Regional Component Annexure Version of 8 September
ANNEX 3 : REGIONAL COMPONENT:
Establishing an Institutional Framework for the Implementation of the Lake
Tanganyika SAP and the Co-operative Management of Lake Tanganyika Basin
Countries:
Burundi, DRC - Congo, United Republic of Tanzania and Zambia
Duration:
48 months
Starting Date:
March 2005
Completion Date: March
2009
SUMMARY
The Regional Component of this Lake Tanganyika Project has several parts:
Firstly, the regional component addresses the SAP priority of ratification and implementation of the Lake
Tanganyika Convention and associated environmental protocols.
Secondly, the regional component supports the regional interaction and regional institutional activity behind
the Convention the Lake Tanganyika Management Committee and the creation of a permanent Secretariat
for the Management of the Lake. Updating the SAP and adding new and emerging issues such as water
hyacinth awareness and control are components here.
Thirdly, the regional component develops the Monitoring Programme for the Lake, linking national
processes and institutions at regional level, and developing linkages to management decision making bodies
for the Lake. The GEF-IW M and E Indicators Framework (Nov 2002) is the basis here
Fourthly, the Regional Component provides the forum and base for the Partnership Programme for the Lake
between Governments and Development Partners (including UNDP and GEF).
Lastly, the Regional Programme provides the framework for coordination and management of the national
GEF interventions into a single and cohesive whole. Regional staff have the mandate to provide such
coordination and unified reporting.
The Regional Secretariat is to be based at Bujumbura, on Lake Tanganyika itself. GEF funding supports
regional activity over a four year period.
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Regional Component Annexure Version of 8 September
TABLE OF CONTENTS
Acronyms (CONSOLIDATED ACROSS ALL COMPONENTS) --------------- ----2
Table of Contents -----------------------------------------------------------------------------3
1. PROJECT SUMMARY-------------------------------------------------------------------4
Development Objective ------------------------------------------------------------4
Rationale -----------------------------------------------------------------------------4
Rationale for GEF Financing ------------------------------------------------------4
Outcomes and Outputs -------------- -----------------------------------------------5
Program Key Performance Indicators---------------------------------------------6
2. COUNTRY OWNERSHIP ------------------------------------------------------------- --7
Country Eligibility -------------------------------------------------------------------7
Country Drivenness ------------------------------------------------------------------7
3. PROGRAM AND POLICY CONFORMITY -------------------------------------------7
Program Designation and Conformity----------------------------------------------7
Risks and Sustainability -------------------------------------------------------------7
Stakeholders Involvement -----------------------------------------------------------8
Monitoring and Evaluation ----------------------------------------------------------8
4. PROJECT FINANCING --------------------------------------------------------------------9
5. INSTITUTIONAL COORDINATION AND SUPPORT------------------------------10
LTMC ----------------------------------------------------------------------------------10
LTMS -----------------------------------------------------------------------------------11
Inter-Ministerial Committees --------------------------------------------------------13
Implementation Arrangements -------------------------------------------------------13
ANNEXES ---------------------------------------------------------------------------------------14
Annex A: Program Logical Framework
Annex B: Lake Tanganyika Regional Program structural chart
Annex C: Detailed ILTMA Budget
Annex D: Program Implementation Schedule
Annex E: Terms of Reference
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Regional Component Annexure Version of 8 September
List of Acronyms (Across all National and Regional Programmes)
ACDC
Area Conservation Development Committee (Zambia)
ADF African
Development
Fund
ADMADE
Administrative Management Design (Zambia Wildlife)
AfDB/ADB African
Development
Bank
ASEGE
Association for Environment Management (DRC)
ASSP Agricultural
Sector
Support Programme (Zambia)
BRARUDI Burundi
Breweries (Co-Finance)
CADIC
Action for Integrated Sustainable Community Development DRC
CBD
Convention on Biological Diversity
CBNRM
Community Based Natural Resource Management
CBO Community-Based
Organisation
CCC
Catchments Conservation Committee (Zambia)
CEPAC
Community of Protestant Churches in Central Africa
CLUSA
Cooperative League of the United States of America
COMESA
Common Market for Eastern and Southern Africa
COTEBU
Burundi Textile Company (Co-Finance)
CRH
Centre for Hydro-biology Research (Uvira) DRC
CRSN
Centre for Natural Sciences Research (DRC)
DanIDA
Danish International Development Agency
DCC
District Coordination Committee (Tanzania)
DDCC
District Development Coordinating Committee
DED
Deputy
Executive
Director
DRC
Democratic
Republic
of
Congo
DSA
Daily
Subsistence
Allowance
EA
Executing
Agency
EAC
East African Community
ECZ
Environmental Council of Zambia
ED
Executive
Director
EU European
Union
FAO
Food and Agriculture Organization of the United Nations
FFMP
(Lake Tanganyika) Fisheries Framework Management Plan
FinnIDA
Finnish International Development Agency
GEF
Global Environmental Facility
GTZ
German Technical Assistance
IA
Implementing Agency (of GEF)
ICCN
Congolese Institute for Conservation of Nature (DRC)
ICRAF
International Centre for Agro-Forestry
ICT Information
Communication
Technologies
IDEAL
International Decade for East African Lakes
IFAD
International Fund for Agricultural Development
IGA Income
Generating
Activities
ILTMA
Interim Lake Tanganyika Management Authority
INECN
National Institution for the Conservation of Natural Resources (Burundi)
INERA
Institute for National Agronomy Research (DRC)
IUCN
International Union for the Conservation of Nature
IW OP
International Waters Operational Program
JFM Joint
Forest
Management
JGI Jane
Goodall
Institute (An NGO in Tanzania)
KFW
A German Funding Organisation
KMC
Kigoma Municipal Council
KPI
Key Performance Indicator
KUWASA
Kigoma Urban Water and Sanitation Authority
LFA
Logical Framework Analysis
LGRP
Local Government Reform Programme
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Regional Component Annexure Version of 8 September
LTA Lake
Tanganyika
Authority
LTBP
Lake Tanganyika Biodiversity Project
LT-FBDP
Lake Tanganyika Fisheries and Biodiversity Development Project
LTMC
Lake Tanganyika Management Committee
LTMPP
Lake Tanganyika Management Planning Project
LTMS
Lake Tanganyika Management Secretariat
LTRIMP
Lake Tanganyika Regional Integrated Management Programme
LVEMP
Lake Victoria Environmental Management Project
MACO
Ministry of Agriculture and Cooperatives (Zambia)
M&E
Monitoring and Evaluation
MEWD
Ministry of Energy and Water Development (Zambia)
MIS
Management Information System
MP Member
of
Parliament
MTENR
Ministry of Tourism Environment and Natural Resources (Za)
NBP
National Biodiversity Programme (DRC)
NBSAP
National Biodiversity Strategy and Action Plan
NDF
Nordic Development Fund
NGO Non
-Government
Organization
NIAs
National Implementing Agencies
NOPTA
New Orientation of Fishing in Lake T (DRC an NGO)
NSC National
Steering
Committee
PC Project
Coordinator
PCU
Project Coordination Unit
PDF-B Project
Development
Facility (Block B Grant)
PFM
Participatory Forest Management
PIR Project
Implementation
Review
PIU
Project Implementation Unit
PMU
(National) Project Management Unit
PNAE
National Programme for Environmental Action (DRC)
PPER
Project Performance Evaluation Report
PRA Participatory
Rural
Appraisal
PRSP
Poverty Reduction Strategy Paper
REGIDESO
Bujumbura Water and Electricity Organisation (Burundi)
SAP Strategic
Action
Programme
SCM
Steering Committee Meeting
SETEMU Municipal
Technical
Services in Bujumbura (Burundi)
SGP Small
Grants
Project
SIYB
Start and Improve Your Business (Zambian Programme)
STAP Scientific
and
Technical
Advisory Panel (of the GEF)
TA Technical
Advisor
TACARE
Tanzania Catchment Restoration (NGO)
TAFIRI Tanzania
Fisheries Research Institute
TANAPA
Tanzania National Parks Authority
TATEDO
Tanzania Traditional Energy Development Organisation (NGO)
TBDA
Trans-Boundary Diagnostic Analysis
TDA
Lake
Tanganyika
Trans-boundary
Diagnostic
Analysis
TNDP
Transitional National Development Plan (Zambia)
TPR Tri-Partite
Review
UNCCD
United Nations Convention to Combat Desertification
UNDP
United Nations Development Programme
UNOPS
United Nations Office for Project Services
URT
United Republic of Tanzania
VCDC
Village Conservation Development Committee (Zambia)
VPO
Vice-President's
Office
(Tanzania)
WRAP
Water Resources Action Programme (Zambia)
ZAWA
Zambia
Wildlife
Authority
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DETAIL
1. PROJECT SUMMARY
The Executive Summary of this Project Brief described the components of the overall Lake Tanganyika
Management Programme, delimiting the interventions from GEF and from co-finance. This description
is copied here, as a start-point for the Regional Activity of the GEF intervention the subject of this
specific Annexure.
Long-Term Development Objective or Goal
The long-term objective of this Regional Integrated Management Programme is the improvement of the
living conditions of the riparian populations through the implementation of the SAP, the FFMP and the
Convention, together with the on-going and future efforts of riparian countries, so as to bring about an
integrated sustainable management and protection of the Lake Tanganyika
Immediate Objectives
There are two Immediate Objectives of the Integrated Regional Management Programme. These form
the two main components that are: the "Environmental Activities" of GEF finance, and the more
"Developmental Activities" of the co-finance partners.
Immediate Objective 1. To implement the prioritised activities of the Strategic Action Programme
so as to achieve sustainable management of the environment and resources of Lake Tanganyika.
(GEF).
There are four parts of this IO each leading to a distinct OUTCOME (linked to SAP priorities).
1. Establishment of the Lake Tanganyika Management Authority (LTMA);
a. Establishment of the Lake Tanganyika Management Secretariat (ILTMS);
b. Establishment of Inter-Ministerial Management Committees;
c. Promotion of ratification of the Convention; and subsequent protocols.
2. Reduction of water pollution by creating wastewater plants in Bujumbura and Kigoma.
3. Reducing sedimentation flows into the Lake by the establishment of demonstration sites for
sustainable catchment management interventions in Uvira in DRC, Kigoma Rural District in
Tanzania, and Mpulungu District in Zambia;
4. Establishment of a Lake Monitoring and Management System (with IUCN).
Immediate Objective 2. This leads to outcomes funded through other Partners Components
(ADB, NDF, FAO, EU/COMESA).
5. Establishment of mechanisms for pilot fisheries co-management, infrastructure and marketing to
add value fish products, monitoring systems for a responsible fisheries and lake trtanspoort /
navigation and peace processes (AfDB, FAO, NDF, EU/Comesa).
6. Improvement of community infrastructure through local development funds (AfDB).
7. Construction of wastewater treatment plant in Kigoma township (through NDF funding).
8. Capacity building of local and national stakeholders to provide them with skills to better manage
the fisheries and the environment. (AfDB).
OBJECTIVES, OUTCOMES AND ACTIVITIES OF THE GEF COMPONENTS
Immediate Objective 1 To implement the prioritised activities of the Strategic Action Programme so
as to achieve sustainable management of the environmental resources of Lake Tanganyika. (GEF)
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Outcomes
Country / Site
Outcome 1: Regional and national institutions internalize the implementation of the Regional Activity
SAP and FFMP and provide institutional support for the cooperative management of
Lake Tanganyika under the ratified Convention.
Outcome 2. The quality of the water of Lake Tanganyika improved at two
Tanzania and
identified pollution hotspots through wastewater treatment. See Outcome 2.7 NDF
Burundi
Outcome 3: Sediment discharge reduced from demonstration catchment
Tanzania, Burundi,
management sites; with providing significant livelihood benefits to local people.
Zambia
Outcome 4: Regional monitoring - management system for the Lake.
Regional Activity
Outcomes 1 & 4 are the specific scope of this Regional component. Outcomes 2 & 3 are implemented
nationally. The Regional Component has responsibility for unified monitoring, evaluation and reporting.
PROJECT RATIONALE
The development of this project has been driven by the results of the TDA and the SAP that were
developed during the first phase of the Project (LTBP). The over-riding institutional problem for the
Lake Tanganyika has been identified in the TDA as lack of institutional coordination, lack of resources,
poor enforcement of regulations and lack of appropriate regulations. The purpose of the regional
management authority to be set up is in a first place to address the institutional coordination problem.
During the LTBP, a convention was developed between the four riparian countries to give a legal
framework to their cooperation in the sustainable management of Lake Tanganyika. The Convention was
finalized and signed during the PDF-B Phase (LTMPP) on June 12, 2003. The Convention provides for
the establishment of a Lake Tanganyika Authority that will launch and support the implementation of the
SAP interventions in coordinating a large number of regional and national project sub-components
dealing with identified hot spots and sources of trans-boundary problems, and supporting these activities
through monitoring and information exchange.
The signed Convention still has to be ratified by the member States and entered into force before the
Lake's Authority can be formalized and put in place. For this reason, the SAP has identified the need for
an Interim Lake Management Authority (ILTMA) to coordinate the implementation of regional and
national SAP actions, pending the creation of the permanent management authority under the
Convention, but also to develop the institutional capacity for the Lake Authority.
RATIONALE OF GEF FINANCING
The long-term scenario envisaged in the SAP is for an integrated regional program, coordinating a large
number of national and regional project sub-components dealing with identified hot spots and sources of
trans-boundary problems, and supporting these activities through monitoring and information exchange.
The coordination and implementation of this program will be the responsibility of the ILTMA and later
the Lake Tanganyika Authority. Successful implementation of such a program will depend upon well-
coordinated actions, including the governments at all levels, the local communities, the private sector,
the NGOs, commercial and artisanal fisheries and donor agencies etc. Such a level of regional and global
cooperation will entail substantial transaction costs and will require specific support from the
Programme Donor Partners. The costs of managing this level of coordination is clearly a transaction cost
associated with adopting a regional approach to concerted action to address global biodiversity and
international waters issues. This falls directly within the remit of the GEF and thus is fully consistent
with both the GEF IW OP 9 and IW Strategic Priority #1. GEF support will serve as a catalytic role in
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the regional lake institutions, and the continuing participation of existing donors will contribute to the
regional multi-stakeholder effort.
PROGRAMME OUTCOMES AND OUTPUTS (GEF REGIONAL INTERVENTION)
OUTCOME 1: Regional and national institutions are implementing the SAP and providing
coordinated institutional support for the management of Lake Tanganyika.
Output 1.1: The Lake Tanganyika Secretariat is established with staff, equipment, M&E processes
are in place.
Output 1.2: Protocols to Convention are adopted; Environmental policies and development
frameworks are in place; SAP is revised; Additional funding at national and regional levels for Lake
management are leveraged. Information mechanisms for stakeholders are in place. The Convention is
ratified and domesticated, and First Conference of Parties is organized.
OUTCOME 4 Regional monitoring and management system contribute to the sustainable
management of Lake Tanganyika. (Co-financing from IUCN and AfDB/FAO)
Output 4.1: A regionally harmonized and integrated monitoring program for Lake Tanganyika's
fisheries, water quality and catchment is established.
Output 4.2: National inter-sectoral management committees established in four countries are responding
to monitoring data at both national and regional levels with supporting decision support tools.
Output 4.3: Regional technical committees for fisheries, water quality and catchment are established
and various indicators and targets are agreed upon among the four countries and annexed as protocols to
the Lake Tanganyika Convention.
PROGRAM KEY PERFORMANCE INDICATORS
Outcome 1:
· Regional and National Institutions established to implement SAP are operational by 2007;
· Protocols to Convention established to improve environmental policy and frameworks;
· Environmental regional master plans developed and approved by countries by 2008
Outcome 4:
· Regional Monitoring Systems established by 2008;
· Environmental and fisheries regional data-base established by 2008;
· Awareness Systems and web site in place and operational by 2007;
· Improvement in water quality monitoring data by 2010
2. COUNTRY OWNERSHIP
Country Eligibility
All four countries have ratified the Convention on Biological Diversity (CBD): Burundi on 15 April
1997; DRC on 3 December 1994; Tanzania on 8 March 1996 and Zambia on 28 May 1993. The four
riparian countries are eligible for technical assistance from UNDP and GEF. All four countries are
eligible under paragraph 9 (b) of the GEF Instrument.
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Country Drivenness
The four countries have all presented to the Conference of the Parties of the CBD reports on measures
undertaken for the implementation of the Convention consistent with article 26. The four countries have
developed with GEF support a TDA, a SAP and a Convention on the Sustainable Management of Lake
Tanganyika. The four countries have all signed the Convention and are in the process of its ratification.
The Convention provides for the creation of the Lake Tanganyika Authority and other institutions
deemed necessary for the optimum management of the Lake. The SAP and four countries recommended
the creation of an interim Lake management body pending the ratification of the Convention.
3. PROGRAM DESIGNATION AND POLICY CONFORMITY
The project is fully consistent with, and has been designed to meet the objectives of, the GEF IW OP 9:
(Integrated Land and Water Multiple Programme) and IW Strategic Priority #1: Catalyzing Financial
Resources for Implementation of Agreed Actions. This GEF project is one component of a larger multi-
donor Integrated Programme.
RISKS AND SUSTAINABILITY
Risks
The long-term success of the ILTMA depends essentially on the political willingness of the four riparian
participating countries to cooperate, and in their continued and accrued commitment for the creation of
the Lake Tanganyika Authority, its strengthening and continued political and financial support. In
relation to political willingness, the level of risk is low, although the participating countries have limited
financial resources, and so financial contributions remain a moderate risk. Countries are relatively highly
indebted and most have suffered directly or indirectly from recent political crises and civil wars in the
region that led to a massive displacement of population, resulting in general economic recession. The
project will show that greater economic benefit is expected from participation in this regional endeavour.
Other disasters like droughts; highest rate of infection of HIV/AIDS pandemic, malaria etc, continue to
impact on the meager financial resources that could finance development interventions. Regional
Security remains a concern see a more detailed discussion in the Executive Summary.
Sustainability - Commitment
Despite the level of risks described above, it is noteworthy that the TDA, the SAP and the Convention,
and all the regional and national project components were achieved through a joint inter-country and
inter-ministerial exercise characterized by strong cooperation and openness. The fact that these
achievements have been realized despite continuous political crisis and civil wars in the Great Lakes
Region, affecting all four countries directly or through mass refugee movements, despite the struggle to
fulfill the elementary needs of the populations, demonstrates a strong commitment to sustain the joint
management of the Lake Tanganyika, particularly through the Lake Tanganyika Authority. Recognizing
this, the countries have during the Steering Committee meetings, strongly recommended the quick setup
of the ILTMA and the subsequent creation of the Lake Tanganyika Authority. To this end, the
environment Ministers from the four participating countries have gathered in Dar es Salaam on June 12,
2003 and have committed their Governments in signing the Convention and recommending its quick
ratification. The Convention provides for the creation of the Lake Tanganyika Authority. By signing the
Convention, the countries have showed their strong commitment to the creation of the ILTMA and their
willingness to continue project programs and approaches beyond the life of the GEF intervention.
Financial Sustainability
Financial sustainability is enhanced by countries commitment to sustain the ILTMA and later the Lake
Tanganyika Authority in continuation and building upon the already substantial level of co-finance and
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the strong international donor support. The financial commitment of Governments is at this time largely
in-kind. The commitment of substantial resources to a joint GEF-ADB effort by the ADB and other
donors will result in the greater availability of resources, additional other donors, and thus create more
time to develop incentives for the Governments to eventually commit to increased levels of self-
financing, particularly as it relates to the mid and long term sustainability of the Convention. A financial
plan that will make provision for future sustainable funding will be prepared, including a feasibility
study to determine options to assure continued self-financing of such ongoing costs as those associated
with the running of the LTS and the LTMC. The present level of donor support will be enhanced
through continued leverage of donor and private sector financial support to increase the current level of
co-finance and to secure funding for the implementation of new SAP and Convention interventions.
STAKEHOLDER INVOLVEMENT
The major stakeholders and successful key to the ILTMA include the Governments at all levels: Central
Governments (Ministries1 of Environment and Natural Resources, Fisheries, Water Affairs, Transport
and Communication, Foreign Affairs, Finance, etc.), Local Governments; MPs, local communities,
public agencies, donor communities, private sector, NGOs, universities and research institutions.
Stakeholder participation was a key and successful ingredient for the achievement of the TDA, the SAP,
the Convention and the development of project proposals during the execution of the PDF-B phase
activities. The ILTMA will build on and add to the level of stakeholder involvement in the
implementation of the SAP, the FFMP and the Convention as well as in further development of SAP,
FFMP and Convention interventions. The more engagement of end users at the community level will
ensure the success of the project in the long run.
MONITORING AND EVALUATION (Ref: GEF Executive Summary)
The project activities and outputs will be regularly reviewed and evaluated annually by the LTMC and
will be subject to the various evaluation and review mechanisms of the UNDP, including the Project
Performance and Evaluation Review (PPER), the Tri-Partite Review (TPR), and an external Evaluation
and Final Report prior to termination of the Project. The LTMA will also participate in the annual
Project Implementation Review (PIR) of the GEF.
As a result of the emphasis placed on results-based management, the ILTMA will develop a detailed
Monitoring and Evaluation work plan at the inception of its activities. The M&E overall plan will begin
with the development of the critical indicators. The project will update the M&E work plan, which will
allow an assessment of the ILTMA performance by showing the schedule of the activities, their cost and
the expected outputs and achievements according to the established benchmarks and milestones. The
work plan will be the main tool for monitoring and evaluating the progress of the ILTMA.
ILTMB FINANCING (Ref: GEF Executive Summary - Annex 1a for Incremental Cost Analysis).
The overall cost of establishment including infrastructure, and running the ILTMA for a period of four
years is over 8 million US $. This is made up as follows:
· The fisheries components in HQ (staffing, oversight, policy etc) are over 2.5 million$. (AfDB)
· The monitoring components are 1 million $ (IUCN)
· The national components are 1,248,000$
· The GEF component is estimated at 3.728 million $, including regional project management.
National Contributions: Total for 48 months: US$ 1,248,000 (in kind and personnel)
1 Note that titles of Ministries and locations of Departments within Ministries varies from country to country.
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Secretariat (ILTMS) Office and Project HQ (Bujumbura) will be provided by the host country based
on US$ 5,000 per month, includes rent, water, electricity, parking plots and maintenance costs. Total
host country office contribution for 48 months: US$240,000.
Project Coordination Units Offices in country Project Offices and their maintenance, water and
electricity, will be provided by the beneficiary countries, based on equivalent US$ 2,000 a month per
country. Sub-total for 40 months (allows start-up time), 4 countries: US$320,000.
Inter-Ministerial Committees / Monitoring Committees / National Staff will be assigned by
participating countries. These are equivalent costs of provision of facilities, staff time and other
resources based on equivalent $ 4,000 per country per month. Total for 40 months is: US$704,000.
Financing Details: GEF Component at Regional Level (annual budget line detail in annex)
Item Duration
Total
International Staff
-
Chief Technical Advisor
48mm
500,000
Technical Advisor (Environment)
24 mm
200,000
Regional Staff (support for 12 mm only)
-
Executive
Director
12mm
70,000
Regional
Administrative
Officer
12mm
50,000
Support Staff (5 posts including translator)
48 mm
200,000
Consultants International
8 mm
112,000
Consultants Regional
10 mm
65,000
Contract ICRAF (Catchment Management & Training)
Full
650,000
Contract IUCN (Monitoring Committees)
Full
200,000
Evaluation Missions (MTR, TR)
Two
60,000
Study Tours, Training Missions
Several
40,000
Workshops, Committees, Coordination
Several
480,000
Equipment (Vehicles, Office, Security etc)
281,000
Duty Travel
140,000
Operating costs, Communications, Sundry
442,000
UNOPS AOS Costs (3% contract, 8% other)
235,000
OVERALL TOTALS (Rounded to 3,728,000)
3,725,000
5. IMPLEMENTATION ARRANGEMENTS
General Implementation Processes
The oversight of the Programme activities will be the responsibility of the LTMC. The LTMC is
comprised of country representatives at Permanent Secretary level, from both environmental and
resource sectors (eg fisheries). The LTMC will serve as a steering committee of the Programme and will
convene annually to review the Programme objectives, outputs and new and emerging issues. The
Implementing/Executing Agencies will participate in the meetings of the LTMC.
The overall coordination role of the Programme will be the responsibility of the Lake Tanganyika
Management Secretariat. The LTMS will comprise an Executive Director, a Senior Environmental
Officer, a Senior Fisheries Officer, a Senior Finance/Accountant Officer, a Senior M&E Officer and an
ICT Officer. The requisite administrative and secretariat support will be provided. These staff are
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provided by participating countries, although GEF provides funding to countries to meet these
obligations for the first year of operation,2 and AfDB can support similar allowance packages
Technical assistance will be provided through the donor interventions. GEF provides a CTA for four
years (combining both technical expertise in the field of regional water-body institutional building, as
well as coordination and reporting roles across all five GEF national and regional components) GEF
provides an Environmental Advisor for two years, plus short-term consultant inputs (SAP, water-
hyacinth control, policies, monitoring process).
The LTMS will also undertake the implementation of specific program activities: support the ratification
of the Convention, establish the Lake Tanganyika Authority, support establishment of protocols to
Convention and their enforcement, update the SAP etc.
At country level, projects will be coordinated by a PCU under the direct responsibility of the relevant
ministry/institution/local government of the participating country. Project partners at national level
(Governments and UNDP) will designate the implementing institution (Government agencies at central
and decentralised levels, or NGOs) of the projects. The PCU will be comprised of a Project Coordinator,
the requisite administrative support, plus technical expertise as needed.
Inter-Ministerial Committees will be established to support the implementation of the Program at
national and regional level and to ensure continued and increased level of political support to the co-
operative management of the Lake and to the necessary support to the LTA, once in place.
Implementation Modalities for the GEF Components
This GEF Brief sets out broad implementation process, focusing on delivery for cost-effective impact,
and nationally driven processes which lead to local capacities and so sustainability. There will be a
mixture of both NATIONAL Execution arrangements in countries with strong UNDP-Government
capacities, and UNOPS Execution arrangements where capacities are weaker (countries emerging from
long periods of conflict DRC and Burundi). The Regional component will be executed by UNOPS
with sub-contracts to institutional expertise in the region for specific tasks (eg: catchment management
training and support, Monitoring). These inputs can be summarised in the following table:
Summary of Implementation Arrangements
Component
Execution Modality
Value $
AOS Agreements
Regional Activity
Contract to ICRAF
Subcontract from UNOPS
650,000 Reduced AOS 3 %
Contract to IUCN
Subcontract from UNOPS
200,000 Reduced AOS 3 %
Regional Staff / Activity etc
UNOPS Execution
2,874,000 8% AOS
The principles of ensuring cost effective and sustainable implementation modalities, whilst adding
incremental value to poorly performing baseline interventions to ensure that both global and national
benefits are achieved, are of importance here. Detailed implementation modalities will be described in
subsequent Operational Project Documentation, and will be dependent on practical realities in the
field, as presented in the detailed Inception Report, due within 4 months of start-up.
6. INSTITUTIONAL COORDINATION AND SUPPORT
The ILTMA will be coordinated and supported by the following management bodies adapted to the
convention's structure:
2 By which time posts will have been approved through national processes.
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a) The Lake Tanganyika Management Committee - LTMC
b) The Lake Tanganyika Management Secretariat LTMS;
c) The Inter-Ministerial Committees (Socio-economic Committees, Natural Resources and Biological
Diversity Committees and Water Quality and Pollution Control Committees).
THE LAKE TANGANYIKA MANAGEMENT COMMITTEE
The LTMC is the supreme organ of the ILTMA (and LTA in future) and shall consist of the Permanent
Secretaries of the relevant Ministries or a senior representative of those Ministries.
The LTMC shall hold its first meeting not later than four months after the signature of the Project
Document, and staff being in place, and will discuss and approve the Project Inception Report. The host
country shall convene the first meeting and the other participating countries shall convene the
subsequent meetings in the following alphabetic order. The LTMC shall select a Chairperson at its first
meeting, who shall serve for a one-year term. The Chairmanship of the LTMC shall rotate every year
among the members of the LTMC in accordance with the alphabetical order of the participating
countries.
The LTMC shall meet once annually at such time as it shall determine. The Executive Director shall
inform the participating countries of the date and place of each session and shall act as the Secretary for
the LTMC. The LTMC shall adopt its own rules of procedures. No session of the LTMC shall take place
unless the representatives of all the four participating countries are present. The decisions of the LTMC
shall be taken by consensus. The functions of the LTMC shall be as set out in the accompanying annexes
to this regional component. In brief they are to provide overall strategic policy and management
direction to the LTMA; and direct the activities of the LT Secretariat. In addition the LTMC will seek
additional partnership funding
THE LAKE TANGANYIKA MANAGEMENT SECRETARIAT
The LTMS shall be a full time body, headed by an Executive Director, approved by the LTMC.
