national capacity self-assessment (ncsa) … 2007 republic of zambia national capacity...

April 2007

REPUBLIC OF ZAMBIA

NATIONAL CAPACITY SELF-ASSESSMENT (NCSA) FOR GLOBAL ENVIRONMENTAL MANAGEMENT

NCSA REPORT

Zambia National Capacity Self Assessment Report

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1. INTRODUCTION .......................................................................................................... 8 What is the NCSA? ......................................................................................................... 8 The Zambia NCSA ....................................................................................................... 10

1.2.1 Zambian Context ....................................................................................... 10 1.2.2 Outline of Environmental Management in Zambia .................................. 10 1.2.3 Goals and Objectives of the NCSA .......................................................... 11

2. PROJECT INSTITUTIONAL ARRANGEMENTS .................................................... 13 2.1 The NCSA Project Technical Secretariat (TS) ....................................................... 13 2.2 National Steering Committee (NSC) ...................................................................... 13 2.3 The Technical Advisory Committees (TACs) ........................................................ 13 2.4 Regional Steering Committees ............................................................................... 14

3. PROCESS AND METHODOLOGY ........................................................................... 16 3.1 Country Driven Approach....................................................................................... 16 3.2 Process .................................................................................................................... 16

4. SUMMARY OF FINDINGS AND CONCLUSIONS ................................................. 19 4.1 Stocktaking Analysis .............................................................................................. 19

4.1.1 Approach and methodology ............................................................................. 19 4.2.1 Findings............................................................................................................ 19

4.2 Thematic Assessments for Rio Conventions .......................................................... 22 4.2.1 Thematic Assessment for the United Nation Convention on Biological Diversity .................................................................................................................... 23 4.2.2 Thematic Assessment for the United Nations Convention to Combat Desertification ........................................................................................................... 24 4.2.3 Thematic Assessment for United Nations Framework Convention on Climate Change ...................................................................................................................... 26

4.3 Crosscutting Analysis ............................................................................................. 30 4.3.1 Priority Crosscutting Capacity Strengths, Constraints and Needs ................... 31

4.3.1.1 National Policy, Legislative and Regulatory Frameworks ....................... 31 4.3.1.2 Financial Resources .................................................................................. 32 4.3.1.3 Research and Training .............................................................................. 34 4.3.1.4. Human Resources Development (HRD) .................................................. 35 4.3.1.5 Technology Development and Transfer .................................................... 36 4.3.1.6 Institutional framework ............................................................................. 37 4.3.1.7 Monitoring and Observation, data management and information exchange............................................................................................................................... 38 4.3.1.8 Public Awareness and Education .............................................................. 39

4.4 Strategy and Action Plan ........................................................................................ 40 5. CAPACITY NEEDS AND POSSIBLE LINKAGES AND SYNERGIES FOR SUSTAINABLE DEVELOPMENT ................................................................................. 43

5.1 Ongoing Processes .................................................................................................. 43 5.1.1 Decentralization ............................................................................................... 43 5.1.2 Strategic planning documents .......................................................................... 44

5.2 Past, Present and Future Projects ............................................................................ 44 5.2.1 National Adaptation Programme of Action (NAPA) ....................................... 44 5.2.2 Second National Communication to the Climate Change Convention ............ 45 5.2.3 National Biodiversity Strategy and Action Plan .............................................. 45


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5.3 Technical and Financial assistance ......................................................................... 46 5.4 List of priority capacity needs and possible linkages and synergies, which are crosscutting for most MEAs ......................................................................................... 46


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LIST OF ACRONYMS CBOs Community Based Organisations CHM Clearing House Mechanism CITES Convention on International Trade in Endangered Species of Wild

Flora and Fauna CRB Community Resource Board DDCC District Development Coordinating Committee ECZ Environmental Council of Zambia EIA Environmental Impact Assessment ENRMD Environment and Natural Resources Management Department FNDP Fifth National Development Plan GEF Global Environment Facility GIS Geographical Information Systems IPRs Intellectual Property Rights IUCN The World Conservation Union MIBS Ministry of Information and Broadcasting Services MACO Ministry of Agriculture and Cooperatives MCDSS Ministry of Community Development and Social Services MDGs Millennium Development Goals MEAs Multilateral Environmental Agreements MEWD Ministry of Energy and Water Development MHA Ministry of Home Affairs MIBS Ministry of Information and Broadcasting Services ML Ministry of Lands MLGH Ministry of Local Government and Housing MMMD Ministry of Mines and Minerals Development MOE Ministry of Education MOJ Ministry of Justice MOU Memorandum of Understanding MP Montreal Protocol on Substances that Deplete the Ozone Layer MSTVT Ministry of Science, Technology and Vocational Training MTENR Ministry of Tourism, Environment and Natural Resources NAP National Action Programme NAPA National Adaptation Plan of Action NBSAP National Biodiversity Strategy and Action Plan NCS National Conservation Strategy NCSA National Capacity Self-Assessment NEAP National Environmental Action Plan NFPs National Focal Points NGOs Non Governmental Organisation NISIR National Institute for Scientific and Industrial Research NPE National Policy on Environment


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NRCF Natural Resources Consultative Forum NRM Natural Resources Management NSC National Steering Committee PDCC Provincial Development Coordinating Committee PRSP Poverty Reduction Strategy Paper RAMSAR Convention on Wetlands of International Importance especially as

a Waterfowl Habitat SADC Southern African Development Community TACs Technical Advisory Committees TS Technical Secretariat UNCBD United Nations Convention on Biological Diversity UNCCD United Nations Convention to Combat Desertification UNCED United Nations Conference on Environment and Development UNFCCC United Nations Framework Convention on Climate Change UNDP United Nations Development Programme UNEP United Nations Environment Programme WCNH Convention on the Protection of World Cultural and Natural

Heritage ZACPLAN Action Plan for the Environmentally Sound Management of the

Common Zambezi River System


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WORKING DEFINITIONS Biological diversity- The variability among living organisms from sources including, inter alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species and of ecosystems (www.biodiv.org). Desertification – Land degradation in arid, semi-arid and dry – humid areas resulting from various factors, including climatic variations and human activities (www.unccd.int). Drought - The naturally occurring phenomenon that exists when precipitation has been significantly below recorded levels, causing serious hydrological imbalances that adversely affect land resource production (www.unccd.int). Climate Change - Climate change is a change of climate, which is alluded to directly or indirectly to human activity that alters the composition of the global atmosphere and which is in addition to natural climate variability observed over comparable time periods Capacity – The ability of people, organisations and society as a whole to manage their affairs successfully and sustainably. Individual: Academic and professional qualifications, knowledge, experience, technical skills, etc. Institutional: Institutional Framework, structures, finances, human resources complement, infrastructure, etc Systemic: Political economy of the environment, economic, legislative, judicial, societal, policy, regulatory, incentive and accountability frameworks, etc. Capacity Development - The actions needed to enhance the ability of individuals, institutions and systems to make and implement decisions and perform functions in an effective, efficient and sustainable manner. Individual level: Expanding the awareness, knowledge and skills of individuals through training and other professional development activities. Promoting changes in management, motivation, morale and systems of individual accountability and responsibility. Institutional level: Improving organisational structure, function and performance, including its flexibility and adaptability. (infrastructure, but also clarification of


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missions, structures, responsibilities, accountabilities and reporting lines, procedures and communications, and deployment of human resources). Systemic level: Creating “enabling environments” for sustainable development throughout society, i.e. improving the overall policy, economic, regulatory, and accountability frameworks within which institutions and individuals operate.


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. INTRODUCTION In 1992, the international community reached unprecedented agreements to protect the global environment and these were:

United Nation Convention on Biological Diversity (UNCBD); United Nations Framework Convention on Climate Change (UNFCCC);

and United Nations Convention to Combat Desertification (UNCCD), which

has been expanded to include land degradation. It was however, clear that most Parties to these agreements had limited capacity to fully implement the Conventions and benefit from involvement in them. To address this constraint, Global Environment Facility (GEF) has made funds available to participating countries to support capacity development for global environmental management. Late 1990s, GEF Council launched the Capacity Development Initiative (CDI) whose goal of this partnership between GEF Secretariat and United Nations Development Programme (UNDP) was to assess common capacity needs among countries and design a strategy to meet them. Later GEF council approved funding for countries wishing to undertake national self-assessment of capacity building needs. The purpose was to support country driven consultative process of analysis and planning that would determine national priorities and needs for capacity development to protect the global environment.

