline for
the Final Report after this Proposal is executed.
4.2 Project Objectives The objectives of this project are:
i) To enhance public participation in CEP activities, including effective participation of
political and traditional leaders;
ii) To facilitate secure funds for CEP and its stakeholders, mainly from local
opportunities in a sustainable manner;
iii) To enhance communication between CEP stakeholder; and
iv) To ensure CEP activities take place wherever mining is taking place in Zambia.
57
4.3 Project Output Definition
This is a CEP sustainability Project. It will produce sustainability strategies to support the
implementation of CEP activities between 2006 and 2025. These measures will ensure effective
management of environmental liabilities and regulation of the mining sector in Zambia.
4.4 Key Project Outputs
The following are the key outputs of this project:
i) A Public Participation Strategy for CEP which entrenches role of political and
traditional leaders in CEP activities;
ii) A Financial Sustainability Strategy for CEP;
iii) A Communication Strategy for CEP; and
iv) A National Outreach Strategy for CEP.
4.5 Scope Description: Technical, Logistical and Financial
4.5.1 Methodology
A hybrid of participatory research/action research (PAR), evaluation research, empowerment
evaluation and literature reviews are generally regarded as suitable research methodologies in the
African setting (Barbie and Mouton, 2001; Mouton, 2005; Bless and Higson-Smith (2000),
Burger, 2005, Garbers, 1996) and will, therefore, be applied to develop this proposal. Multiple
methods will be applied to collect data. Among data collection methods to be used were
structured and semi-structured individual and group interviews. Other data collection methods
that will be used are questionnaires.
Documentary sources (literature review) will also be consulted. Among the wide range of
literature to be consulted are those related to CEP and impacts of the mines in some selected
mining areas of Zambia (ZCCM-IH, 2000; 2002; 2005; Komex, 2002, WMC, 2006). Other
literature to be reviewed will be that on environmental and financial sustainability (Dresner,
2002; Bartelmus, 1994; MPC, 1999; Nature Conservancy, 1999; EPA, 1998a; 1998b; 2000),
sustainable development (ERM, 2002; Harris et al (1991), stakeholder participation (EIR, 2003;
Meyer and Theron, 2000; Theron and Wetmore, 2005); and national and international regulatory
58
and policy frameworks. Policy and regulatory frameworks to be reviewed include those on
development planning (ERM, 2002; 2002; GRZ, 2003; RSA, 2001; NPS, 2001; MHSPE, 2001;
2002), and public participation in environmental management (EPA, 1997; 1998a; 1998b, 1999; )
Commissioned expert inputs will be solicited. The Internet will also be used.
Plenary and focus group discussions will be used and in some instances personal experience will
be used. Participation records will be generated which will include inventories of participants,
record of proceedings, as well as participant observations, conclusions and recommendations.
Hybrids of public participation methodologies will be adapted from Meyer and Theron (2000)
and Burger et al. (2005). The hybrids will assist the project team to contextualise and
conceptualise issues and strategies for public participation in plenary and focus group discussions
during consultative workshops. The frame for action proposed by Meyer and Theron (2000) and
Burger, et al. (2005) is illustrated in Table 4.1 below.
Table 4.1: Hybrid of methodologies to ‘contextualise’ and ‘conceptualise’ public participation
Method-ology
Activities
1 • Survey of possibilities and scope of work • Identify issues • Workshops on consciousness raising • Identify leadership
• Develop educational material • Link up with other organisations • Link up with issues of national
importance 2 • Analysis of the context of groups
involved • Local contacts and visits • Reflection and analysis
• Structuring of organisation • Integration with local associations • Contextualising constitutional and
legislative imperatives
3 • Mobilisation for self-analysis • Facilitation of group action • Identification of internal cadres
• Forging links among organised groups • Progressive advance
4 • Coming together • Forming nucleus • Beginning an activity • Consolidation
• Self-reliance • Transfer of power • Sovereignty
5 • Build up the organisation of the groups • People-centred development approach • Analysis of socio-economic reality of
groups • Development of critical consciousness
• Formation of new leaders • Develop links of solidarity with other
sectors • Active involvement in all other relevant
groups • Bottom-up approach
Adapted from Meyer and Theron (2000) and Burger, et al. (2005)
59
4.5.2 Geographical Coverage The coverage for this project will be all mining areas in Zambia. Identified mining areas are listed
in Table 4.2 below.
Table 4.2: Geographical Coverage and Rapid Communication Assessment Table
No
District Venue Date No. of
Persons To be
Consulted
No. of Persons
Aware of CEP
1 Masaiti Council Chamber 19 April 2006 30 2 Kitwe Edinburgh Hotel 21 April 2006 30 3 Chililabombwe Council Chamber 24 April 2006 30 4 Mufulira Council Chamber 25 April 2006 30 5 Luanshya Council Chamber 26 April 2006 30 6 Mpongwe Mpongwe Basic
School 27 April 2006 30
7 Kalulushi Council Chamber 28 April 2006 30 8 Lufwanyama Kalumbwa Basic
School 2 May 2006 30
9 Chingola Council Chamber 3 May 2006 30 10 Kabwe Council Chamber 4 May 2006 30 11 Ndola Mukuba Hotel 5 May 2006 30 12 Lusaka Several Venues March-June, 2006 30 13 Lundazi Council Chamber 14 August 2006 30 14 Chipata Council Chamber 15 August 2006 30 15 Katete Council Chamber 16 August 2006 30 16 Mazabuka Council Chamber 18 August 2006 30 17 Maamba Council Chamber 21 August 2006 30 18 Mapatizya Council Chamber 22 August 2006 30 19 Mumbwa Council Chamber 23 August 2006 30 20 Mkushi Council Chamber 24 August 2006 30 21 Serenje Council Chamber 25 August 2006 30 22 Mpika Council Chamber 28 August 2006 30 23 Solwezi Council Chamber 31 August 2006 30 24 Mwinilunga Council Chamber 1 September 2006 30
60
4.5.3 Project Target Groups
The strategies are aimed at drawing support and enhancing the participation of various interest
groups to address the historical and current impacts of mining. Focus will be politicians and
traditional leaders. These will include areas Members of Parliament (MPs) and portfolio MPs
sitting on Parliamentary Select Committees responsible for environment, mining and public
expenditure. Others are permanent secretaries and technocrats at Ministries responsible for
finance, mines, and environment, justice and water resources.