The LTMS will coordinate Lake management interventions implemented by National Agencies within
the framework of the SAP; and coordinate interventions on the Lake through joint management,
particularly with the (ADB) Lake Tanganyika Fisheries and Biodiversity Development Project (LT-
FBDP). The LTMS will invite the participating countries to ratify the Convention and prepare the
proceedings for the establishment of the Lake Tanganyika Authority and carry out any additional
activities necessary to facilitate the implementation of the Convention. Details are in annexes below.
The Office
The LTMS headquarters will be established in Bujumbura, Burundi. The LTMS shall have a permanent
office provided by the Host Country. The Host Country shall cover the rent and maintenance of the
Office. The Host Country shall exempt the LTMS and its international and regional staff from customs
duties and any other taxes, immigration restrictions and alien registration and national service
obligations and shall facilitate by all suitable means the mission of the LTMS and its staff.
Regional Staff
At regional level, the LTS will have a full time senior staff comprising of an Executive Director, a
Senior Environmental Officer, a Senior Fisheries Officer (AfDB), a Senior M&E Officer (IUCN), and a
Senior Administrative/ Finance Officer. This staff will have a significant role in supporting the
implementation of the SAP and FFMP interventions and the SAP further development, the ratification of
12
Regional Component Annexure Version of 8 September
the Convention and the establishment of the Lake Tanganyika Authority, the preparation of protocols to
Convention to harmonize policies and regulations, to establish regional development plans, to include
other Basin State; plus the initiation of the negotiation of co-financing from the countries and with
donors and the public and private sectors in both the Francophone and Anglophone countries.
GEF will provide technical assistance in the form of a CTA for four years and a TA (Environment) for
two years, plus requisite support staff. Shorter term technical consultancy inputs are funded (10 mm
International input and 12 mm Regional input) in the fields of policy process, SAP update, water
hyacinth control, convention protocols etc).
The LTMS will require additional secretarial and administrative support, as well as a full-time translator.
There will be two separate accounting and reporting units (one for the UNDP reporting requirements and
the other for the ADB reporting requirements). The Executive Director will be responsible for recruiting
additional secretarial, technical and administrative support staff and for defining their terms of reference,
including the level at which they will have to be able to operate in both French and English. However,
their appointment shall be subject to the approval of the LTMC.
Staff from the LTMS will make fields visits in the participating countries in support of field projects and
work with staff responsible for implementing the projects at national level, and of monitoring task forces
units. The LTS and the IAs will be responsible for ensuring that projects are implemented in different
countries within the framework of the SAP and the FFMP.
National Project Coordination Units
The implementation of the projects at national level will be carried out by National Project Coordination
Units (PCU) under the coordination of Project Coordinators (4 for the GEF supported interventions and
4 for the ADB fisheries supported interventions) appointed jointly by the LTS, the UNDP or the ADB
and the participating country. The Project Coordinators (PCs) will work under the direct responsibility of
the participating countries' relevant Ministry. The participating countries will provide office and the
required technical and administrative supporting staff to the PCs. Direct costs, including office
provision, water and electricity and office maintenance will be covered by the participating countries as
national contribution. The PCUs report to LTMS, to the beneficiary Governments and to UNDP-GEF.
The GEF interventions will have PCU inputs at Bujumbura (Burundi), Uvira3 (DRC), Kigoma
(Tanzania) and at Mpulungu (Zambia).
INTER-MINISTERIAL TECHNICAL COMMITTEES / MONITORING COMMITTEES
(Reference the Lake Monitoring Programme Component Outcome 4).
The composition and the duties of these committees shall be adapted to the Technical Committees
provided in the Convention. Essentially, it is expected that these committees will be formed to support at
national level the activities of the ILTMA and to advise the Management Committee on managerial and
technical aspects of the various sectors related to the SAP/FFMP priorities: Fisheries, Socio-Economy,
Biodiversity/ Conservation, Water Quality and Pollution Control. These Committees should be
composed of Inter-Ministerial representatives and other relevant Technical Institutions or State Organs
concerned by the Lake and its Basin's issues. Private sector and NGOs involved in the Lake Tanganyika
as well as local communities shall be represented in these committees. The selection criteria of these
members should be based on expertise, experience in the related sector and implications for the Lake.
The exact design will be agreed during the Inception Report Process.
3 We note the possibility of the AFDB fisheries component being based at Kalemie, south down the lake in DRC. It
does not make for efficient management for the Uvira component to be managed from anywhere except Uvira.
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Regional Component Annexure Version of 8 September
ANNEX A: PROGRAM LOGICAL FRAMEWORK REGIONAL COMPONENT
Intervention Logic
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTCOME 1 Regional and
ILTMA established;
Minutes and reports of the First
Countries keep and concretize their
national institutions
Conference of Parties & Meetings.
commitment to ratify the
established and implementing
Inter-ministerial Committees
Convention;
the SAP and provide the
established by 2006
Instruments of ratification are
institutional support for the
Convention ratified by 2006;
deposited with the LTMS;
The LTMS is able to lead the
cooperative management of
process of creation of the Lake
Lake Tanganyika
Protocols to Convention established National environmental policy
Authority;
Policies harmonized and regional
document; Master plans reports;
master plans established by 2008;
Commitment to implementation of
Documented increased level of
the SAP interventions;
Additional resources leveraged for
LTMS participation in activities;
continuing activities and
The countries will increase their
sustainability by 2008;
Published progress reports on extent participation in the ILTMA
of SAP implementation;
activities;
Information Resource developed
and maintained by 2008
Written reports of meetings
Increased country commitment for
Lake Tanganyika Strategic Action
regional input to SAP
Program is updated by 2007
implementation; Revised SAP
document;
OUTCOME 4 Regional
Monitoring and communication unit APR PIR
The LTMS will assist countries in
monitoring decision-making
is equipped by 2006;
Documentation of the decision-
recruiting Monitoring Committees;
support system to foster the
Internal and external network for
making management support
The LTMS will assist countries in
Lake's management
communication within the Program
system;
assessing national monitoring
established
is established by 2006;
processes;
Standardization of methods,
Documented reports on interactivity The LTMS will have the required
parameters and targets in
between work-plan and ILTMA
technical expertise to develop
environment monitoring by 2007;
activities;
monitoring capacity and to
A web site developed by 2007;
establish a decision-making
Two reports are prepared each year
Documented reports on increased
management support system
to support decision-making at
country commitment and local
regional level by 2007
benefits
14
Regional Component Annexure Version of 8 September
ANNEX B:
LAKE TANGANYIKA INTEGRATED MANAGEMENT PROGRAMME (ORGANIZATIONAL CHART)
LAKE TA NGANYIKA
MANAGEMENT
SECRETA RIAT (LTMS)
S
Executive Director (1)
E
C
R
CTA (GEF)
Accounts
E
Accounts
Policies/Institutions/Legal and
T
(ADB)
(GEF)
Convention's Processes
A
R
Senior Fisheries
Senior Admin/
Senior M&E
TA Environment
I
Advisor
Finance Officer
Advisor
A
S Fisheries Officer
(ADB) (1)
1M&E and 1 ICT & Info
S Environmental Officer
(ADB)
Officers (IUCN/ADB)
(GEF)
T
Country/
Country/
Country/
Country/
PCU
PCU
PCU
PCU
Burundi
DRC
Tanzania
Zambia
Inter-Ministerial Committees / Monitoring Committees / National Staff
(1) Funded by GEF for first twelve months. GEF Posts are shaded grey, plus some posts in Country PCUs.
15
Regional Component Annexure Version of 8 September
Component Budget for Regional Activity
Item
Duration Year 1 8m Year 2
Year 3
Year 4
Year 5 8m Total
International
Staff
-
Chief Technical Advisor
48mm
80,000
120,000
125,000
130,000
45,000
500,000
Technical Advisor (Environment)
24 mm
67,000
100,000
33,000
-
-
200,000
Regional Staff (support for 12 mm only)
-
Executive Director
12mm
47,000
23,000
-
-
-
70,000
Regional Administrative Officer
12mm
33,000
17,000
-
-
-
50,000
Support Staff (5 posts including translator)) 48
mm
33,000
49,000
49,000
54,000 15,000 200,000
Consultants International
8 mm
60,000
32,000
12,000
10,000
-
112,000
Consultants Regional
10 mm
25,000
20,000
10,000
10,000
-
65,000
Contract ICRAF (Catchment Management)
Full
650,000
650,000
Contract IUCN (Monitoring Mgmt Committees)
Full
200,000
200,000
Evaluation Missions (MTR, TR)
Two
-
-
30,000
-
30,000
60,000
Study Tours, Training Missions
Several
40,000
Workshops,
Committees,
Coordination
Several
480,000
Equipment (Vehicles, Office, Radio, Security etc)
281,000
Duty
Travel
140,000
Operating costs, Communications, Sundry
444,000
UNOPS AOS Costs (3% contract, 8% elsewhere)
236,860
OVERALL TOTALS
3,727,860
16
Regional Component Annexure Version of 8 September
ANNEX D. PROGRAM IMPLEMENTATION SCHEDULE (By Year and Quarter)
No.
DESCRIPTION
2005
2006 2007 2008
2009
2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1
1.
Recruit ED
x
Recruit
Support
Staff
x X
Recruit
Technical
Assistance
x X
Purchase
Install
Equipment
x X
Secretariat Infrastructure is in
X
place and functioning.
INCEPTION REPORT
X
LTM COMMITTEE MEETS
X
x
x
X
Workplan
for
four
years
Approved X
2 Convention
Ratification
Process X
X
X
X
X
X
X
Convention
Protocols
X
X
X
X
X
X
x x
3
Training Visits / Study Tours
x
X
x
x
x
x
x
X
4 Lake
Monitoring
Processes
x X x x x x x x x x X x x
Project
Monitoring
-
Reviews
X
X
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Regional Component Annexure Version of 8 September
ANNEX TERMS OF REFERENCE INSTITUTIONS4 AND KEY STAFF
1) THE LAKE TANGANYIKA MANAGEMENT COMMITTEE
Background:
The Interim (and full) LTMA will have a Steering Committee (LTMC) comprised of 3
Representatives from each of the participating countries, one member from each of the
programme partner agencies (UNDP-GEF, UNOPS, AfDB, IUCN, FAO, NDF and others) and
such other members as may be deemed necessary by the LTMC.
The ED will serve on the LTMC in an ex-officio capacity. The LTMC will assume oversight
responsibility for the Full Program and shall meet once a year during Program implementation at
the call of the Chair, who shall be selected by the LTMC. More specifically the LTMC shall:
Duties
· Provide overall strategic policy and management direction to the ILTMA.
· Encourage and follow up Convention ratification and implementation.
· Support to the LTMS for activities consistent with ILTMA objectives.
· Review the progress of the ILTMA and its components.
· Review and approve the work plan and budgets of the LTMS and oversee progress on its
activities, and provide strategic direction on the work plan.
· Approve preparation by the ILTMA for the creation of the Lake Tanganyika Authority.
· Agree on rules of procedure for itself, the Secretariat and any subsidiary bodies;
· Approve the appointment of the Executive Director;
· Approve the recruitment and appointment of other senior staff considered to be necessary
to the functioning of the Secretariat.
· Continue to seek additional funding to support the activities and outputs of the ILTMA.
2) THE LAKE TANGANYIKA MANAGEMENT SECRETARIAT
Location: Bujumbura
Background: The LTMS will provide a coordination and management structure for the
implementation of the SAP, the FFMP and the Convention (and further development of the SAP)
based on the overall policy direction provided by the LTMC, and with support of programme
partners.
The LTS is comprised of the ED, Technical Advisors, Environmental Officer,
Administrative/Finance Officer, the M&E staff, the ICT staff and the requisite secretariat and
administrative support services/staff.
Duties:
· Coordinate the Lake management interventions implemented by national institutions within
the framework of the SAP and the FFMP;
· Support the participating countries to ratify the Convention, and assist in implementation;
· Coordinate interventions on the Lake through joint management, with the Cooperating
Programme Partners interventions;
4 Note that these institutions follow the format in the signed Convention. These institutions are designed to
be permanent regional institutions and not GEF project artefacts.
18
Regional Component Annexure Version of 8 September
· Prepare the establishment of the Lake Tanganyika Authority;
· Prepare draft procedures for the consideration of the First Conference of Parties and carry out
any additional activities necessary to facilitate the implementation of the Convention;
· Establish protocols to Convention to harmonize regional regulations and policies, to adopt
regional master plans and to open the Convention to other Basin State;
· Organization of ILTMA related consultative meetings for introducing and implementing
program activities (including arrangements for such necessities as simultaneous translation
and the production of documents in English and French);
· Act as the lead group to coordinate and leverage funding at national and regional levels in
support of the SAP and the FFMP negotiating finance for regional projects and assisting
national agencies in negotiating finance for national projects;
· Prepare progress and annual reports for the LTMC on the implementation of the SAP and the
FFMP and the progress on the Convention and any additional new activities within the basin
that may affect the management of the Lake;
· Arrange and support meetings for the LTMC;
· Prepare annual budgets for the functioning of the ILTMA;
· Maintain an Information Resource: Collection and dissemination of information on policy,
economic, scientific and technical issues related to the implementation of the SAP, the FFMP
and the Convention;
3) THE EXECUTIVE DIRECTOR FOR ILTMA
General Responsibilities
The Executive Director is seen as a senior management appointment, with responsibilities to start
a new regional program for the management and sustainable use of Lake Tanganyika and its
resources. The Executive Director will be responsible through the Lake Tanganyika Management
Secretariat (LTMS) to the Interim Lake Tanganyika Management Committee. A principal task of
the Executive Director will be to ensure the evolution of the full Lake Tanganyika Management
Committee from the initial interim committee.
The Executive Director will lead and build capacity of the LTMS, a new institution. The
Executive Director will be the principal liaison Officer for the Program Collaborating Partners:
the four riparian Governments (Burundi, DRC, Tanzania and Zambia), the African Development
Bank, Food and Agriculture Organization, European Union, Global Environment Facility / United
Nations Development Program, Nordic Development Fund and others. The Executive Director
will coordinate and facilitate the work programs established by the partners, implemented through
technical department heads.
Specific Duties and Responsibilities
The Executive Director will have the following tasks and functions:
1. Serve as the head of the LTMS, which provides overall support for the implementation of
the Lake Tanganyika Strategic Action Program (SAP) and Fisheries Framework
Management Plan (FFMP) and the establishment of the Lake Tanganyika Authority.
2. Manage the LTS, its staff, core (non-GEF) budget and assets and lead the LTMS in
carrying out the tasks assigned to it by the LTMC.
19
Regional Component Annexure Version of 8 September
3. Facilitate the ratification of the Convention; and ensure that the Convention is
disseminated to all Contracting States and obtain and update information relevant to its
implementation;
4. Ensure that protocols to Convention are established to harmonize policies and
regulations, to establish regional frameworks, to allow other Basin State to become party
to the Convention; facilitate the exchange of information under the Convention and its
domestication.
5. Prepare the overall development and management Plan for the LTS, including inception
plan and report, staffing plans, financial, procurement and personnel rules and regulations
and overall work plans, that incorporate guidance from donor partners.
6. Financing: develop funding agreements; coordinate and leverage funding at national,
regional and international levels in support of the SAP FFMP negotiating finance for
regional projects and assisting national agencies in negotiating finance for national
projects.
7. Collaboration and Reporting. Arrange and support meetings of the Conference of the
Parties and of the LTMC and serve as Secretary to the LTMC meetings and facilitate the
effective operation of the Committee
QUALIFICATIONS, WORK EXPERIENCE AND OTHER SKILLS
The Executive Director should be a citizen from the Lake Tanganyika region (Burundi, DRC,
Tanzania and Zambia) and should have the following qualifications:
· A higher university degree in subjects related to the work of the Program;
· Experience in the fields related to the assignment. At least ten years in managerial
position in government or international positions;
· Demonstrated diplomatic and negotiation skills;
· Familiarity and knowledge of the region;
· Familiarity with the goals and procedures of international organizations.
· Previous work experience in regional or lake/river basin programs an advantage;
· Demonstrable skills in information technologies.
· English and French fluency.
4) CTA LEGAL/INSTITUTIONAL ISSUES AND COORDINATION
General Responsibilities
The CTA will be recruited by UNDP/GEF/UNOPS and has two distinct sets of duties:
· Firstly, To provide the coordination between the regional and national components of this
GEF project and to ensure prompt and unified reporting processes.
· Secodly, he / she will be the ED advisor on matters related to Convention's processes,
institutional setup, as well as regulations and policies harmonization, and cooperation
between the ILTMS and Member States and similar regional organizations.
Specific Duties
20
Regional Component Annexure Version of 8 September
The CTA Legal/Institutional will have the following specific duties:
· Provide coordination and lead facilitation between the country components and regional
component of the GEF Program,
· Lead role in reporting on the regional progress to UNDP/GEF/UNOPS.
· Oversight and management of the GEF funds through UNOPS and NEX process.
· Advising the ED in leading the LTMS in the environmental programmes, including:
· Follow up the progress of the ratification of the Convention and if required initiate
necessary actions to assist countries in the ratification process;
· Organization of ILTMA related consultative meetings for introducing and
implementing the Convention, and protocols to the convention;
· Coordinate the leverage of funding at national and regional levels in support of the
implementation of the Convention;
· Prepare progress and annual reports for the LTMC on the progress of implementation
of the Convention
QUALIFICATIONS, WORK EXPERIENCE AND OTHER SKILLS
· A higher university degree in subjects related to the work of the Program;
· Senior management experience in the fields related to the assignment. At least ten years
experience in a field related to the work program in government or international
positions;
· Demonstrated diplomatic and negotiation skills;
· Familiarity and knowledge of the region;
· Familiarity with the goals and procedures of international organizations, particularly
those of UNDP, UNOPS and GEF.
· Previous work experience in regional or lake/river basin programs an advantage;
· Demonstrable skills in information technologies.
Duration: Four years fixed-term.
Date required: 1 March 2005
Duty station: Bujumbura with travel in the ILTMA region (Burundi, Democratic Republic of
Congo, United Republic of Tanzania and Zambia) and internationally as deemed necessary.
Language: Fluency in English and French.
5) Technical Advisor: ENVIRONMENT
General Responsibilities
The TA Environment will work through the LTMS in close liaison with the National Agencies
and the Inter-ministerial Committees to ensure effective implementation of the GEF
environmental components of the Program. The TA Environment will provide the senior
technical expertise and leadership for the Program stakeholders in Land and Water protection
components of the Lake Tanganyika Integrated Management Program. The TA will play a key
role in ensuring effective Lake basin-wide communication and collaboration among national
components of the Program, NGOs, consultants, and stakeholder groups to achieve the Program's
objectives. The TA will report to the CTA, the Executive Director and to UNOPS/UNDP/GEF.
Specific Duties
21
Regional Component Annexure Version of 8 September
· Assist the Executive Director in providing the leadership and technical guidance to
achieve the targets, outputs, and performance indicators of the GEF component for
environmental protection and conservation of the Lake Tanganyika biodiversity;
· Supervise the start-up and initial implementation of the GEF components of the
Programme, including establishing monitoring and evaluation processes
· Advisory role in the formulation of the regional environmental policies and regulations as
well as the formulation of Lake basin-wide frameworks for environmental protection and
sustainable development;
· Provide technical guidance and mentoring of staff to ensure the effective implementation
of GEF environmental component activities at the national level and that capacity
building is well integrated into project activities;
· Prepare component related terms of reference and provide technical oversight for the
work of international and regional / national consultants, ensuring the quality, timeliness
and appropriateness of work;
· Prepare timely, accurate and quality progress, technical, financial and other required
reports on GEF component activities.
· Maintain quality assurance and facilitate effective component monitoring and evaluation;
QUALIFICATIONS, WORK EXPERIENCE AND OTHER SKILLS
· Advanced University degree in natural resources management or water resources,
biodiversity, ecology, biology, forestry; environmental economics or other professional
area directly related to the work of the Program;
· At least seven years of experience in the fields related to the assignment;
· Familiarity and knowledge of the region would be an asset;
· Familiarity with the goals and procedures of international organizations;
· Ability to travel extensively in the region;
· Demonstrable skills in information technologies.
Duration: Two years fixed-term
Date required: 1 March 2005
Duty station: Bujumbura with travel in the ILTMB region (Burundi, Democratic Republic of
Congo, United Republic of Tanzania and Zambia) and internationally as deemed necessary.
Language: Fluency in English and French.
7) PROJECT COORDINATION UNITS
Location: One National Project Implementation Office in each of the participating countries.
Background: In each participating country, SAP interventions will be carried out by National
Implementing Agencies headed by a Project Coordinator under the responsibility of the
participating country and the supervision of the ILTMS. Office costs of the National Agencies
will be met from national contributions. GEF and other donor funds will cover national sub-
projects components activities and the salaries of the Project Coordinator and the Staff. The
participating country will designate a National Leading Institution to ensure the execution of the
national sub-project components according to the work program and in accordance with
GEF/AfDB requirements.
22
Regional Component Annexure Version of 8 September
Responsibilities:
The National Implementing Agencies shall be responsible for the overall and day-to-day
implementation at national level of the GEF and AfDB interventions. The NIAs will coordinate
the work of the various project components in close consultation with the country designated lead
official. NIAs will directly assist in project execution through the provision of services, advice
and support in the areas of public consultation and assistance with regard to donor activities
relevant to the project.
8) Inter-Ministerial Committees
Background
Through the formulation of the SAP and the signing of the Convention, countries have affirmed
their responsibility to ensure a sustainable development to the Lake Tanganyika. Consequently,
countries should ensure a considerable national level involvement in the ILTMB activities and a
requisite level of national organization to provide the necessary country based support to the
ILTMB activities and thereafter the Lake Authority.
The ILTMB will provide funds to support the work of the Inter-Ministerial Committees. The
costs will cover the facilitation of meetings and proceedings. It is expected that these committees
will meet at least once a month or more as justified.
.
Responsibilities
The Inter-Ministerial Committees should be responsible for the provision of all requisite support
at national level to the activities of the ILTMB, the promotion of public and multi-secotral
involvement in the ILTMB activities, and the provision of technical advise to the ILTMC on
managerial and technical aspects of the various sectors related to the SAP priorities (Fisheries,
Socio-Economy, Biodiversity/Conservation, Water Quality and Pollution Control) and the
Convention. The Inter-Ministerial Committees should be also responsible for providing support to
the ratification of the Convention and for ensuring political support to the ILTMB and the process
leading to the creation of the Lake Authority.
Composition
It is the responsibility of each participating country to recruit relevant and competent personnel to
these committees to ensure a timely support to the Project implementation. The selection criteria
of these members should be based on expertise, experience in the related sector and implications
for the Lake. They should be composed of Inter-Ministerial representatives and other relevant
Technical Institutions or State Organs. Private sector and NGOs involved in the Lake Tanganyika
as well as local communities shall be represented in these committees.
23
Tanzania Project Brief: Project Component Implementation and Institutional Framework
ANNEX 4
The Lake Tanganyika Integrated
Management
Project:
The Tanzania Component.
August 2004
SUMMARY
Using the TDA and SAP as a framework for management input, Tanzania prioritised two
interventions for GEF funding: Reducing Sediment Inflow by Improved Catchment
Management in Selected Watersheds; and Waste-water Management at Kigoma-Ujiji.
Other components of the programme partnership address fisheries issues and the
pervasive problem of poverty and livelihood dependence on fisheries resources among
riparian populations.
Catchment Management will take place as demonstration interventions in the densely
populated areas around several small rivers flowing directly into the lake north of
Kigoma town. These streams coming from the steep mountainous terrain around the lake
carry high sediment loads which are increasingly carpeting the rocky lake substrates with
silt.
Waste-water management is in the rapidly growing urban centre of Kigoma-Ujiji, where
domestic and industrial sewage flows largely into the lake. GEF funding provides
capacity support for Kigoma administration to address compliance and monitoring of
waste-water treatment, whilst leveraged co-financing Nordic Development Funds to
Tanzania - builds a modern treatment facility.
TABLE OF CONTENTS
1
Project Background / Context 25
1.1 Country Ownership ...........................................................................25
1.2 Environmental Context .....................................................................28
1.3 Socio-economic, Institutional and Policy Context .........................28
2
Baseline situation: Threats, Root Causes and Activity 29
2.1 Threats................................................................................................29
2.2 Root causes .......................................................................................30
2.3 On-going Activities Baseline Activities ...........................................31
3
Alternative Course of Action 34
3.1 Introduction........................................................................................34
24
Tanzania Project Brief: Project Component Implementation and Institutional Framework
3.2 Objectives ..........................................................................................36
A
Catchment Management Component .........................................................36
3.3 Outputs catchment management component .............................36
B
Wastewater Management Component .......................................................39
3.4 Outputs wastewater management component ............................39
C
Project Component Implementation and Institutional Framework ..............41
3.5 Project Sites.......................................................................................41
3.6 Global Environmental Benefits ........................................................41
3.7 Sustainability .....................................................................................42
3.8 Replicability .......................................................................................44
3.9 Stakeholder Involvement ........................Error! Bookmark not defined.
3.10 Monitoring and Evaluation...........................................................45
3.11 Financing .......................................................................................47
3.12 Institutional Coordination and Support ......................................49
Annex 1: Project Output and Activity Matrix Catchment Management Component
51
Annex 2: Project Logical Framework Matrix Catchment Management Component 52
LIST OF TABLES
Table 1: Project component outputs catchment management component .............................. 36
Table 2: Project component outputs waste-water management component ........................... 39
Table 3: Catchment management component cost estimates .......Error! Bookmark not defined.
Table 4: Wastewater management component cost estimates .....Error! Bookmark not defined.
Table 5: Detailed incremental cost analysis in US$ .......................Error! Bookmark not defined.
Table 6: Co-finance (GEF alternative) ........................................................................................ 49
LIST OF FIGURES
Figure 1:................Project implementation structure for the catchment management component
45
Figure 2:.............. Project implementation structure for the wastewater management component
46
Project Background / Context
Country Ownership
Country Eligibility
Tanzania ratified the Convention on Biological Diversity (CBD) in 1996 is eligible for
technical assistance from UNDP/GEF. Tanzania ratified the Ramsar Convention on
Wetlands in 2000.
Country Driveness
Agreement, ratification and implementation of global interventions
The National Biodiversity Strategy and Action Plan (2004) and the National
Environmental Action Plan (1994) both emphasise the importance of Lake Tanganyika
in terms of biodiversity value and livelihood support. Pollution, sedimentation and
localised over-fishing are highlighted in the Plans.
25
Tanzania Project Brief: Project Component Implementation and Institutional Framework
Project integration with national sector development policy
The major policies and strategies that are considered relevant to the environment and
biodiversity of Lake Tanganyika are: the Forest Policy (1998) and Forest Act (2002); the
Fisheries Sector Policy and Strategy Statement (1998); the Water Policy (2002); the
Wildlife Policy (1998), the Land Policy, the Village Land Act (1999) and the Land Act
(1999); the National Environment Management Policy (1997), and the National
Environment Management Act under draft; the Poverty Reduction Strategy Paper (2000)
and a revised version thereof under final preparation; the Local Government Reform
Programme as being implemented under the amended Local Government Act of (1982);
as well as the National Agriculture and Livestock Policy (1997), the Agricultural Sector
Development Strategy (2001) and the Rural Development Strategy (2001).
Water Policy (2002) provides a new set of water policies for Tanzania, which will
facilitate considerable improvements in water management in the country when
implemented. The Policy recognises the importance of water for human needs, for the
maintenance and integrity of ecosystems and biodiversity as well as its central role in the
development of Tanzania's economy. The Policy's overall aim is to facilitate Tanzania's
2025 vision of attaining nationwide livelihood sufficiency (eradication of abject poverty),
good governance and a strong and competitive economy. In detailing the role of water in
individual natural resource sectors, the policy highlights the need for appropriate
measures to achieve regional cooperation in trans-boundary water management through
developing agreed frameworks with neighbouring states. Crucially, the Policy sets out a
new approach that strives to achieve integrated, participatory, multi-sectoral, multi-
disciplinary river basin management, through holism, subsidiarity and rational pricing.
Water planning and management will be carried out within river basins at three levels:
national, district and community level In addition to rural water supply, the Policy sets
out new policies for rehabilitation of urban water and sewage management based on
quality service provision, user charges, environmental standards and independent
regulation.
The National Environment Management Policy (1997) sets out a multi-sectoral
framework for mainstreaming and coordinating environmental protection in national
decision-making and policy implementation through the provision of guidelines. The
main instruments for ensuring environmental protection are environmental impact
assessments (EIA), promoting market valuation of the environment and its services to
reflect their true economic worth, implementing a system of environmental standards and
indicators as well as engaging with on-going international initiatives to address global
environmental problems.
The Forest Policy (1998) and Forest Act (2002) focus on the decentralisation of natural
forest management as a key strategy towards forest conservation. While control of
particularly important core national forest reserves will be retained by the Forestry and
Beekeeping Department (FBD), the majority of forest areas will be managed through
Joint Forest Management between the FBD, districts and villages. The decentralisation of
the forest sector complements the on-going Local Government Reform Programme, and
provides the opportunity for villages to manage and protect their own forest resources
through agreements with their district and the FBD. A challenge remains in building
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
sufficient capacity both at village level to successfully manage the forest resources and
also at district level in developing appropriate technical support.