1.1 What is the NCSA? The National Capacity Self Assessment for global environmental management is a project funded by GEF and UNDP. It assists countries to assess their priority national capacity needs for implementing Multilateral Environmental Agreements MEAs). The focus of the NCSA is on a country’s capacity requirements to implement the three “Rio Conventions” which were initiated at the United Nations Conference on Environment and Development (UNCED), or “Earth Summit” in Rio de Janeiro in 1992 alluded to above. The NCSA is an assessment and planning exercise driven by country participants. Its primary goal is to determine national priorities for capacity development to better address global environmental issues. Through a country driven consultative process, priorities for capacity development to protect the global environment are identified. While preparing an NCSA, a country assesses


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its ability to participate effectively in international environmental conventions and defines its needs and priorities for improving its capacity to do so. The GEF requires that NCSAs address the following objectives (GEF-UNITAR, 2001):

Identify priority issues for action within the thematic areas of biodiversity, climate change and desertification/land degradation;

Find synergies among capacity needs across the three thematic areas;

Catalyze targeted and coordinated actions and requests for external assistance; and

Link country actions to protect the global environment to the broader national environmental management and sustainable development

Box 2 outlines “Key Principles for an effective NCSA”, as prescribed by GEF. The NCSA process in Zambia has incorporated all of these principles in its approach, which is summarized later in section 2.1. An NCSA provides useful groundwork for all future national and donor projects with capacity development component. The NCSA report is not meant to be definitive and final but rather should initiate a dynamic process of on-going assessment and action to improve national environmental capacity. The potential benefits of an NCSA are as follows:

Box 1: Capacity Capacity is the ability of individuals, groups, organizations, and institutions to address the priority environmental issues as part of efforts to achieve sustainable development

Box 2: Key Principles for an Effective NCSA Ensure national ownership, leadership, and high level political commitment,

including the use of national and regional ownership; Use existing structures and mechanisms for coordination; Take into account decisions and programmes under the three core conventions; Ensure multi-stakeholder participation, consultation and decision making; Build on past capacity assessment work done under GEF-supported enabling

activities and national reports to the conventions, as well as GEF projects; Adopt a holistic approach to capacity development that addresses capacity

needs at the systemic, institutional and individual levels, with particular attention to the systemic level and issues that cut across the three conventions;

Adopt a long-term approach to capacity development as part of national and global sustainable development

(UNDP-GEF 2004)


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Identifies critical capacity constraints which can impede national development;

Can be used as a strategic planning tool to improve environmental management;

Structures and focuses discussions on improving environmental management within and among government agencies, and with Non Governmental Organization (NGO) and private sector stakeholders;

Builds awareness among participants to new approaches to environmental management and sustainable development; and

Encourages efficient and effective use of limited human and financial resources.

1.2 The Zambia NCSA

1.2.1 Zambian Context Zambia is party to over 25 MEAs. The relevant ones to the NCSA include the UNCBD, signed in 1992 and ratified in May 1993, the UNCCD, signed in 1992 and ratified in 1996 and the UNFCCC signed in 1992 and ratified in 1993, the convention on International trade in Endangered Species of flora and fauna CITES – signed in 1980), the Convention on the Sustainable Management of Lake Tanganyika (signed in 2003). Others include the Convention on Wetlands of International Importance especially as waterfowl habitat (RAMSAR), the Vienna Convention for the protection of World Nature and National Heritage and the African Convention on the Conservation of Nature and Natural Resources.

1.2.2 Outline of Environmental Management in Zambia Zambia is in general committed to ensuring sustainable management of the environment and natural resources, as the policy in the country is well known. Several sectoral policies are in existence and Natural Resource Management (NRM) related sectoral departments are currently implementing these. All these tackle issues of the Rio Conventions in some way. A number of policy reviews have been undertaken in the various biodiversity related sectors including forestry, fisheries and wildlife. A comprehensive list of relevant sectoral policies and relevant legislation is presented in Annex 1. They include national sectoral policies to deal with forestry, wildlife, land water, heritage and other natural resources. The recent effort in development and preparation of the National Policy on Environment (NPE) as an overarching environmental policy is a positive stride as it will assist towards a holistic approach to environmental management. Zambia has made a notable pace in preparing the National


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Biodiversity Strategy and Action Plan (NBSAP) as a strategic plan in compliance with the provisions of the UNCBD and adopting the ecosystem approach as opposed to the routine sectoral approach; the National Action Pan (NAP) for implementation of the UNCCD and the National Adaptation Plan of Action (NAPA) is being developed for UNFCCC. Other strategies include the MDGs and PRSP. The main legal instruments dealing with different facets of biological diversity include Forestry Act, Wildlife Act, Heritage Conservation Act, Fisheries Act and Water Act. Since the ratification of the Conventions, several legislative reviews have been undertaken by the various NRM sectors such as the Environmental Impact Assessment Legislation 1997, Wildlife Act 1998, Forestry Act 1999, Water Act 2001, Fisheries Bill 2000 and the Biodiversity Bill 2006.

1.2.3 Goals and Objectives of the NCSA Zambia is Party to the three Conventions. It signed the UNCBD in 1992 and ratified it in May 1993, the UNCCD was signed in 1992 and ratified in 1996 and UNFCCC was signed in 1992 and ratified in 1993. The Focal Point institution for the GEF and the Rio Conventions in Zambia is the Ministry of Tourism, Environment and Natural Resources (MTENR). The challenge of effective and sustainable management of the environment and natural resources in Zambia currently remain largely unfilled due to the difficult economic situation. Nonetheless, the country has continued to demonstrate an increasing commitment towards the attainment of this management goal. This has been demonstrated principally through the formulation of various national policy and strategic frameworks and development programmes including the National Biodiversity Strategy and Action plan (NBSAP), the National Action Plan for implementing the UNCCD (NAP/CCD) and the National Action Plan for implementing the United Nations Framework Convention on Climate Change (NAP/UNFCCC) which have not only identified capacity development needs but have also indicated the way forward for sound management of the country’s environment and natural resources. While it is recognized that the challenge of effective and sustainable management of natural resources must be addressed in a well-coordinated mult-sectoral framework, there are serious capacity constraints that tend to work against this approach in most of the stakeholder institutions including public institutions, academic and research institutions, NGOs and Community Base Organizations (CBOs). Moreover, these constraints tend to become more acute at sub-national


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levels such as in districts and local communities. Thus Zambia requested GEF assistance to develop an NCSA to address capacity issues. The objectives of Zambia’s NCSA are twofold:

To identify, analyze and prioritize Zambia’s national capacity constraints and needs in relation to implementation of the Rio Conventions that will contribute to achievement of the poverty reduction strategy and Millennium Development Goals (MDGs); and

To prepare a national strategy and action plan for developing the capacities needed to address global environmental management challenges and fulfill national obligations under the Rio Conventions.

The NCSA in Zambia had five outputs and deliverables;

1. Project management and implementation team establishment; 2. Priority capacity constraints, and capacity needs at individual,

institutional and systemic levels clearly identified; 3. National strategy for developing capacities needed to meet

Zambia’s commitments under the Rio Conventions and contribute to the achievement of poverty reduction strategies and MDGs developed;

4. National action plan and monitoring indicators developed; and 5. Coordination, management and monitoring and evaluation carried

out and NCSA Report produced. This Report is part of the 5th output. The NCSA Report is a required output of the NCSA and its main objectives are:

1. To provide a summary of all NCSA findings and document the process by which they were reached, including stakeholder participation;

2. To communicate the NCSA conclusions to the following groups and promote their on-going involvement in NCSA implementation, monitoring and evaluation;

High level officials, including politicians and senior managers, Key stakeholders and opinion-makers, and Potential partners and donors, including the GEF, other bilateral,

regional and multilateral donor organisations, both government and non-government.


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2. PROJECT INSTITUTIONAL ARRANGEMENTS

2.1 The NCSA Project Technical Secretariat (TS)

The NCSA Project Technical Secretariat (TS) is housed within the MTENR. Overall, the Director of ENRMD provides guidance on the execution of the project. A Project Manager (Dr. Nicholas J Kwendakwema) and a Technical Officer (Mrs. Nancy C B Mukumbuta) staff the Secretariat. The Project Manager and the Technical Officer were recruited through a competitive process and started working in November of 2005. The NCSA project was expected to run for a period of one year. However, it was not possible to complete all the processes within this period for various reasons and therefore an extension of the project was sort for a further four months up to 31st March 2007.

2.2 National Steering Committee (NSC)

The NSC comprise the lead Agency – MTENR and a balanced representation of twenty members from key government ministries, relevant academic and research institutions, the private sector, environmental NGOs and CBOs (Annex 2 is a list of the members). The members are appointed by the MTENR through the ENRMD and the Permanent Secretary of the MTENR chairs the Committee. The multi-sectoral NSC responsible for giving guidance, advice for mainstreaming, and providing strategic oversight and policy guidance to the project in the MTENR. Its role is to oversee smooth transition of project activities into programmes for future follow-up and how they integrate in the National Strategic Plans and Conventions’ frameworks. An Inaugural workshop to orient the NSC members was held on 3rd February 2006 at Ibis Garden in Chisamba (Annex 3 is a list of participants to Inaugural Workshop). During the workshop an overview of the NCSA background, process, work plan and budget were presented. In additional draft Terms of Reference for the consultant to be engaged later in NCSA process were presented and comments solicited from the NSC members.