At provincial level, support is drawn from permanent secretaries responsible for provinces as
well as from chief officers responsible for provincial development planning.
At district level, effective participation of traditional leaders, district commissioners (DCs),
mayors, town clerks, district planning officers (DPOs), councillors and Resident Development
Committee (RDC) representatives, including sector departments of government, is considered.
Further, the participation of traditional councillors in CEP activities at district level will also
harnessed. And lastly, the effective participation of non-governmental organizations (NGOs),
community-based organizations (CBOs) and faith-based organizations (FBOs) at grassroots
levels will be taken into consideration.
The number of stakeholders to participate in each district will be as indicated in Table 4.2 above.
A rapid communication assessment of stakeholders in relation to their understanding of CEP will
be the first stakeholder assessment to be undertaken at district meetings.
4.5.4 Scope of Work The following tasks will be undertaken:
a) Gather and review all existing relevant ZCCM-IH in-house and GRZ documentation;
b) Study available historical information/data on public participation in CEP projects;
c) Discuss and agree with political and traditional leaders on the mechanisms for information
sharing and participatory process;
61
d) Review current funding mechanisms for CEP;
e) Review Zambia’s relevant existing and pending environmental and mining legislation, as well
as district, provincial and national development planning policies and structures;
f) Review Zambia’s strategies for developing, adoption and implementation of developing plans
at constituency, district and national levels;
g) Review Zambia’s revenue frameworks for environmental protection as well as its revenue
appropriation policies;
h) Review existing baseline reports including but not limited to the Consolidated Environmental
Management Plan (CEMP) 1 and 2, Interim Environment Management Plan (IEMP), CEP
PIM, topical reports, Kabwe Scoping and Design Study (KSDS) Phase 1, II and III and Risk
Communication Phase I reports, the Community Development Strategy, CEP Project
Appraisal Documents (PADs), the Development Financing Agreement (DFA) and any other
document that may be deemed necessary to undertake this project successfully;
i) Identify and inventory all potential stakeholders from GRZ, parliament, the political arena,
local government, traditional leadership, NGOs and others in mining areas of Zambia;
j) Undertake a rapid communication assessment of stakeholders in relation to their
understanding of CEP, and develop and implement a sustainable Public Participation Strategy
for all stakeholders, focusing on political and traditional leaders, so as to ensure their
effective participation in CEP projects;
k) In liaison with the Communications Officer at ZECU, develop outreach strategies that will be
used to communicate to stakeholders in meetings, including but not limited to focus group
meetings, one-on-one meetings or workshops, depending on the needs of specific groups;
l) Develop necessary communication material for stakeholders;
m) Identify local opportunities for funding of CEP activities;
62
n) Secure support from political and traditional leaders for CEP integration in district, provincial
and national development plans;
o) Develop an effective strategy to engage these stakeholders country-wide in future
programmes and activities;
p) In developing a national outreach strategy, close liaison with ECZ and MSD is essential to
ensure that stakeholders reach consensus on and participate fully in the strategies;
q) Through political and traditional leadership, lobby GRZ to ensure that some funds from the
Environmental Protection Fund and the Fifth National Development Plan are allocated to
CEP for its activities;
r) Assess the adequacy of measures for participation of political and traditional leaders in
developing and implementing EMPs – EMPs to be assessed include mine investor EMPs, as
well as ZCCM-IH’s IEMP, counterpart EMPs, CEMP 1 and 2, KSDS 1, 2 and 3 activities;
s) Identify and harness potential sources of funding for CEP, NGOs and CBOs and other
stakeholders from local opportunities to ensure long-term sustainability of CEP activities;
t) Develop and implement a Public Participation Strategy for CEP mitigation activities;
u) Develop and implement a Financial Sustainability Strategy for CEP stakeholders;
v) Develop and implement a Communication Strategy for CEP mitigation activities;
w) Develop and implement a National Outreach Strategy for CEP mitigation activities;
x) Develop a detailed activity-based budget and work plan to be submitted to ZECU for
approval before commencement of the project;
y) Arrange all logistics needed for meetings and workshops at which ZECU and other key
stakeholder will give talks or make presentations;
z) Facilitate these meetings and workshops to ensure that intended objectives are met; and
aa) Keep a record of all proceedings.