The Local Government Reform Programme was approved by the Government in 1998
with the aim of improving the quality of and access to public services provided to
Tanzanians by local authorities. The programme has enabled much greater district
administrative and financial autonomy in the provision of primary social services (health
and education), natural resource management, land-use planning, environmental
protection as well as road infrastructure development and maintenance. In addition to
district-generated revenues, the districts receive conditional and unconditional block
grants from central government with which to carry out their mandates.
Land Policy (1995), Village Land Act (1999) and Land Act (1999) and subsequent
supporting legislation recognize village-based control of land tenure and land-use
planning. Long term support will be required to enable village land committees and their
land managers to proficiently implement, and for villages to equitably benefit from, the
new legislation.
Fisheries Sector Policy and Strategy Statement (1998) in recognising the significant
productivity potential of Tanzanian fisheries sets out strategies for encouraging the
participation of fishing communities in fisheries management and promoting sustainable
fishing practices and improving fish products and their marketing. The policy identifies a
need for improved fisheries status data and for ensuring that appropriate data are made
available to resource users and resource regulators. The policy also dwells on the need for
improved institutional capacity that complements heightened fisheries protection
measures and conservation efforts.
The Poverty Reduction Strategy Paper (2000) and its update (2004) stress the cross
cutting nature of environmental issues and Tanzania's natural resource base in alleviating
poverty. Sustainable fisheries and sustainable land management in the context of locally-
based systems of tenure and management are emphasised.
The National Agriculture and Livestock Policy (1997) and supporting strategic
documents of the Agricultural Sector Development Strategy (2001) and Rural
Development Strategy (2001) stress the need for sustainable land management and the
intensification of agricultural production. Tenure incentives for production and improved
services are seen as key driving forces for improved agricultural land use.
Regional intergovernmental conventions
Tanzania, together with the three other riparian states of Lake Tanganyika has agreed on
cooperative action for the sustainable management of the Lake. The Strategic Action
Programme (SAP) for the sustainable management of Lake Tanganyika, together with
the preparation and adoption of the Lake Tanganyika Fisheries Management
Framework paved the way for the negotiation and signature by the four countries of the
Convention for the Sustainable Management of Lake Tanganyika, which is currently
being ratified by the signatory nations. The Lake Tanganyika Project will assist Tanzania
in operationalising the SAP and the Convention as part of this regional effort.
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Environmental Context
The largest sub-catchment of Lake Tanganyika lies in Tanzania. Lake Tanganyika
contains the greatest biodiversity of any lake on the globe, with some 2,000 species of
fish, invertebrates and plants that have been recorded in the lake basin, of which at least
500 are endemic.
Socio-economic, Institutional and Policy Context
About one million people live around the Lake, with another ten million people living in
the Lake's watershed areas of which about 3 million live in the Tanzanian watershed. The
Lake is a source of fish for consumption and sale; it provides a key transport and
communications link, supporting the socio-economic development of lakeshore
communities; it is a permanent source of fresh water for agricultural, industrial
development and for domestic purposes.
The main socio-economic constraint to ecosystem integrity and human well being in the
Tanganyika basin is poverty. The main causes of poverty in the basin include:
· Limited choice of livelihood options and so over-dependence on agriculture and
fishing
· Inadequate access to land and capital, and limited access to credit by the poor
· Inadequate access to markets to sell/buy goods and services
· Shortage of labour and skills for productive enterprise
· Destruction of natural resources, leading to degradation and reduced productivity of
the resource.
· Lack of participation by the poor in the design of development programmes
Institutional and policy context
A legacy of under-achievement in the conservation and sustainable utilization of natural
resources at local and village level in Tanzania can be largely attributed to past policies
and accompanying institutional arrangements in the natural resource sector and related
sectors. While new policies and initiatives now address the failures of previous policies,
their legacy will continue to influence resource management regimes until the new
policies are implemented at village level. The main weaknesses in past institutional
arrangements were:
· Natural resource management was centralised, with government attempting to control (and not
always succeeding) resource use practices within villages without sufficient consultation.
· National capacity to facilitate local planning and management of natural resources and the
enforcement of necessary regulations has been weakened through other development processes.
In the case of government institutions, public service reforms have resulted in a reduction in
numbers and the morale of civil servants, including extension services in rural areas.
· Natural resource management has been carried out through a sectoral approach. For example,
the fisheries department concentrates on fish conservation and utilization without involving
other sectors which impact on the lake such as water, agriculture and forestry. It is now
recognized that a cross-sectoral approach to natural resource conservation and catchment
management in particular is needed. As a result of ongoing Local Government Reform
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Programme, many implementation and coordination processes have been devolved in large part
to the district level.
· Natural resource policy formulation has, in the past, tended to be government-driven to the
exclusion of intended beneficiaries, particularly local communities. Past policy, while
addressing national interests, often failed to take into account important local socio-economic
parameters resulting in inequitable and under-achieving natural resource management
institutions and practices.
· Legislation on natural resource management failed to include tangible incentives for
people who depend and impact on natural resources. The tendency has been the
enactment of legislation entailing punitive disincentives for local resource users.
Furthermore, the larger share of revenue (in taxes and/or levies) accrued from the
natural resource sector has been collected by the central treasury, leaving no tangible
incentives or sustainable system of funding for communities to conserve and
sustainably utilize their resources. New legislation that has been recently developed,
notably the Forest Act (2002), has made substantial headway in redressing many of
these deficiencies.
Baseline situation: Threats, Root Causes and Activity
Threats
The biodiversity of Lake Tanganyika faces major threats. With regard to the Tanzanian
part of the Lake, high rates of sedimentation into the Lake and its inflowing rivers,
growing pollution concerns, and over-fishing and environmentally damaging fishing
methodologies were documented in detail in the Trans Boundary Diagnostic Analysis
(TBDA). The latter is addressed by co-finance.
Sedimentation
The sediment deposited into the Lake destroys the habitats of fish and other aquatic
species. Sediment impairs the dissolved oxygen balance in the water and obscures light
needed for primary production, both of which are detrimental to aquatic life. In addition,
heavier sediment loads can blanket fish spawning areas and cover the food supplies of
many species. High sedimentation rates from intensive agriculture - for example, rice
cultivation - can also be associated with high levels of nutrient inflow into the Lake that
can result in eutrophication. Sedimentation is currently caused by inappropriate farming
practices like cultivation on stream banks and hill slopes compounded by lack of
manuring and mulch inputs; deforestation due to charcoal making, as well as logging for
timber and pole cutting for house construction; overgrazing and; frequent fire outbreaks.
The sediment loads from these activities are carried into Lake Tanganyika from the
Tanzanian sub-catchment by certain rivers in particular - the Malagarasi, the Ruchugi,
and the Luiche.
Sedimentation issues can be addressed through:
Participatory village land use planning processes
Participatory (joint) Forest management, including afforestation and restoration of
degraded lands
Adoption of appropriate agricultural and livestock husbandry practices
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Promotion and adoption of improved and/or alternative sources of livelihoods,
including more efficient energy technologies to reduce the demand for and
consumption of fuel wood
Environmental education, and empowerment to allow incorporation of above
issues.
Pollution
Pollution constitutes a localised yet substantial environmental threat to the Lake,
from three sources:
Urban wastewater discharges causing localised eutrophication
Nutrient-laden agricultural discharges impacting on localised Lake nutrient
level
Accidental marine transport discharges on the Lake especially of
petroleum products
While all threats are of substantial concern, lakeside urban sewage discharges from
Kigoma Ujiji township currently constitute a localised but the most significant
source of pollution into Lake Tanganyika in Tanzania. Domestic wastewater
effluents generally cause elevated nutrient and turbidity levels leading to water
eutrophication and a negative impact on the local biological communities of the
Lake. In this regard, nutrient and water clarity data indicate that Kigoma Bay is
becoming increasingly eutrophied and that untreated lake water from Kigoma Bay
is often contaminated with cholera and typhoid micro-organisms. Data from the
Tanzania Fisheries Research Institute (TAFIRI) shows that some fish species
including Labeo lineatus (Mbiligi) Boulengerochromis microlepis (Kuhe)
Euchiniglanis occidentalis (Kavungwe) Cyathopharyx furcifer (Malala) Tetraodon
mbu (Kakamusi) in the Kigoma bay area have declined substantially due to growing
eutrophication levels.
There is also some light industry in Kigoma that constitutes a potential risk of oil,
heavy metal and organic pollutants also being discharged into the Lake.
Root causes
The threats over fishing, environmentally damaging fishing methodologies, high rates
of sedimentation into the Lake and its inflowing rivers, and growing pollution concerns
impacting on Lake Tanganyika are the product of a complex and inter-acting range of
issues:
Weak local natural resource management and tenure institutions natural
resource management has long been the prerogative of central and district
government without appropriate, popular and effective participation of local
communities and resource-users. With a legacy of chronic under-resourcing in the
natural resource sector, the capacity of government institutions and the effectiveness
of their programmes have remained weak, leading to de facto open resource use
situations. De facto open resource use situations have also occurred as resource use
and tenure rights have remained contested and local communities continue to
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
perceive resource management and law enforcement responsibilities as lying heavily
with the state.
Poor governance and accountability reflective of a complex set of development
and societal issues, poor governance and accountability have led to ineffective natural
resource management, unsustainable resource use practices and have frequently
compromised law enforcement.
Insufficient local and national institutional liaison catchment natural resource
management is ideally a multi-sectoral undertaking involving water, agriculture,
fisheries, forest, wildlife, land (tenure) and mining sectors. Each usually has its own
district department and these departments may fall under entirely different ministries
at national level. Creating and maintaining sufficient liaison and linkages between all
these institutions is not easy and often receives inadequate attention. To date,
insufficient coordination between all these sectors has led to disjointed and
sometimes contradictory policies and programmes, resulting in poor catchment
management. And underlying these institutional root-causes are the twin problems of:
A growing human population - in the Lake Tanganyika basin has led to
increasing pressure on the resource base. While growing human populations may
not necessarily lead to deleterious outcomes for the integrity of ecosystems and
biodiversity, a range of complex factors, including those presented below, have
resulted in insufficient incentives for, and the inability of, people to successfully
manage their relationship with the environment in an ecologically sustainable
way.
Poverty - is widespread in communities living around the lake, and heavily
frames people's fishery and land (forest and soil) resource use rationales which
often maximise short-term benefits to the detriment of the natural resource-base.
People farming the steep slopes of the lake's shores are amongst the poorest in
local society and therefore are unable, for a variety of reasons, to invest
sufficiently in sustainable farming and resource use practices. Underlying reasons
include land tenure concerns and lack of knowledge about sustainable farming
practices in a contemporary context.
On-going Activities Baseline Activities
Land-use, agriculture and livelihoods activity.
Aside from fishing, livelihoods are based on small-scale agriculture (maize, beans,
cassava, sweet-potaoes and bananas), past cash-crops of oil-palm, cotton and tobacco
have had limited success. There have been some promising introductions of ginger and
other small scale higher-value crops. Cultivation is controlled by men but implemented
by women (men fish!). Fields are on steep-slopes with limited soil-conservation input
(ridge bunding, vetiver planting). Soil and soil nutrient loss leads to shifting cultivation
practice with little management of fallow land. Such search for new cultivation sites has
led to the clearing of many natural woodland areas, so reducing fuelwood house pole and
minor forest produce opportunities.
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
The Rural District Councils have inadequate technical capacity and limited financial
resources to properly address environmental issues in their respective districts. Past
interventions aimed at afforestation were undertaken with little or no involvement of key
stakeholders, thus undermining the sense of project ownership. These approaches have
resulted in poor management of the catchment. The UNDP's Small Grants Project (SGP)
and the Prime Ministers Office have extended support to some villages for improved
livelihood activities, particularly for promotion of fuel-efficient stoves through
Community Based Organizations (CBOs). The NGO TACARE funded through the Jane
Goodall Institute has demonstrated localised success with participatory land management
processes in Kigoma. UNDP have a starting project to build capacity of local government
to address environmental issues in Kigoma. Discussions within the PDF B process have
led to agreements to work together in target communities.
The World Bank inputs to Participatory Forestry Management in Tanzania are planning
to include Kigoma Rural District and will work with this project in supporting
institutional process to create and manage village forest reserves. The NGO TACARE
work with district and sub-district government to build capacities of villages in awareness
of soil - agriculture processes, and now focus on population HIV issues (USAID
funding). TACARE have shown the benefit of strong participatory partnerships at
community level. Project inputs will use and build on these TACARE approaches.
Urban pollution abatement.
Kigoma Town Council and Kigoma Urban Water Supply and Sanitation Authority are
currently unable to manage proper disposal of both solid and liquid human wastes. There
is haphazard discharge of wastewater, including raw sewage, from institutions and
residential areas into Lake Tanganyika. The lack of proper wastewater treatment is due to
run-down and inadequate sanitary facilities, poor enforcement of wastewater
management byelaws, and insufficient human and financial capacity within the Kigoma
Municipal Council (KMC) and Kigoma Urban Water Supply and Sanitation Authority
(KUWASA). In response, the Ministry of Lands and Human Settlements Development
developed a wastewater management plan in 1995 that has never been fully implemented
by the Kigoma Town Council and Kigoma Urban Water Supply and Sanitation Authority
due to insufficient resources. Unfortunately, this wastewater management plan is now
outdated and needs to be revised in order to accommodate current population projections
and current land use trends.
Box 1: The status of sewage management in the Kigoma Ujiji Township area
In Kigoma Ujiji, it is estimated that over 50% of Township households and most
institutions and industries depend on traditional pit latrines, and stream discharge,
particularly in the Ujiji area. Disposal of wastewater through septic tanks occurs in
central parts of Kigoma town, government residential areas, and eg Mwanga and
Lubengela areas adjacent to the lakeshore. Bangwe prison and the police compound,
beach hotels and Kigoma Secondary School have on site disposal cesspit systems that
have not been maintained since they were constructed. These disposal systems are now
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
full. As a result raw sewage from the prison, police and beach hotels is discharged
directly into the Lake Tanganyika.
There are no oxidation ponds or lagoons for treatment of sewage material. There is
only one old sewage sludge vehicle belonging to the town council with which to
empty sewage from pit latrines, septic tanks and soak away systems in the Kigoma -
Ujiji area. The cesspit emptier disposes the collected sewage on open land at
Masanya Hill and on the Kagera Plains. This sewage, and that of small scale
industrial effluent is subsequently washed into the lake during the rains through
surface runoff, adding to the Lake's pollution.
Kigoma Bay lake waters are the main source of urban drinking water and disease
incidence is increasing. Fishing returns are decreasing as pollution and
eutrophication increases.
Conservation activity
Two National Parks lie on the lake shore the small Gombe National Park (~50km2) and
the larger Mahale Mountains National Park (~2000km2) to the south. Katavi National
Park lies to the south east of Mahale National Park, but within the context of conserving
the biodiversity of Lake Tanganyika, is of minor significance. Most of the Malagarasi
Moyowosi floodplain swamp system is protected in the Moyowosi, Kigosi and Ugalla
Game Reserves. There is furthermore a network of small forest reserves throughout the
whole catchment, but their management remains weak and their encroachment and over-
use are serious threats, although the on-going World Bank funded Participatory Forest
Management initiative is helping to address these issues.
Conclusion
The biodiversity of Lake Tanganyika is threatened by three proximal threats of
sedimentation and pollution, as well as localised over-fishing (addressed in other project
components). Sedimentation and pollution continue to be caused by unsustainable land-
use practices arising from the long term impacts of now superseded natural resource
policies, weak but improving natural resource governance, insufficient yet incipient
cross-sectoral natural resource management strategies and relatively high levels of
poverty framing people's resource-use strategies. A range of conservation initiatives are
already in place for example a protected area network and participatory forest
management, but much remains to be done, especially in regard to directly addressing the
proximal threats to the Lake's biodiversity. While these threats are significant and
substantial, they remain surmountable if an alternative course of action, as proposed
herein, is adopted and promoted among all the Lake's stakeholders.
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Alternative Course of Action
Introduction.
The Alternative Course of Action is to develop interventions to fill the gaps left from the
baseline scenario, so as to seek sustainable global and national benefits from rational use
and management of the Lake Tanganyika resources. The environmental threat analysis
identified needs in improved fishing, pollution control, and catchment management. The
GEF intervention in Tanzania is two fold:
Controlling sedimentation through catchment management is considered the
priority concern by stakeholders, as it causes deterioration in water quality of
inflowing rivers into the Lake.
Controlling point sources of pollution in the Kigoma Bay as a matter of urgency
through urban institutional strengthening.
Co-finance deals with fisheries and pollution, as well as a suite of macroeconomic
livelihood support options including infra-structural support, such as roads. Co-Finance
Partners address fishing issues (AfDB, FINNIDA, NDF, FAO), wastewater infrastructure
development for Kigoma Ujiji (NDF), and rural development infrastructure (EU) and
support (AfDB).
Controlling Sediment by Catchment Management
The catchment baseline consists of considerable past experience with agricultural projects
designed to reduce erosion through soil conservation efforts, and fewer projects aimed at
afforestation. The past largely top-down, sectoral, non-participatory processes did not
lead to more than short-term isolated successes. This finding is true across much of sub-
Saharan Africa, and is not a purely Tanzanian conclusion. The innovation of this proposal
is to seek cross-sectoral interventions that are rooted in participatory process, building
new technologies onto traditional practice. "Ownership" of the project processes, of the
land, and on the usufruct resources from the land are key ingredients of the alternative, as
has been demonstrated locally by TACARE. Success will only come from a mixed set of
inputs including institutional support and real institutional capacities and coordinated
linkages from upstream policy to downstream on-ground practices. In addition, the
proposal seeks to raise environmental awareness, carry out demonstration of appropriate
agricultural and energy technologies, facilitate secure tenure for villagers, and work with
stakeholders to develop a set of improved land-husbandry practices that are tested on site
with farmers, as well as to promote alternative income generating practices to reduce
pressures on land resources.
To ensure the use of best practice in catchment management, the project in Tanzania
(along with DRC and Zambian catchment components) will use the International Centre
for Agro-Forestry (ICRAF) in Nairobi to provide training, demonstration and
dissemination and learning experiences within the region.
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Controlling Point Pollution by Wastewater Management
Kigoma Bay adjacent to Kigoma and Ujiji5 Townships is increasingly polluted by
domestic and urban (including increasing light industry) wastewater effluents. Much of
the raw sewage goes straight to the Lake, and Kigoma is thus a pollution hotspot with
increasingly negative impact on lake biology and productivity (eutrophication) as well as
human health. Kigoma does not have a fully functional water-sewage system. The overall
GEF Alternative provides for co-finance to build a modern treatment plant, and for GEF
resources to build capacity within the Kigoma authorities to operate such a system
sustainably. This includes awareness, compliance, EIA processes and monitoring.
The expected impacts of GEF support
Tanzania is committed to fulfilling its international and regional commitments to
biodiversity conservation and the sustainable management of the Tanzanian part of the
Lake Tanganyika basin. GEF co-financing would enable Tanzania to fast-track current
implementation of recent natural resource policy reforms and to achieve milestone
improvements in the management of Lake Tanganyika basin. The key impact resulting
from GEF support of the project will be:
Tangible, growing and sustained reductions in sedimentation rates at project
demonstration sites that lead to improving habitats and biodiversity levels due
to:
Rising up-take by farmers in pilot villages of improved and sustainable
agricultural practices and diversified livelihoods, which will be replicable
throughout the Tanzania portion of the Lake Tanganyika basin.
A decrease in deforestation and the rehabilitation of severely degraded areas in
pilot villages due to more effective community-based natural resource
management and partnerships with local government which serve as a
demonstrative model for the Lake's catchment management.
Within the national framework, and building on parallel experiences, the
development of multi-sectoral institutions, linkages and relationships between
community, district and national levels that successfully support participatory
forms of natural resource management. The lessons learnt and precedents set will
enable other similar initiatives in the Lake Tanganyika basin to be started with
potential for replication on a wider national scale.
Point sources of urban pollution and their negative impact on the aquatic
ecosystem controlled and reduced through:
Strengthening the capacity of the urban water authority and local government to
implement a wastewater management plan through improved institutional
structures and linkages, practices and procedures including environmental
monitoring and impact assessment.
5 Ujiji is the old "Arab" town adjacent the newer town of Kigoma. Ujiji is where Livingstone met Stanley - 150 years
ago.
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Facilitating the development of a wastewater management plan for Kigoma-Ujiji
that successfully addresses wastewater disposal requirements for people and
biodiversity conservation at an affordable cost and using appropriate technologies
Objectives
The GEF Component's Objectives are embedded within the Strategic Action
Programme (SAP):
`The protection and conservation of the biological diversity and the sustainable
use of the natural resources of Lake Tanganyika'
The two outcomes from the project interventions are:
`The sediment flows into Lake Tanganyika from the pilot villages is reduced through
integrated catchment management, thereby improving lake habitats'
`Wastewater management at Kigoma - Ujiji Township strengthened, thereby reducing
point pollution levels of Lake Tanganyika waters and so improving
biodiversity habitats'
These two outcomes will be achieved through two separate project components:
Catchment management component
Wastewater management component
Each project component proposed is presented in the following sections (3A and 3B) of
this proposal. Detailed logical frameworks for each component are provided in the
annexes.
A
Catchment Management Component
Outputs catchment management component
Working through community and local level institutions, the catchment management
component aims to pilot innovative strategies to reduce sedimentation that are based on a
multi-sectoral approach, and which are cognisant and integrated with current
decentralisation processes within the natural resource and other related sectors.
Interventions arte through decentralised government and civil society with technical
support from agriculture land-use research institutes and ICRAF.
To attain the immediate objective and hence contribute to the fulfilment of the
development objective, the stakeholders of this project component have selected seven
tangible, specific outputs:
Table 1: Project component Outcome and Outputs Catchment Management
Component
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Outcome: The sediment flows into Lake Tanganyika from the pilot villages is reduced through
integrated catchment management, thereby improving lake habitats'
Output 1: Awareness of key stakeholders raised and their catchment management
capacity strengthened
Output 2: Sustainable land use practices and soil conservation measures adopted in pilot
villages
Output 3: Heavily degraded areas rehabilitated
Output 4: Environmentally compatible livelihood strategies are introduced and adopted
in pilot villages
Output 5: Deforestation in pilot areas reduced through adoption of bio-energy saving
technologies
Output 6: Baseline and subsequent sediment flows into Lake Tanganyika from pilot
areas monitored
Output 7: Project component efficiently and effectively managed, monitored and
evaluated
The sub-outputs are presented below. Detailed project activities will be developed by
each Project Implementation Unit (PIU) at the beginning of project implementation in a
participatory process with national, district and village stakeholders. This will be
approved at the initial Inception Workshop.
Output 1: Awareness of key stakeholders raised, and catchment
management capacity is strengthened
Sub-outputs/Activities
1.1 - Demonstration sites selected by key stakeholders
1.2 - Baseline situation analysis carried out and capacity/training needs identified
1.3 - Conservation awareness campaigns on soil erosion issues and possible measures to
improve catchment management undertaken together with local NGOs/CBOs
1.4 - Village environmental institutions established and supported
1.5 - Key stakeholders trained in catchment management, soil conservation, livelihood
planning and land restoration
1.6 - Exchange visits for relevant district council staff and village representatives to
selected best practice sites facilitated
Output 2: Sustainable land use practices and soil conservation
measures adopted in pilot villages
Sub-outputs/Activities
2.1 - Participatory land use planning for forestry, agriculture and livestock in the
villages carried out
2.2 - Implementation of land use plans in forestry activities supported
2.3 - Village forest reserves developed through planning, gazettement of bylaws, and
Village Forest Reserve Management plans
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
2.4 - Sustainable agricultural practices developed and supported, such as terracing, crop
selection and husbandry, and introduction of agro-forestry practices
Output 3: Heavily degraded areas and key sites of soil loss
rehabilitated
Sub-outputs
3.1 - Highly degraded areas in villages identified, management issues agreed by key
stakeholders
3.2 - Highly degraded areas demarcated by key stakeholders for rehabilitation
3.3 `Highly degraded area' land use plans developed with stakeholders
3.4 - Rehabilitation of degraded areas begun supported and monitored
Output 4: Environmentally compatible livelihood strategies
introduced/adopted in pilot villages
Sub-outputs/Activities
4.1 - Appropriate sustainable livelihood strategy options and adoption methods identified
such as bee-keeping and small-scale cash crop initiatives such as ginger cultivation
4.2 - Selected livelihood strategy options piloted
4.3 - Livelihood activities evaluated
4.4 - Replication of successful strategy options initiated
Output 5: Deforestation in pilot areas reduced through adoption of
bio-energy saving technologies
Sub-outputs/Activities
5.1 - Appropriate bio-energy technology options and adoption methods identified and
reviewed
5.2 - Demonstrations of energy saving stoves carried out and their pilot manufacture
supported
5.3 -Demonstrations of energy efficient energy kilns for charcoal production conducted
and their pilot manufacturing supported
Output 6: Baseline / subsequent sediment flows from pilot areas to
Lake Tanganyika monitored
Sub-outputs/Activities
6.1 Baseline and subsequent sediment flows in Lake Tanganyika monitored
6.2
Baseline land use and subsequent changes monitored
Output 7: Project efficiently and effectively managed, monitored and
evaluated
The project will use an effective and efficient Management Information System (MIS)6
that will be a key administrative tool for the project's implementation. The MIS will
6Definition of MIS: `A MIS is an organized system, comprising of a sequence of processes that captures accurate
and relevant information and processes it in a timely manner into the information that
managers need to manage'.
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
require the timely acquisition, analysis and dissemination of relevant information to the
project's staff and stakeholders.
The MIS will comprise a Planning and a Monitoring & Evaluation component. The
project's log frame with its in-built targets will provide benchmarks against which actual
performance will be monitored and evaluated. The findings of the M&E process will in
turn be fed back and used to review the logical framework for the project.
Sub-outputs/Activities
7.1 Recruitment of project staff
7.2 Management Information System (MIS) developed and implemented
7.3 - Baseline survey conducted
7.4 Preparation and implementation of Annual Work plans and Budgets (AWPB) carried
out.
B
Wastewater Management Component
Outputs wastewater management component
The Kigoma wastewater project component aims to build the capacity of the Kigoma
Urban Water Authority (KUWASA) and the Kigoma Municipal Council (KMC) in
managing wastewater, thereby reducing pollution in the Kigoma Bay. The project will be
implemented with the participation of Kigoma - Ujiji residents, appropriate NGOs and
public institutions.
To attain the immediate objective and hence contribute to the fulfilment of the
development objective, the stakeholders of this project component have selected five
tangible, specific outputs:
Table 2: Project Component Outputs Waste-Water Management Component.
astewater management at Kigoma-Ujiji Township strengthened, thereby reducing point
pollution levels of Lake Tanganyika waters and so improving biodiversity habitat.
Output 1: Institutional capacity for wastewater management system strengthened
Output 2: Wastewater management strategy/plan for Kigoma Ujiji township
established
Output 3: Updated wastewater system design for Kigoma - Ujiji township developed
that satisfies Lake biodiversity conservation requirements
Output 4: Wastewater flows and quality into Lake Tanganyika known
Output 5: Project component efficiently and effectively managed, monitored and
evaluated
39
Tanzania Project Brief: Project Component Implementation and Institutional Framework
The sub-outputs are presented below. Detailed project activities will be developed at the
beginning of project implementation in a participatory process.
Output 1: Awareness of key stakeholders is raised, and institutional capacity for
wastewater management system strengthened
Sub-outputs/Activities
1.1 - Capacity of the Kigoma Urban Water Authority personnel, other relevant staff from
the Kigoma Ujiji town council and other public institutions on technical management of
wastewater
1.2 - The financial management capacity of the Kigoma Urban Water Authority
personnel and other relevant staff from the Kigoma Ujiji town council and other public
institutions strengthened
1.3 - Capacity of the Kigoma Urban Water and Sanitation Authority personnel, relevant
staff from the Kigoma Ujiji town council and other public institutions on wastewater
management developed
1.4 - Capacity of Kigoma Urban Water and Sanitation Authority, the Kigoma - Ujiji town
council and other public institutions to conduct Environmental Impact Assessment (EIA)
on wastewater systems improved
Output 2: Wastewater management strategy/plan for Kigoma - Ujiji
Township established
Sub-outputs/Activities
2.1 - Strategy for wastewater management in Kigoma Ujiji (planning, coverage, attract
external finance, commercialisation) developed
2.2 - Development of policy on human resources, customer services etc. supported
2.3 - Technical guidelines/checklists on planning and design, operation and maintenance
derived
2.4 - Financial guidelines/checklists on budgeting, bookkeeping, revenue collection etc.
developed
Output 3: Updated wastewater system design for Kigoma - Ujiji
Township developed that satisfies Lake biodiversity
conservation requirements
Sub-outputs
3.1 - Existing wastewater plans reviewed for the Kigoma - Ujiji township
3.2 - Infrastructure and planning surveys for the updated wastewater system network
conducted and sites for the treatment/stabilization ponds located
3.3 - An updated wastewater system, including network and treatment/stabilization
ponds, is designed that satisfies Lake requirements for biodiversity conservation.