2.3 The Technical Advisory Committees (TACs)

There were three TACs established one for each of the three Conventions. The main role for the TACs was to provide technical guidance to the execution of the Project and support to the TS, NSC, the Regional Steering Committees (RSCs)


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and national consultant specialists on matters of biological diversity conservation, desertification or climate change as appropriate. Each TAC comprised of seven members including the MTENR Focal Point for each Convention who was the secretary. The seven members were selected from a range of appropriate stakeholder institutions in the public sector, private sector, academic and research sector and NGOs/CBOs whose work is related to the particular Convention and sustainable development issues. See Annex 3 for the list of members for the all the three TACs. A workshop was held on 28th February, 2007 to orient the TAC members on the purpose, background, work plan and budgets of NCSA (see list of participants in Annex 4).

2.4 Regional Steering Committees

The RSCs were established in each of the nine provinces to spearhead the NCSA process at provincial level. The Permanent Secretary of the particular province appointed the RSC members. Their major role was to coordinate the work of NCSA project, send feedback to the TS on district and provincial activities under the NCSA and to identify appropriate capacity development interventions related to UNCBD, UNCCD and UNFCCC formulations at district and provincial levels. Membership of the RSC comprised of representatives of the Agriculture and Natural Resources Sub Committee of the Provincial Development Coordinating Committee (PDCC), MTENR, local communities/traditional leaders, NGOs/CBOs, private sector, academic and research institutions and gender/Human Immuno-deficiency (HIV)/Acquired Immune Deficiency Syndrome (AIDS) institutions. The TS ensured that the RSCs were kept abreast of the project through provincial and district consultation workshops. The eight RSCs were setup between 20th April and 28th April 2006. However, in order to expedite the establishment process, two teams (A and B) were formed to spearhead the establishment process. Team A visited Southern (Livingstone), North Western (Solwezi), Copperbelt (Ndola) and Eastern (Chipata) provinces. On the other hand, Team B visited Western (Mongu), Northern (Kasama), Luapula (Mansa) and Central (Kabwe) provinces. The Lusaka province RSC meeting which was held in Lusaka was facilitated by the TS and NCSA Focal Point person (Annex 5 provides lists of participants in each of the provincial RSC meeting). The formation of the RSCs adopted a multi stakeholder approach through the offices of the Provincial Permanent Secretaries (PPSs) who served as entry points to the provinces. Due to the PPS’s involvement, the establishment process had


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been characterized by wider acceptance and appreciation by all the parties invited to serve on the committees. The workshops that established the RSCs had four presentations. The first presentation was the overview of the NCSA, which provided the background and the purpose for conducting the NCSA in Zambia. The second presentation was on the work plan and budget of the NCSA. This was necessary to provide the extent of the coverage and timeframe. The third provided the terms of reference of RSC while the final presentation was on the terms of reference of the consultant that would be engaged to carry out some of the processes in the NCSA.


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3. PROCESS AND METHODOLOGY This section summarizes the process and methodology used for the NCSA in Zambia.

3.1 Country Driven Approach

In accordance with the GEF NCSA Guidelines, the NCSA in Zambia was implemented as a country-driven process, taking into account specific national circumstances and constraints. Zambia is a fairly large country with a low population density. It is sub divided into nine provinces, namely: Central, Copperbelt, Eastern, Luapula, Lusaka, Northern, Northwestern, Southern and Western. The provinces are further subdivided into 72 districts (ECZ, 2001). It was therefore decided to have participation in all the nine provinces in carrying out the NCSA.

3.2 Process

The information below provides the process taken. Output 1. Establishment of project management and implementation teams The NCSA first output was to produce a structure and work plan that said the NCSA was to be:

Run by a Technical Secretariat comprising of two people based in the MTENR;

Overseen by a National Steering Committee (NSC) of 21 members involving various stakeholders;

Have three Technical Advisory Committees (TACs), one for each convention comprising of seven members each;

Setup nine Regional Steering Committees (RSCs) to coordinate NCSA activities at the provincial level comprising of at least fifteen members each;

Engage consultants to undertake other activities in the NCSA process; and Hold an Inception workshop to launch the NCSA project.

Through a transparent competitive process, the World Conservation Union (IUCN) Zambia Office was awarded the contract to execute the NCSA process on behalf of MTENR. This consulting firm that was engaged after running advertisements in the local newspapers. In total, fifteen companies applied and only ten met the criteria set in the advert. A panel of six people, from the MTENR, UNDP and the NCSA secretariat, then conducted an evaluation of the


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ten companies (see Annex 6 for Terms of Reference for the consultants). The IUCN team of consultants comprised of:

Mr. Excellent Hachileka – Natural Resources Management Expert and Team Leader,

Ms. Kamenje Nyalugwe, Legal expert, Ms. Dora Kamweneshe – Biologist, and Mr. Simbotwe Mwiya – Ecologist.

The TS and the National Focal Points for each Convention, technical experts on the implementation of the Conventions supported the work of the consultants. The NCSA project was officially launched at an Inception workshop held on 8th June 2006 at Chrisma Hotel in Lusaka (see list of participants in Annex 7). Output 2. Identification of priority constraints and capacity needs at individual, institutional and systemic levels The second output was a set of reports that were used in the preparation of the Strategy and Action plan. These reports were:

A stock taking report which provided the situation analysis in terms of national activities and documents relevant to the conventions;

Three Thematic Assessment reports that analyzed the country’s obligations and opportunities from each convention and the country’s performance and achievements against these obligations; and

From these Thematic Assessment Reports, a Crosscutting Analysis Report was produced which assessed capacity issues, needs and opportunities that cut across the three Conventions. This included identifying common needs and possible synergies that could be achieved in the country by addressing requirements across two or more themes.

In this output a total of five reports were produced and can be accessed separately. The Thematic Assessment Reports and the Crosscutting Analysis Report were first discussed by the three TACs at a workshop held on 23rd November 2006 at Holiday Inn in Lusaka (a list of participants is given in Annex 8) and then at a national workshop held at Taj Pamodzi Hotel in Lusaka on 1st December, 2006 (a list of participants is given in Annex 9). Output 3. Development of the national strategy for developing capacities needed to meet Zambia’s commitments under the Rio conventions. The consultants prioritized the following


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Define short, medium and long term human resource development needed for effective implementation of the Rio conventions;

Define short, medium and long term institutional capacity development needed to ensure effective implementation of the Rio conventions;

Define short, medium and long term systemic capacity development needed for effective implementation of the Rio conventions;

Draft long term national capacity development for addressing individual/institutional/systemic development needed under the CBD, CCD and FCCC;

Review the draft strategy with national stakeholders; and Prepare a final version after further consultations.

Output 4. National action plan and monitoring The fourth output was a set of activities to carry forward the NCSA process, which was to:

Prepare a five year action plan; Prepare a programme for launching the NCD strategy and action plan; Organize and carryout a workshop for national decision makers; and Prepare a final NCSA report.

After the consultants prepared a draft Strategy and Action Plan, it was first discussed at provincial level between the 18th and 23rd December 2006 in eight out of the nine provinces with the exception of Lusaka province (Lists of participants for each of these workshops are given in Annex 10). However the Lusaka province participated at the national workshop, which was held at Intercontinental Hotel on 23rd January 2007 (List of participants is given in Annex 11). Output 5. Coordination, management and monitoring and evaluation carried out The fifth output was concerned with the day-to-day management of the project through:

Coordinating project activities; Managing project activities; and Monitoring and evaluating project activities.


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4. SUMMARY OF FINDINGS AND CONCLUSIONS

4.1 Stocktaking Analysis

The stocktaking exercise was a critical step in the NCSA process. It provided the situation analysis in terms of the national activities and documents relevant to the Conventions. It also provided a baseline situation for each of the thematic areas of the three Rio Conventions. This formed the basis of the thematic assessments to follow.