63
4.5.5 Technical and Logistical Proposals
Table 4.5.5.1: Proposed Project Goals
WHAT
HOW
WHO
GOAL
WHEN
• Public Participation
Strategy • Communication
Strategy • National Outreach
Strategy
- Lobby - Consultations -Meetings and interviews -Travel -Communications
All stakeholders/ Consulting Team
Enhanced awareness and participation in CEP activities
2007-2030
Financial Strategy
• Integration of CEP National Development Plan
-Lobby - Consultations -Meetings and interviews -Travel -Communications
Consultant 1
US $30 Million
2006-2011
US $10 Million
2006-2011
• Environmental Protection Fund
-Lobby - Consultations -Meetings and interviews -Travel -Communications -Workshops
Consultant 1
US $ 100 Million
2012-2030
US $ 5 Million
2012-2030
• Enterprise Development Facility
-Lobby - Consultations -Meetings and interviews -Travel -Communications
Consultant 1
US $ 20 Million
2006-2011
US $ 5 Million
2006-2011
• Trade and Enterprise Support Facility
-Lobby - Consultations -Meetings and interviews -Travel -Communications
Consultant 1
US $ 20 Million
2012-2030
US $ 10 Million
2006-2011
• Joint Partnership Development Fund
-Lobby - Consultations -Meetings and interviews -Travel -Communications
Consultant 1
US $ 40 Million
2012-2030
64
US $20 Million
2006-2011
• Mining Community Development Fund
-Lobby - Consultations -Meetings and interviews -Travel -Communications
Consultant 1
US $ 120 Million
2012-2030
US $ 20 Million
2006-2011
• Mineral Royalty Tax
-Lobby - Consultations -Meetings and interviews -Travel -Communications -Workshops
Consultant 1
US $ 120 Million
2012-2030
Table 4.5.5.2: Proposed Activities for Component 1 and 3
WHERE WHAT HOW WHO WHEN
Kitwe
Consultation • Inception activities • Literature review • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews
Team/ZECU/30
7 days
Lusaka
Consultation • Literature review • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ZECU/30
7 days
Ndola
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ZECU/30
days
65
• Information sharing • Way forward
Chingola
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ZECU/30
2 days
Chililabombwe
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ZECU/30
2 days
Mufulira
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ ZECU/30
2 days
Lufwanyama
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ ZECU/30
2 days
Mpongwe
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ ZECU/30
2 days
66
Kalulushi
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ ZECU/30
2 days
Masaiti
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ ZECU/30
2 days
Kabwe
Consultation • Stakeholder
Identification • Stakeholder Analysis • Institutional Analysis Participation • Situation Analysis
validation • Information sharing • Way forward
• Meetings • Transport and
Communication • Desk study • Interviews • Lodge and Board (B&L)
Team/ ZECU/30
2 days
Table 4.5.5.3: Proposed Plan for Component 1 and 3 Meetings
ACTIVITY/TASK WHAT HOW WHO WHEN Introductions Context setting Present CEP/dialogue
Consultant/ ZECU
1 hour
Sub-component 1 Validation of environmental problems/issues
Presentation/dialogue Consultant
30 min
Sub-component 2 National Policy and Regulatory Frameworks
Present frameworks/ dialogue Consultant
1hour
Sub-component 3 Institutional Frameworks Present frameworks/dialogue Consultant 30 min Sub-component 4: Areas of Participation
Present frameworks/dialogue Consultant 30 Min
Sub-component 5 Technical Assistance (CBEP)
Present frameworks/dialogue Consultant 30 min
Sub-component 6 Interactive Meetings- Focus Group Meetings
Introduction to group work/dialogue
Consultant 1hour
Sub-component 7 Plenary
Present recommendations/dialogue
Consultant/ZECU
1 hour
Sub-component 8 Way forward on participation
Synthesize recommendations/dialogue
Consultant
30 min
67
Table 4.5.5.4: Proposed Activities for Component 3
PROVINCE LOCATION TRAVEL WHAT WHO WHEN Consultation Consulting Team 1 day Southern
Mapatizya
1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day
Maamba
1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Mazabuka 1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Central Mumbwa 1 days Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Mkushi 1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Serenje 1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Northwestern Solwezi Kansanshi, Lumwana
1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Mwinilunga 2 days Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Northern Mpika 1 day Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Eastern Lundazi 2 days Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Chipata 2 days Participation Consulting Team/ZECU/30
participants 1 day
Consultation Consulting Team 1 day Katete 2 days Participation Consulting Team/ZECU/30
participants 1 day
68
Table 4.5.5.5: Proposed Time Plan for Component 1
Week 1 Week 2 Week 3 Week 4 Week 5
Activity 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35
Kitwe Chingola Chililabombwe Ndola Mufulira Kalulushi Lufwanyama Masaiti Luuanshya Mpongwe Kabwe Lusaka
69
Table 4.5.5.6: Proposed Time Plan for Component 2
Activity week 1
week 2
week 3
week 4
week 5
week 6
week 7
week 8
week 9
week 10
week 11
week 12
week 13
week 14
week 15
5th National Development Plan
Environmental Protection Fund
Enterprise Dev. Facility
Trade and Enterprise Support Facility
Joint Development Fund
Mining Community Development Fund
Mineral Royalty Tax
70
Table 4.5.5.7: Proposed Time Plan for Component 3
Activity WEEK 1 WEEK 2 WEEK 3 WEEK 4 WEEK 5 WEEK 6
Desk study
Mapatizya
Maamba
Mazabuka
Mumbwa
Mkushi
Serenje
Solwezi
Mwinilunga
Mpika
Lundazi
Chipata
Katete
71
Table : 4.5.5.8 Proposed Time Plan for Project Staff
Number of Project Man days Available for Tasks
Resource Person Position 0 16 32 48 64 80 96 112 128 144 182 Number of Man Days
Consultant 1 Lead Consultant 182
Consultant 2
Assistant Lead Consultant 104
Assistant 1
Assistant dealing with data collection on planning/environmental issues
44
Assistant 2 Assistance dealing with financial issues
44
Assistant 3
Assistant dealing with logistics such as travel, communications etc.