Output 4: Wastewater flows and quality into Lake Tanganyika are
documented and known
Sub-outputs/Activities
4.1 - Monitor wastewater flows into Lake Tanganyika
4.2 - Monitor water quality of Lake Tanganyika
40
Tanzania Project Brief: Project Component Implementation and Institutional Framework
Output 5: Project efficiently and effectively managed, monitored and
evaluated
The MIS will comprise a Planning and a Monitoring & Evaluation component. The
project's log frame with its in-built targets will provide benchmarks against which actual
performance will be monitored and evaluated. The findings of the M&E process will in
turn be fed back and used to review and possibly modify the original log frame.
Sub-outputs/Activities
5.1 Recruitment of project staff
5.2 Management Information System (MIS) developed and implemented
5.3 - Baseline survey conducted
5.4 - Preparation and implementation of Annual Work plans and Budgets (AWPB)
carried out
C
Project Component Implementation and Institutional Framework
Project Sites
Catchment management project
The catchment management component will be implemented in several pilot villages in
the Lake Tanganyika Catchment. Villages will be chosen to provide a representative
cross-section of the diversity of ecological and socio-economic conditions that occur in
the catchment, thereby maximising the learning potential of the project, and building
strong lessons learned for later replication.
Wastewater management project
The wastewater management component will be implemented in the Kigoma Bay area. In
coordination with the parallel and separate wastewater infrastructure development
component funded by the Norwegian Development Fund (NDF), the focus of the project
will be to achieve the sustained abatement of all significant point sources of pollution in
the Bay.
Global Environmental Benefits
The conservation of Lake Tanganyika and its basin will lead to substantial global
environmental benefits. With more than 2,000 species of plants and animals, Lake
Tanganyika is among the richest freshwater ecosystems in the world. The dual approach
adopted by the Project of catchment management and prioritised point source pollution
abatement is necessary to preserve Lake Tanganyika's aquatic and littoral biodiversity.
The catchment management component in particular will lead to further global
environmental benefits as the basin's terrestrial biodiversity is conserved and becomes
sustainably managed to reduce Lake sedimentation. The point source pollution abatement
component will support the outputs achieved in the catchment management component,
thereby also contributing to the global environmental benefits gained.
41
Tanzania Project Brief: Project Component Implementation and Institutional Framework
Sustainability
Institutional sustainability
This second phase of GEF intervention into Lake Tanganyika falls under the Lake
Tanganyika Regional Integrated Management Program (LTRIMP). The Lake Tanganyika
convention provides a legal framework and an institutional mechanism - in the form of a
regional body, the Lake Tanganyika Authority (LTA) - for the management of the Lake.
However the LTA will only begin operation once the Convention has been ratified and
has begun to be implemented. While waiting for the ratification of the Convention, the
four partner countries have agreed that an Interim Lake Tanganyika Management
Authority (ILTMA) will coordinate the LTRIMP at regional level. Project
implementation nationally will be under ILTMA through National and Regional Steering
Committees.
The provisions of the national Local Government Reform Programme (LGRP), as well as
national policies and strategies for execution of national development projects and
programmes will guide the Project's implementation at national level. The LGRP accords
responsibility for execution of projects and programmes to the local authorities and
communities, while central government retains regulatory and policy functions. The
objective of these `new' participatory approaches is to promote and strengthen
stakeholder participation and ownership, and thereby enhance sustainability.
As the National Executing Agency, the Vice President's Office (VPO) will have overall
project responsibility at national level. The VPO will represent the Country at regional
meetings and at other regional project engagements, in addition to coordinating national
level activities.
District level catchment management
The District Council of Kigoma Rural District will be responsible for taking the lead in
the implementation of the catchment management component of the project but will work
together as appropriate in partnership with local NGOs and CBOs. The Council and
partners will provide assistance to the villages and resource user groups in the planning
and implementation of project activities, provision of technical and other support, as well
as in project monitoring. The District will report on project implementation progress to
the VPO and the ILTMA through the National Project Coordinator who will be based in
Kigoma. The District Council will constitute a Project Implementation Unit (PIU)
comprising of appropriate resource specialists from within government and civil society.
The PIUs will facilitate and lead the implementation of the project through best
participatory practices.
The District will incorporate project activities in district development plans. In the course
of project implementation, PIU will use service providers such as NGOs, (eg TACARE)
academic and research institutions and the private sector to provide specific technical
assistance roles.
Town council level wastewater management
The wastewater management component will work directly with KUWASA and the
KMC to improve their capacity in wastewater management. Staff from KUWASA and
42
Tanzania Project Brief: Project Component Implementation and Institutional Framework
KMC will benefit directly from training and planning capacity building, the wastewater
plans developed will be owned by KUWASA and KMC and therefore the project's
activities will be sustained once the Project has ended. The development of a business
plan will further enhance the level of sustainability through securing long-term user-
generated revenue for KUWASA and KMC that covers wastewater management costs.
Village/community level catchment management
Facilitated by the PIU and NGO interaction the villages and communities will, through a
democratic process, establish Village Environmental Committees where they do not
already exist. Together with the PIU, these committees will be responsible for the
planning and implementation of project activities at village or community level, in
consultation with the main village councils. The sustainability of most of the project
component's outputs is particularly contingent on successfully working with local
communities and engendering their sense of ownership of, and commitment to, the
project. However, mainstreaming project outputs with local and national government as
well as regional institutions will be as important for the successful implementation of the
project component and the sustainability of its outputs.
Financial sustainability
Catchment management component
The catchment management component will focus on the incremental costs of developing
and piloting sustainable agricultural and land use practices. A major part of the catchment
component's outputs will consist of transforming land-use practices and management
capacity at village level. Pilot villages that develop PFM agreements, will have
opportunities for generating levies, taxes and licensing fees that can be used in support of
local PFM and wider village environmental governance operational costs. Other revenue
streams, for example from local land use by-law enforcement, will also contribute to the
financial sustainability of village natural resource management.
Wastewater management component
The GEF/UNDP wastewater component will cover the incremental costs of strengthening
the Kigoma Urban Water Authority's capacity and be complemented by parallel
investment in wastewater infrastructure by the NDF. A business plan will be developed to
ensure the financial sustainability of wastewater management in Kigoma to maintain the
investment made in institutional capacity, service provision and infrastructure
development.
As stipulated in the National Water Policy (2002), the `polluter pays' principle will
underpin the business plan and all water users will be required to pay wastewater charges
in direct relation to the amount of water that they use. As set out in the Water Policy, an
institution other than KUWASA will regulate wastewater user charges, as well as the
Authority itself. Private business participation will be promoted, as appropriate, in
wastewater collection, operations and maintenance services.
Assumptions and risks potentially impacting on the sustainability of
project outputs
Success of the interventions is based on several assumptions, the risks of which are identified as
follows:
43
Tanzania Project Brief: Project Component Implementation and Institutional Framework
Inadequate local government commitment to devolve a sufficient level of authority to NGO
process and local level traditional/community based structures (CSOs).
Inadequate resources to support co-management regimes for natural resource management.
Inadequate community commitment and/or ability to maintain sustainable land use
innovations that include conservation initiatives with delayed but medium/long-term
benefits.
Inadequate commitment by line ministries to support the project's efforts without expecting
the project to cover their substantial overhead costs.
Inadequate post-project revenues generated from licensing local natural resource use that
result in the constrained and poor functioning of local community institutions leading to an
erosion of the environmental gains achieved during the project.
Replicability
Replicability underpins the design of both project components. The processes developed
and lessons learned in the water catchment component will be replicable in other
catchment villages, as devolved and participatory natural resource management becomes
institutionalised at district level. Although significant urban pollution in the Tanzanian
part of the catchment is limited only to Kigoma Bay, the lessons learnt from building
capacity with KUWASA will be applicable regionally within the Lake Tanganyika basin.
3.9 Stakeholder involvement in project proposal development
The development of the project has benefited from a broad-based consultative process
supported by the GEF. Stakeholders from different disciplines and backgrounds have
participated in project proposal development workshops. Participants were drawn from
central government institutions, public institutions, the private sector and civil society
organizations. A series of consultative meetings were convened with the village councils
and assemblies of Kagunga, Zashe, and Mwamgongo villages in Kigoma Rural District.
Nearby villages also participated.
3.10 Lessons from Similar Projects
Implementation of this project will benefit substantially from experiences and lessons
learnt from other projects, including the first phase of the Lake Tanganyika Biodiversity
Project (GEF/UNDP), the Lake Victoria Environmental Management Project (GEF/WB),
the East African Cross-Border Biodiversity project (GEF/UNDP), the Sustainable and
Integrated Management of the Coastal Environment supported by DANIDA and the
Tanzania Coastal Management Partnership project. All these projects include aspects of
regional cooperation, approaches fully involving local communities and appropriate
NGOs, public awareness and capacity building activities, as well as working with local
and central government. In addition, the experiences gained thus far from the national
Participatory Forest Management (PFM) project (Ministry of Natural Resources and
Tourism supported by the World Bank) will be indispensable in the development of
community forest reserves. The teams implementing the GEF project components will be
able to learn from other parallel project components such as the Lake Tanganyika
Fisheries and Biodiversity Development Project (AfDB), the Lake Tanganyika
Monitoring Program (IUCN), and local protected area conservation and outreach
programmes in Mahale and Gombe National Parks (TANAPA). As part of the LTRIMP,
44
Tanzania Project Brief: Project Component Implementation and Institutional Framework
the Tanzanian component will also share its experience of best practices with the other
three countries as part of the regional cooperation and integration.
The UNDP/GEF Small Grants Programme (SGP) has developed valuable experience in
working with communities through its support to community-based activities. The
programme has been operating in Kigoma and will remain active.
Monitoring and Evaluation
4.1 Monitoring and Evaluation System
The National Steering Committee (NSC) will oversee both project components. Using
Key Performance Indicators (KPIs), the NSC role is to review annual progress in the
achievement of the project's outputs and objectives and to provide the National Project
Coordinator (NPC), as head of the National Project Management Unit (PMU), with
feedback for project implementation improvement. The catchment management and
wastewater management project components link to the Project Implementation Unit
(PIU) and District Coordination Committee (DCC) and Wastewater Coordination
Committee respectively see Figures 1 and 2.
Overall project progress, outputs and emerging issues will be reviewed and evaluated at
annual meetings of the National Steering Committee on the basis of the Annual Progress
Report (Project Performance Evaluation Report - PPER), which will be prepared by the
National Coordinator in close collaboration with the PIU. The annual project review (for
both project components) will constitute a `national Tripartite Review (TPR)' and the
outcome of its deliberations will feed into the annual `regional TPR'. The project will
also participate in annual PIR (Project Implementation Review) exercises of the GEF.
Towards the end of the project, the NSC will prepare a report synthesizing lessons
learned and how these could be scaled up and replicated more widely. The National
Project Coordinator and the PIU in Kigoma Rural as well as in Kigoma Municipality will
carry out day-to-day monitoring of project activities and financial expenditures. The PIU
is responsible for tracking implementation progress.
Figure 1: Project implementation structure for the catchment management component
45
Tanzania Project Brief: Project Component Implementation and Institutional Framework
National Steering Committee
National Project Management Unit
District
(Government, Districts and NGOs)
Coordination
Committee
Village
Village
Environmental
Environmental
Management
Management
Committees
Committees
The PIU will prepare Quarterly Progress Reports on the basis of project implementation
for the National Steering Committee and its respective DCC. The PIU, communities and
the National Project Coordinator will assess the implementation of both project
components on a regular basis through an internal project review process. This internal
review would focus on the implementation of project activities and expenditure flows.
The project will be subject to an external mid-term and terminal evaluation prior to the
termination of the project. An additional report will be prepared by the PIU in
coordination with the NPC three months prior to the mid-term review, which will assess
overall progress in project component implementation and make recommendations for
adaptive management. The VPO, in collaboration with the UNDP Country Office on
behalf of UNDP/GEF will also pay occasional visits to the project sites to familiarise
themselves with ongoing project activities and as part of their own procedures.
Figure 2: Project implementation structure for the wastewater management component
46
Tanzania Project Brief: Project Component Implementation and Institutional Framework
National Steering Committee
Project Management Unit
Wastewater
Coordination
Committee
Wastewater Project
Implementation Unit
Kigoma Urban
Urban Resident
Kigoma
Water and
and Institutional
Municipal
Sanitation
Stakeholders
Council Staff
Authority Staff
Financing
The development objective `Protection and conservation of the biodiversity and the
sustainable use of the natural resources of Lake Tanganyika' is realised through a number
of related project components within the four areas as identified in the SAP -fisheries,
sediment reduction, pollution control, and lake monitoring. Different partners contribute
to the development objective. In Tanzania UNDP/GEF support will focus on catchment
management and pollution control.
Under wastewater management, UNDP/GEF will contribute to the reduction of pollution
into Lake Tanganyika through supporting institutional capacity building. The NDF will
support an infrastructure rehabilitation and development component for wastewater
treatment in Kigoma.
Baseline and Incremental Cost (This is detailed in the Executive
Summary)
Baseline catchment management expenditure
The total baseline expenditure currently occurring in the catchment is estimated to be
USD 1,500,000, see details in Annex 1a. The Tanzanian Government's annual
expenditure related to catchment management is approximately USD 80,000, which is
mainly in the form of ongoing district support to the villages. In addition there are
ongoing projects and programmes in the catchment that contribute to current baseline
expenditure, such as the DanIDA supported SIMMORS project in Malagarasi, the
47
Tanzania Project Brief: Project Component Implementation and Institutional Framework
Nyanza project, JGI/TACARE programme and the UNDP small grant programme. These
contribute an annual total of approximately USD 1,400,000.
Baseline wastewater management expenditure
Currently, the Tanzania Government (baseline) annual expenditure related to wastewater
management is approximately USD 30,000, which is mainly in the form of ongoing town
council and KUWASA activities (see Annex 1a). There are no additional ongoing
projects contributing to the baseline.
Incremental Cost
This is estimated at 7.0 million US$, with government financing of 1.15 million, on top
of the baseline. Of this increment GEF contributes 2.5 million and Nordic Development
Fund an estimated 4.5 million US$ towards the wastewater component.
Catchment Management Component Cost
Amount (US$) Required by output and year
Outputs
Year 1
Year 2
Year 3
Year 4
Total
Output 1 Sub-
98,000
73,000
63,000
23,000 257,000
total
Output 2 Sub-
75,000
190,000
195,000
90,000 550,000
total
Output 3 Sub-
55,000
50,000
50,000
40,000 195,000
total
Output 4 Sub-
55,000
45,000
85,000
40,000 225,000
total
Output 5 Sub-
40,000
90,000
90,000
45,000 265,000
total
Output 6 Sub-
27,000
27,000
27,000
27,000 108,000
total
Technical Outputs
350,000
475,000
510,000
265,000 1,600,000
Total
Plus management costs (staff, vehicles, boat, running costs, communications, M&E, training)
Management
198,900
142,500
123,100
135,500 600,000
GRAND TOTAL
548,900
617,500
633,100
400,500 2,200,000
Wastewater Management Component Cost
Amount (US$) Required by output and year
Outputs
Year 1
Year 2
Year 3
Total
Output 1 Sub
55,000 65,000 15,000 135,000
total
Output 2 Sub
15,000 15,000
-
30,000
total
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Tanzania Project Brief: Project Component Implementation and Institutional Framework
Amount (US$) Required by output and year
Outputs
Year 1
Year 2
Year 3
Total
Output 3 Sub
60,000 40,000 10,000 110,000
total
Output 4 Sub
9,000 9,000 7,000 25,000
total
Grand TOTAL
139,000
129,000
32,000 300,000
Table 3 Co-finance - GEF alternative
Description
Total
UNDP GEF
Full project
2,500,000
Co-Finance
AfDB Fisheries
4,500,000
NDF for Waste Water
4,500,000
Government ** Contributions in Kind
1,150,000
Total Co-finance
10,150,000
Total Project (Tanzanian component)
12,650,000
** Government Co-Finance (in kind contributions staff time) is made up of
contributions to regional and national institutional coordination (250,000$), waste-water
management through inputs of Kigoma water and sewage authorities (200,000$);
catchment management, through central, district, ward and village government and CBO
inputs (600,000$) and monitoring institutions - eg fisheries and water (100,000$).
Institutional Coordination and Support
Project linkages with national/regional/global sector programs
Catchment management component
The Project component will coordinate with and add to environmental conservation
projects that are being undertaken by NGOs such as TACARE - which coordinates a
project promoting reforestation in lakeside villages. The Project will seek to learn from
the experiences and approaches developed by these projects. In addition the Project will
work in partnership with regionally based international institutions such as ICRAF so
that extant knowledge bases are levered into, and adapted for, project implementation.
The Project will also facilitate, as appropriate, village access to the UNDP's Small Scale
Grant Programme in support of improved sustainable and alternative livelihoods. A
similar programme is currently under implementation through the Prime Minister's
Office. The project will link up with NGOs and other institutions that have extensive
49
Tanzania Project Brief: Project Component Implementation and Institutional Framework
experience in the development, selection and dissemination of affordable bio-energy
efficient technologies, such as TATEDO.
Consultation, coordination and collaboration between Implementing
Agencies (IAs)
The National Project Coordinator will be responsible for the implementation of both of
the project components via the District PIU for catchment management and wastewater.
The PIU personnel will be recruited by the VPO in consultation with the District
Authorities. The PIU will be based in Kigoma and will be responsible for the day-to-day
running of the project, including the management of budgets, reporting on
implementation progress, liaison with district, the VPO as well as with other project
components.
50
Tanzania Project Brief: Appendix 1
Project Output and Activity Matrix Catchment Management Component
Development Objective:
The protection and conservation of the biological diversity and the
sustainable use of the natural resources of Lake Tanganyika
Outcome:
Sedimentation into Lake Tanganyika from the pilot villages
reduced through integrated catchment management
OUTPUT 1
OUTPUT 2
OUTPUT 3
OUTPUT 4
OUTPUT 5
OUTPUT 6
Awareness of key
Sustainable land use
Heavily degraded areas
Environmentally
Deforestation in pilot
Baseline and
stakeh olders raised and
practices and soil
rehabilitated
compatible livelihood
areas reduced through
subsequent sediment
th
eir catchment
conservation measures
strategies are
adoption of bio-energy
flows into Lake
mana
geme
nt capacity
ad opted in pilot vi
llages
introduced and
saving technologies
Tanganyika from pilot
areas monitored
strengthened
adopted in pilot villages
Sub-outputs
Sub-outputs
Sub-outputs
Sub-outputs
Sub-outputs
Sub-outputs
1.1 Demonstration sites
2.1 Participatory land use plans
3.1 Highly degraded areas in
4.1 Appropriate sustainable
5.1 Appropriate bio-energy
6.1 Baseline and subsequent
selected
developed
villages identified and
livelihood strategy options
technology options and
sediment flows into Lake
1.2 Baseline situation analysis
2.2 Land use plans
their management issues
and adoption methods
adoption methods
Tanganyika monitored
carried out
implemented through
agreed by key stakeholders
identified such as bee-
identified and reviewed
6.2 Baseline land use and
1.3 Conservation awareness
forestry activities
3.2 Highly degraded areas
keeping and small-scale
5.2 Demonstrations of energy
subsequent changes
campaigns undertaken
2.3 Village forest reserves,
demarcated by key
cash crop initiatives such
saving stoves carried out
monitored
1.4 Village environmental
plans and by-laws
stakeholders for
as ginger cultivation
and pilot their manufacture
institutions established and
developed
rehabilitation
4.2 Selected livelihood strategy
supported
supported
2.4 Village-based sustainable
3.3 `Highly degraded area'
options piloted
5.3 Demonstrations of energy
1.5 Stakeholders trained on
agricultural practices
land use plans developed
4.3 Livelihood activities
efficient kilns for charcoal
catchment manage-ment,
developed and supported
with stakeholders
evaluated
production conducted and
soil conservation,
2.5 Livestock husbandry
3.4 Rehabilitation of degraded
4.4 Replication of successful
their pilot manufacturing
livelihood planning,
practices improved
areas begun supported and
strategy options initiated
supported
energy technologies, and
monitored
land restoration
1.6 Exchange visits facilitated
51
Tanzania Project Brief: Appendix 2
Project Logical Framework Matrix Catchment Management Component
Narrative Summary
Indicators
Means of verification
Assumptions
Development objective:
% increase in household income arising from non-fishing Post project evaluation
The policy environment supporting
sources for households engaging in enterprises.
community involvement in NRM
The protection and conservation of the biological
% improvements in biodiversity (land and water) indices.
continues to be favourable
diversity and the sustainable use of the natural
Conflict in the Lake Tanganyika
resources of Lake Tanganyika
Basin does not interfere with the
project's implementation
Outcome:
Sedimentation into the Lake in the project area is
Baseline and end of project
reduced by 40% at the end of the project.
inflow monitoring
The rate of new gulley formation is reduced
Transect Survey
Sedimentation into Lake Tanganyika from the pilot
Sustainable land-use practices adopted
Land-use change time series
villages reduced through integrated catchment
Livelihoods diversified
data
management
Livelihood evaluations
Narrative Summary
Indicators
Means of verification
Assumptions
Output 1: Awareness of key stakeholders (District
The District Council has prepared and initiated the
Baseline analysis report
Council, CBOs, NGOs, villagers / village
implementation of a management plan in pilot areas.
Project progress reports
government) raised and their catchment
At least one CBO/NGO and all village governments at
Village catchment
management capacity strengthened
the pilot sites are capable of supporting
management committee
implementation of the plans
reports
At least 40% of households are practising sustainable
land use practices
Output 2: Sustainable land use practices and soil
Sustainable land use plans (SLUPs) under Village land-use and forest
conservation measures adopted in pilot
implementation
reserve reports
villages
60% of households adhere to the land use plan
Project progress report
Output 3: Heavily degraded areas rehabilitated
At least one degraded area rehabilitated per site
Highly degraded area reports
Project progress reports
52
Tanzania Project Brief: Appendix 2
Narrative Summary
Indicators
Means of verification
Assumptions
Output 4: Environmentally compatible livelihood
Environmentally compatible livelihood strategies are
Livelihood reports
The strategies are socially and
strategies are introduced and adopted in
in use in villages
Project progress report
economically sustainable
pilot villages
Output 5: Deforestation in pilot areas reduced
A minimum of 40 % of households in villages have
Baseline and after project
Technology accepted
through adoption of bio-energy saving
adopted the stove technologies
household survey
technologies
The consumption of fuel wood has decreased by at
Household survey
least 40 % in HH adopting stove technology
Stakeholder consultation
30% of charcoal makers have adopted efficient kiln
reports
technology
Output 6: Baseline and subsequent sediment flows
Sediment flow reports monitored on a regular and
Continuous data series held in
from pilot areas into Lake Tanganyika
sustained basis
database
monitored
Lab management report
Output 7: Project component efficiently and
MIS maintained
MIS records and reports
All partners meet their
effectively managed, monitored and
Project reports
commitments to the project
evaluated
Timely disbursement of funds
from the donor for project
implementation activities
53
Tanzania Project Brief: Appendix 3
Annex 1:
Project Output and Activity Matrix Wastewater Management Component
Development Objective:
The protection and conservation of the biological diversity and the
sustainable use of the natural resources of Lake Tanganyika
Outcome:
Wastewater management at Kigoma - Ujiji Township
strengthened and improved
OUTPUT 1
OUTPUT 2
OUTPUT 3
OUTPUT 4
Institutional capacity
Wastewater
Updated wastewater system
Wastewater flows and
for wastewater
management
design for Kigoma - Ujiji
quality into lake
management system
strategy/plan for
Town-ship developed that
Tanganyika known
stre
ngthened
Kigoma - Ujiji
satisfies Lake biodiversity
Township established
conservation requirements
Sub-outputs
Sub-outputs
Sub-outputs
Sub-outputs
1.1 Capacity on technical
2.1 Strategy for wastewater
3.3 All
existing
wastewater
plans
4.1 Wastewater flows into
management of
management in Kigoma
reviewed and field visits
Lake Tanganyika
wastewater
Ujiji created with
conducted
monitored
strengthened
stakeholders
3.2 Infrastructure and planning
4.2 Water quality of Lake
1.2 Financial management
2.2 Policy on human
surveys for the updated
Tanganyika in relation
capacity strengthened
resources, customer
wastewater system network
to wastewater outflows
1.3 Capacity for water
services etc. developed
conducted and sites for the
monitored
management developed
2.3 Technical
treatment/stabilization ponds
(e.g. byelaw
guidelines/checklists
located
development,
derived for wastewater
3.3
An updated wastewater system
enforcement, and
management
designed
compliance)
2.4 Financial guidelines/
1.4 Capacity
for
conducting
checklists developed
Environmental Impact
Assessments
improved
54
Tanzania Project Brief: Annex 4
Annex 2:
Project Logical Framework Matrix Wastewater Management Component
Narrative Summary
Indicators
Means of verification
Assumptions
Post project evaluation
reports
The policy environment supporting
Development objective:
% increase in household income arising from non-
community involvement in NRM
fishing sources for households engaging in
Annual reports of line
continues to be favourable
The protection and conservation of the biological
enterprises.
Ministries (Tourism,
diversity and the sustainable use of the natural
Environment and Natural
Conflict in the Lake Tanganyika
% improvements in biodiversity (land and water)
resources of Lake Tanganyika
Resources, Agriculture and
Basin does not interfere with the
indices.
Cooperatives, Energy and
project's implementation
Water resources)
Outcome:
Effective wastewater management system in place
Management system report
Wastewater management at Kigoma - Ujiji
(e.g. human, financial, technical)
Township strengthened and improved
Tanzania Project Brief: Annex 4
Narrative Summary
Indicators
Means of verification
Assumptions
Output 1: Awareness of key stakeholders raised and
Effective wastewater management
Wastewater
their catchment management capacity
system in place
management reports
strengthened
Output 2: Wastewater management strategy/plan for
Wastewater management plan in
Updated wastewater
Kigoma - Ujiji Township established
place
management plan
Output 3: Updated wastewater system design for
Updated wastewater system design in
Wastewater system design
Kigoma - Ujiji Township developed that
place
satisfies Lake conservation requirements
Output 4: Wastewater flows and quality into lake
Updated wastewater system design in
Wastewater system design
Tanganyika known
place
Output 5: Project component efficiently and effectively
MIS maintained
MIS records and reports
managed, monitored and evaluated
Project reports
Tanzania Project Brief: Annex 4
Annex 3:
Map of the Tanzanian catchment of Lake Tanganyika
Table 3:
Table 4: Map of the Tanzanian catchment of Lake Tanganyika
Zambia Project Brief: Alternative Course of Action
ANNEX 5
The Lake Tanganyika Integrated
Management
Project
Zambia Component
August 2004
SUMMARY
The Zambian GEF Intervention comes from a prioritisation of the SAP, in which the
control of sediment inflows from the steep mountainous terrain bordering Lake
Tanganyika in both Mpulungu and Kaputa Districts was seen as the most important area
for support. The issues of over-fishing are addressed through co-finance from AfDB/FAO
and other partners of the Integrated Programme.
Sediment inflows will be reduced through an increase in area of land brought under
sustainable land use (agriculture and forest land-uses). Emphasis will be on institutional
strengthening with support to community participation in both agriculture, in forestry and
soil erosion prevention.
Best practice and innovation, as well as regional coordination and dissemination of
lessons will be assured by linking to ICRAF's training and demonstration programmes as
a regional activity.
TABLE OF CONTENTS
1
Project Background / Context 59
1.1
Country Ownership...................................................................................59
1.2
Environmental Context.............................................................................61
1.3
Socio-economic, Institutional and Policy Context ................................62
2
Baseline Situation: Threats, Root Causes and Activity
63
2.1
Threats .......................................................................................................63
2.2
Root causes...............................................................................................64
2.3
On-going Baseline Activities ...................................................................65
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Zambia Project Brief: Alternative Course of Action
3
Alternative Course of Action 67
3.1
Introduction ...............................................................................................67
3.2
Objective....................................................................................................68
3.3
Outcomes and Outputs ............................................................................69
3.3.2 Output 2: Alternative ....................................................................70
3.4
Project Sites ..............................................................................................76
3.5
Global Environmental Benefits................................................................78
3.6
Sustainability.............................................................................................78
3.7
Institutional sustainability........................................................................78
3.8
Replicability...............................................................................................80
3.9
Stakeholder Involvement .........................................................................80
3.10 Lessons from Similar Projects ................................................................80
3.11 Monitoring and Evaluation.......................................................................81
3.12 Financing ...................................................................................................82
3.13 Institutional Coordination and Support ..................................................83
LIST OF TABLES
Table 1: Project Outputs ........................................................................................................ 69
Table 2: Project Cost Estimates.............................................................................................. 82
Table 3: Co-financing Government of Zambia's contribution .............................................. 83
Project Background / Context
Country Ownership
Eligibility
Zambia ratified the Convention on Biological Diversity (CBD) in 1993 and is eligible
for technical assistance from UNDP/GEF. Zambia ratified the Ramsar Convention on
Wetlands in 1991.