4.1.1 Approach and methodology This stocktaking constituted a situation analysis regarding the country’s existing capacities and specific capacity development needs and priorities related to the implementation of the Rio Conventions, Regional Protocols and National Policies, Strategies and Action Plans. The stocktaking exercise made use of active participatory consultations with key stakeholders as well as consultations of existing documentation of processes related to capacity assessment and development. A detailed review of literature relevant to the UNCBD, UNFCCC and UNCCD obligations and provisions was undertaken. In addition, interpersonal interviews limited to the National Focal Points to the Rio Conventions were conducted. The analysis undertook an inventory of Multilateral Environmental Agreements, Regional protocols and related national documents. The UNCBD, UNCCD, UNFCCC, the Cartagena Protocol on Bio-safety, the Kyoto Protocol to the United Nations Framework Convention on Climate Change, various Regional Protocols and national programmes related to environmental management and development were described and their capacity development obligations and requirements analyzed. The Regional Protocols analyzed included the Southern African Development Community (SADC) Revised Protocol on Shared Watercourse Systems, the SADC Protocol on Wildlife Conservation and Law Enforcement, the SADC Protocol on Fisheries, the SADC Protocol on Transport, Communications and Meteorology, the Regional Programme of Action on Wetlands Conservation and the Southern Africa Biodiversity Support Programme (SABSP).

4.2.1 Findings Several National Strategies, Programmes and Projects were identified and analysed. These included the National Conservation Strategy (NCS), the National Environment Action Plan (NEAP), the Environmental Support


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Programme (ESP), the National Biodiversity Strategy and Action Plan (NBSAP), Southern Africa Biodiversity Support Programme - Biodiversity Education and Training Needs Assessment Reports, the Zambia National Action Programme to Combat Desertification, the Draft National Policy on Environment (NPE), the National Agricultural Policy, the Agriculture Sector Investment Programme (ASIP), the Agricultural Support Programme (ASP), the National Decentralization Policy, the Copperbelt Environment Project (CEP), the Millennium Development Goals (MDGs), the Poverty Reduction Strategy Paper (PRSP), the Fifth National Development Plan (FNDP), the Zambia Forestry Action Plan (ZFAP) and the Provincial Forestry Action Programme (PFAP). The following on-going projects of relevance to the Rio Conventions were identified:

Sustainable Land Management of the Miombo Ecosystem Project; Support for Economic Expansion and Diversification Project (SEED); Environmental Protection and Natural Resources Management Project; Enhanced Local Governance for Poverty Reduction; Lake Tanganyika Integrated Management Project; Reclassification and Sustainable Management of the National Protected

Areas System; Removing Barriers to Invasive Plants Management in Africa; Establishment of a Functional Clearing House Mechanism; and Zambia Biological Diversity Enabling Activity Project.

The stocktaking exercise established that only three capacity assessments relevant to the Rio Conventions have been undertaken in recent years in Zambia. These are:

Biodiversity Education and Training Needs Assessment by the Southern Africa Biodiversity Support Programme (2002);

Capacity building, training needs assessment, and dissemination and replication strategy for invasive plant management in Zambia (2004) under the Project “Removing Barriers to Invasive Plant Management in Africa”; and

An assessment of Zambia’s implementation of the Bonn Guidelines on access to genetic resources and the fair and equitable sharing of benefits arising out of their utilisation in Zambia.

The major strengths identified from the past capacity assessments was the focus on very specific aspects of the conventions such as a focus on Access and Benefits Sharing (ABS), Invasive Alien Species (IAS) and training. However, most of the assessments were not very comprehensive as they either addressed the


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individual or institutional capacities and rarely on systemic capacities. The key lesson learnt was that capacity assessments need to address individual, institutional and systemic capacities while focusing on specific aspects of the convention obligations and requirements to be comprehensive and more useful. An analysis of past capacity assessments identified the following common capacity issues related to the UNCBD:

Scientific and technical education; Public education and awareness; Human resource development; Research and training; Data management and information exchange; Transfer of technology; Infrastructural capacity; Funding and financial resources management; Institutional collaboration and integration; and Legislative and regulatory frameworks.

The common capacity issues identified from the UNCCCD related capacity assessments are:

Training of communities and professional staff; Extension; Public awareness and information dissemination; and Institutional strengthening for national institutions, local government and

local community level. The common capacity issues identified from the limited capacity assessments under the UNFCCC are:

Funding; and Technology.

Past and on-going initiatives both and within the framework of the Rio Conventions have benefited the country through various contributions to capacity development in the areas of human resources development, public awareness, technology transfer, institutional building, research and funding. Most of the capacity building support has been in the form of government appropriation, donor support from cooperating partners, the GEF and the World Bank through programmes and projects, and through private sector investment. It was also established that more capacity has been built under the UNCBD followed by the UNCCD with the UNFCCC having the least individual, institutional and systemic capacity development. Consideration of the three


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areas of capacity development indicates that more capacity has been developed at the individual level with less institutional and systemic capacity development. Opportunities and options for linking the NCSA to other national sustainable development initiatives include the implementation of MDGs, the PRSP, the FNDP, the Decentralization Policy, the NPE, the NAPA development process, and many on-going and planned projects.

4.2 Thematic Assessments for Rio Conventions

Thematic Assessments were conducted for each of the three thematic areas covered by the Rio Conventions; biodiversity, climate change, and land degradation. These assessments analyzed the country’s obligations and opportunities for each convention and the country’s performance and achievements against the obligations. A strategic overview of each convention (UNCBD, UNCCD and UNFCCC) was conducted analyzing:

a) The main Convention requirements and obligations; b) The current national programmes and strategies relevant to addressing

the obligations; c) Assessment of the effectiveness of programmes and how well

obligations are being addressed; and d) The gaps affecting enhanced implementation of Convention

requirements. This was followed by thematic assessments of the three Conventions in which capacity constraints for priority areas were identified for each thematic area. The capacity constraints, needs and opportunities were identified. With inputs from the various stakeholders in the workshops, priority areas for action were identified. The assessments were undertaken using a wide range of participatory methods, which included provincial consultative workshops, focused group discussions and interviews with relevant personnel.

The sections below are brief summaries of the thematic assessments for each of the Rio Conventions. Detailed individual reports listed in Annex 12, are available with more details.


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4.2.1 Thematic Assessment for the United Nation Convention on Biological Diversity Zambia signed the UNCBD on 5th June 1992 and ratified it on 28th May 1993. The UNCBD has three main goals: (i) conservation of biological diversity; (ii) sustainable use of its components; and (iii) fair and equitable sharing of benefits arising from the use of genetic resources. To achieve these goals, the Convention obligates its members to develop new or adopt existing national strategies, plans and programmes for conservation and sustainable use of biological diversity. While acknowledging that Parties have the right to use their natural resources, the UNCBD gives its members the responsibility to ensure that such use does not cause damage to the environment of other countries. Zambia has put in place institutional arrangements for the implementation of the UNCBD and the Cartagena protocol. A Focal Point within the MTENR is responsible for coordinating all the work under the UNCBD and liaising with the CBD Secretariat. In addition, Zambia has also developed a number of legal and policy frameworks relevant in meeting some of the UNCBD obligations and requirements. These include the National Policy on Environment, the Environmental Protection and Pollution Control Act (EPPCA), the Wildlife Act and policy, the Fisheries Act and policy, the Forest Act and policy, the Agricultural policy and many more. Several programmes and strategies have also been developed over the years. These include the National Conservation Strategy (NCS) 1985, the National Environment Action Plan (NEAP) 1994, the National Biodiversity Strategy and Action Plan (NBSAP) 1999 the draft Policy on wetlands 2001, UNCCD-NAP of 2001 and many more aimed at addressing biodiversity and environmental management issues. Despite all these efforts, there were a number of gaps in capacity for addressing the UNCBD requirements. The priority capacity constraints identified included the inadequate legal and policy frameworks, conflicting legal and regulatory frameworks, inadequate capacity to formulate and enforce legislation and policies. The other capacities relate to awareness of the UNCBD and the country’s obligations, not clearly defined responsibilities among sectors and institutions addressing biodiversity conservation, inadequate financial resources due to limitations in skills for Innovative Financing Mechanism (IFM) and lack of coordination and collaboration among biodiversity conservation related institutions and the UNCBD focal point. There are also major limitations in research leading to scanty data on the status of biodiversity in the country due to limited capacity in data and information management. Other priority capacities needed relate to human resources development due to poor retention of staff in the biodiversity related fields within government institutions as well as limitation in locally available training in specialised fields such as taxonomy, risk


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assessment, environmental law and many others. Research and Transfer of Technology is a major constraint that needs to be addressed and is closely related to lack of sustainable funding strategies. A number of crosscutting issues were identified. These were largely drawn from the priority capacity needs and included:

National policy; Legislative and regulatory frameworks; Financial resources; Infrastructure; Research and training; Human resource development; Technology transfer; Inter-institutional collaboration; Monitoring and observation, data management and information exchange;

and Public awareness and education.