44
Assistant 4
Assistant dealing data collection on Legal and policy frameworks
44
GRAND TOTAL
462
75
Table 4.5.5.12: Proposed Logistics Plan for Component 1 and 2
WHERE WHEN WHO WHAT Kitwe 7 days
Team &30 participants, ZECU
Travel, Comm., refresh., stationery
Chingola 2 days
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Chililabombwe 2 days
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Ndola 2 days
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Kalulushi 2 days
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mufulira 2 days
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Lufwanyama 2 days
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Masaiti 2 days
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mpongwe 2 days
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Kabwe 2 days
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Lusaka 7 days
Team& 90 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Key: Comm. – Communication Refresh- Refreshments B & L- Bed and Lodge Team- Consulting Team
76
Table 4.5.5.13: Proposed Logistics Plan for Component 3
WHERE WHEN WHO WHAT Lundazi 1 day
Team &30 participants, ZECU
Travel, Comm., refresh., stationery
Chipata 1 day
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Katete 1 day
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mazabuka 1 day
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Maamba 1 day
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mapatizya 1 day
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mumbwa 1 day
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mkushi 1 day
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Serenje 1 day
Team&30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mpika 1 day
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Solwezi 1 day
Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Mwinilunga 1 day Team& 30 participants, ZECU
Travel, Comm., refresh., stationery, B & L
Key: Comm. – Communication Refresh- Refreshments B & L- Bed and Lodge Team- Consulting Team
77
Table 4.5.5.14: Proposed Activity Based Budget for Component 1
Resource Person
days/unitsRate in US $ per day
ExchangeRate in ZAR
Amount US ($ )
Remarks
1 - Professional Fees Consultant 1 35 250 6.5 8750 Consltant 2 35 250 6.5 8750 Assistant 1 20 100 6.5 2000 Assistant 2 20 100 6.5 2000 Assistant 3 20 100 6.5 2000 Assistant 4 20 100 6.5 2000
Total Professional Fees 6.5 25500 Equivalent in ZAR= 165,750
2 – Transport expenses
A. Participants
Kitwe 60 20 6.5 1200 30 participants x 2 days Chingola 60 20 6.5 1200 30 participants x 2 days Chililabombwe 60 20 6.5 1200 30 participants x 2 days Ndola 60 20 6.5 1200 30 participants x 2 days Kalulushi 60 20 6.5 1200 30 participants x 2 days Mufulira 60 20 6.5 1200 30 participants x 2 days Lufwanyama 60 20 6.5 1200 30 participants x 2 days Masaiti 60 20 6.5 1200 30 participants x 2 days Luuanshya 60 20 6.5 1200 30 participants x 2 days Mpongwe 60 20 6.5 1200 30 participants x 2 days Kabwe 60 20 6.5 1200 30 participants x 2 days Lusaka 180 20 6.5 3600 30 participants x 2 days
Total participants 420 30 6.5 16800 Equivalent in
ZAR=109,200 B. Consulting Team
Car Hire 35 90 6.5 3150 Fuel 1.5/Km 2500 6.5 3750
Total 6.5 6900 Equivalent in
ZAR=44,850 3.-Communication Phone scratch card 67 30 6.5 2000 Fax/E-mail 17 30 6.5 500
Total
6.5
2500
78
Resource Person
days/unitsRate in US $ per day
ExchangeRate in ZAR
Amount US ($ )
Remarks
4. Stationary Writing Pads 450 3.33 6.5 1500 Catridge 5 100 6.5 500 Paper 20 6.6 6.5 60 Pens 450 0.15 6.5 70 pencils 450 0.15 6.5 70 Markers 20 1.0 6.5 20 Flip charts 10 5.0 6.5 50 LCD purchase 1 2000 6.5 2000
Total Stationery 6.5 3870 Equivalent in
ZAR=25,155 5. Lunch & Refreshments
Kitwe 72 20 6.5 1440 Chingola 72 20 6.5 1440 Chililabombwe 72 20 6.5 1440 Ndola 72 20 6.5 1440 Kalulushi 72 20 6.5 1440 Mufulira 72 20 6.5 1440 Lufwanyama 72 20 6.5 1440 Masaiti 72 20 6.5 1440 Luuanshya 72 20 6.5 1440 Mpongwe 72 20 6.5 1440 Kabwe 72 20 6.5 1440 Lusaka 192 20 6.5 3840
Total Lunch & Refreshments 984 20
6.5
19680
Equivalent in ZAR=127,920
6. Board & Lodge
Copperbelt Towns 21 80 6.5 10080 6 persons Lusaka 7 100 6.5 4200 6 persons
Total Board & Lodge
14280 Equivalent in ZAR=92,820
7. Reports Production
Hard Copies 26 250 6.5 1000 2 days x 2 persons Electronic copies 1 250 6.5 250 Total Reports 1250 Equivalent in
79
Resource Person
days/unitsRate in US $ per day
ExchangeRate in ZAR
Amount US ($ )
Remarks
Production 6.5 ZAR=8,125 Sub-Total
6.5
90780 10% Contingency 9078
Total Component 1 6.5 99858
Equivalent in ZAR=649,077
Table 4.5.5.15: Proposed Activity Based Budget for Component 2
Resource Person
days/unitsRate in
US $
ExchangeRate in ZAR
Amount in US $
Remarks
1 - Professional Fees Intergration of CEP in National Development Plan 60 250
6.5 15000
Consultant 1
Operationalization of the Environmental Protection Fund
15
250 6.5
7500
Consultant 1 & 2
Operationalization of the Enterprise Development Facility
5
250 6.5
1250
Consultant 1
Operationalization of the Trade and Enterprise Support Facility
4
250 6.5
1000
Consultant 1
Operationalization of the Joint Development Fund 4
250
6.5
1000
Consultant 1
Operationalization of the Mining Community Development Fund
5
250 6.5
1250
Consultant 1
Operationalization of Mineral Royalty Tax Appropriation Bill
15
250 6.5
7500 Consultant 1 & 2
Total 6.5 34500 Equivalent in ZAR=224,250
2 – Transport expenses
Consulting Team