Country Driven-ness
Agreement, ratification and implementation of global conventions
Zambia developed a National Environmental Action Plan (NEAP) in 1994, which
provides a strategy options for improving the quality of environment. Zambia developed
a National Biodiversity Strategy and Action Plan (NBSAP) in 1999. The NBSAP
outlined Zambia's vision, mission and guiding principles for the implementation of the
Convention. This project, which aims to reduce erosion and sediment input into the
Zambian waters of Lake Tanganyika, will contribute directly to the conservation of this
globally important biodiversity hotspot and the sustainable use of biological resources, in
line with Zambia's commitment to the CBD. Both the NBSAP and the NEAP stress the
global and national value of Lake Tanganyika.
In 1991, Zambia ratified the Ramsar Convention an international treaty focusing on
conservation of wetlands of international importance. As a follow-up to the ratification of
the Convention, Zambia produced a National Wetland Status Report in 1994 that
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Zambia Project Brief: Alternative Course of Action
highlights the values, threats development and conservation issues of the Zambia's
wetlands. A National Wetland Strategy and Action Plan was developed in 1999 This was
followed by the development of a National Policy on Wetlands in 2001. This project aims
to empower riparian communities in Zambia to plan and manage land and water
resources in the Lake Tanganyika catchments.
Project integration with national sector development policy
The major policies that are relevant to the environment and biodiversity of Lake
Tanganyika are the National Agricultural Policy (1998), the National Forestry Policy
(1998), the National Water Policy (1994), the Wildlife Policy (1993) and the Land Policy
(1995) which is currently under review.
The draft National Agricultural Policy (1998) is based on the Agricultural Sector
Investment Programme, which was launched in 1996. One of the Agricultural Policy's
objectives is to ensure that the existing agricultural resource base is maintained and
improved upon. Enhanced agricultural productivity has been given highest priority under
the Poverty Reduction Strategy Paper (PRSP) of 2002. This project will address soil
erosion problems through promoting improved land-use and agricultural practices, as part
of conserving downstream biodiversity, thus contributing to the realization of both the
Agricultural Policy and the PRSP objectives.
Although Zambia does not have a specific fisheries policy, fisheries are currently located
in the agriculture sector. A Framework Fisheries Management Plan has been
developed as a result of the regional Lake Tanganyika cooperation process. The Plan
constitutes a comprehensive framework for developing the sustainable and equitable
management of fisheries in Lake Tanganyika waters of Zambia, with linkages to other
partner countries.
A central objective of the National Forestry Policy (1998) relates to the sustainable
management of forest ecosystems, including water flows and biodiversity conservation,
based on scientific and indigenous technical knowledge. This Policy objective is to be
achieved through the promotion of land use systems that ensure the protection of
catchments, including headwaters, rivers and watershed resources. The Policy has been
followed up by the Forest Act of 1999, which provides for the community management
of natural resources. This project will contribute to the realization of this objective, and
the Forestry Policy in general, through piloting innovative approaches to afforestation
and terrestrial resource management.
The National Water Policy (1994) covers water resources management, water use, and
water quality. The policy promotes the development of sustainable water resources with a
view to facilitating adequate, equitable and good quality water for all users at acceptable
cost as well as ensuring security of supply. The project will promote and strengthen the
linkages between sustainable catchment management and water provision development.
The Wildlife Policy (1993) sets out how the conservation of biological diversity and the
sustainable management of wildlife is to be achieved. The Policy has a significant linkage
with the development and management of the water sector in relation to the conservation
of water catchments and associated wildlife habitats. The sustainable catchment
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Zambia Project Brief: Alternative Course of Action
management outputs of the project will contribute towards the conservation of wildlife
habitat outwith the national protected areas network.
The Land Policy (1995) is currently under review, as the relative merits and utility of
individual land titling are examined within a historical context of a country with strong
communal land traditions.
The Decentralisation Policy (2000) now empowers decentralised levels of government
particularly districts to take greater responsibility for civil service functions and
provides for greater decision-making by the elected District Councils.
The Poverty Reduction Strategy Paper (2002-4) has environment as a cross-cutting
issue. The PRSP is currently under revision and is expected to give greater emphasis to
Environment - Poverty Linkages. The PRSP feeds into the Transitional National
Development Plan (which will be followed by a more definitive plan later on).
Regional intergovernmental conventions
During the first phase of the UNDP/GEF intervention on Lake Tanganyika
(UNDP/GEF/RAF/92/G32), and the recent PDF B process for this second phase, legal
experts and representatives from the four countries met to negotiate the text for the draft
`Convention on the Sustainable Management of Lake Tanganyika'. The Convention
was signed on 12th June 2003, and is now undergoing ratification. The objective of the
Convention is to ensure the protection and conservation of the biological diversity and
sustainable use of the natural resources of Lake Tanganyika and its environment by the
contracting states.
Environmental Context
Lake Tanganyika contains amongst the greatest biodiversity of any lake in the world,
with more than 2,000 species of fish, invertebrates and plants that have been recorded in
the lake basin, of which over 500 are endemic. More detailed information about the
richness of Lake Tanganyika in terms of biodiversity and other values is given to the
Strategic Action Program document and in the Regional Component of this Project Brief.
The Zambian zone of the Lake is biodiverse and rich in endemic fish and mollusc
species. For example, 37 percent of all fish species known to inhabit Lake Tanganyika
were identified in the littoral lake zone of Nsumbu National Park that stretches for 80 km.
The fourteen mollusc species identified in the Park represent 20% of the total number that
have been recorded in Lake Tanganyika. All the 14 species are endemic to the Lake. The
Zambian littoral zone and river mouths and associated wetlands provide important
breeding grounds for economically important fish species. Nsumbu National Park
provides considerable protection to lake biodiversity, but its aquatic habitats are under
threat by increased levels of sedimentation. Outside the park fish resources are depleted
by over-fishing and by deleterious fishing methods.
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Zambia Project Brief: Alternative Course of Action
Whilst there are no urban settlements of the size of Bujumbura or Kigoma on the
Zambian shores, Mpulungu is a rapidly growing township, with some secondary
industries, and so waste-water treatment and point pollution are potential issues of
concern7.
Socio-economic, Institutional and Policy Context
Socio-economic Context
Lake Tanganyika has substantial and on-going livelihoods value to lakeshore
communities. The lake is a source of fish for consumption and sale, it provides key
transport and communication links and is a source of water for industrial and agricultural
development as well as for domestic use. Several million people live in the Lake
Tanganyika basin and the population continues to grow despite a legacy of prolonged and
tragic ethnic conflict in Burundi and the Democratic Republic of Congo (DRC). About
300,000 people live around the Zambian part of the Lake, the majority of whom rely on
small-scale agriculture, agricultural processing and fisheries for their livelihoods.
The main socio-economic constraint to ecosystem integrity and human well being in the
Tanganyika basin is poverty. The main causes of poverty in the basin include:
· Limited choice of livelihood options and over-dependence on agriculture and fishing
· Inadequate access to land and capital, and limited access to credit by the poor
· Inadequate access to markets to sell/buy goods and services
· Shortage of labour and skills for productive enterprise
· Destruction of natural resources, leading to degradation and reduced productivity of
resource base
· Lack of participation by the poor in the design of development programmes
Institutional and Policy Context
Past under-achievement in the conservation and sustainable utilization of natural
resources in Zambia can be largely attributed to policies and accompanying institutional
arrangements in the natural resource and other sectors that indirectly impact on
biodiversity. While new policies and initiatives have begun to address the failures of
previous policies, their legacy continues to heavily impact on current resource
management regimes. The most important weaknesses in these institutional arrangements
areas follows:
At the community level, local institutions (e.g. traditional authorities) and government
departments operate in a divergent and un-coordinated manner in natural resource
management in general. Government imposed systems of resource management are
frequently at odds with traditional practices of resource access and control. This situation
has largely arisen as a result of government policies and regulations that have excluded
7 Waste-water treatment for Mpulungu remains a priority under SAP, it is possible that other donor
interventions may be leveraged by the Programme Partnership during this project lifetime.
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Zambia Project Brief: Alternative Course of Action
community involvement and interests in the management of natural resources. This
process has eroded traditional norms and rules that have modulated resource use.
Natural resource management has generally tended to be carried out through a sectoral
approach. For example, the fisheries department concentrates on fish conservation and
utilization without involving other sectors which impact on the fish and its Lake habitat
such as water, agriculture and forestry. It is now recognized that the application of a
cross-sectoral approach to natural resource conservation and catchment management in
particular is needed.
Natural resource policy formulation has tended to be government-driven to the
exclusion of intended beneficiaries, particularly local communities. Past policy,
while addressing national interests, has often failed to take into account important
local level economic and socio-cultural parameters resulting in the development
of inequitable and under-achieving natural resource management institutions and
practices.
Legislation on natural resource management has failed to include tangible
incentives for people who depend and impact on natural resources. The tendency
has been the enactment of legislation entailing punitive disincentives for local
resource users. Furthermore, the larger share of revenue (in taxes and/or levies)
accrued from the natural resource sector has been collected by the central
treasury, leaving no tangible incentives or sustainable system of funding for
communities to conserve and sustainably utilize their resources.
Recent developments in the revision of Zambian natural resource management policies and
accompanying institutional arrangements have made substantial headway in the sector's reform
and its democratisation. Policy now recognizes the critical importance of community participation
as well as the significance of developing viable benefit and cost sharing regimes among all
stakeholders. A unique opportunity for developing and demonstrating transformed catchment
management systems for the Lake is now possible, through the planned devolution of resource
control to local lacustrine communities.
Baseline Situation: Threats, Root Causes and Activity
Threats
The biodiversity of Lake Tanganyika faces major threats. With regard to the Zambian
part of the Lake, over-fishing and damaging fishing methodologies, high rates of
sedimentation into the Lake and its inflowing rivers, and growing pollution concerns
were documented in detail in the Trans Boundary Diagnostic Analysis (TBDA), and were
identified as major threats to the Lake's biodiversity. The focus of this project phase is
controlling sedimentation, which was considered as the priority concern, by stakeholders
as it causes deterioration in water quality of inflowing rivers and the Lake itself. Co-
Finance Partners will address fishing issues (AfDB).
Local resource managers view deforestation, which occurs in many of the catchments,
and unsustainable agricultural practices as the main contributors to sedimentation. The
main causes of deforestation are woodland clearing for agriculture and demands for
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Zambia Project Brief: Alternative Course of Action
fuelwood for domestic use, fish smoking and tobacco curing, poles for house construction
and transportation of fish. Poor agricultural practices include river-bank cultivation, steep-
slope cultivation and lack of manuring and mulch inputs.
The sediment deposited into the Lake destroys the habitats of fish and other aquatic
species. In aquatic environments, sediment impairs the dissolved oxygen balance in the
water and obscures light needed for primary production, both of which are detrimental to
aquatic life. In addition, heavier sediment particles blanket fish spawning areas and cover
food supplies for many species.
Root causes
The threats impacting on Lake Tanganyika are the product of a complex and inter-acting
range of issues that can be usefully categorised thus:
Weak local natural resource management and tenure institutions natural
resource management has long been the prerogative of central and district
government without appropriate, popular and effective participation of local
communities and resource-users. With a legacy of chronic under-resourcing in the
natural resource sector, the capacity of government institutions and the effectiveness
of their programmes have remained weak, leading to de facto open resource use
situations. De facto open resource use situations have also occurred as resource use
and tenure rights have remained contested and local communities continue to
perceive resource management and law enforcement responsibilities as lying heavily
with the state.
Poor governance and accountability reflective of a complex set of development
and societal issues, poor governance and accountability have led to ineffective natural
resource management, unsustainable resource use practices and have frequently
compromised law enforcement.
Lack of regional cooperation Lake Tanganyika is a transboundary resource and
natural resource management issues particularly fishing have, until recently, not
been managed in an integrated manner between the four nations. This has resulted in
the imminent prospect of the important pelagic fishery collapsing, with substantial
implications for fisherfolk's dependency on littoral fisheries already showing signs of
depletion. Other issues such as lake pollution and sedimentation are usually more
localised but require a regionally coordinated effort to effect abatement and
prevention measures.
Insufficient local and national institutional liaison catchment natural resource
management is ideally a multi-sectoral undertaking involving water, agriculture,
fisheries, forest, wildlife, land (tenure) and mining sectors. Each usually has its own
district department and these departments may fall under entirely different ministries
at national level. Creating and maintaining sufficient liaison and linkages between all
these institutions is not easy and often receives inadequate attention. To date,
insufficient coordination between all these sectors has led to disjointed and
sometimes contradictory policies and programmes, resulting in poor catchment
management. And underlying these institutional root-causes are the twin problems of:
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Zambia Project Brief: Alternative Course of Action
A growing human population - in the Lake Tanganyika basin has led to
increasing pressure on the resource base. While growing human populations
may not necessarily lead to deleterious outcomes for the integrity of
ecosystems and biodiversity, a range of complex factors, including those
presented below, have resulted in insufficient incentives for and the inability of
people to successfully manage their relationship with the environment in an
ecologically sustainable way.
Poverty - is widespread in communities living around the lake, and heavily
frames people's fishery and land (forest and soil) resource use rationales
which often maximise short-term benefits to the detriment of the natural
resource-base. People farming the steep slopes of the lake's shores are amongst
the poorest in local society and therefore are unable, for a variety of reasons, to
invest sufficiently in sustainable farming and resource use practices.
Underlying reasons include seasonal farm labour shortages, insufficient access
to affordable credit, insecure land tenure, and a lack of knowledge about
sustainable farming practices in a contemporary context.
On-going Baseline Activities
Conservation Activity
Within the Zambian Lake Tanganyika catchment there are several natural resource
protected areas, ranging from the relatively large Nsumbu National Park, to a number of
smaller forest reserves and local reserves, and game management areas. Management of
these areas is not very effective8, due to weak mandated agencies and little real
participation from adjacent communities.
Natural resource management in Zambia is however starting a reform process following a
set of new natural resource policies that were developed in the 1990s. As part of this
process, a number of community and local level committees have been developed for
managing particular resources such as wildlife and fisheries. For example, there
currently exist Chiefdom-based committees such as the Community Resource Boards
under Zambia Wildlife Authority (ZAWA) and the Stratum Committees under the
Fisheries Department. These committees need to be linked with Village Conservation
Development Committees (VCDCs) where they do not already exist, and Area
Conservation Development Committees (ACDCs) as appropriate see section 3.5.1
However, other ongoing natural resource management developments have been less
successful. Recent attempts by the government to re-enforce control in gazetted forests
have consisted of developing laws and regulations including charges for extracting wood
from the open forests. This approach has not been successful due to the poor law
enforcement capacity of the Forestry Department and insufficient support and
participation from local communities. The extension services are not strong.
Land-Use, Agriculture and Livelihoods Activity
8 A new GEF-UNDP Project to support the wildlife PA network in Zambia has just been approved.
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Zambia Project Brief: Alternative Course of Action
Mpulungu and Kaputa Districts are a mixed farming area, where tsetse fly has
traditionally prevented cattle keeping. The Districts rank at an intermediate level in
national poverty indices. Population densities are medium and only rising slowly, in part
due to HIV-AIDS. A key issue is that both districts have few livelihood options outside
fishing and subsistence agriculture. Lack of livelihood options has led to over-fishing,
and to illegal hunting in National Parks and Game Management Areas.
The topography is one of relatively steep hillsides dissected by several streams and rivers,
rising from the lake at 900m asl. Slopes are covered with miombo (Brachystegia)
woodland, with a fire prone tall grass ground layer. Main crops are beans (much exported
to Lusaka and the copper-belt), sweet-potatoes and cassava. The area is not a major maize
producer. Poor agricultural practices are increasingly common, in part due to insufficient
land tenure security and few incentives for soil conservation practices, rather than high
human densities and land shortage.
Districts have functional District Officers for agriculture, forestry and fisheries, as well as
for community development. There is a regional Agricultural Research Centre at
Misamba, Kasama. In addition, the Ministry of Agriculture Extension Officer maintains
extension staff at `camp level' (with a camp covering two or more villages).
Districts maintain District Development Coordination Committees (DDCCs). Traditional
leadership is still strong (although waning) and constitutes a competing local power base
to council/civil-service governance, leading to conflicts of interest. The districts are
further administrated through ward, section and village levels. Villages do not have
formal village governments, but instead traditional chiefs/headmen. Villagers have a
series of Committees (e.g. the Village Forestry and Natural Resources Committee), but it
is currently considered that there are too many committees at this level.
Communities manage forest resources on community and state-land with guidance from
Forestry. Northern Province is not included in the Provincial Forest Action Plans, and the
CBNRM programmes are not active in these two northern districts. Whilst the Forest Act
provides for CBNRM, requisite capacity has yet to be developed, appropriate frameworks
and guidance have yet to be put in place.
On-going Support Programmes The Baseline
There is currently an aid disparity in Zambia, with distant poor-access districts receiving
proportionally less support. Northern Province and the two focal districts do not have a
strong NGO presence either international or national NGOs. Refugee camps in adjacent
districts are supported by CARE/World-Vision. Major donors in the two districts have
been NORAD (for district development), the AfDB for water infrastructure, and Irish Aid
for social services (HIV-AIDS and water).
The Economic Expansion of Outlying Areas project grew into the present Agriculture
Support Programme (ASP), (SIDA funded). ASP consolidates several earlier SIDA soil,
agriculture conservation programmes. ASP is active in 4 Provinces and 20 districts.
Whilst Northern Province is included, neither Mpulungu nor Kaputa Districts are
included. Lessons learned can be gained from other Northern districts and applied in the
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Zambia Project Brief: Alternative Course of Action
project areas. This ASP is different from the WB funded national level Agriculture
Sector Investment Programme (ASIP) that is coming to an end.
UNDP has just approved a micro-finance project on a pilot basis. This involves
collaboration with the Graminee Bank Trust and United Nations Volunteers (UNV). The
project is being piloted in Lusaka Province and Mpulungu-Kaputa would be an
appropriate area to which to expand. Also, the World Bank funded Zambia Small
Investment Fund (ZAMBELE) has well developed micro-finance expertise. ZAMBELE
has prepared District Profiles to help define best lending practice.
Conclusion
The biodiversity of Lake Tanganyika is threatened by rising levels of sedimentation into
the lake caused by increasingly unsustainable land-use practices and a declining natural
resource base. The root causes of these trends are weak natural resource governance, the
lack of a multi-sectoral approach and coordination to wider ecosystem management, as
well as insecure and weak community-based resource tenure and management systems.
This situation is further compounded by the effects of poverty and relatively low levels of
external programme support at District level. Without the project's intervention,
Mpulungu and Kaputa Districts will be unable to address the baseline situation as part of
Zambia's commitment to conserving the bio-diversity of Lake Tanganyika.
Alternative Course of Action
Introduction
The Alternative Course of Action is to develop interventions to fill the gaps left from the
baseline scenario, so as to seek sustainable global and national benefits from rational use
and management of the Lake Tanganyika resources. The environmental threat analysis
identifies needs in improved fishing practice, in pollution control, and in catchment
management. Co-finance deals with fisheries and pollution, as well as a suite of
livelihood support options including infra-structural support, such as roads. The GEF
intervention in Zambia addresses catchment management.
The catchment baseline consists of past experience with agricultural/soil projects
designed to reduce erosion through soil conservation efforts, and projects aimed at
afforestation. The past, largely top-down, sectoral, non-participatory processes did not
lead to more than short-term isolated successes. This finding is true across much of sub-
Saharan Africa, and is not a purely Zambian conclusion.
The innovation of this proposal is to seek cross-sectoral interventions that are rooted in
participatory process, building new technologies onto traditional practice. "Ownership"
of the project processes, of the land, and on the usufruct resources from the land, are key
ingredients of the alternative. Success will come from a set of inputs including
institutional support and capacities and coordinated linkages from upstream policy to
downstream on-ground practices. In addition: awareness, demonstration, secure tenure,
and a set of improved land-husbandry practices that are tested on-site with farmers, as
well as alternative income generating practices to reduce pressures on land resources.
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Zambia Project Brief: Alternative Course of Action
To ensure the use of best practice in catchment management, the project in Zambia
(along with Tanzania and DRC catchment components) will use the International Centre
for Agro-Forestry (ICRAF) in Nairobi to provide training, demonstration, learning
experiences and their dissemination within the region.
The project will pilot these interventions in four sites within Mpulungu and Kaputa
Districts, each within a different micro-catchment (Lunzua. Izi, Chisala and Lufuba
Rivers). Further co-finance from AfDB will extend these pilot processes elsewhere in
Mpulungu and Kaputa Districts.
The expected impacts of GEF support
Zambia is committed to fulfilling its international and regional commitments to
biodiversity conservation and the sustainable management of the Zambian part of the
Lake Tanganyika basin. GEF co-financing would enable Zambia to fast-track current
implementation of recent natural resource policy reforms and to achieve milestone
improvements in the management of Lake Tanganyika basin. The key impact resulting
from GEF support of the project will be:
Tangible, growing and sustained reductions in sedimentation rates at project
demonstration sites which lead to improved biodiversity habitats due to:
Rising up-take by farmers of improved and sustainable agricultural practices that
will be replicable throughout the Zambian portion of the Lake Tanganyika basin
A decrease in deforestation resulting from more effective community-based
natural resource management serving as a demonstrative model for the Lake
catchment.
The development and piloting of multi-sectoral institutions, linkages and
relationships between community, local and national levels that successfully
support participatory forms of natural resource management. The lessons and
precedents set will enable similar initiatives in the Lake basin to be started, with
potential for replication on a wider national scale.
Objective and Outcome
The Immediate Objective is as outlined in the Lake Tanganyika Strategic Action Plan
(SAP) and is in line with the Transitional Development Plan (TDP) and the Poverty
Reduction Strategy Paper (PRSP) of the Zambian Government and is defined as:
`The protection and conservation of the biological diversity and the sustainable use of
the natural resources of Lake Tanganyika'
The project's single Outcome in Zambia is as follows:
`Reduced levels of siltation into the lake resulting from improved management of the
Lake's catchments with sustainable use of agricultural and forest resources'.
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Zambia Project Brief: Alternative Course of Action
Outputs
To attain the outcome and hence contribute to the fulfilment of the overall objective, the
stakeholders of this project have developed five tangible, specific outputs:
Table 5: Project Outputs
Output 1: Sustainable natural resource use practices established
Output 2: Sustainable alternative income generating activities developed
Output 3: Awareness of stakeholders of the importance of sustainable natural
resource management raised
Output 4: Capacity of local governance structures for sustainable natural resource
management enhanced
Output 5: Project efficiently and effectively managed to achieve outputs and
immediate objective, with monitoring and evaluation process to show impact.
Output 1: Sustainable natural resource use practices established
The Strategic Action Programme (SAP) for the Sustainable Management of Lake
Tanganyika calls for an integrated approach to addressing the sector-based and
underlying causes and threats to biodiversity. In response to this call, this project will
enhance the capacity of resource users and managers at catchment level to increase their
ability to sustainably manage and utilize resources so that biodiversity is conserved and
livelihoods are improved. To this effect the following are the proposed sub-outputs:
Sub-outputs/Activities
1.1 - Demonstrations on mitigation measures for land degradation established:
The Department of Agriculture will set up participatory on-farm demonstrations within
the four priority areas to show-case technologies for abating land degradation, control
ling soil erosion (contour ploughing, planting strips with vetiver grass), developing
alternatives to slash and burn practices and planting fast growing agroforestry species to
rejuvenate abandoned farmlands. These activities tend to take relatively long periods to
show appreciable results and must therefore begin in the first year of project
implementation so that their effects can be observed within the project's life. The
technologies to be promoted must show tangible and reasonably immediate benefits for
farmers. For example, the species used in contour bunds or improved fallows must be
fast growing with good coppicing abilities that can be used or marketed for purposes
such as fuelwood and poles. Misanfu Agricultural Research Centre based in Kasama (the
provincial capital of Northern Province) has a menu of appropriate species available that
the project will utilise.
1.2 - Demonstrations on sustainable low input agriculture established
Soils in the region are inherently low in fertility and, due to high rainfall, nutrient
leaching (especially of bases) is very high. The pH tends to be very low with high levels
of aluminium. Fertility management of these soils often requires the application of high
levels of external inputs such as lime and inorganic fertilizers. These inputs are costly
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Zambia Project Brief: Alternative Course of Action
and not easily available in the area and it will be prudent for the project to promote low
input systems. In this regard, organic / inorganic farming combinations will be promoted
that reduce requirements for externally procured (inorganic) inputs. The Department of
Agriculture will demonstrate green manure technologies, agroforestry techniques,
minimum tillage and other adaptable conservation farming techniques. These
demonstrations will be on farmer's fields and farmer managed.
1.3 - Sustainable forest management systems developed and adopted
The Forestry Department will work with communities to rehabilitate degraded forests
establish woodlots and plantations, and encourage controlled early burning, formulating
by-laws and promoting community-based law enforcement mechanisms. The approach
for the establishment of these woodlots will need to take a business-orientated approach
so as to offer profit incentives that encourage people to participate in this conservation
effort. Three approaches are proposed:
1. Mobilization of villages to manage degraded village forests. In addition to allowing
natural regeneration of degraded forests, selected areas would be additionally re-
afforested with selected fast growing species within the constraints and opportunities of
local tree tenure practices.
2. Promotion and demonstration of individual farm woodlots.
3. Management of selected forestl supply areas through a Joint Forest Management
(JFM) framework between the Department of Forestry and user groups. The Forestry
Department is currently piloting a JFM approach in line with the new Forestry Act and
this project could complement these efforts in the context of the Lake catchment
management. Part of the JFM development process will be the delivery of training for
Community Resource Rangers. Communities will select Community Resource Rangers
who will have the responsibility of resource monitoring (e.g. in a particular forest).
Community Resource Rangers will require specialized training in basic resource
management, resource-user relations, and law enforcement rights and obligations.
1.4 - Water quality monitoring and reporting system established and functional
The Department of Water Affairs will monitor water quality as an indicator of upstream
activity. The measurements will include sediment levels, chemical pollution, ballast
water monitoring and flow measurements. The resulting data analysis and reporting will
provide important feedback for monitoring the impact of upstream human activity on the
water quality and its likely impacts on aquatic life. (This feeds into the Regional M and E
Process)
Output 2: Alternative Income Generating Activities (IGA) developed
The Lake Tanganyika catchment provides lacustrine communities with an array of goods and
services upon which they depend for their livelihoods. In recognition of the legitimate need for
people to sustainably exploit the catchment's natural resources to access economic benefits
(goods and services), the project will develop and pilot alternative sustainable ways of utilising
these resources. Project-mediated development of alternative income generating activities will
reduce the pressure on, and demand for, fish as a source of income and livelihood.
Sub-outputs / Activities (This includes a range of possible options of potential IGA's)
2.1 - The IGA start-up revolving fund established
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Zambia Project Brief: Alternative Course of Action
The success of IGAs will depend on the injection of initial start-up capital to finance interested
and well-appraised entrepreneurs. It is therefore proposed that the project sets aside funds
amounting to US$ 200,000 to open a revolving fund to be managed by the Catchment
Conservation Committee (CCC) under the supervision of the District Development Coordinating
Committee (DDCC). The seed fund is relatively small but the scheme, if successful, is expected
to grow from the interest paid by the borrowers and from bank interest. Entrepreneurs will then
apply for funds through VCDCs to start IGAs. The sub-output will link with AfDB co-finance,
which is developing micro-credit for fisheries.
The Project Implementation Unit (PIU - see section 3.11.2) will coordinate the setting up of
this fund drawing from the experiences of the ZAWA (Zambia Wildlife Authority) revolving
fund and other successful revolving funds around the country like the Core Programme Village
Revolving funds for IGAs under the IFAD (International Fund for Agricultural Development)
funded by the Southern Province Household Food Security Programme.
The project will promote alternative income generating activities and enterprise
development that reduce pressure on the natural resource base, rather than those that
provide an additional economic activity, without promoting biodiversity conservation.
IGAs will be community demand driven, facilitated through community training and
awareness building, and contingent on project-mediated market assessments and cost
benefit analyses.
2.2 - Value-adding processing supported
The project will promote activities that increase the value of agricultural products as a
means for increasing livelihood benefits. Potential initiatives will include promotion of
appropriate processing technology such as hammer mills, small-scale fruit processing
equipment, cassava chippers, sugarcane juice extractors and oil expellers. Care will need
to be taken to ensure that successful value-adding initiatives do not in turn create an
incentive for people to expand their enterprises to the extent that they harm natural forest
conservation areas.
2.3 Community-based commercial woodlots established
The sale of poles (< 14cm butt diameter) is a lucrative business in Mpulungu. These are
used to increase the carrying capacity of the trucks used for transporting fish to towns
and to Congo. The business is a major contributor to deforestation but with woodlots
planted with fast growing tree species, this could be turned into a profitable yet
sustainable income generating activity.