4.2.2 Thematic Assessment for the United Nations Convention to Combat Desertification Zambia signed and ratified the UNCCD on 15th October 1994 and 19th September 1996 respectively. The overall objective is to combat desertification and mitigate the effects of drought in countries experiencing drought particularly in Africa. Zambia made major strides towards implementation of the obligations under the UNCCD. A Focal Point within the MTENR is responsible for coordinating all the work under the UNCCD. As a step towards implementing the obligations under the UNCCD, Zambia with financial assistance from cooperating partners prepared the National Action Programme (NAP) in 2002, a key requirement by the UNCCD. In addition, Zambia has also developed a number of legal and policy frameworks relevant in meeting some of the UNCCD obligations and requirements. These include the National Policy on Environment, the Environmental Protection and Pollution Control Act (EPPCA), the Energy Policy of 1994,the Energy Act, the National Heritage Conservation Commission Cap 173, the National Heritage Conservation Commission Policy, of 2005, the Wildlife Act and policy, the Fisheries Act and policy, the Forest Act and policy, the Agricultural policy and many more. Several programmes and strategies have also been developed over the years. These include the National Conservation Strategy (NCS), the National Environment Action Plan (NEAP), the National


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Biodiversity Strategy and Action Plan (NBSAP) and many more aimed at addressing biodiversity and environmental management issues. Despite all these efforts, there were a number of gaps in capacity for addressing the UNCCD requirements. This assessment addressed this gap as regards the UNCCD and provided the priority capacity areas for Zambia as a country to focus on in order to effectively implement the UNCCD. The identified capacity constraints are analysed at systemic, institutional and individual levels that will help in developing strategies and programmes or plans of action that are aimed at addressing the capacity gaps. Findings From the NCSA process undertaken in Zambia in relation to implementation of the UNCCD, the priority capacity constraints identified include the inadequate legal and policy frameworks, conflicting legal and regulatory frameworks, inadequate capacity to formulate and enforce legislation and policies. The other capacities relate to awareness of the UNCCD and the country’s obligations, unclearly defined responsibilities among sectors and institutions addressing desertification and land degradation issues, inadequate financial resources due to limitations in skills for innovative fund raising and lack of coordination and collaboration among institutions charged with the responsibility to combat desertification and land degradation and the UNCCD focal point. There are also major limitations in research leading to scanty data on the status of most soils in the country due to limited capacity in data and information management. Other priority capacities needed relate to human resources development due to poor retention of staff in fields related to combating desertification and land degradation within government institutions as well as limitation in locally available training in specialized fields such as Soil Science, Climatology early warning and advance planning, risk assessment, environmental law and many others. Technology and technical knowledge transfer is a major constraint that needs to be addressed and is closely related to lack of sustainable funding strategies. Communities are not taught income generating activities and alternative energy sources to reduce the impact of their quest for Charcoal that leads to deforestation. A number of crosscutting issues were identified. These were largely drawn from the priority capacity needs and included:

National policy; Legislative and regulatory frameworks;


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Financial resources; Infrastructure; Research and training; Human resource development; Technology transfer; Inter-institutional collaboration; Monitoring and observation, data management and information exchange;

and Public awareness and education.

Priority issues related to combating desertification and land degradation that were identified are as follows:

Unclearly defined legal and policy framework Education, training and public awareness Poor research information collection, systematic observation analysis and

exchange of information Non implementation of the national action programme as a result of poor

institutional collaboration Institutional capacity development, including the strengthening of

national UNCCD focal points.

4.2.3 Thematic Assessment for United Nations Framework Convention on Climate Change The Convention sets an ultimate objective of stabilizing atmospheric concentrations of Green House Gases (GHGs) at levels that would prevent “dangerous” human interference with the climate system. Such levels should be achieved within a time frame sufficient to allow ecosystems to adapt naturally to climate change, to ensure that food production is not threatened and to enable economic development to proceed in a sustainable manner (UNDP 1992). Parties to the Convention commit themselves to undertake a number of activities to respond to climate change. The main activity of the Non-Annex I countries, is to communicate to the Conference of the Parties information on: - National inventories; A general description of steps envisaged for implementation of the

Convention and other relevant information to achieve the objectives of the Convention. These activities are linked to the fulfillment of Articles 4,5,6 and 12 of the Convention and among the most important elements included are: -


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i. Preparation and implementation of abatement plans on climate

change; ii. Integration of climate change consideration into the development

of environmental, social and economic policies, that is, in development policies;

iii. Promoting the sustainable management of sinks and GHG reservoirs;

iv. Promoting research and cooperation in information exchange; v. Development of education, training and public awareness raising

programs; vi. Promoting and developing research and systematic observation;

The Kyoto Protocol, which is basically an amendment to and reinforces provisions of the UNFCCC was opened for signature on March 16, 1998 and came into force on February 16, 2005. Zambia ratified Kyoto on 07 July 2006 and came into force on 5 October 2006. The Kyoto Protocol has the same objectives, principles and institutions as the UNFCCC, but goes a bit further and commits Annex I Parties to individual legally binding targets to limit or reduce their GHGs emissions. Zambia has made a number of efforts towards meeting its obligations under the UNFCCC. A Focal Point responsible for the convention operates within the MTENR and coordinates all the work related to the convention. The country developed the Initial Communication to the UNFCCC in August 2002, which contained a number of practical commitments towards meeting the obligations. The following were some of the attempts that Zambia made under the Convention and Protocol:

a) The National Inventory of GHGs by source and removal by sinks was undertaken through a GTZ sponsored inventory and under the US Country Studies Programme both overseen by ECZ. The inventory formed part of the Initial National Communication referred to above.

b) The impacts of climate change were investigated in the agricultural, wildlife, forestry, health and water sectors in 1998 trough a study conducted under the United States Country Studies Programme (USCSP).

c) The Energy Policy highlights the importance of identifying appropriate, environmentally friendly technologies while there are a number of Solar (Renewable) Energy Projects under the energy sector promoting the use of renewable energy.


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d) The Forest Policy of 1998 is providing guiding principles for sustainable forest management and the protection of water catchments. There are also several environmental projects/programmes that promote or have promoted sustainable management of GHGs sinks and reservoirs. These include the Joint Forestry Management, CBNRMP, CEMP, ZFAP, ASP, PFAP and ASIP.

e) The NAPA is being prepared in a participatory manner. f) Studies on reducing the carbon dioxide emissions from the energy

sector have been done. These are the National Energy efficiency and conservation programme of Zambia by African Development Bank (ADB) and GTZ, and the Status of Energy Conservation and Substitution in Zambia conducted by the Department of Energy in 1995.

g) The Initial National Communication report to UNFCCC was prepared in August 2002.

Findings A number of key capacity constraints that Zambia needs to urgently address in order to be able to effectively implement the UNFCCC requirements were identified at systemic, institutional and individual levels. Prioritization of the identified climate change issues was achieved mainly through the analysis of the questionnaires, the National Report and also from the key developmental strategy documents. Six priority issues were identified as follows: 1. Education, training and public awareness; 2. Vulnerability and Adaptation (including implementation of adaptation

measures and mitigation options); 3. Research, Systematic Observations, including meteorological, hydrological

and climatological services; 4. Information and networking, including the establishment of databases; 5. GHG Inventories, emission database management and systems for collecting,

managing and utilizing activity data and emission; and 6. Institutional capacity development, including the establishment or

strengthening, as appropriate, of national climate change secretariats or national focal points.

The priority capacity needs at systemic level included:

Public education, training and awareness of climate change and its likely impacts on biodiversity and livelihoods;


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The lack of a climate change specific legal and policy framework for direction and focus;

Inadequate integration of climate change issues in economic development planning; and

Lack of a complete and updated inventory of GHGs and ODS in the country.

At the institutional level four priority capacity development areas were identified as:

Lack of a designated institution for coordination of climate change issues in the country;

Weak organizational structures (limited number of stations) within the Meteorology Department coupled with insufficient funding and lack of up to date equipment and technologies for monitoring climate patterns and forecasting;

Inadequate staff complement to ensure adequate data capture, processing, interpretation and communication; and

Integrated multi-sectoral, multidisciplinary approaches to climate change vulnerability and adaptation.