80
Resource Person
days/unitsRate in
US $
ExchangeRate in ZAR
Amount in US $
Remarks
Car Hire 108 90 6.5 9720 Fuel 1.5/Km 2500 6.5 3750
Total 6.5 13470 Equivalent in
ZAR=87,555 3.-Communication Phone scratch card 50 30 6.5 1500 Fax/E-mail 3.33 30 6.5 100 Total 1600 4. Stationary Paper 2 6.6 6.5 15 Total Stationery 15 6. Board & Lodge
Lusaka 60 100 6.5 6000 Total Board & Lodge 6000 7. Reports Production
Hard Copies 8 250 6.5
2500 5 days for Consultant 1 & 2
Electronic copies 1 250 6.5 250 Total Reports Production 2750 Sub-Total
58335 10% Contingency 6.5 5833.5
Total component 2
64,168.5 Equivalent in ZAR=417, 095.25
81
Table 4.5.5.16: Proposed Activity Based Budget for Component 3
Resource Person
days/unitsRate in
US $
ExchangeRate in ZAR
Amount in US $
Remarks
1 - Professional Fees Team Leader 39 250 6.5 9750 Environmental and Capacity Expert
39 250 6.5 9750
Assistant 1 24 100 6.5 2400 Assistant 2 24 100 6.5 2400
Assistant 3 24 100 6.5 2400
Assistant 4 24 100 6.5 2400
Total Professional Fees 6.5 29100 Equivalent in ZAR=189,150
2 – Transport expenses
B. Participants
Mapatizya 30 20 6.5 600 Maamba 30 20 6.5 600 Mazabuka 30 20 6.5 600 Mumbwa 30 20 6.5 600 Mkushi 30 20 6.5 600 Serenje 30 20 6.5 600 Solwezi 30 20 6.5 600 Mwinilunga 30 20 6.5 600 Mpika 30 20 6.5 600 Lundazi 30 20 6.5 600 Chipata 30 20 6.5 600 Katete 30 20 6.5 600 Total transport Participants
6.5 7200
Equivalent in ZAR=46,800
B. Consulting Team
Car Hire Fuel Eastern Province 1900 1.5/Km 6.5 2850 Fuel southern province 700 1.5/Km 6.5 1050 Fuel Central province 784 1.5/Km 6.5 1176 Fuel Northern Province 1300 1.5/Km 6.5 1950 Fuel Northwestern province 1026 1.5/Km 6.5 1539 Total transport consulting team
8565
82
Resource Person
days/unitsRate in
US $
ExchangeRate in ZAR
Amount in US $
Remarks
3.-Communication Phone scratch card 67 30 6.5 2000 Fax/E-mail - - - -
Total 2000 Equivalent in
ZAR=13,000 4. Stationary Writing Pads 400 3.33 6.5 1320 Paper 10 6.6 6.5 70 Pens 400 0.15 6.5 60 pencils 400 0.15 6.5 60 Markers 20 1.0 6.5 20 Flip charts 22 5.0 6.5 110
Total Stationery 6.5 1640 Equivalent in ZAR=
10, 660 5. Lunch & Refreshments
Mapatizya 36 20 6.5 720 Maamba 36 20 6.5 720 Mazabuka 36 20 6.5 720 Mumbwa 36 20 6.5 720 Mkushi 36 20 6.5 720 Serenje 36 20 6.5 720 Solwezi 36 20 6.5 720 Mwinilunga 36 20 6.5 720 Mpika 36 20 6.5 720 Lundazi 36 20 6.5 720 Chipata 36 20 6.5 720 Katete 36 20 6.5 720
Total Lunch & Refreshments 432 20
6.5
8640
Equivalent in ZAR= 56,160
6. Board & Lodge
Eastern Province 6 80 6.5 2880 6 persons/Team Southern province 6 80 6.5 2880 6 persons/Team Central province 6 80 6.5 2880 6 persons/Team Northern Province 2 80 6.5 960 6 persons/Team Northwestern province 4 80 6.5 1920 6 persons/Team
83
Resource Person
days/unitsRate in
US $
ExchangeRate in ZAR
Amount in US $
Remarks
Total Board & Lodge 6.5
11520 Equivalent in ZAR= 74,880
7. Reports Production
Hard Copies 13 250 6.5
1000 Consultant 1 & Consultant 2
Electronic copies 1 250 6.5 250
Total Reports Production 6.5
1250 Equivalent in ZAR= 8, 125
Sub-Total
69915 10% Contingency 6991.5
Total component 3
76906.5 Equivalent in ZAR= 499, 892.25
Table 4.5.5.17: Summary of Proposed Activity Based Budget for Component 1, 2 & 3
Component No. of person days
Exchange rate in ZAR
Amount in US $
Remarks
1 35 6.5 99858.5 Equivalent in ZAR= 649, 080.25
2 108 6.5 64168 Equivalent in ZAR= 417, 092
3 39 6.5 76906.5 Equivalent in ZAR= 499, 892.25
Grand Total 182 6.5 240933 Equivalent in ZAR= 1, 566, 064.50
84
Table 4.5.5.18: Stakeholder Analysis for Components 1 & 3
STAKEHOLDER ANALYSIS CHART
GOAL: To enhance awareness on CEP and secure support from political and traditional leaders of CEP activities
Stakeholders Attitude Influence Estimate Confidence Estimate Confidence
Actions
The President of the Republic of Zambia
M ? H + Secure grass-root support before approaching him
Minister of Finance and National Planning
H + H + Meeting after Inception Report to discuss findings
Minister of Mines and Minerals Development
H + H + Meeting after Inception Report to discuss findings
Minister of Justice
M ?? H ? Seek advice from Ministers of Finance and Mines before meeting the Minister of Justice
Members of Parliament from mining areas
H + H + Meet them together with their constituency officials during consultative meetings
Councilors from wards in mining areas
H + H + Preference for councilors to participate in programme should be those whose wards are highly negatively impacted by mining activities
Traditional leaders from mining areas
H + L ?? Preference for traditional leaders to participate in programme should be those whose chiefdoms are highly negatively impacted by mining activities and meanwhile not receiving a share of mineral royalty
Adapted from Burger et al (2005)
Key for Attitude and confidence:
• H= High; this person or group is strongly in favour M= Medium; this person or group is weakly in favour
• L= Low; this person or group is indifferent or undecided VL= Very Low; this person or group is weakly opposed
• VVL= Very, Very Low; this person is strongly opposed + = You are fully confident with your estimate
• ?= You are reasonably confident ( you have some missing information, or some doubts) ??= You are making an informed guess • ???= Wild guess or sheer fantasy
Key for Influence
• H= High; this person or group has power of veto, formally or informally • M= Medium; this person or group is quite influential but you could probably achieve your goals against the opposition of this group