Appropriate land and tree tenure arrangements based on local norms and practices will be
first examined to ensure the success of the initiative. Silvicultural management will
involve first establishing tree nurseries by the Forestry Department that will later be
handed over to community management when sufficient capacity has been built.
Community members will purchase seedlings from the nurseries to raise their own
woodlots. The Forest Department will then offer training in management of the woodlots.
Upon the maturation of these woodlots, the Forest Department will then stop issuing
licenses for trading in natural uncultivated forest poles. In addition to income generation
the activities will relieve pressure on natural forests and help aid their regeneration.
2.4 - Bee-keeping promoted and product development supported
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Zambia Project Brief: Alternative Course of Action
Beekeeping occurs at a very low scale in the lacustrine villages and most of the bee
products are used locally. In other areas of Zambia commercial bee keeping is a vibrant
business. The lakeshore, as an area where agrochemical usage has been low, would be
particularly suited to the production of organic honey, which upon its certification, could
be exported. The potential for export-orientated `Fair Trade' bee products will be
examined as part of project-mediated market investigations to maximise potential
benefits for honey producers.
2.5 - NTFP processing and trading developed and expanded
The forests in the area are important sources of wild fruits, mushrooms and numerous
types of valuable nuts. During the season most of these products are available in over-
abundance and usually a high proportion goes to waste. Together with communities, the
Departments of Agriculture and Forestry will explore preservation possibilities of these
products for sale during the off-season when their availability is low and prices are
higher.
2.6 - Small scale irrigation supported and improved
Currently communities are growing irrigated crops along the riverbanks, a practice which
often leads to riverbank erosion and sedimentation. Through the Ministry of Agriculture
and Cooperatives, the project will promote small-scale water lifting devices (e.g. treadle
pumps) and community-based canal construction to move the gardens further away from
the riverbanks where there will be more space and less impact on the riparian
environment. Cultivation along riverbanks will be subsequently proscribed through by-
laws. In addition, the potential for facilitating and promoting the cultivation of high value
crops (paprika, green maize, green beans etc) under some organized contract farming or
out growers scheme will be investigated.
2.7 - Capacity of communities in business management strengthened
Key to the success of the IGA initiative is the development of business skills and basic
record keeping among participating local business people. A number of training manuals
have been developed by previous or existing projects and could be adapted and used. The
project will also consider the use of the ILO's `Start and Improve Your Business' (SIYB)
manuals and their subsequent adaptation to suit agro-based income generating activities
(GTZ/ MACO- ASSP) as an appropriate starting point.
Output 3: Awareness of stakeholders of the importance of sustainable
natural resource management raised
Wide scale buy-in to the principles of improved and participatory natural resource management
and biodiversity conservation is critical to the sustainability of the project's outputs. All
stakeholders must be aware of the important role each plays in this process. The communities and
the private sector must know that they are key players in sustainable management and
biodiversity conservation, and that the government not only accepts them as such, but also
expects their active participation. Similarly, the line ministries must accept the communities and
the private sector as equal partners in conservation and be willing to facilitate their effective
participation in the process.
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Zambia Project Brief: Alternative Course of Action
To promote this concept, the project will design and implement an awareness raising strategy
aimed at informing, and therefore helping to empower, all stakeholders to actively and effectively
participate in achieving improved resource management and biodiversity conservation.
Awareness building will be achieved through meetings, seminars, study tours, panel discussions
and locally available media.
To ensure effective and appropriate participation of all stakeholders in improved natural resource
planning and management processes, both district staff and staff of respective line ministries will
be trained in participatory resource planning rationale and techniques.
Sub-outputs / Activities
3.1 - Awareness programmes for co-management of natural resources enhanced
Study tours for communities (exchange visits): VCDCs and resource-user groups
as well as line ministry and district staff will be given opportunities to visit other
communities developing participatory resource management in order to share
ideas and experiences. Study tours are a well-known mechanism for building the
confidence, commitment and capacity of local communities in participatory
resource management development initiatives. They also provide an opportunity
for communities to avoid the mistakes and problems encountered by other
communities in developing participatory resource management.
Joint training for stakeholders: An initial joint training for all stakeholders will be
undertaken to ensure that all appreciate each others' roles and responsibilities.
3.2 - Leadership training for community leaders undertaken
Elected local and traditional leaders will be invited to attend a workshop that
introduces the project, its objectives and outputs as well as the underlying key
processes of decentralisation of natural resource management and the creation of
partnerships with civil society. Once they have begun to better understand the
project's objectives and rationale, the councillors will be able to better represent
their constituencies when they need to talk about or advocate community-based
natural resource management issues.
The leaders then will be invited to participate in leadership training so that they
are better able to provide guidance and support for the VCDCs and ACDCs
3.3 Community environmental management and awareness levels raised
The project will facilitate a youth environmental awareness programme on the premise
that today's youth will be the future beneficiaries of the project's initiatives to conserve
and sustainably utilise biodiversity. Training will target existing youth organizations
such as `Chongololo' clubs, young farmers clubs and youth skill training centres. In the
event that these clubs do not exist in participating project communities, the project will
facilitate the formation of conservation clubs by youth groups that will be linked to
local VCDCs and/or local schools. The project will work with youth and other interest
groups to:
Develop environmental education materials in local languages
Facilitate the production of radio & TV programmes
Encourage the development of drama for environmental education
Carry out video shows and discussion groups in communities
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Zambia Project Brief: Alternative Course of Action
Output 4: Capacity of local governance structures for sustainable
natural resource management enhanced
Currently local communities and their committees have little control over external
operatives (traders, transporters and refugees) who come into the catchments to extract
natural resources. Reversing this situation will be key to helping empower communities
to successfully manage their natural heritage and reduce sedimentation. In this regard, the
systematic improvement and rationalization of the laws, policies, and institutions
governing the use of communities' natural resources will be necessary. The project will
thus review, and where necessary, facilitate the consolidation of local level natural
resource governance structures and processes through a participatory process. Where
such structures and processes do not exist, the project will advocate their development.
The project will also identify areas of conflict with local norms and rules, proposing
appropriate solutions as feasible. This process will help harmonise local (and, if
appropriate, national) policies so as to ensure that current and future potential for
institutional and resource-use policy conflicts is minimised.
Sub-outputs / Activities
4.1 - Capacity of local NRM institutions strengthened
An inventory of existing community-based natural resource management
committees will be undertaken to identify institutional gaps.
Currently there are separate committees for wildlife, fisheries, water, forestry and
agriculture at village level. These will need to be rationalised in a participatory
manner in order to create a single committee that will have overall mandate for all
natural resources (VCDC).
A training programme for VCDCs, drawn from the practices and experiences of
successful community-based natural resource management initiatives in the wider
region will be developed and carried out.
District and line ministry personnel will be trained in participatory skills and
technical aspects of CBNRM development. External trainers with regional
experience in CBNRM will develop and conduct the training programme.
Study tours will be carried out as detailed in Output 3.1.
4.2 - By-laws and enforcement mechanisms developed.
An initiative will be launched to develop stakeholders' understanding of the importance
and strength of community-based natural resource use compliance systems, and in
particular by-law operation. Working together with the local (district) authorities,
community level leadership, VCDCs, resource-user groups and supporting line
ministries, the following activities will be undertaken:
An inventory of resources requiring protection and management through by-laws
will be developed.
The district councils currently have insufficient capacity to enforce by-laws due to
over-stretched staff. It is currently proposed that the District council instead
empowers or subcontracts the VCDCs, ACDCs and CCCs to enforce by-laws related
to the conservation of biodiversity. In return the monetary proceeds arising from the
licensing of natural resource use will be shared in agreed proportions between the
council and communities. This will not only develop a growing sense of resource
ownership by local communities but also promote the sustainability of by-law
systems. Currently an assumption is that district by-laws are sufficiently accepted,
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supported and appropriate for local-resource users. The project will need to verify
this assumption, and to facilitate remedial measures as required to ensure that the by-
laws have a wide constituency among resource-user groups.
Working with resource-user groups, a range of positive incentive resource use
compliance systems will be developed in addition to more traditional deterrent
measures. Positive incentive agreements (such as long-term access rights contingent
on compliant resource use) between districts, VCDCs and resource-user groups will
help promote long term and sustainable resource custodianship among resource-user
groups.
The project will monitor and technically support the enactment and implementation
of by-laws, so as to measure their efficacy in biodiversity conservation and the
facilitation sustainable livelihoods.
4.3 - Advocacy for political support of community-based natural resource management
undertaken
Political interests in the pursuit of short-term gains can derail otherwise successful
community initiatives. To avoid such unfortunate occurrences, the project will carry out a
programme of advocacy to foster a sense of project ownership and support by local and
national politicians through the CCC. Local members of parliament and constituency
officials, will be brought on-board through a consultation and advocacy workshop during
the initial stages of the project's implementation.
Output 5: Project efficiently and effectively managed, monitored and
evaluated
The project will need to develop an effective and efficient Management Information
System (MIS) that will be a key administrative tool for the project's implementation. The
MIS will require the timely acquisition, analysis and dissemination of relevant
information to the project's staff and stakeholders. An MIS is an organized system,
comprising of a sequence of processes that captures accurate and relevant information
and processes it in a timely manner into the information that managers need to manage
their project'
The MIS will comprise a Planning and a Monitoring & Evaluation component. The
project's log frame with its in-built targets will provide benchmarks against which actual
performance will be monitored and evaluated. The findings of the M&E process will in
turn be fed back and used to review and possibly modify the original log frame.
Sub-outputs / Activities
5.1 Recruitment of project staff
5.2 Management Information System (MIS) developed and implemented
The PIU will work together with the other stakeholders to identify information requirements for
each level in the project's management structure and apportion responsibility for
the capture of the information. The PIU will then develop reporting formats which
capture the required data in a way that best facilitates the provision of information
in an appropriate and timely manner. The provision of information will be linked
with developing an appropriate system of meetings
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Zambia Project Brief: Alternative Course of Action
5.3 Site-Specific baseline survey conducted
A resource and site specific catchment based baseline survey will be conducted at the beginning of
the project to provide benchmarks for monitoring and evaluation. The baseline
survey will need to be carefully designed so that it captures an appropriate and
representative range of data parameters that remain robust and useful throughout
and after the project's implementation. Data parameters will include: knowledge,
attitudes and practices at community, district level; the overall institutional
environment; key environmental indicators and; verification of current income
generating activities.
5.4 Preparation and implementation of Annual Work plans and Budgets (AWPB) carried
out
The PIU will ensure that the follow activities are carried out:
Timely preparation of annual work plans and budgets
Facilitation of regular committee meetings (VCDC, CCC, ACDC)
Preparation and processing of requests for disbursement of funds.
Preparation and timely submission of quarterly and annual reports
Timely procurement of all goods and services at appropriate cost and quality.
Monitoring the project implementation activities of stakeholders through the
MIS
5.5 Mid-term review and end of project evaluation planned and conducted
There will be a mid-term review of the project by independent consultants to assess
project progress - whether or not the project's planned activities are leading to the desired
outputs and hence contributing to the overall goal. This will result in key
recommendations on the direction the project should take in its latter period. The End of
Project Evaluation and Impact Assessment will be conducted to ascertain the impact of
the Project's interventions on the livelihoods of the communities and on the status of
biodiversity.
Project Sites
The project activities are planned to cover the whole catchment range of the Zambian
side of the lake from Mpulungu to Kaputa district with the exception of the catchment
area that lies within the Nsumbu National Park. Both districts are part of Northern
Province, with a Provincial HQ at Kasama. Both districts are similar in ecological and
social criteria, with populations distinguished through minor language and ethnicity. The
process of covering the proposed catchment area will be phased over the length of the
project based on the assumption that additional financial resources will be made available
through the Af ADB fund. Based on the work undertaken in the first phase of this project,
and as a result of a stakeholder project development meeting held in Mpulungu, the
following areas will be priority sites in Mpulungu District (see Annex 3):
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Zambia Project Brief: Alternative Course of Action
Mpulungu District
Lunzua River Catchment and the Chituta Bay Area
Chituta Bay was identified as the first priority area. The area lies at the mouth of the
Lunzua River. It was first settled as a fishing camp, which later became a permanent
settlement. Slash and burn cultivation and also intensive gardening occur along the
river's banks. Natural forests are diminishing due to cultivation. There are three villages
namely Chituta, Kapata and Ilata at this site which will be targeted. The area was
selected on the basis that:
The area is a breeding ground for a lot of fish species
The lacustrine and riverine environment has high levels of sedimentation/ erosion
High levels of human activity (agriculture, fishing, hunting) are ongoing
The rate of deforestation is very high
Kasakalawe Bay Area
Kasakalawe, ranked second, is situated at the mouth of the Izi River and is accessed
through the Mpulungu local forest number P45 covering 21,730 hectares. The farmers
grow rice in the lake depression and vegetables along the banks of Izi River. The local
Mpulungu forests have suffered from serious encroachment as settlers at Kasakalawe
seek sources of fuelwood and new areas for cultivation. This area has been identified as a
very important area for woodlot and plantation establishment. The area was chosen on the
basis that:
It is an important sardine breeding area
It is the source for a substantial amount of (illicit) wood fuel and poles for
Mpulungu.
It is characterised by very poor land use practices
The area suffers from high sedimentation levels (1.248 tonnes/day)
Deforestation and forest encroachment continue to occur rapidly.
Munjela/ Nsumbu Game Management Area (GMA)
Munjela/Nsumbu GMA is situated on the Chisala River in Kaputa District and borders
the Nsumbu National Park on one side and the open area and game management zone on
the other contiguous with the lakeshore. This area is characterised by substantial
population growth but because of its location, there is limited potential for expansion of
the settled and farmed areas. The area was selected on the basis that it:
Is an important Sardine breeding area
Is an area of high agricultural activity with poor land use practices
Possesses degraded forest areas
Is a centre for high levels of illicit hunting
Kaputa District
Chisala River Catchment and Munjela-Nsumbu GMAs
Kabyolwe Bay lies in the open area of the Nsumbu National Park and marks an important
entry point for illegal hunters. The settlement lies at the mouth of Lufubu River. The
forested riverbanks are under serious pressure for land for cultivation as well as for
fuelwood for home use and fish curing. The area was chosen on the basis that:
There is a large amount of agricultural activity and poor land use practices
The area is subject to high sedimentation levels (1,540 tonnes/ day)
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Deforestation is occurring at a high rate together with high levels of illicit
hunting
Global Environmental Benefits
Conserving Lake Tanganyika and its basin will lead to substantial global environmental
benefits. With more than 2,000 species of plants and animals, Lake Tanganyika is among
the richest freshwater ecosystems in the world. Together with the other African great
lakes of Malawi and Victoria, Lake Tanganyika is famous for its endemic and highly
diversified flocks of cichlid species. However, what distinguishes Lake Tanganyika from
the other African great lakes is its comparatively far greater biodiversity that includes
flocks of non-cichlid fish as well as invertebrate organisms such as gastropods, bivalves,
ostracodes, decapods, copepods, leeches and sponges. The level of biodiversity that has
thus far been recorded for Lake Tanganyika is of particular significance. Much of the
Tanganyikan coast has not been adequately explored and consequently invertebrate
species numbers are probably currently significantly underestimated.
The catchment approach adopted by the Project, necessary to preserve Lake
Tanganyika's aquatic and littoral biodiversity, will lead to further global environmental
benefits as the basin's terrestrial biodiversity is conserved and becomes sustainably
managed to reduce Lake sedimentation levels.
Sustainability
In order to ensure its sustainability, the project will be implemented through a
participatory approach, from village to national level. The sustainability of many of
the project's outputs is particularly contingent on successfully working with local
communities and engendering their sense of ownership of, and commitment to, the
project. However, mainstreaming project outputs with local and national
government institutions will be as important for the successful implementation of
the Project and the sustainability of its outputs.
The project activities planned are central to the livelihoods of the communities, and will enhance
the environmentally positive aspects of their livelihood strategies. In essence, this
complementarity underpins the project's sustainability strategy.
Institutional sustainability
For the purpose of the continuity of the programme at the end of the Project period, the Project
will be implemented through existing administrative structures or appropriate adaptations thereof
as presented in Table 2. Zambia's biodiversity portfolio is largely the responsibility of the
Ministry of Tourism, Environment and Natural Resources (MTENR). The MTENR works in
close collaboration with the Environmental Council of Zambia (ECZ), the Ministry of Agriculture
and Cooperatives (MACO), Ministry of Energy and Water Development (MEWD) and non-
governmental organizations active in biodiversity issues. In allocating responsibilities to
implement various components of this project, recognition will be given to the specific roles
which these sector ministries and NGOs are best suited to undertake given their technical
comparative advantage. The Ministry of Agriculture and Cooperatives District Office at
Mpulungu will host the Project Implementing Unit and will provide office space and, together
with the other three line ministries (Environment, Water and Energy and Local Government)
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appropriate partner staff. These staff will constitute the core implementation team under the
guidance of the PIU.
Overall the project will be implemented and guided as follows:
At national level, MTENR will chair the National Project Advisory Committee (Lake
Tanganyika biodiversity sub-committee of the National Biodiversity Committee). The National
Biodiversity Committee through the MTENR has been given a mandate by the government to co-
ordinate national biodiversity programmes. The committee will provide a pathway for project
result absorption into mainstream government programmes and policies. MTENR will serve as
the principle focal point for official engagement with government.
The local level project management structure and approach will be deliberately designed to
ensure sustainability of project activities and results. At district level the project will work
through existing government and non-governmental institutions within the framework of the
existing DDCC to ensure ownership and integration of project activities into the mainstream of
district development plans.
At community level, the village and area development committees, as endorsed by traditional
leadership and proposed under the decentralization programme of the government, provide for
project activities to be incorporated as an integral part of the village and area level development
efforts driven by the communities.
Financial sustainability
The financial sustainability of the project's outputs at village and district level will rely, in
substantial part, on the levies, taxes and licensing fees to be generated from natural resource use
in the project area - as will be possible within institutional and policy frameworks.
Assumptions and risks potentially impacting on the sustainability of
project outputs
The success of the proposed interventions is based on several assumptions, the risks of which
have been identified as follows:
Inadequate government commitment to devolve a reasonable and sufficient level of
authority to local level traditional/community based structures.
Inadequate practical government commitment to support co-management regimes for
natural resource management.
Inadequate community commitment and ability to maintain conservation efforts that
include conservation initiatives with delayed but long-term benefits.
Inadequate commitment by line ministries to support the project's efforts without
expecting the project to cover their substantial overhead costs.
Inadequate commitment by traditional authorities to support and respect elected local
government leaders and their decisions on natural resource management in areas under
traditional jurisdiction.
Inadequate post-project revenues generated from licensing local natural resource use that
result in the constrained and poor functioning of VCDCs and ACDCs leading to an
erosion of the environmental gains achieved during the project.
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Replicability
The project will be carried out in pilot villages at four demonstration sites. Through the
Catchment's Steering Committee, to be established during the project, and the DDCC, it is
expected that these experiences will be transferred to other lakeshore villages in the Lake basin.
Stakeholder Involvement
Stakeholder involvement in project proposal development
More than 100 Zambians participated in the process of planning for the Strategic Action
Programme (SAP) for Lake Tanganyika Biodiversity Project (UNDP/GEF/RAF/G32/92). The
planning process, over the course of three years, brought scientists, researchers, local
communities, government departments, NGOs and the private sector together to discuss
environmental management priorities. The national priorities for Zambia are listed in the SAP
(available on the internet at - http://www.ltbp.org).
The SAP priorities include, sustainable fishing practices, sedimentation control,
pollution control and habitat destruction. Sustainable fishing will be addressed
under the African Development Bank sister-project to the GEF LTBP Phase II. In
light of this, Zambian stakeholders from Lusaka and the Lake basin met in August
2002 and in April 2003 to discuss the remaining priorities. The second meeting
agreed that sedimentation control through catchment management would be the
subject of this GEF project proposal and that additional donor funds would be
sought to address the remaining SAP priorities in Zambia. The Project proposal's
development was carried out through consultations with key stakeholders and
institutions, that took place in Lusaka, and later in Kasama (the Provincial
Headquarters), as well as in the Lake Tanganyika project area towns of Mpulungu
and Mbala.
Stakeholder involvement in further project development and
implementation
The project design incorporates provision for the further participation of all major
Zambian communities that have interests vested in the conservation and
management of the biodiversity of Lake Tanganyika including government, local
authorities, local communities the private sector, and international communities as
is indicated in the description of the Project's implementation strategy.
Lessons from Similar Projects
An assessment of the lessons learned from other Community Based Natural Resource
Management (CBNRM) projects in Zambia, reveals a number of common factors relevant to the
Lake Tanganyika Biodiversity Project. The following are the CBNRM projects to which priority
was given in assessing the critical lessons relevant for the success of the proposed Lake
Tanganyika Biodiversity Project.
Barotse Royal Establishment in Western Province
Zambezi Basin Resource Conservation and Utilization Project (ECZ/IUCN)
Liangati Joint Forestry Management project in Western Province- Senanga (Keepers
Zambia Foundation and SNV)
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Administrative Management Design (ADMADE) - community-based wildlife
management projects operating across the country (Zambia Wildlife Authority)
Cooperative League of the United States of America (CLUSA/USAID) community-based
agricultural and forestry management project in Eastern Province.
Fisheries co-management in the Bangweulu swamps (WWF, SNV)
Fisheries co-management on Lake Kariba (Fisheries department)
Monitoring and Evaluation
Monitoring and evaluation system
The National Biodiversity Steering Committee will oversee the project. Its role will be to
review annual progress in the achievement of the project's outputs and objective and to
provide the Project Implementation unit (PIU) with feedback for project implementation
improvement. In addition, the Committee may request, as it deems appropriate, an
interim project evaluation. Towards the end of the project, the Committee will prepare a
report synthesizing lessons learned and how these could be scaled up and replicated more
widely. The Lake Tanganyika Catchment's Steering Committee, proposed by the
stakeholders as a sub-committee of the DDCC, will be responsible for monitoring the
expected outcomes against the achievements of the Project's outputs. This Committee
will report to the National Biodiversity Steering Committee on the relationships and
achievements of outputs using the Key Performance Indicators (KPIs) agreed to at the
initial Project Inception Meeting.
The PIU will be responsible for tracking implementation progress and project milestones. The
Unit will prepare Quarterly Progress Reports on the basis of project implementation. An overall
progress report will be prepared under the guidance of the Lake Tanganyika Catchment
Committee every year and an additional report will be prepared three months prior to the mid-
term review, which will assess overall progress in project implementation and make
recommendations for adaptive management.
The Area and Village development committees proposed in the national decentralization
policy under the operations of District Councils will be responsible for the mobilization
of community planning, implementation, monitoring and policy advocacy for community
driven conservation and livelihood diversification in the project sites. These committees
will report to and be represented in the Lake Tanganyika Catchment Committee.
Stakeholder representatives through project implementation workshops will review the
KPIs annually. The outputs of these workshops will serve as a basis for monitoring and
evaluating project impact.
The Project will be subject to the evaluation and review mechanisms of the UNDP such
as the Project Performance and Evaluation Review, Tri-Partite Review and External
Evaluation and Final Report prior to termination of the Project.
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Financing
Project Finances
The total GEF grant requested is US$ 2,440,000. The direct baseline activities described
above are estimated as $1.5 US million over the 4 year life of the project (see Annex 1a
for details).
The project cost estimates and timing of disbursements are given in Table 2 below.
Zambia's estimated contribution of 650,000$ to the project is given in Table 3. In
deriving project cost estimates, the necessary requirements for each activity were
considered and the project overheads factored in such as the cost of equipment, motor
vehicles, insurance, reviews/evaluations, as well as expenditure for operational funds, and
the proposed revolving fund. A 2% cross cutting issues allocation has been set aside to
cater for such issues as gender mainstreaming, advocacy for HIV/AIDS and a facility for
supporting a limited number of special initiatives which, when conducted, would add
value to the attainment of the project's immediate objective.
Table 6: Project Cost Estimates by Output9
Amount (US$) Required by output and year
Output Year
1
Year 2
Year 3
Year 4
Year 5
Total
1. Sustainable
resource use
379,000 206,000 194,000 140,000 117,000 1,036,000
practices
2. Sustainable
226,000*
83,000 52,000 42,000 24,000 427,000
alternative IGA
developed
* Includes a $200,000 grant for an income generation activity revolving fund
3. Awareness of
stakeholders
72,000 18,000
18,000 18,000 0
126,000
raised.
4. Capacity of local
99,000§ 53,000§
66,000§ 66,000§
67,000§
351,000
governance
structures
§ Includes an annual 2% `cross cutting issues' allocation
5. Project efficiently
and effectively
110,000 90,000 100,000 80,000 120,000 500,000
managed, M&E
TOTALS 886,000
450,000
430,000
346,000
328,000
2,440,000
9 These estimates are based on incremental contributions from GEF and a baseline contribution from the Government
of Zambia. An assumption is that additional resources will be made available from the ADB to extend project activities.
82
Zambia Project Brief: Alternative Course of Action
Table 7: Co-financing Government of Zambia's contribution *
ITEM
DESCRIPTION
ESTIMATE
US $
Human resources: ministry, district and
1. Services and staff
local government, at 150,000$ per annum
support
(central, local government). Less in year
570,000
1 due to start-up
Office rentals/utility service 20,000$ per
2. Office / Miscellaneous
80,000
annum
TOTAL 650,000
.* This is in kind support, broken down into two categories per year.
Institutional Coordination and Support
Core commitments and linkages. Project linkages with
national/regional/global sector programs: UNDP Zambia is starting
the implementation of a major GEF initiative looking at the
sustainability of wildlife Protected Areas at system level. (This will
include the National Parks near Lake Tanganyika). There will be
much complementarity between projects, with considerable scope for
lessons learned and sharing experiences.
Whilst the north-west districts have not attracted much donor intervention in the past
years, there is considerable scope for this project to learn lessons from NRM projects
elsewhere in the country. This includes projects looking at participatory forest
management, and improved agricultural practice and land-use planning. The ICRADF
connection will link into the agricultural research process in Zambia.
Consultation, coordination and collaboration between Implementing
Agencies (IAs)
UNDP in Zambia has programmes (and expertise, knowledge and lessons learned) in the
broad fields of decentralised governance, empowerment and poverty alleviation. UNDP
promotes democratisation and local level civil society capacity building. All of these
have relevance to the on-ground project interventions. UNDP through its role in the
UNDAF will also build linkages to other programmes including through the World Bank.
Of especial interest here are the agricultural support activities.
Coordination and Collaboration
The programme implementation process will be co-ordinated by the Programme
Implementation Unit (PIU) that will be based at the Ministry of Agriculture in the
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Zambia Project Brief: Alternative Course of Action
Department of Fisheries in Mpulungu. The PIU will comprise of: a Project Manager;
three Technical Officers - one from each of the MTENR, MEWD and MACO; an
accountant/procurement officer; secretary; office orderly and a driver. The Project
Manager will be the head of the PIU and will be responsible for the day-to-day running of
the PIU as well as co-ordinating participating sectors' inputs with the assistance of the
technical officers. The PIU will be linked to the National Biodiversity Committee
through the local level project coordination committee, the Lake Tanganyika Catchments
Conservation Committee. A memorandum of understanding is proposed between the
MTENR and MACO to guide the reporting and roles of each ministry in relation to the
PIU. The MTENR will have overall responsibility for monitoring project progress.
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Zambia Project Brief: Annex 1
Annex 1: Project Outcome, Output and Activity Matrix
Development objective:
The protection and conservation of the biological diversity and the sustainable
use of the natural resources of Lake Tanganyika
Outcome:
Stakeholders in the Lake's catchment manage and sustainably utilize agricultural and forest
resources to reduce sedimentation and conserve biodiversity
Out put 1
Output 2
Output 3
Output 4
Output 5
Sustaina ble natu
ral
Altern
ative income generating
Awareness of
Capacity of local
Project efficiently and
resource use practices
activities (IGAs) developed
stakeholders on the
governance structures
effectively managed,
established
monitored and evaluated
importance of
for sustainable natural
sustainable natural
resource management
resource management
enhanced
raised
1.1 Demonstrations on
2.1 IGA start-up revolving fund established
3.1 Awareness programmes
4.1 Capacity of local NRM
5.1 Recruitment of project staff
mitigation measures for land
2.2Value-adding processing supported
for co-management of
institutions strengthened
5.2 Management information
degradation established
2.3Community-based commercial
natural resources
4.2 By -laws and enforcement
systems (MIS) developed
1.2 Demonstration on
woodlots established
3.2 Leadership training for
mechanisms developed
& implemented
sustainable low input
2.4Beekeeping promoted and product
community leaders
4.3 Advocacy for political
5.3 Baseline survey conducted
agriculture established
development supported
undertaken
support of community-based
5.4 Preparation & implementation
1.3 Sustainable forest
2.5NTFP processing and trading developed
3.3 Community environmental
natural resource management
of annual work plans and
management systems
and expanded
management and awareness
undertaken
budgets (AWPB) carried out
developed and adopted
2.6Small-scale irrigation supported and
levels raised
5.5 Mid-term review and end of
1.4 Water quality monitoring
improved
project evaluation planned and
and reporting established
2.7Capacity of communities in business
conducted
management strengthened
85
Zambia Project Brief: Annex 1
Annex 2: Project Logical Framework Matrix
Narrative Summary
Indicators
Means of verification
Assumptions
Immediate Objective:
Significant improvement s in biodiversity (land and
Project & Post-project evaluation The policy environment supporting
water) indices within and offshore selected catchments
reports.
community involvement in NRM
The protection and conservation of the
(as measured by project supported Lake Management
Reports from continued M & E
continues to be favourable.
biological diversity and the sustainable use
processes using TBDA / SAP baseline).
processes for the Lake
The M and E process (see Regional
Annual reports of line Ministries
Proposal) is implemented.
of the natural resources of Lake Tanganyika
Security in the Region allows trans
boundary cooperation
Outcome:
% of target communities and line ministry staff using
Project evaluation reports
Stakeholders in the Lake's catchment
the CBNRM approach for conservation of biodiversity
DDCC reports
manage and sustainably utilize agricultural
increases by 70$ from year 1 baseline.