At the individual level, specific priority capacity needs identified included:

Funding for human resource development; Professional and technical skills in climate change; Incentives for staff motivation; Training in new technologies and skills; and Lack of a comprehensive capacity building strategy to address climate

change related skills development. The Meteorological Department seemed to have the most de-motivated staff especially at the District level where funding was very erratic and minimal. Most of the equipment was obsolete or non-existent at all while transport and computers were not available at all To make the NCSA more effective, there is need to link it to other national sustainable development and environment initiatives. The following are the initiatives to which the NCSA can be linked to functionally as well as for possible capacity development in the priority areas; the Five year programme of work of the Subsidiary Body for Scientific and Technological Advice (SBSTA) on Impacts of Vulnerability and Adaptation to Climate Change, the NAPA, the FNDP, the Decentralization Policy, the NPE, and the synergetic implementation of the Rio Conventions. A list of crosscutting issues related to climate change was identified as follows:


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a) Lack of climate change specific policy, legal framework and institutional arrangements;

b) Inadequate and poor information on climate change issues and the UNFCCC;

c) Inadequate technology development/transfer; d) Limited development of projects addressing climate change and its

impacts; e) Limited mainstreaming of climate change and UNFCCC obligations into

national development strategies and plans; f) Inadequate research, inventories and monitoring of GHGs and ODS; g) Lack of appropriate training and education relating to UNFCCC; and h) Poor funding.

4.3 Crosscutting Analysis

The cross cutting focus is one of the important aspects of the NCSA. The underlying objective is to identify opportunities for synergy and inter- Convention cooperation. The three thematic assessment reports have identified each thematic area’s specific capacity issues including an initial prioritization made to a greater or lesser extent. In order to determine the general common issues, occurrence in more than one thematic area, irrespective the level was taken as a general criterion. The objective of the Crosscutting Analysis is to assess capacity issues, needs and opportunities that cut across the conventions. This includes identification of common needs and possible synergies that could be achieved in the country by addressing requirements across two or more themes. This analysis may also identify capacity needs that are common to both national and global environmental management, and possible synergies between them. The analysis provides a list of priority national capacity needs and opportunities for synergies. It also identifies possible capacity development actions that will be redefined for the action plan. As a result of this analysis, the following cross-cutting issues were identified:

National policy, legislative and regulatory frameworks; Financial resources; Research and training; Human resource development; Technology transfer; Institutional frameworks;


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Monitoring and observation, data management and information exchange; and

Public awareness and education.

4.3.1 Priority Crosscutting Capacity Strengths, Constraints and Needs The section below provides the priority strengths, constraints and needs at the individual, institutional and systemic levels that are cross cutting for the Rio Conventions and other MEAs related to the Rio Conventions.

4.3.1.1 National Policy, Legislative and Regulatory Frameworks Strengths Environmental Legislation

Draft National Policy on Environmental. There is a significant body of environmental, natural resource and land

use laws, regulations and plans (Convention-related and otherwise). Many existing laws conform to the three Rio Conventions.

Environmental Policies A number of policies such as the Forestry, fisheries, wildlife, decentralization policies and many more policies related to the Rio-Conventions do exist in Zambia. Strategic Planning A number of strategies and programmes have been designed over the years. These include the NBSAP for UNCBD, the NAP for UNCCD, FNDP and the PRSP. Constraints Environmental Legislation

Inadequate enforcement of existing environmental legislation and policies. Lack of national policies relating to matters of Climate Change and

Desertification. Limited domestication of Rio Conventions obligations into national

legislation enforcement and compliance of the extensive range of legislation is inconsistent.

Poor success in gaining convictions and many pending cases.


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Strategic Planning Documents Slow integration of recommendations of the biodiversity, land

degradation/desertification and climate change recommendations in strategic documents into implementation programmes;

Limited human resources and financial resources for implementation. Capacity Needs Environmental Legislation

More systematic implementation of laws, policies and plans already in place, e.g., NBSAP, through greater political will and funding.

A legal review to harmonize and streamline existing legislation. Improved enforcement, compliance and success in gaining convictions.

Strategic Planning

Action-oriented initiatives to move the NBSAP, NAP and forthcoming NAPA forward, and associated awareness and education initiatives for key stakeholders on priority topics.

Improved skills among government staff to design and manage programmes to effectively meet international commitments to Conventions and improve national environmental management.

Mechanisms to design projects and capacities in innovative financing for implementation of strategic plans.

4.3.1.2 Financial Resources Strengths

Government appropriation though inadequate is sustained by annual budgetary allocations for environmental management.

There is substantial private capital spending on environmental management (tourism) and National Parks management by private sector

Relatively effective in accessing donor funds from multi & bilateral, NGOs, academic/ research organisations for strategic planning, programme development and projects.

Several GEF/UNDP environmental projects underway or in the pipeline. NEPAD provides opportunities for African Union (AU) member states to

mobilise financial resources for sustainable development.

Constraints National financing

Insufficient government financing of conservation and sustainable use of natural resources.


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Lack of sustainable funding for environmental programmes initiated through one-off projects with external funding and limited lifespan coupled with lack of in-built sustainability features.

Reliance on a small number of donors to date. Lack of awareness of, and established connections with, Convention-

related funding sources. Limited capacity regarding donor requirements and project design,

implementation and monitoring. Ad hoc approach to seeking and implementing donor projects, without a

strategic approach to integrating assistance into national frameworks, such as NBSAP and NAP.

Environmental Economics

Limited awareness of the true economic value of Environment and Natural Resources resulting in poor pricing for use of natural resources.

Environmentally derived economic benefits (e.g. from tourism and fisheries) do not feed back into environmental programmes, except through general revenue.

Lack of capacity in environmental economics (including valuation of natural resources, green accounting, and economic instruments) impedes integration of conservation and sustainable use into decision-making.

Capacity Needs National Financing

More systematic implementation of key plans. More long-term national budget commitments combined and supported

with diverse foreign and in-country financing mechanisms. Greater institutional and individual capacity for innovative financing and

for development and implementation of projects. Information on new sources of international funding (multi & bilateral,

NGO, academic/research, private donors) using the Internet and donor directories and networking. Greater knowledge of funding sources under Convention-related programmes.

A more strategic approach to seeking donor support for projects and programmes identified as priorities in national plans, e.g. NBSAP, NAP.

Innovative government/NGO private partnership to diversify the donor base and increased resources available, e.g. appeals to international NGOs and foundations.

Search for targeted donor support for specific topics. Environmental Economics


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Improved individual and organizational capacity on how to use environmental economics to integrate conservation and sustainable use of resources into decision-making.

Trained environmental economists. How to ensure that sectors that benefit financially from Zambia’s good

environmental policies (e.g. tourism) reinvest derived economic benefits and profits into environmental management programmes.

4.3.1.3 Research and Training Strengths

Availability of Zambia Bureau of Standards (ZBS) with responsibility for developing scientific standards and laboratory facilities, and archiving scientific information.

Availability of research institutes and Universities. Constraints

Limited research capacity and expertise within the country and insufficient level of contemporary, up-to-date knowledge in certain specialized areas (especially concerning climate change); more capacity lies within NGOs.

Poor infrastructure and lack of modern specialized equipment. Insufficient funding from the national budget for scientific projects at

research institutes. Research is often driven by donor agendas. Continuing problems in obtaining the results of research from national

and international experts. Poor expertise in developing proper research/scientific standards and

protocols. Where they exist, they are not always respected. Number of graduates and post-graduates leave the country, taking

research capacity with them. Capacity Needs

Greater national capability to conduct credible field and laboratories research as well as data analysis and interpretation.

Mechanisms and incentives (financial and non-financial) to promote locally driven research and joint government/ non-government research.

Standardized and tested methods & protocols for data collection, analysis, management and dissemination for priority topics.

Research programmes to address key data gaps, e.g., lower animals/ plants, climate change impacts,


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Provision of inexpensive methods and training to enhance data collection by volunteers.

Improved coordination of science by the National Science and Technology Council

4.3.1.4. Human Resources Development (HRD) Strengths

Increase in environmental professionals and technicians over the past decade through local and international training.

Individual capacity built through local and foreign scholarships; technical workshops and Convention meetings and multilateral and bilateral donor projects with capacity components.

Universities and colleges offering environmental related disciplines and courses from technical, diploma, degree and postgraduate level.

MTENR and other related ministries have HRD sections, Staff Training Policy with provision for training plans.

Constraints

Absence of strategies for national HRD in environment and natural resource fields.

Inadequate number of trained environmental professionals and technical personnel, and lack of specialists on key convention-related topics.

Limited funds to send graduates for further environmental training. Providers often determine supplemental overseas environmental training

options, not necessarily through needs assessment. A number of graduates and other qualified people feel they are not

properly used as per their qualifications. There are problems retaining skilled professionals. Underutilization of the large pool of trained and experienced persons

outside of MTENR. Competition among government and NGOs for environment specialists. Shortage of some specialized environmental expertise1 within MTENR, as

well as human resources management / manpower expertise. Capacity Needs

Diversification of options for developing environmental capacity. Improvement of quality of training offered in Universities and Colleges in

environmental cources.


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Upgrading of the skills of environmental professionals and technicians in the topics related to Rio Conventions.

Increased professional development opportunities within technical assistance projects.

Enhancement of capacity of HRD unit in MTENR and other ministries to effectively execute duties such as conduct needs assessments, source training options, document training undertaken and carry out follow-up and evaluation.