though not easily so • L= Low; this person or group can do little to influence the outcomes of your action
85
Table 4.5.5.19: Stakeholder Analysis for Component 2
STAKEHOLDER ANALYSIS CHART
GOAL: To secure support for financial sustainability of CEP activities post 2008
Stakeholders Attitude Influence Estimate Confidence Estimate Confidence
Actions
The President of the Republic of Zambia
M ? H + Need to have audience with President and secure his support prior to tabling of motions to amend some Laws
Minister of Finance and National Planning
H + H + Need to have audience with Minister and secure his support to originate proposals on motions to amend some Laws
Minister of Mines and Minerals Development
H + H + Need to have audience with Minister and secure his support to originate proposals on motions to amend some Laws
Minister of Justice
M ? H ? Need to secure support of Ministers of Finance and Mines before seeking audience with him for proposals on motions to amend some Laws
Members of Parliament H ? H + Need to have audience with MPs and secure their support prior to tabling of motions to amend some Laws
Councilors/ RDC representatives
H + H + Meet them together with their MPs during consultative meetings
Traditional leaders M ?? H + Meet them together with their MPs during consultative meetings, include them on delegations to meet Ministers and the President
Government officials M ? H + Secure their support on motions to amend laws and development planning issues
The World Bank H + H + Secure support of World Bank on all proposals
ZECU H + M + Engage ZECU to influence large-scale mining companies on issues arising from this project that will or has potential to affect these companies
COMESA M ? M ? Lobby to get COMESA on board relating issues targeted at small-scale mining
NGOs and CBOs H + M + Secure their support of CEP and its activities as well as proposed measures for sustainability of activities
86
Large mining Companies
L + H + Secure their support of CEP and its activities as well as proposed measures for sustainability of activities
Small mining Companies
M ? L + Secure their support of CEP and its activities as well as proposed measures for sustainability of CEP activities related to their sector
Community M + L + Secure their support of CEP and its activities as well as proposed measures for sustainability of the activities. Enhance their participation in and benefit from CEP activities
Adapted from Burger et al (2005)
Key: Same as for Stakeholder analysis for Components 1 and 3 above
87
Table 4.5.5.20: Project Risk Analysis
Risk No.
Risk Description Risk Probability 1 to 9
Risk Impact/ Ranking
Mitigation Measure Responsibility
1 Inadequate cooperation from Political and Tradition leaders To participate in the programmes
4 M Tactical Lobbying considering that 2006 is election year
Consultant 1
2 Delays by the Client to disburse funds On time
4 M Ensure responsible staff are aware of the urgency of the programme
EMF/ZECU Managers
3 Delays to process/approve submissions/deliverables from the Consultant by appropriate by Client
7 H Ensure responsible staff are aware of the urgency of the programme
ZECU Manager
4 Inadequate cooperation from government officials responsible for drafting/originating national plans, policies, bills
7 H Tactical Lobbying Consultant 1/ EMF Manager
5 Inadequate cooperation from proposed private sector to facilitate financial support
2 L Tactical Lobbying Consultant 1
6 Parliament dissolved before the Mines and Minerals Act is amended so as to facilitate for transformation of EMF and mineral royalty Appropriation arrangements
8 H Ensure timely execution of the project timelines
Consultant 1 ZECU Manager
7 Inadequate cooperation from mining sector to contribute to EPF and MCDF
9 H Tactical Lobbying Consultant 1 ZECU Manager
88
Table 4.5.5.21: Project Evaluation and Monitoring: Logical Framework
NARRATIVE SUMMARY
ASSUMPTIONS INDICATORS MEANS OF VERIFICATION
GOALS Long-term political and financial support for CEP activities at regional and national levels
-Political and traditional leaders will cooperate when invited to participate -The invitations for participation of these leaders will not clash with their other programmes - Political leaders do not politicize CEP activities at workshops considering that the year of execution of the project (2006) is an election year in Zambia
-Effective participation of these leaders at workshops - The leaders express support of CEP activities during deliberations at workshops -These leaders move motions in support of CEP related activities during their deliberations at DDCC, PDCC, Parliamentary levels
-Attendance lists for workshops held -Minutes of meetings and workshop reports -Hansards -Policies, laws, and resolutions passed in favour of CEP activities - Statements in public media in support of CEP activities
PURPOSES
Sustainability of CEP activities after 2008
-The objectives of CEP will still be valid after 2008 -Leaders will still be in support of CEP after 2008
- Continuation of CEP activities after 2008 - Availability of funds to support CEP activities after 2008
- Contracts awarded - Reports (daily, monthly and annual) on works executed -Bank statements - Financial Statements and Audit Reports
OUTPUTS Long-term political and financial strategies for CEP activities