Community minutes and records
and forest resources to reduce
30 % increase in household income arising from non-
on implementation of CBNRM
fishing sources for households engaging in enterprises.
Impact assessment studies
sedimentation and conserve biodiversity
30 % improvement in sedimentation rates in target
catchments
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Zambia Project Brief: Annex 1
Narrative Summary
Indicators
Means of verification
Assumptions
Output 1: Sustainable natural resource use practices established
1.1 Demonstrations on mitigation
measures for land degradation
50% of HH practicing improved land use practices
That the current enthusiasm
established
demonstrated in the project target areas.
Project and community reports.
by communities for
40% of households practicing low input sustainable
participation in CBNRM
1.2 Demonstrations on sustainable low
agricultural techniques.
Annual reports of line Ministries
continues.
input agriculture established
PFM type of forest management regimes developed
(Tourism, Environment and Natural
and utilized in target forests.
Resources, Agriculture and
The policy environment can
30 % improvement in water quality measures in
Cooperatives, Energy and Water
allow meaningful CBNRM.
1.3 Sustainable forest management
targeted demonstration sites.
resources).
systems developed and adopted
The number of HH in non project sites emulating
That all partners continue to
the practices in project sites starts to increase in
Impact Assessment reports.
meet their commitments to
final year.
the project.
1.4 Water quality monitoring and
reporting established
Output 2: Alternative income generating activities (IGAs) developed
2.1 IGA start-up revolving fund
30 percentage change in household income arising
Project and community reports and
That there is enough
established
from alternative IGAs.
records
entrepreneurial social capital
in existence
2.2 Value adding processing
Number of the HH in the target sites involved in
Records of sales from entrepreneurs
supported
alternative income generating activities.
That markets can be found
that will sustain commercial
2.3 Community-based
commercial
Number of households/or population benefiting
exploitation of resources
woodlots established
from alternative income generating activities
Availability of infrastructure
2.4 Bee-keeping promoted and
to support marketing
product development supported
2.5 NTFP processing and trading
developed and expanded
87
Zambia Project Brief: Annex 1
Narrative Summary
Indicators
Means of verification
Assumptions
2.6 Small scale irrigation supported
and improved
2.7 Capacity of communities in
business management
strengthened
Output 3: Awareness of stakeholders on the importance of sustainable natural resource management raised
3.1 Awareness programmes for co-
The current supportive
management of natural resources
political climate for local
enhanced
Number of local level programmes for natural
level governance continues
resource co-management established and
Project records
That enough social capital
3.2 Leadership training for
functional.
Annual reports of line Ministries
exists to build local level
community leaders undertaken
Number of local leaders trained
(Tourism, Environment and Natural
governance structures on
Number of environmental management awareness
Resources, Agriculture and
That the current mainstream
3.3 Community environmental
materials and dissemination mechanisms
Cooperatives, Energy and Water
policy can accommodate
management and awareness levels
developed.
resources)
local level governance
raised
Number of stakeholders reached by the
Council Resolutions
structures
environmental management campaigns
Traditional leaders accept
CBNRM
Output 4: Capacity of local governance structures for sustainable natural resource management enhanced
4.1 Capacity of local NRM institutions
strengthened
Number of functional Community Conservation
Availability of non project
Committees.
Project records
related means of
4.2 By-laws and their enforcement
Number of By-laws enacted on CBNRM as a result DDCC reports
communication
mechanisms developed
of community lobbying
Minutes of Committee meeting
Critical mass of literacy
Number of political leaders supporting enactment
Council Minutes
4.3 Advocacy for political support of
levels available
of by-laws for catchments conservation.
community-based natural
88
Zambia Project Brief: Annex 1
Narrative Summary
Indicators
Means of verification
Assumptions
resource management undertaken
Output 5: Project efficiently and effectively managed, monitored and evaluated
5.1 Recruitment of Project staff
Appropriate of Project staff in place by Project year
Key information requirements and reporting
5.2 Management Information System
formats developed for the project.
(MIS) developed and implemented
Appropriate Project baseline and benchmark
outputs developed for monitoring project's planned
Project records
All partners meet their
5.3 Baseline survey conducted
results
Copies of Reporting formats
commitments to the project
Appropriate number of project plans and reports
Baseline Survey Reports
Timely disbursement of
5.4 Preparation and implementation of
available in a timely manner at different
Mid- term Review Report
funds from the donor for
Annual Work plans and Budgets
management levels Number of useful lessons
Impact Assessment Report
project implementation
(AWPB) carried out
learnt, disseminated and corrective measures taken
Copies of AWPB
activities
Number of milestones achieved at mid term of the
5.5 Mid-term review and end of project
project
evaluation planned and conducted
Number of milestones achieved by year 5 of the
project
89
ANNEX 6
The Lake Tanganyika Integrated
Management
Project
Democratic Republic of Congo Component
August 2004
SUMMARY
The DRC Interventions follow the SAP process, with two priorities earmarked for
immediate funding. These are the problem of Over-Fishing supported by AfDB / FAO
co-finance; and the problem of sediment load from poor catchment management. This
latter problem is funded by GEF.
The intervention site, for testing innovative process and methodology is the Uvira
Catchment, rising from behind the town of Uvira on steep badly deforested mountainous
terrain. Sediment from the catchment impacts on lake bed rocky substrates and so reduces
fish biodiversity and productivity. Catchment erosion impacts on the town and on
people's livelihoods.
This project proposes a suite of interventions, including capacity building for
communities and civil society as well as government agencies both long impacted by
civil war. Catchment management is to be treated broadly with cross-sectoral inputs
through forestry, land, water and agriculture sectors with an emphasis on tenure and
decentralised governance. Training and best practice demonstration will be provided by
ICRAF, through a regional contract
The Hydro-biology Research Station at Uvira has some baseline data which will be used
to start a monitoring programme. Given recent civil disturbance the full baseline
assessment is yet to be completed, and detailed implementation arrangements are to be
decided during the Inception Process when on-ground teams can ascertain capacity.
Advantage will be taken of UNDP's new Bukavu Office and the presence of WWF
catchment and forest conservation interventions in the adjacent Kahuzi-Mbega hills to
develop a broad-based coalition of interventions using NGOs and civil society and
Government.
Democratic Republic of Congo Project Brief: Contents
TABLE OF CONTENTS
1
Project Background / Context 2
1.1
Country Ownership .................................................................................... 2
1.2
Environmental Context .............................................................................. 2
1.3
Socio-economic, Institutional and Policy Context .................................. 2
2
Baseline Situation: Threats, Root Causes and Activity
3
2.1
Threats......................................................................................................... 3
2.2
Root causes ................................................................................................ 4
2.3
On-going Baseline Activities..................................................................... 4
2.4
Conclusion .................................................................................................. 4
3
Alternative Course of Action 4
3.1
Introduction................................................................................................. 4
3.2
Objective ..................................................................................................... 5
3.3
Outputs........................................................................................................ 6
3.4
Project sites .............................................................................................. 11
3.5
Global Environmental Benefits ............................................................... 11
3.6
Sustainability ............................................................................................ 11
3.7
Replicability .............................................................................................. 12
3.8
Stakeholder Involvement ......................................................................... 12
3.9
Lessons from Similar Projects................................................................ 13
3.10 Monitoring and Evaluation ...................................................................... 14
3.11 Financing................................................................................................... 14
3.12 Institutional Coordination and Support.................................................. 15
Annex 1: Project output Diagram
18
Annex 2: Project Logical Framework Matrix 19
LIST OF TABLES
Table 1: Project outputs........................................................................................................... 6
Table 2: Project outputs........................................................................................................... 6
Table 3: Co-financing Government of DRC's contribution.................................................. 15
List of Acronyms (see Regional Component)
1
Democratic Republic of Congo Project Brief: Alternative Course of Action
Project Background / Context
Country Ownership
Eligibility
The Democratic Republic of Congo (DRC) ratified the Convention on Biological Diversity
(CBD) in 1994 and is eligible for technical assistance from UNDP/GEF. The DRC ratified the
Ramsar Convention on Wetlands in 1991.
Country Driveness
Agreement, ratification and implementation of global conventions
The DRC developed national environmental policies and strategies towards protecting
biological diversity realised through the National Environmental Action Programme, the
National Environmental Strategy, the National Biological Diversity Strategy, and the
Environmental Code. These strategies form the basis of the DRC's programme to address the
substantial challenges that exist in achieving the sustainable management of its very large
natural resource base and in fulfilling its commitment to the CBD, the Ramsar Convention
and other international environmental agreements.
Regional intergovernmental conventions
The main recommendations from regional meetings deal with the conservation of biodiversity in Lake
Tanganyika and its environment through control of the sedimentation, habitat degradation, pollution and
excessive fishing. These recommendations are highlighted in the process of development of the Strategic
Action Programme (SAP) and Transboundary Diagnosis Analysis (TDA).
Endorsement
The project has been endorsed by the GEF Operational Focal Point. See Exec Summary and
Annex 8.
Environmental Context
Lake Tanganyika contains the greatest biodiversity of any lake in the world, with more than
2,000 species of fish, invertebrates and plants recorded in the lake basin, of which over 500
are endemic. More detailed information about the richness of Lake Tanganyika in terms of
biodiversity and other values is given to the Strategic Action Program document and in the
Regional Component of this Project Brief.
Socio-economic, Institutional and Policy Context
Socio-economic Context
Lake Tanganyika has substantial and on-going livelihood value to lakeshore communities.
The lake is a source of fish for consumption and sale, it provides key transport and
communication links and is a source of water for industrial and agricultural development as
well as for domestic use. Several million people live in the Lake Tanganyika basin. Socio-
economic development has been much disrupted due to a legacy of prolonged and tragic
ethnic conflict in the Democratic Republic of Congo (DRC). The main socio-economic
constraint to ecosystem integrity and human well being in the Tanganyika basin, continued
conflict not withstanding, is poverty. The main causes of poverty in the basin include:
· Limited choice of livelihood options and over-dependence on: agriculture and fishing
2
Democratic Republic of Congo Project Brief: Alternative Course of Action
· Inadequate access to land and capital, and limited access to credit by the poor
· Shortage of skills for productive enterprise
· Diminished levels of security, law and order over the wider north-eastern DRC
· Destruction of natural resources, degradation and reduced productivity of the resource
base
· Lack of participation by the poor in the design of development programmes
Institutional and Policy Context
The national working group has identified national problems threatening biodiversity in Lake
Tanganyika and its environment. During workshops on National Diagnostic Analysis (NDA)
and Transboundary Diagnostic Analysis (TDA) and Strategic Action Programme (SAP),
national and transboundary priorities were identified. The priories were synthesised in the
SAP in the form of interventions both at the national level and regional level.
Baseline Situation: Threats, Root Causes and Activity
Threats
The biodiversity of Lake Tanganyika faces major threats. With regard to the DRC area of the
Lake, over-fishing and environmentally damaging fishing methodologies, high rates of
sedimentation into the Lake and its inflowing rivers, and growing pollution concerns from
Uvira and other lakeside settlements and industry have been documented in detail in the Trans
Boundary Diagnostic Analysis (TBDA). Over-fishing and pollution threats to the lake are
addressed in other components of the overall programme.
Uvira and its environs are a rural lakeside and urban zone with a growing human population.
In 1996, Uvira's population was estimated at 469,789 inhabitants with an average density of
149 inhabitants per km2. In the past year, this population has doubled. The hillsides around
the Uvira are very steep, and with increasing human population densities, they have become
heavily deforested with very high rates of soil erosion and gulley formation.
These gulleys have led to major flash-flood river channels which carve their way through
Uvira township disrupting communications, housing and electricity and water infrastructure.
Photographic and other analyses indicate that the sedimentation rate has increased
substantially in recent years. Preliminary results show that biodiversity levels are lower in the
sedimentation-affected sites on rocky strata for all faunal groups. In addition, trophic analyses
suggest that some fish types (non-selective algae browsers) are likely to have been eliminated
due to water turbidity and silting, and both effects are accompanied with habitat/niche
reduction.
With the disappearance of forests, rural women spend 4-7 hours a day collecting firewood,
often far from their homes. In the DRC fuelwood is the most affordable and available energy
source for rural communities, as other sources of energy, particularly electricity and natural
gas, are unaffordable and frequently unavailable for the majority of the population. In urban
centres, firewood and charcoal consumption is constantly increasing. High dependence on
charcoal leads to higher rates of deforestation as the local technologies used to convert wood
biomass to carbon are very inefficient.
3
Democratic Republic of Congo Project Brief: Alternative Course of Action
Root causes
The threats over fishing, environmentally damaging fishing methodologies, high rates of
sedimentation into the Lake and its inflowing rivers, and growing pollution concerns
impacting on Lake Tanganyika are the product of a complex and inter-acting range of issues.
In the DRC, these issues have been particularly over-ridden by protracted human conflict,
insecurity and a break-down in normal government. The ongoing civil war has had major
adverse impacts on people, their livelihoods and the ability to sustainably manage their
natural resources. The protracted lack of physical security combined with widespread poverty
in the communities living around the lake has heavily framed people's fishery and land (forest
and soil) resource use rationales. Thus people have sought to maximise short-term benefits to
the detriment of the natural resource-base as a survival strategy.
On-going Baseline Activities
Conservation, land-use, agriculture and livelihoods activity
There have been a number of on-going baseline interventions in Uvira and the wider area,
including the Rusizi floodplain, relevant to this project proposal. An NGO - CADIC (Action
for Integrated Sustainable Development in Communities) has piloted a fuel stove initiative in
Uvira. CEPAC (Community of Protestant Churches in Central Africa) has worked with
communities to vegetate the adjacent Rusizi floodplain. However, on-going baseline activities
have been constrained by long-term insecurity in the north-eastern DRC, and thus there is a
heightened need to provide support to national institutions and communities in developing
successful demonstrative interventions to reduce deforestation and its impact on the Lake.
Conclusion
The Uvira region has, in many places, become heavily deforested, and compounded by its
steep topography, subject to high rates of soil erosion and sedimentation into Lake
Tanganyika. To date, although some interventions have been targeted at reducing soil erosion
rates through afforestation activities and lowering the pressure from a growing urban and peri-
urban human population through the provision of fuel stoves, these interventions have been
insufficient. Therefore, unless an alternative course of action is embarked upon, deforestation
will continue, and the steep slopes of the lake shores will continuously be subject to
accelerated erosion, hence threatening the survival of the biodiversity in Lake Tanganyika,
particularly along the littoral zone.
Alternative Course of Action
Introduction
The Alternative Course of Action is to develop interventions to fill the gaps from the baseline
scenario, so as to seek sustainable global and national benefits from rational use and
management of the Lake Tanganyika resources. The DRC national planning team, in relation
to the environmental threat analysis, prioritised sedimentation control as the priority project
objective in order to conserve the littoral biodiversity of Lake Tanganyika.
Working together with local communities and other local institutions, the intervention will
aim to expedite measures to control deforestation of sensitive areas within the immediate lake
catchment of Uvira, promote woodlots and agroforestry as part of an afforestation initiative,
facilitate the availability and up-take of improved stoves, and work with stakeholders to
4
Democratic Republic of Congo Project Brief: Alternative Course of Action
develop improved techniques to make charcoal. The main project demonstration components
will be the promotion of community and private woodlots, and the introduction of improved
bio-fuel technologies and alternative energy development.
The expected impacts of GEF support
The DRC is committed to fulfilling its international and regional commitments to biodiversity
conservation and the sustainable management of the DRC part of the Lake Tanganyika basin.
GEF co-financing would enable DRC to make significant and sustainable improvements to
the current baseline of high rates of deforestation and sedimentation into the Lake. The key
impact resulting from GEF support of the project will be:
Tangible, growing and sustained reductions in sedimentation rates at project
demonstration sites that lead to improving habitats and biodiversity levels due to:
Increased capacity of local communities through collective and private action to
produce, establish and incorporate into their farming systems appropriate agro-forestry
combinations as a key part of afforesting degraded riverine and other areas.
Farmers within Uvira and its surrounding areas adopt sustainable and restorative
forestry and woodlot practices, a process which is replicable throughout the DRC
portion of the Lake Tanganyika basin.
Heightened awareness of the general public and, in particular, key resource user
groups, about the impacts and implications of high rates of deforestation and soil
erosion on both the lacustrine and terrestrial environments.
Increasing efficiency of bio-fuel (forest-based) energy production both in terms of
producing processed bio-fuels (charcoal production) and also in their use by people
through increasing the availability, popularity and uptake of appropriate technologies
(e.g. fuel efficient stoves)
Within the national framework, and as appropriate, building on parallel experiences,
the development of multi-sectoral institutions, linkages and relationships between
community, regional and national levels that successfully support participatory forms
of natural resource management. The lessons learnt and precedents set will enable
other similar initiatives in the Lake Tanganyika basin to be started with potential for
replication on a wider national scale.
Objective and Outcomes
The Project's Immediate Objective is embedded within the Strategic Action Plan (SAP):
`The protection and conservation of the biological diversity and the sustainable use
of the natural resources of Lake Tanganyika'
The project's Outcome in DRC is as follows:
`Stakeholders in the Lake's catchment manage and sustainably utilize agricultural
and forest resources to reduce sedimentation and conserve biodiversity'
5
Democratic Republic of Congo Project Brief: Alternative Course of Action
Outputs
To attain the immediate objective and hence contribute to the fulfilment of the development
objective, the stakeholders of this project have selected eight tangible, specific outputs:
Sub-Outcome 1: Government and community natural resource management institutions
strengthened with capacity to improve catchment status and reduce
sediment load.
Project outputs
Output 1: Government and community natural resource institutions reviewed
and strengthened for achieving integrated catchment basin
management
Output 2: The hydrology of priority high sediment load rivers investigated and
river sediment reduction management plans developed and
implemented with stakeholders
Sub-Outcome 2: The natural resource base in and around Uvira sustainably managed
through improved land-use practices with reduced soil loss and sediment
loads
Project outputs
Output 3: Appropriate agroforestry practices and soil management needs
assessed with stakeholders in priority areas and popularly piloted in
local farming systems
Output 4: The capacity of government and communities to establish and
successfully manage tree nurseries sustainably producing appropriate
forestry and agroforestry species strengthened
Output 5: Old managed forest areas rehabilitated and new community and
private woodlots appropriately established and sustainably managed
regenerating appropriate forest cover
Output 6: Appropriate energy-saving technologies assessed with stakeholders,
advocated, piloted and widely adopted by targeted resource user
groups
Output 7: Awareness of communities raised about soil erosion, deforestation
and agroforestry management issues in relation to local livelihoods
and the conservation of Lake Tanganyika.
Output 8: Project lessons and developments disseminated and replicated in
priority outlying areas
6
Democratic Republic of Congo Project Brief: Alternative Course of Action
Output 9: Project efficiently and effectively managed, monitored and evaluated
Output 1: Government and community natural resource institutions
strengthened for achieving integrated catchment basin
management.
In order to achieve long-term and sustainable project interventions, government and
community natural resource management capacity needs to be strengthened. For government
this may entail ensuring that environmental service and community extension agents are
appropriately trained, enabled and resourced. For communities, especially within the context
of recent and prolonged insecurity in the DRC, their organisation and resource management
institutions are likely to need reviewing and substantial strengthening and support.
Additionally, in order for government extension services to be fully effective and for
communities to popularly participate in integrated catchment management, linkage
institutions between government (e.g. The Department of the Environment), communities and
NGOs need to be in place. In similar circumstances elsewhere, these linkage institutions have
proven to be indispensable for achieving sufficient levels of communication, coordination and
understanding between government, local communities and NGOs.
Sub-outputs/ Activities
1.1 Government environmental services and natural resource community extension
capabilities reviewed and project training needs assessed, planned and provided
1.2 Community natural resource management institutions reviewed with community
members and appropriately strengthened through the provision of training,
governance and technical support
1.3 Government community natural resource management NGO liaison and co-
ordination institutions developed and strengthened
Output 2: The hydrology of priority high sediment-load rivers
investigated and river sediment reduction management plans
developed and implemented with stakeholders
The rationale for developing simple sediment reduction management plans for specific rivers
is to ensure that the interventions made within each river system are well coordinated and as
appropriate as possible, given the circumstances, for achieving a reduction in sediment load. It
is very important that the hydrological regimes of key rivers are better understood despite
their highly complex nature. For example, it is known that attempts at river-bank stabilisation
lower in a river-catchment may be entirely ineffective interventions on their own, when well
formulated interventions elsewhere in the system may more effectively return a river to a
previous equivalent hydrological regime.
Sub-outputs/Activities
2.1 Priority high sediment-load rivers identified and their hydrological regimes
investigated and monitored in an on-going programme
2.2 Simple river sediment reduction management plans for each river developed on
the basis of the current knowledge available and from initial hydrological
investigations
2.3 River sediment reduction management plans implemented with appropriate
stakeholders
7
Democratic Republic of Congo Project Brief: Alternative Course of Action
Output 3: Appropriate agroforestry practices and soil management needs
assessed
with stakeholders in priority areas and popularly piloted in local farming systems
Agroforestry and soil management systems can be developed as an effective intervention to
combat deforestation, restore degraded areas, control soil erosion and improve the
sustainability and quality of local livelihoods. Before promoting agroforestry practices and
soil management systems, previous traditional agroforestry soil management systems will be
investigated as appropriate so as to develop a basis for promoting new improved agroforestry
systems with the support of institutions such as ICRAF. Demonstration agroforestry and soil
management plots will be established in local farming systems at priority sites in partnership
with farmers, as a precursor to their wider adoption by farmers.
Sub-outputs/Activities
3.1 Traditional and potential agroforestry systems in the Uvira region including
indigenous and exotic agro-forestry tree and crop combinations reviewed and
documented with communities
3.2 Traditional and potential soil management systems in the Uvira region reviewed
and documented with communities
3.3 Improved traditional and newly selected agroforestry and soil management
combinations piloted in local demonstration farming systems with participant farmers
3.4 An agroforestry and soil management skill and support training programme
developed and implemented with partner government institutions, farmers and NGOs.
3.5 Agroforestry seedling requirements coordinated with government, community
and private tree nurseries
Output 4: The capacity of government and communities to establish and
successfully
manage tree nurseries sustainably producing appropriate forestry and agroforestry
species strengthened
Tree nurseries will be established to provide indigenous and exotic forestry, woodlot and
agroforestry tree seedlings. Initially the project will rely on central tree nurseries for seedling
production, but as communities and NGOs are empowered, smaller localised nurseries will be
begun on a wider scale. The project will ensure close coordination between forestry and agro-
forestry outputs and the ability of nurseries to supply appropriate seedlings. The sustainability
of tree nurseries will be reviewed during the project so as ensure that they become
appropriately independent and financially sustainable.
Sub-outputs / Activities
4.1 Central tree nurseries established and successfully managed to supply in
sufficient quantity and quality appropriate species of seedling for government and
community afforestation and agroforestry initiatives
4.2 Government, community and NGO agents trained in tree nursery husbandry and
management including strategies to achieve financial sustainability
4.3 Secondary tree nurseries in out-lying coastal villages initiated and sustainably
managed through working with village institutions and individuals as appropriate
4.4 - Extension programme developed to ensure sufficient supply, appropriate
utilisation and optimal survival of transplanted seedlings
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Output 5: Old managed forest areas rehabilitated and new community
and private
woodlots established and sustainably managed regenerating appropriate forest cover
In coordination with the river sediment reduction management plans, priority old managed
forest areas will be rehabilitated and their management improved. In addition, community and
private woodlots will be promoted and established within appropriate tenure systems. The
development of public, community and private woodlots will not only help stabilise degraded
areas, but also begin to provide sustainable wood products for local communities. Key to the
success of woodlot expansion will be providing appropriate support and technical expertise to
communities and private woodlot owners so as to ensure that they are sustainably managed,
harvested and replanted in the years to come.
Sub-outputs/ Activities
5.1 In coordination with the river sediment reduction management plans, high-
erosion sites identified, mapped and prioritised for intervention with communities
5.2 Tenure status of erosion sites investigated and appropriate community woodlot
management plans developed
5.3 Community and private woodlots of appropriate species established and
managed by communities and private individuals using seedlings supplied from
government and community nurseries
5.4 - Old existing woodlots rehabilitated through replanting, restoring degraded
areas and improving their management
5.5 In coordination with the river sediment reduction management plans, priority
public river margins in Uvira town reforested and protected
Output 6: Appropriate energy-saving technologies assessed with
stakeholders,
advocated, piloted and widely adopted by targeted resource user groups
As part of an integrated strategy to reduce forestation, rehabilitate degraded areas and control
soil erosion, alternative fuel-efficient technologies will be demonstrated, piloted and then
widely disseminated. The fuel-efficient technologies will focus on charcoal processing and
domestic energy use for cooking, as these are the largest sinks for deforestation. As has been
the experience in similar initiatives elsewhere to promote fuel-efficient technologies, selecting
the right technology which is socio-economically and culturally appropriate, is key. In
addition, facilitating the widespread up-take of fuel-efficient technologies is often more
complex than might be expected. In this regard, demonstration of the fuel-efficient
technologies to women groups or associations, as well as seeking their opinions, preferences
and advice will be crucial since failure to engender their full and enthusiastic support will lead
to the failure of this output.
Sub-outputs/ activities
6.1 Current wood fuel attitudes, uses/practices and energy saving needs of targeted
resource user groups established
6.2 Staff from government institutions and NGOs trained in the construction and
demonstration of selected fuel-efficient technologies
6.3 - A training extension centre and demonstration facility for alternative fuel-
efficient technologies targeting women groups and associations established
6.4 A selection of alternative fuel-efficient technologies assessed and piloted by
target resource user groups (e.g. domestic firewood users and charcoal makers) at
local demonstration sites
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Democratic Republic of Congo Project Brief: Alternative Course of Action
6.5 Adoption of appropriate and popular fuel-efficient technologies scaled-up to
supply households and resource-user groups through out the Uvira and Rusizi areas
6.6. A basket fund for initial funding of fuel-efficient technologies established
Output 7: Awareness of communities raised about soil erosion,
deforestation and agroforestry
management issues in relation to local livelihoods and the conservation of Lake
Tanganyika
Local community awareness raising about the impacts of agricultural practices and
unsustainable forest use on the environment can help to facilitate their acceptance of new or
modified resource management practices and to more readily join together in collective action
efforts. Community members will be given the opportunity to participate in seminars
facilitated by ICRAF, as a means to achieve awareness raising, in turn usefully
complementing and supporting the preceding outputs.
Sub-outputs/ Activities
7.1. Community workshops held with organised groups (women, youth, fishermen and
farmers) including field visits and multi-media presentations on the socio-ecological
impacts of deforestation and soil erosion on livelihoods and on the biodiversity of
Lake Tanganyika
7.2. Radio debates held regularly on deforestation and its
consequences on the Lake's environment involving the participation of communities
and key resource users.
Output 8: Project lessons and developments disseminated for replication
in priority areas
The lessons learnt from developing and implementing the project both in terms of
government and community institutional strengthening as well as innovations in sustainable
land-use will be disseminated and replicated in priority areas outwith the immediate Uvira
area. The benefits from doing so are likely to be significant, depending on the success of the
project's progress, and substantial potential exists for successful replication, after the mid-
term review has been carried out.
Sub-outputs/ Activities
8.1. Key project lessons distilled and new priority project areas identified with stakeholders
8.2 Project developments disseminated and replicated as appropriate in new project areas
Output 9: Project efficiently and effectively managed, monitored and
evaluated
The project will need to develop an effective and efficient Management Information System
(MIS) that will be a key administrative tool for the project's implementation. The MIS will
require the timely acquisition, analysis and dissemination of relevant information to the
project's staff and stakeholders. It will therefore be important that the Project Implementation
Unit (PIU), in collaboration with key stakeholders, agrees and develops an effective and
appropriate MIS. The MIS will comprise a Planning and a Monitoring & Evaluation
component. The project's log frame with its in-built targets will provide benchmarks against
which actual performance will be monitored and evaluated. The findings of the M&E process
will in turn be fed back and used to review and possibly modify the original log frame.