Increased effectiveness of human resource development, including development of financial and non financial incentives to retain qualified personnel in government and within the country.

4.3.1.5 Technology Development and Transfer Strengths

The Energy Policy and the National Science and Technology Policy both highlight the importance of identifying appropriate, environmentally friendly technologies.

The Agricultural (including Fisheries) Policy aims to achieve sustainable land management in part through promoting sustainable agricultural technologies.

Constraints

Lack of protocols and limited experience in international technology transfer and adaptation.

Inadequate access to and transfer of appropriate and relevant technology for conservation and sustainable use from the developed world.

Eco-friendly technologies are often more expensive than traditional technologies.

Technology research and development function has no designated line ministry or budget.

Inadequate engagement of the experts from the scientific and educational institutes by the appropriate ministries;

Lack of capacity in information technology and computer network administration in some organizations.

Low level of cooperation among training institutes and scientific/ professional community;

Capacity Needs

Development of policy direction or guidelines on science and technology development and transfer within Zambia and internationally, including technical assistance.


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Increased public and private sector capacity to assess transfer and adapt new technologies, including indigenous ones, to assist conservation and environment protection.

Promotion of policies and programmes to encourage the use of “green” technologies in the country.

Increased capacity in information technology and network administration.

4.3.1.6 Institutional framework Strengths

Several institutions and sectors involved in environmental management Country has signed and ratified the Rio Conventions and Focal Points are

in place. Multi-sectoral Steering Committees and other Coordination Bodies are in

place.

Constraints The Rio Conventions by and large are not fully mainstreamed and

integrated into the existing national planning processes, programmes and plans despite having Convention specific strategies such as the NBSAP and NAP.

Lack of personnel to deal exclusively with Convention related activities in respective institution (Focal points are not full time as they have other responsibilities within MTENR).

Unclear definition of the institutions’ mandate, responsibility and accountability for implementation of Convention related activities.

Unclear legal and political framework for implementation of Convention obligations.

Inadequate financial, human and technical resources. Inadequate inter-institutional coordination and collaboration. It is

extremely difficult for ENRMD as a Department in MTENR to effectively co-ordinate the implementation of the obligations of the Conventions across various sectors with their own mandate (such as agriculture, meteorology, forestry, industry and community development).

Capacity Needs

Development or identification of strategic priorities among Convention commitments and programmes, based on national needs.

A national roster of experts on which Focal Points for the Rio Conventions can draw on other expertise, as needed.


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Increased technical, financial and manpower resources to manage Conventions.

Establishment of clearer delineation of roles for key parties vis-à-vis Conventions.

Institutionalization of a central inter-conventional unit within MTENR, with clearly defined and publicized mandate to coordinate Convention related activities among institutions.

4.3.1.7 Monitoring and Observation, data management and information exchange Strengths

Baseline data for some topics, e.g., large mammals, fisheries, higher plants and some ecosystems is available though may be outdated.

Knowledge of data gaps vis-à-vis Conventions and other environmental issues.

Constraints Information management

Understaffing of the MTENR and other related Ministries in respective departments for monitoring and cadastres.

No lead agency responsible for coordinating collection and management of environmental information at national level.

Available data are scattered among government sectors and institutions, NGO & private organizations and in different formats.

Incomplete knowledge of what environmental information is available and data gaps.

Lack of national information management systems and databases in MTENR and other government ministries.

Information dissemination and use

The pace of development in the last decade has outstripped the capacity of both Government and NGOs to assess, mitigate, and monitor adverse impacts of development.

Lack of proper identification of data needs for decision-making. Poor information exchange among individuals and organizations. Weaknesses in use of data in EIAs due to inadequate EIA requirements,

weak data analysis skills, and lack of post-construction monitoring. Capacity Needs


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Coordination of data collection and management with one or more lead institutions (e.g. MTENR and Zambia Bureau of Standards) and/or creation of a multi-stakeholder group.

Standardized methods and systems for data management, exchange and dissemination including a directory of environmental organizations, experts and information sources.

Centralized documentation showing which environmental information is held where within government and possible outside organizations (meta-database).

Institutions to scan and/or digitize key environmental information to improve accessibility.

Functional, electronic GIS enabled web-based databases. Information Clearing House Mechanism (CHM) for environment & land

use data, with a central portal linked to various databases (e.g. government, NGOs, research institute websites).

Directory of highly developed government, NGO and private sector capacity to identify data needed for decision-making and affective use of it, once collected.

Enhanced use of modern technology in environmental decision-making. Improved public access to environmental data and information. Dissemination of information on national obligations under the

Conventions, and how they can be integrated into key sectors and Ministries, to relevant stakeholders.

National multi-party agreements on data management, including incentives for data sharing and joint research and protocols on data sharing and intellectual property rights.

Improved use of data in EIAs, including better databases, and protocols for monitoring and reporting.

4.3.1.8 Public Awareness and Education Strengths

Considerable environmental awareness among the scientific and technical community.

Numerous awareness-raising campaigns organized by government, NGOs, donor projects and the media have produced extensive materials and widespread public awareness of environmental issues.

Sectoral environmental education programmes to support institutional portfolio.


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Environmental education for sustainable development integrated into the Basic School Curriculum with complementary adaptation into the curricula of teacher training colleges.

Constraints

Weaknesses in environmental awareness campaigns in targeting key audiences and behaviors;

Insufficient public understanding of Convention related issues; Limited awareness of Conventions and their relevance at local

government and local community levels; Low communication among stakeholders in thematic areas of land

degradation/desertification and climate change; Little systematic translation of obligations into national programmes, until

the NCSA, knowledge of obligations has been limited to a few individuals;

Lack of teachers with specialist training in environmental education; and Insufficient integration of environmental related topics in the curriculum

at high school system levels. Capacity Needs

Widespread capacity among government, NGOs and the private sector to design effective awareness programmes that are integrated with broader environmental programmes.

Campaigns on Convention-related topics that (1) match national priorities and (2) require awareness and action by key stakeholders (e.g., community, farmers, tourism operators, and hotels).

More coordinated and effective awareness and education campaigns, through targeting of stakeholders and behaviors, setting specific objectives, and evaluating success, using qualitative and quantitative measures.

Improved public awareness regarding Rio Conventions obligations particularly UNCCD and UNFCCC and their role in combating land degradation and climate change.

Long-term strategy for environmental education to integrate issues of biodiversity, land degradation and climate change issues.

More environmental education specialists and training for teachers integrating environmental education into other courses.

Curriculum and extra-curricular materials on specific environmental topics of importance to Zambia.

4.4 Strategy and Action Plan


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The Strategy and the Action Plan for Capacity Development in the thematic areas of Biodiversity, Desertification and Climate Change was based on the results of the three separate Thematic Assessment Reports, the Cross-cutting issues Report, as well as on a series of workshops with stakeholders. The Purpose of the Strategy and Action Plan was to recommend goals, objectives, strategies and actions for national capacity development. The Strategy provides sustainability through identification of overall objectives for capacity development, as well as a guideline for implementation regarding activities, time and basic indicators, as well as mechanisms and procedures for monitoring and evaluation of the programmes. The development of the Action Plan was based on NCSA process that identified ten cross cutting areas of capacity gaps on systemic, institutional and individual levels as follows:

1. National Policy, legislative and regulatory frameworks; 2. Financial resources; 3. Research and training; 4. Human resource development; 5. Technology transfer; 6. Institutional frameworks; 7. Integrated Management; 8. Stakeholder Involvement; 9. Monitoring and observation, data management and information

exchange (including indigenous knowledge) and 10. Public awareness and education;

To accomplish the capacity development objectives, Zambia shall be governed and inspired by the following guiding principles, which have been developed based on the principles of the three Rio Conventions, as well as the principles emerging from the cross-cutting analysis of the NCSA process, which are:

i. National ownership and leadership: ii. Multi-stakeholder consultations and decision-making: iii. Holistic approach to capacity building: iv. Integration of capacity building in wider efforts to achieve sustainable

development: v. Promotion of partnerships: vi. Dynamic nature of capacity building: vii. A learning-by-doing approach to capacity building:

The vision of the Action Plan is ‘To be a nation of effective, progressive, enlightened and adequately capacitated citizens, that will conserve the biological diversity, prevent land degradation and effectively mitigate the effects of climate change’ and the mission


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is ‘To strengthen Zambia’s capacity in environmental management in general and in particular the implementation of the United Nations Convention on Biological Diversity, the Convention to Combat Desertification and the Framework Convention on Climate Change and to contribute effectively to global environmental management.’ The goals of the Strategy and Action Plan are:

Goal 1: National policy, legal and regulatory frameworks provide an enabling environment for sustainable environmental and natural resources management

Goal 2: Improved availability and application of funding for Environmental Management.