- The strategies will be supported by political and traditional leaders -The strategies will deliver the desired goals
- Long-term political and financial support for CEP activities from political and traditional leaders
- Copy of the participation strategy for political and traditional leaders - Copy of financial strategy for CEP
ACTIVITIES Hold consultations and develop the sustainability strategies
No assumptions
Activity Gantt Chart
-Attendance lists - Workshop Reports - Project progress Reports
INPUTS -Commitment -Resources (funds, workshop materials, human, means of communication, time)
No assumptions
-Award of Project Contract - Release of funds for effective execution of project activities
- Copy of Project Contract - Bank statements - Invoices for project requirements procured
89
Table 4.5.5.22: Timescale for Deliverables and Format
Deliverables will be delivered as indicated in the Table below:
DELIVERABLE FORMAT PERSON ACCOUNTABLE
TARGET DATE FOR COMPLETION
PERSON RESPONSIBLE FOR REVIEWING/SIGNING OFF
Inception Report Print and electronic
Consultant 31st March, 2006 ZECU/ Consultant
Detailed Work Plans
Print and electronic
Consultant 31st March, 2006 ZECU/Consultant
Detailed Stakeholder Inventories
Print and electronic
Consultant 31st March, 2006 ZECU/Consultant
District Reports
Print and electronic
Consultant
30th June, 2006 for Component 1 and 31st August, 2006 for Component 3
ZECU/Consultant
Public Participation Strategy
Print and electronic
Consultant
30th June, 2006 ZECU/Consultant
Financial Sustainability Strategy
Print and electronic
Consultant
30th June, 2006 ZECU/Consultant
Communication Strategy Print and electronic
Consultant
30th June, 2006 ZECU/Consultant
National Outreach Strategy Print and electronic
Consultant
31st August, 2006 ZECU/Consultant
Composite Sustainability Report
Print and electronic
Consultant
30th September, 2006
ZECU/Consultant
Monthly Progress Reports Print and electronic
Consultant
31st August, 2006- 31st September, 2008
ZECU/Consultant
90
4.6 Sustainability Considerations for the Project
As noted above, the contribution of mining to the local and national economy is very significant.
For economic reasons, continuing with mining activities is therefore justified. It is further noted
that mining does cause a wide range of environmental, health and social problems in mining
areas. If environmental, health and social problems caused by mining activities remain
unaddressed, even though economic benefits accrue, mining immediately becomes unsustainable.
Under those circumstances, mining activities become unjustified.
CEP was created to address historical environmental, health and social mitigation in mining
areas. It is charged with the responsibility of improving compliance in the mining sector in terms
of environmental and social impact regulation. If CEP effectively fulfils its objectives, then
environmental and social problems caused by mining activities will be addressed. In such a case,
continuing with mining activities becomes justified.
This project is aimed at reducing the ‘footprint’ of mining sustainably. It does not have a negative
impact on the environment and society. Rather, this project will bring about positive benefits to
mining communities around Zambia
4.7 Interdependencies of the Sustainability Strategies in the Task Environment
This project has been assessed to ensure horizontal and vertical alignment of CEP activities in the
context of the Decentralization Policy of 2002, the National Vision 2030 and other policy
frameworks of Zambia. Further, this project has been assessed to ensure consistency with
statutory imperatives, including the Constitution of Zambia, the Environmental Protection and
Pollution Control Act (EPPCA), the Mines and Minerals Act and other regulatory frameworks.
The project has also been assessed to ensure consistence with international law and policy such as
Convention on Biological Diversity (CBD) Millennium Development Goals (MDGs).
This project has also been assessed to ensure consistency with the development planning roles of
Provincial Development Coordinating Committees (PDCCs), District Councils, District
Development Coordinating Committees (DDCCs), Resident Development Committees (RDCs)
and Area Development Committees (ADCs).
91
Moreover, there have been consultations with ECZ, MSD and other stakeholders to ensure that
their inputs are taken into consideration on the national outreach programme for this project.
4.8 Project Prerequisites, Assumptions and Constraints
As noted above, although CEP has been operational for over three years, the sustainability of
CEP activities after 2008 may be inhibited by inadequate public participation and funds.
Therefore, unless CEP sustainability is addressed, CEP activities may not be sustained beyond
2008. The mining economic sector may not promote environmentally sustainable economic
growth after 2008.
4.8.1 Prerequisites
If certain strategies are to be effective, laws supporting such proposed strategies will have to be
amended or enacted, which will require the support of at least two-thirds of councillors or MPs,
whichever the case may be. Furthermore, draft laws must be supported by the Portfolio Ministers
in the case of statutory instruments and byelaws, and the Republican President in the case of Acts
of parliament. Political-will in CEP activities is therefore one of the key prerequisites for this
project.