Goal 3: Ensure the undertaking of Research, Planning and Information collection on a regular and systematic basis.

Goal 4: Adequate human capacity available for effective implementation of the Rio Conventions, other MEAs, National Environmental programmes and effectively contributing to global environmental management.

Goal 5: Ensure use of both modern technology and indigenous knowledge based technology that support the implementation of Zambia’s commitments under the UNCBD, UNCCD and UNFCCC.

Goal 6: Strengthen the institutional framework to promote strategies for conservation of biodiversity, combating desertification and drought and to minimise climate change.

Goal 7: Integrated management approaches used to implement environmental commitments.

Goal 8: Stakeholders involved in international and national environmental initiatives.

Goal 9: An effective environmental monitoring and information management system established.

Goal 10: Public educated and aware of environmental issues and Rio Conventions.

To implement the Action Plan, it needs high-level political and managerial support, including Action Plan endorsement, commitment and resources for an implementation. Funding has to be sought for (1) the implementation structure for the Action Plan and (2) operational funding for specific actions proposed in the Plan. It is proposed that the Action Plan and other NCSA report findings be integrated into on-going environmental initiatives, all of which provide vehicles for implementing capacity development actions. These linkages will also help to ensure that the process of self assessment regarding environmental capacity continues after the NCSA Project is phased out. Once the National Strategy and Action Plan have been approved, as a means of maintaining and improving performance, monitoring and evaluating its implementation will be a continuous activity coordinated by the MTENR. All stakeholders should be involved at the similar level in which they have participated within the process of developing the Strategy and Action Plan.


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In view of the multi institutional nature of the proposed activities, this process of monitoring needs to become institutionalised, and it is proposed that the same NSC that channeled the NCSA process continues. The plan implementation shall be evaluated twice during the five year period. At mid-term evaluation will assess project performance and to provide refocusing of the strategies and activities of the plan for the rest of the period and towards the end of the period, gauge the impact of the programme on the overall objectives of the Action Plan. 5. CAPACITY NEEDS AND POSSIBLE LINKAGES AND SYNERGIES FOR SUSTAINABLE DEVELOPMENT The most important in the implementation of the exercise for capacity self-assessment for the Rio Conventions is the presentation of the opportunities for capacity building. Attempts to identify and connect comprehensively all available opportunities were made and resulted in a rather long list of opportunities, though not fully comprehensive. The three thematic areas (biodiversity, desertification/land degradation and climate change) have many common constraints and common opportunities for capacity building. These can be found in ongoing process, and in past, present and future projects.

5.1 Ongoing Processes

At first, the most important opportunities for capacity building were looked for in the country’s ongoing processes and reforms. This is of particular importance, because if the needs of certain sectors are integrated into the national strategies for country development, the predicted goals could be achieved. The on going processes included the implementation of the decentralization policy and in the strategic planning documents.

5.1.1 Decentralization The implementation of the decentralization policy will provide the District Councils in Zambia new competences in order for them to take over a large share of the responsibilities now covered by the Central Government. The process of decentralization gives the citizens the possibility to be part of the local government operation and to see that the local governments’ budgetary income provides more quantitative and qualitative services.


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In practice the three global environmental Conventions will have to be implemented by the District Councils since the Local Government Act defines the competences of the municipalities in the area of the environment and nature. Those competences include undertaking measures for protection and pollution prevention of the waters, air, land, natural resources management, prevention of deforestation and land degradation. All of these, to a higher or lesser extent, are directly connected with the implementation of the global environmental conventions. Through development of their own environmental strategies, the District Councils have the possibility to plan measures for direct participation in the implementation of the three Rio Conventions. For achieving of the above said, first priority will be building of an appropriate institutional infrastructure and individual capacities, but of particular importance is to take into account the need to include in the thematic areas that are the subject of this report.

5.1.2 Strategic planning documents Integration of the needs for capacity building for implementation of the Rio Conventions into the existing planning documents in the relevant sectors, such as environment, agriculture, forestry and water management will be of great importance. As an example of the needed sectoral strategic planning documents, in the water-economy sector of the biggest importance is the Water Management Master Plan, whose realization will enable elimination of a number of constraints identified in this report, including the establishment of an info-base, application of new technologies, regarding that the Plan will be prepared in digital form.

5.2 Past, Present and Future Projects

The environmental sector is still the central one where the opportunities for capacity building in the thematic areas should be searched for and found. In that regard, several on going and future projects are of particular interest, since they could mostly be productive in the elimination of the constraints in all areas of capacity constraints, especially on a systemic and institutional level.

5.2.1 National Adaptation Programme of Action (NAPA)


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This is a project whose basic aim is preparation of the NAPA. The goal of the project is to support the mitigation of the impact of climate change by providing support for the development and implementation of a programme of action. The NAPA serves as road map for the country towards the implementation of climate change adaptation activities that contribute to the achievement of the MDG- 7. The NAPA process consists of identification of all coping activities for climate change, prioritizing them and formulating priority projects for adaptation as well as strengthening the capacity to adapt to longer-term climate changes and contributes towards raising awareness about the urgency to adapt to adverse effects of climate and climate change.

5.2.2 Second National Communication to the Climate Change Convention Zambia submitted its First National Communication to the UNFCCC Secretariat in 2002. Now, there is a proposed project to support the activities in this area and arrangements for preparation of the Second National Communication of the Republic of Zambia, which will be financially supported by GEF/UNDP. This project has particular importance because it is focused on one of the three thematic areas of this NCSA report. Moreover, the target is to build capacities with commensurable implementation of the UNFCCC, meaning, the work can be streamlined towards elimination of herewith-identified constraints. In this sense, it is necessary that these two project teams closely cooperate and enable synergetic effects.

5.2.3 National Biodiversity Strategy and Action Plan This project was completed and its target was to prepare a comprehensive country strategy for protection of the biological diversity with an action plan. Within the project’s framework there were awareness raising campaigns and activities for establishing of the so-called CHM for information exchange. It is evident that this project gave remarkable opportunities for implementation of activities in line for eliminating of the constraints for realization of the UNCBD. Although this project was a step ahead of the implementation of the NCSA project activities, the analysis presented herein shows that for the major part of the constraints there are already systemic solutions offered in the project for development of the Strategy. Specifically a big effect should be expected of the implementation of the Strategy. Of particular importance is that the CHM be used for implementation of the recommendations, which this report is presenting


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in the domain of information exchange as one of the areas with a capacity constraint.

5.3 Technical and Financial assistance

UNDP/GEF is amongst the most active donors in the areas that are the subject of the NCSA, including the NCSA project itself. Although the agency itself does not possess big possibilities for direct financial arrangements, it can largely contribute in the building of the national capacities through securing of international expertise, technology transfer, hi-tech scientific and technical information, etc. On the other hand, their interest to help the local communities is directly in the function of helping the process of decentralization, which will also help in the building of appropriate capacities on a local level. Apart from these several multilateral donors, there are other NGOs and private organizations that are active in Zambia. The support provided by these partners should and must be used in line of strengthening and capacities building for implementation of the Rio Conventions. Even if some of the support is more focused on the agricultural sector and is more technical in its assistance. Yet, this can very much be used for the building of capacities for implementation of the priority activities in the domain of land degradation/desertification. These projects can also contribute to the elimination of the constraints existing in the area of information, development and transfer of technologies, etc.

5.4 List of priority capacity needs and possible linkages and synergies, which are crosscutting for most MEAs

There are many common operational obligations under the Rio Conventions. These include requirements for reporting, research, training, public education, awareness and national exchange of information. Experience in capacity development for global environmental management to date indicates to an overarching need to strengthen coordination of environmental policy formulation and implementation among sectoral agencies at all levels. The lack of coordination among Convention focal points, often limits realization of linkages among MEAs and the following areas of synergy between the Rio Conventions (CBD, CCD and UNFCCC) have been identified:

(a) Institutional arrangements;

(b) Information systems and reporting;


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(c) Planning;

(d) Policy formulation;

(e) Capacity building;

(f) Financing.

In order to enhance synergistic implementation, joint planning by the institutions responsible for the conventions is obviously desirable. The MTENR is responsible the implementing the CBD, UNCCD and UNFCCC. One would expect that this would help the country design programmes that synergistically implement the components of the convention work programmes that are common to these conventions in order to maximize benefits from using the same human and financial resources, as well enabling the application of the programmes to the same physical sites. There are also National Steering Committees set up to advance the purposes of each of the conventions and assist focal points in meeting the obligations under the convention. There are often varying degrees of duplication in the membership of such Steering Committees. This is another opportunity for improved synergy in the implementation of the three conventions.