4.8.2 Assumptions
In Zambia, 2006 is the year for municipal, parliamentary and presidential elections. Political
leaders generally tend to support developmental projects as a trade-in for political support in the
lead-up to elections.
Assuming that CEP motions are tabled in council chambers and parliament this year, the
probability is very high that political leaders will support those motions. Political support for
CEP motions is likely to be a means by which political leaders win political favour from
electorates in the up-coming elections. If such a scenario obtains, then outputs for this project will
be valuable to CEP in that some of them are likely to end up as legal frameworks to back CEP
sustainability activities.
92
4.8.3 Constraints
As indicated above, some outputs for this project will require enabling legal frameworks. One
constraint regarding legal frameworks concerns the process for the enactment of a law in Zambia.
Legal frameworks take too long to enact due to the bureaucratic procedures involved.
Secondly, according to Parliamentary Rules and Procedure in Zambia, one way to table motions
in parliament is through GRZ. Although CEP is a GRZ project, the initiative to develop outputs
for this project is not a GRZ initiative per se. If GRZ tables motions in parliament, it meets the
entire expenses incidental to the enactment of the proposed law. Since this project is not a GRZ
initiative per se, and considering that GRZ operates on cash budget, it is unlikely that GRZ will
set aside funds to support this project. If that scenario obtains, then lack of funds on the part of
GRZ may be a constraint in getting some of this project’s outputs operationalised.
The other option for tabling motions in parliament is through MPs. Members of the public are not
allowed to table motions in parliament. According to Parliamentary Rules and Procedure in
Zambia, members of public can table motions through their MPs by way of a Private Member’s
Motion. Even though this is a much faster route, its main disadvantage is that MPs who table
motions through this route need to meet all the costs relating to the legal drafting, publication and
distribution of the motion in parliament.
This project did not include a budget for the use of the Private Members’ Motion route.
Therefore, no resources are available for it. Moreover, Private Member’s Motions are hardly ever
successful in the Zambian parliamentary context.
93
4.9 Chapter Outline for the Final Report
When this Technical and Financial Proposal is implemented, the following are chapters that will
form the Final Report:
Chapter 1:
In Chapter 1 key words and terms used in the Report will be defined. In addition, this chapter will
give an outline of general concepts underpinning strategy formulation. Policy and regulatory
frameworks to guide future CEP activities will also be outlined here.
Chapter 2:
This chapter will introduce CEP. It will outline CEP background and conceptual framework,
including its genesis, its initial scope and project timeframes, its sources of funds, agencies
executing CEP and goals intended to be achieved through CEP. The Chapter will also cover
justification for continued mining and the need for sustainable regulation of the mining sector.
Lastly, the Chapter will provide key benchmarks and milestones expected to be attained if mining
areas in Zambia has to attain sustainable development.
Chapter 3:
This chapter will provide a review of CEP approaches to sustainability in the past. Key
sustainability aspects that will be reviewed here are public participation at local, regional and
national levels including financial and stakeholder communication. Flaws in past approaches will
also be identified here.
Chapter 4:
This Chapter will provide the new approaches to sustainability from 2006 forward. The
methodology employed to develop the new strategies will also be elaborated in the Chapter.
Lastly, Chapter 4 will identify areas where CEP future programmes will be executed
countrywide, including target groups and institutions.
94
Chapter 5:
From Chapter 5 forward will be contained new sustainability strategies for CEP from 2006
onwards. Focus for all the new strategies will be on enhancing the involvement of political and
traditional leaders in CEP activities.
Chapter 5 will contain the Public Participation and Communication Strategies. The role of
central, local and traditional authorities in the management of CEP issues and activities will be
clearly defined. This Chapter will also contain the communication instruments that will be used
to enhance stakeholder participation in CEP activities from 2006 forward.
Chapter 6:
In Chapter 6 will elaborate the Financial Sustainability Strategy. The Chapter will also contain
the basis and available options for sourcing funds for CEP activities from 2006 forward.
Chapter 7:
In Chapter 7 will be contained the National Outreach Strategy for CEP. This Strategy will contain
a framework that synchronizes synergies of grassroots groups through to municipalities,
provincial and national governance structures. Focus will be synergies to address CEP issues in
all mining areas of Zambia.
Chapter 8:
This Chapter will contain the Action Plans for all the Strategies: Public Participation, Stakeholder
Communication, National Outreach and Financial Sustainability. The Action Plans will specify
issues to be addressed, the objective for addressing those issues, earmarked actions/activities, the
level at which the actions/activities will be executed, timeframes, resources need and the
responsible organisations to ensure the issues are addressed per plan.
95
Chapter 9:
Chapter 9 will contain a detailed Implementation Plan (Framework) for all the Strategies. This
Plan will outline project goals and targets and set out how they be achieved, who will be
responsible and time range in which they should be achieved. An integrated implementation
indicative cost summary will also be covered in this Chapter.
Chapter 10:
Chapter 10 will be the last Chapter. This Chapter will outline monitoring and evaluation
mechanisms to be employed to ensure that key benchmarks and milestones set-out in Chapters 2
and 8 are attained as envisaged.
Reference List:
Immediately after Chapter 10 will be the reference list. Here, sources of information that were
used to develop the strategies will be listed in alphabetical order.
Appendices:
In this section of the Report, all appendices will be attached. Among them will be the national
inventory of all stakeholders identified for participation in the implementation of the new
strategies. The stakeholders will be classified for easier reference as follows: Political,
Traditional, Central Government, Local Government, Parastatal, NGO and CBO. Further, the
stakeholders will be listed per each of the identified mining district of Zambia. List of
stakeholders that participated in developing the new strategies will also be appended here.
96
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