Sub-outputs / Activities
9.1 Project staff recruited
9.2 Management Information System (MIS) developed and implemented
9.3 Sire specific baseline survey conducted
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Democratic Republic of Congo Project Brief: Alternative Course of Action
9.4 - Preparation and implementation of Annual Work plans and Budgets (AWPB)
carried out
9.5- Mid-term review and end of project evaluation planned and conducted
Project sites
The project site is located in the Uvira Catchments to the west of Uvira City, South Kivu
Province in Uvira Region. This is to the south of the Rusizi floodplain. Detailed selection of
intervention demonstration sites will be chosen during the initial stages of the implementation
of the project on the basis of identifying high priority soil erosion and deforestation sites, and
approved within the Inception Report. The process of selecting project sites will also be
contingent on community participation and their acceptance of the project's planned
interventions.
Global Environmental Benefits
Conserving Lake Tanganyika and its basin will lead to substantial global environmental
benefits. With more than 2,000 species of plants and animals, Lake Tanganyika is among the
richest freshwater ecosystems in the world. Together with the other African great lakes of
Malawi and Victoria, Lake Tanganyika is famous for its endemic and highly diversified
flocks of cichlid species. However, what distinguishes Lake Tanganyika from the other
African great lakes is its comparatively far greater biodiversity that includes flocks of non-
cichlid fish as well as invertebrate organisms such as gastropods, bivalves, ostracodes,
decapods, copepods, leeches and sponges. The level of biodiversity that has thus far been
recorded for Lake Tanganyika is of particular significance. Much of the Tanganyikan coast
has not been adequately explored and consequently invertebrate species numbers are probably
currently significantly underestimated.
The catchment approach adopted by the Project, necessary to preserve Lake Tanganyika's
aquatic and littoral biodiversity, will lead to further global environmental benefits as the
basin's terrestrial biodiversity is conserved and becomes sustainably managed to reduce Lake
sedimentation levels.
Sustainability
Institutional and Financial Sustainability
The proposed second phase of the Lake Tanganyika Biodiversity Project will fall under the
Lake Tanganyika Regional Integrated Management Program (LTRIMP). The Lake
Tanganyika convention provides a legal framework and an institutional mechanism - in the
form of a regional body, the Lake Tanganyika Authority (LTA) - for the management of the
Lake. However the LTA will only begin operation once the Convention has been ratified and
has begun to be implemented. While waiting for the ratification of the Convention, the four
partner countries have agreed that an Interim Lake Tanganyika Management Authority
(ILTMA) will coordinate the LTRIMP at regional level until the LTA is created. Project
implementation at national level will therefore ultimately fall under the ILTMA through
National Steering Committees (NSCs) and a Regional Steering Committee.
In the DRC situation, the intial emphasis will be ion institutional capacity building and
developing effective partnerships between civil society (CSOs and NGOs) and
government.
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Assumptions and risks potentially impacting on the sustainability of
project outputs
Whilst security in the DRC area of the Great Lakes remains of concern, the specific Uvira site
has been relatively peaceful. The Hydro-Biology Research Centre in Uvira has continued
working throughout the years of conflict, and has helped prepare this component. However,
the largest risk to the satisfactory implementation of the project must still be the level of
insecurity prevailing in the eastern DRC as a whole, especially along the southern Congolese
coast of Lake Tanganyika.
Insecurity risks may adversely impact on the functioning of the project. Insecurity creates an
environment in which communities are less able to participate in the implementation of the
project, and in which the functioning of national (including government) institutions is greatly
reduced.
The reduced level of capacity in both Government and Civil Society means that the project
has to invest in awareness, education/sensitisation and general institutional support and
confidence. The low functioning of political systems leads to reduced levels of political
support. And finally, the lack of alternative income / energy options over the last decade,
apart from overuse of the catchment, means that the project will have to invest in considerable
demonstration to achieve buy-in. The prevailing socio-economic situation does limit both
individual and community options
Against these problems is the fact that people have a great desire for change, there is no recent
history of donor dependence, and the civil society process is growing. There is potential for
sustainability.
Replicability
Key to the replicability of the project will be the experiences gained and lessons learnt in
developing a model, within the DRC context, for institutional capacity strengthening at local
community level and in pioneering new linkages between government institutions and
communities. The model of community and linkage institutions, with appropriate
modifications as may be required, will be replicable along the DRC Lake Tanganyika coast
into Katanga Province. In addition, the experiences and lessons learnt in developing and
implementing integrated catchment based management, pioneering farmer-based agroforestry
and soil management systems, supporting community-based and private woodlot
establishment as well as facilitating the uptake of new fuel-efficient technologies will enable
the replication of the project's outputs elsewhere along the western Lake shore.
Stakeholder Involvement
Stakeholder involvement in project proposal development
During project development of the project proposal consultations were initiated at all levels
with a range of partners and other institutions directly or indirectly linked with project
activities. In the first instance, two national planning teams were trained and grouped within
the overall National Planning Team. The National Planning Team is comprised of delegates
and technicians from several relevant ministries (Ministry of Land Affairs, Environment,
Conservation of the Nature and Tourism; Ministry of Planning and National Reconstruction;
Ministry of Foreign Affairs and International Cooperation; and the Ministry of National
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Education, including the University of Kinshasa; Ministry of Agriculture, Fishing and
Livestock; Ministry of Information; President's Office) through the Official Gazetteer, as well
as a NGO from Kinshasa.
A second team was formed in the eastern Democratic Republic of Congo. The team is
comprised of technicians based in South Kivu Province from different public and private
institutions, including the Higher Rural Development Institute (ISDR), Higher teacher-
Training Institute of Bukavu (ISP), the Congolese Institute for Conservation of Nature
(ICCN), the National Agronomy Research Institute (INERA), the Natural Sciences Research
Centre (CRSN), and the Hydrobiology Research Centre (CRH). Institutions from the private
sector include the following Uvira NGOs: NOPTA (New Orientation of Fishing in Lake
Tanganyika), CADIC (Action for sustainable development integrated in communities),
CEPAC (Community of Protestant Churches in Central Africa), ASEGE (Association for
Environmental management studies) and BECA (Supervisory Office conservation of the
nature and Improvement of Nutrition in Kivu). In addition, during project development, the
riparian communities of Lake Tanganyika as well as the traditional, local and administrative
authorities were consulted several times, and their opinions were taken into account in
developing the project proposal.
In both cases, the radio and press were used as tools for sensitisation, extension and
dissemination of new alternative techniques towards all project stakeholders.
Stakeholder involvement in further project development and
implementation
The approach adopted in implementing future projects will be similar to the approach adopted
in the present project, with some differences due to lessons from the first phase of the Lake
Tanganyika Biodiversity Conservation Project. Communities will play central role in the
attainment of the project's outputs. During the execution of Phase I of the project,
sensitisation and extension played a crucial role in project activity implementation. This
approach was adopted because it calls for change of habits of communities so that they easily
adopt new technologies in replacement of old technologies. Communities living in the zones
and regions included in the project operating range were contacted and consulted, especially
in connection with the potential benefits presented by each intervention. The consultations
resulted into the designing of a participatory management plan, and its finalisation will lead
into the development of the activities planned in this project.
Lessons from Similar Projects
Lessons drawn from similar projects are numerous. These include the following:
· The Lake Tanganyika Research Project (LTR), funded and executed by FAO-
FINNIDA (1992-1997) produced a range of technical reports, as well as the "Lake
Tanganyika Framework Regional Fisheries Management Plan". One of the major
lessons from the project has been the need for a continuous exchange and utilisation of
information and experiences between the four riparian countries.
· A project facilitated by the Action Centre for Integrated and Community Development
(CADIC) developed nurseries in Uvira town and had previously piloted fuel efficient
stoves. However insufficient community participation and sensitisation led to the
under-realisation of the project which eventually halted due to the outbreak of war in
the area.
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Democratic Republic of Congo Project Brief: Alternative Course of Action
· The Community of Protestant Churches in Central Africa (CEPAC) has worked in the
Rusizi floodplain for the last 20 years. Although they have developed a reafforestation
initiative, the programme has been constrained by war and by insufficient buy-in by
communities. This has led to fires being allowed to destroy reforested sites and to
major set-backs in the initiative.
· In Kabare-Bukavu, GTZ (Deutsche Gesellschaft für Technische Zusammenarbeit) has
been successfully carried out and the project will liaise with GTZ as the approach and
methodology that was adopted.
Monitoring and Evaluation
Monitoring and evaluation system
The prevailing system in DRC Kivu Uvira will be assessed at project start-up, and M and
E systems integrated into the implementation arrangements. The UNDP Projects Office and
WWF Projects Office in Bukavu will have important roles in such M and E.
Most of the project activity indicators are expressed in terms of percentage or quantity, i.e. the
percentage of old public woodlots rehabilitated, percentage of hills reforested and established
in community plantations, as well as the percentage of river banks reforested. The activity on
agroforestry techniques and anti-erosion techniques will be measured from the percentage of
farmers adopting the techniques. Similarly, the percentage of people participating in popular
workshops held in order to raise awareness of the prejudicial effects of erosion and the value
of lake protection will be a measurable indicator of project activity.
Financing
Project cost
The development objective `Protection and conservation of the biodiversity and the
sustainable use of the natural resources of Lake Tanganyika' will be realised through a
number of related project components within the four areas as identified in the SAP -fisheries,
sediment reduction, pollution control, forest/woodland conservation and lake monitoring.
Different partners will contribute to the overall development objective as described in the
Executive Summary to this Brief. In the DRC, UNDP/GEF support will focus on catchment
management.
The Baseline and GEF Alternative. The Incremental Cost Analysis is in
Annex 1a to the Executive Summary.
Baseline catchment management expenditure
The total baseline expenditure currently occurring in the Uvira catchment is estimated to be
US$ 100,000 per annum. This is based on an estimate of DRC and Uvira Government's
annual expenditure related to catchment management being some 50,000$, which is mainly in
the form of ongoing support to institutions. A similar sum is assessed for the CSO / NGO for
catchment and natural resource management expenditure. Details are in Annex 1a.
The incremental funding proposed for catchment management will result in substantial
milestone steps towards the conservation of Lake Tanganyika's biodiversity. The increment
will be met by the UNDP/GEF which will make an incremental investment of USD
2,400,000.
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Democratic Republic of Congo Project Brief: Alternative Course of Action
DEMOCRATIC REPUBLIC OF CONGO : Output Financing
Outcome 1: `Government and community natural resource management
350,000
institutions strengthened'
Output 1: Government and community natural resource institutions
reviewed and strengthened for achieving integrated catchment
250,000
basin management
Output 2: The hydrology of priority high sediment load rivers investigated
and river sediment reduction management plans developed and
100,000
implemented
Outcome 2: `The natural resource base in and around Uvira are sustainably 2,050,000
managed through improved land-use practices'
Output 3: Appropriate agroforestry practices and soil management needs
500,000
assessed with stakeholders in priority areas and piloted
Output 4: The capacity of government and communities to establish and
successfully manage catchment projects with appropriate forestry
300,000
and agroforestry species is strengthened
Output 5: Old managed forest areas rehabilitated and new community and
private woodlots appropriately established and sustainably
250,000
managed regenerating appropriate forest cover
Output 6: Appropriate energy-saving technologies assessed with
stakeholders, advocated, piloted and widely adopted by targeted
150,000
resource user groups
Output 7: Awareness of communities about soil erosion, deforestation and
350,000
agroforestry management issues raised
Output 8: Project lessons and developments disseminated and replicated in
100,000
priority outlying areas
Output 9: Project efficiently and effectively managed, monitored and
400,000
evaluated
Sub-Total 2,400,000
Co-financing Government of DRC's contribution
ITEM
DESCRIPTION
ESTIMATE (US $)
Human resources: ministry, provincial
1. Services
and local government
450,000
2. Office / Miscellaneous
Office rentals and utility services
200,000
TOTAL
650,000
.
Institutional Coordination and Support
Project linkages with national/regional/global sector programs
At the level of the DR Congo, the project is well integrated with the Environmental Action
National Programme (PNAE) the priorities of which include: erosion control, protection of
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Democratic Republic of Congo Project Brief: Alternative Course of Action
degraded lakes and zones, as well as promotion of public woodlots through the National
Forestry Service.
Secondly, the National Biodiversity Programme (NBP) sets out a strategy for conserving the
biodiversity of the DRC, in the country generally as well as in national parks and natural
reserves. In addition also provides for the protection and conservation of aquatic biological
diversity and aquatic environments such as Lake Tanganyika.
Projects that help reduce poverty through developing sustainable community natural resource
management and sustainable environment-based livelihoods also constitute a high priority for
the DRC.
Consultation, coordination and collaboration between Implementing
Agencies (IAs)
In the DRC, there are a number of projects with which strong links will be developed during
the proposed project.
The Albertine Rift Conservation Project is funded by the MacArthur Foundation and
implemented by the Chicago Natural Museum (USA) in collaboration with the Uvira Hydro-
biological Research centre (CRH-Uvira), the Natural Science Research Centre (CRSN-
Lwiro/Bukavu) and the Congolese Institute for Conservation of the Nature (ICCN-Bukavu).
The project is mainly focussing on the conservation of aquatic ecosystems (including East-
African Great Lakes, e.g. Tanganyika ecosystem) and terrestrial catchment areas of the Lake
in Uganda, Rwanda, Burundi, Tanzania, Zambia, DRC.
In the same sector, WWF-East Africa is developing a regional conservation programme in the
Albertine Rift (including Lake Tanganyika). The programme has nine objectives, including
the conservation of forests, lakes and rivers, sustainable utilisation of natural resources,
environmental education, and capacity building and legislation development.
At the national level, some additional interventions in connection with the project have been
on-going in the Lake Tanganyika catchment. These include reforestation programmes
initiated and executed by the National Reforestation Service but whose activities stopped
because of the war in DR Congo. Another on-going programme is the reforestation of the
Rusizi floodplain by local NGOs: NOPTA (New Orientation of Fishing in Lake Tanganyika),
CADIC (Action Centre for Integrated and Community Development) and CEPAC
(Community of Protestant Churches in Central Africa). This is working in the Rusizi
floodplain.
3.13 Implementation
Arrangements.
The project is to be implemented through UNOPS, with UNOPS subcontracting WWF to
work in collaboration with DRC government and the Uvira Region / Uvira Municipality
Agencies, to seek partnership processes in implementation.
UNDP / UNOPS will, with WWF and Government of DRC, draw up a specific National
Steering Committee to provide oversight and guidance to the project process. This Steering
Committee will be integrated with the overall Programme oversight mechanisms described in
Annex 3 to this Brief.
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Full details of the implementation process will be finalised during the Inception Report
Process in the first four months of project start-up after key staff are on board. However the
basic principles are:
· Full stakeholder participation in project design and implementation, this goes across
civil society and private sector and government at local and regional levels.
· An emphasis on partnerships across the many sectors will be encouraged
· Capacity building for sustainable project processes will be integrated,
· Cost-effective and efficient implementation mechanisms will be used,
· Seeking a sustainable exit strategy for GEF intervention involvement,
· Project activities will be geared towards impact generation with a view to learning
lessons and replication of project successes elsewhere in DRC and the Region.
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Project output and activity matrix
Immediate Objective:
The protection and conservation of the biological diversity and the sustainable
use of the natural resources of Lake Tanganyika
Outcome 1:
Outcome 2:
Government and community natural resource management
The natural resource base in and around Uvira sustainably
managed through improved land-use practices
Output 3
Output 4
Output 1
Output 2
Appropriate agroforestry
Capacity of government and
Government and community
Hydrology of priority high sediment
practices and soil management
communities to establish and
natural resource institutions
load-rivers investigated and river
needs assessed with stakeholders
successfully manage catchment
reviewed and strengthened for
sediment reduction management plans
and popularly piloted in local
projects sustainably
achievi
strengthened
ng integrated catchment
developed and implemented
farming systems
basin management
Output 5
Output 6
Appropriate energy-saving
Old managed forest areas
technologies assessed with
rehabilitated and new community and
stakeholders, advocated,
private woodlots established and
piloted and widely adopted
sustainably managed regenerating
by targeted resource user
appropriate forest cover
groups
Output 7
Awareness of communities raised
Output 8
Project lessons and
Output 9
about soil erosion, deforestation
developments disseminated and
Project efficiently and
and agroforestry management
18
replicated in priority outlying
effectively managed,
issues in relation to local
areas
monitored and evaluated
livelihoods and the conservation
Democratic Republic of Congo Project Brief: Alternative Course of Action
Project Logical Framework Matrix
Narrative Summary
Indicators
Means of verification
Assumptions
Development objective:
30 % improvement in sedimentation rates in target
Project & Post project
The policy environment supporting
catchments
evaluation reports
community involvement in NRM
The protection and conservation of the biological Significant improvement s in biodiversity (land and
Annual reports of line
continues to be favourable.
Ministries (Tourism,
The M and E process (see regional
diversity and the sustainable use of the natural
water) indices within and offshore selected
Environment and Natural
Proposal) is implemented.
resources of Lake Tanganyika
catchments (as measured by project supported Lake
Management processes using TBDA / SAP
Resources, Agriculture and
baseline.
Cooperatives, Energy and
Water resources)
Overall outcome
At least 60% of old woodlots rehabilitated.
Project annual and evaluation
Internal security problems might
60% of hills rehabilitated.
reports
affect good running of the project
At least 50 % of farmers use at least 2 agroforestry
Community minutes and
The weather conditions remain
Stakeholders in the Lake's catchment manage and
techniques.
records on implementation of
favourable
sustainably utilize agricultural and forest
At least 30 % of farmers use 1 anti-erosion technique.
CBNRM
Inflation rates remain manageable
resources to reduce sedimentation and conserve
At least 20 % of households use charcoal ovens
Impact assessment studies
biodiversity
At least 20 % of households use improved stoves.
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Narrative Summary
Indicators
Means of verification
Assumptions
Outcome 1:
Government and community natural resource management institutions strengthened
Output 1: Government and
community natural resource
institutions reviewed and
strengthened for achieving integrated
catchment basin management
Output 2: Hydrology of priority high
sediment load rivers investigated and
river sediment reduction management
plans developed and implemented
Outcome 2:
The natural resource base in and around Uvira sustainably managed through improved land-use practices
Output 3: Appropriate agroforestry
50 % of farmers have adopted
Farmers' survey
Farmers have enough land to
practices and soil management needs
agroforestry technique
Project annual and evaluation
devote a portion to agroforestry
30 % of fields have shrubby and grassy
reports
Agroforestry benefits are
assessed with stakeholders and
hedges
tangible enough so that farmers
popularly piloted in local farming
30 % of farmers have adopted at least 1
accept and use the technology
systems
anti-erosion technique
1,000,000 of agroforestry plants
distributed
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Narrative Summary
Indicators
Means of verification
Assumptions
Output 4: Capacity of government
Funding increases for catchment activity Institutional Records
Once trained, technicians will
and communities to manage
Increased staff allocation for catchment
make use their training on the
management
project and not seek
successful catchment project activities
employment elsewhere
sustainably; with appropriate agro-
Agro-forestry will not be too
forestry species is strengthened
heavy an investment in time
and financial resources
Output 5: Old managed forest areas
100 ha of old woodlots rehabilitated, or
Site surveys at the beginning and (A) viable local organisation(s)
rehabilitated and new community and
80% of old woodlots are rehabilitated
at the end of project to estimate
is/are put in place to supervise
400 ha of plantations are established
deforested forested surfaces
and protect the forested and
private woodlots established and
At least 60 % of plantations have
establish comparison
woodlot areas
sustainably managed regenerating
established a functional community
Field survey to measure planted
appropriate forest cover
management system
areas at the end of project
The local reforesting is
At least 50% of sensitive sites on Uvira
Survey of community woodlots
sufficient to respond to
rivers are reforested on 20 m wide and
to assess whether management
firewood demand
sediment dams are constructed in at least
system was put in place, and the
50% of the sites pending the
type of management, whether it
The local community is willing
development of river sediment reduction
operates according evaluation
to take part
management plans
criteria
Output 6: Appropriate energy-saving
At least 20% of households use
Household surveys
The cost of ovens might be
technologies assessed with
improved stoves in Uvira City;
prohibitive even if households
At least 50% of households use
group together and share the
stakeholders, advocated, piloted and
improved stoves in Uvira rural zones;
(charcoal) ovens.
widely adopted by targeted resource
At least 10% household groups use
user groups
The positive effect from
charcoal ovens in Uvira City ;
utilisation of ovens and stoves
At least 50% of household groups use
charcoal ovens in Uvira rural zones.
on wood consumption might be
counter-acted by locally
increasing demographic
pressure.
Output 7: Awareness of communities
At least 30% of local community Workshop reports
raised about soil erosion,
participated in popular workshops
At least 30 % of primary and secondary
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Democratic Republic of Congo Project Brief: Alternative Course of Action
Narrative Summary
Indicators
Means of verification
Assumptions
deforestation and agroforestry
school students participated in
management issues in relation to local
workshops
At least 75 % of ILDs and NGOs and
livelihoods and the conservation of
local administration workers participate
Lake Tanganyika
in popular workshops
Output 8: Project lessons and
developments disseminated and
replicated in priority outlying areas
Output 9: Project efficiently and
Appropriate Project staff in place by
Project progress reports
effectively managed, monitored
Project year
Project MIS records
Key information requirements and
Copies of Reporting formats
and evaluated
reporting formats developed for the
Copies of AWPB
project
Baseline Survey Reports
Appropriate number of project plans and Project MIS records
reports available in a timely manner at
Project progress reports
different management levels
Project MIS records
Appropriate Project baseline and
Mid- term Review Report
benchmark outputs developed for
Impact Assessment Report
monitoring project results.
Audit reports
Number of useful lessons learnt,
disseminated and corrective measures
taken
Number of milestones achieved at mid
term
Number of milestones achieved by year
5 of the project
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Burundi Brief Version of 8 September 2004
ANNEX 7
Lake Tanganyika Integrated Management
Project
Burundi Component
August 2003
SUMMARY
The Government of Burundi prioritised the SAP into two immediate priorities:
addressing the problem of over-fishing (AfDB co-finance) and the problem of severe lake
pollution near Bujumbura as a result of untreated waste-water flows (GEF financing).
Bujumbura as befits a capital city has a wastewater sewage system, which was being
updated and increased by both local and donor investment in the early 1900s. However
insecurity led to the pull-out of donor financing before project completion although
most civil works were completed.
GEF financing joins forces here with Government and Private Sector financing to both
complete and extend this system and to provide increased capacity for the Bujumbura
civil authorities to implement and monitor a modern system.
The past GEF SAP / TDA processes showed the severity of pollution inflows from
Bujumbura which impact the whole of the northern lake. Pollution is more than a heath
hazard but is instrumental in reducing fisheries productivity and biodiversity, through
changing water parameters and so habitats.
Pollution control has two dimensions. These are: the impact on global environmental
values including biodiversity; which forms the rationale for GEF financing; and impact
on health, was has been the driving factor in leveraging funding from both government
and the Private Sector industries which are sources of pollution..
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TABLE OF CONTENTS
1
Project Background / Context 25
1.1
Country Ownership...................................................................................25
1.2
Environmental Context.............................................................................25
1.3
Socio-economic, Institutional and Policy Context ................................25
2
Baseline situation: Threats, Root Causes and Activity 25
2.1
Threats .......................................................................................................26
2.2
Root causes...............................................................................................27
2.3
On-going Activities Baseline Activities ..................................................28
2.4
Conclusion ................................................................................................29
3
Alternative Course of Action 30
3.1
Introduction ...............................................................................................30
3.2
Objectives..................................................................................................30
3.3
Outputs wastewater management component ...................................31
3.4
Project Site ................................................................................................33
3.5
Global Environmental Benefits................................................................33
3.6
Sustainability.............................................................................................34
3.7
Replicability...............................................................................................35
3.8
Stakeholder Involvement .........................................................................35
3.9
Monitoring and Evaluation.......................................................................36
3.10 Financing ...................................................................................................36
3.11 Institutional Coordination and Support ..................................................38
Annex 1: Project Output and Activity Matrix .................................................................40
Annex 2: Project Logical Framework Matrix .................................................................41
Annex 3: Map of Bujumbura sewage system ................................................................45
List of Tables
Table 1: Project outputs ...................................................................................................... 31
Table 2: Co-financing for completing the Bujumbura pollution control worksError! Bookmark not defin
Table 3: Project cost estimates .......................................................................................... 37
Table 4: Co-financing - Government of Burundi contribution ......................................... 38
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Burundi Brief Version of 8 September 2004
Project Background / Context
Country Ownership
Country Eligibility
Burundi ratified the Convention on Biological Diversity on the 24th December 1996, and
is therefore eligible for UNDP and GEF technical assistance in fulfilling its national
obligations to this international agreement. Burundi ratified the Ramsar Convention on
Wetlands in 2002.
Country Driveness
Project integration with national sector development policy
The recently developed National Environmental Strategy and Action Plan, the National
Water Policy, the National Biological Diversity Strategy, and the Environmental Code,
all address the issues of wastewater pollution control and protecting the biodiversity of
Lake Tanganyika.
Regional intergovernmental conventions
Burundi, together with the three other riparian states of Lake Tanganyika has agreed on
cooperative action for the sustainable management of the Lake. The Strategic Action
Programme (SAP) for the sustainable management of Lake Tanganyika, together with
the preparation and adoption of the Lake Tanganyika Fisheries Management
Framework paved the way for the negotiation and signature by the four countries of the
Convention for the Sustainable Management of Lake Tanganyika, which is currently
being ratified by the signatory nations. The Lake Tanganyika Project will assist Burundi
in operationalising the SAP (Strategic Action Plan) and the Convention as part of this
regional effort.
Environmental Context
Lake Tanganyika contains the greatest biodiversity of any lake on the globe, with some
2,000 species of fish, invertebrates and plants that have been recorded in the lake basin,
of which 500 are endemic. For more information about the richness of Lake Tanganyika
in terms of biodiversity and other values, refer to the Strategic Action Plan document.
Socio-economic, Institutional and Policy Context
Burundi has always maintained a strong interest in the Environmental Status of Lake
Tanganyika, which is not surprising as the Capital City Bujumbura is dependent on
the Lake for water supplies - for domestic, industrial use (and for transport, Burundi is a
land-locked country) and for much input to the livelihoods of its population fish are a
major food source. The Lake provides a security route. Despite the civil unrest of the past
decade which saw the planned secretariat for Lake Tanganyika moving from Burundi to
Tanzania, Burundi has constantly played its part in past GEF project and recent PDF B
project processes. Burundi was able to host the past FINNIDA FAO fisheries project,
and has constantly lobbied for the new GEF project to be based in Burundi.
Whilst the Ministry for Land Management, Environment and Tourism has the lead role in
this GEF project, but the implementation processes are strongly cross-sectoral with other
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Burundi Brief Version of 8 September 2004
Ministries involved. The Ministry of Energy and Minerals (Water interests), Ministry of
Transport, Ministry of Health, Ministry of Agriculture (fisheries issues) and Ministry of
Industries and Trade all have strong interests. The parastatal institutions (SETEMU,
IENCN) dealing with water and sewage in Bujumbura are immediate stakeholders, as is
the private sector who provide co-finance.
Civil unrest has reduced capacities of organisations (both government and civil
society/private sector), but organisations do continue to function and industries continue
to produce. New investment has been curtailed as donor funding ended and government
reduced funding sources had other immediate priorities outside the environmental sector.
Baseline situation: Threats, Root Causes and Activity
Threats
The biodiversity of Lake Tanganyika faces major threats. With regard to the Burundi part
of the Lake, over-fishing and environmentally damaging fishing methodologies, high
rates of sedimentation into the Lake and its inflowing rivers, and growing pollution
concerns were documented in detail in the Trans Boundary Diagnostic Analysis (TBDA).
Pollution
Burundi has the smallest catchment of Lake Tanganyika, but it has a potentially
significant pollution impact on the Lake's ecosystem since Bujumbura, the country's
capital city, is situated on the lake shore and is a substantial source of domestic and
industrial pollutant discharge into the lake. The city is the largest town on Lake
Tanganyika, with approximately 600,000 inhabitants. Bujumbura city is growing rapidly
with a current population growth rate of 7.8%. Present urban sanitary services are unable
to handle and process the growing urban population's sewage in a proficient and
ecologically appropriate manner.
Present wastewater discharge processing capacity in Bujumbura varies according to the
level of infrastructure in the city's different precincts. The city's most developed and
more affluent areas (approximately 25% of the urban population) use septic tanks and
cesspools to dispose of their sewage. The lower income areas (approximately 35% of the
urban population) are not currently supplied with running water, and therefore depend on
latrines and open sewers and gutters for domestic effluent. The remaining areas,
representing about 40% of the population, as well as almost all local industrial premises,
either are connected or are easily connectable to the sewage network. However, much of
the industrial waste water system is not yet connected to the city's main treatment plant
since effluent pre-treatment conditions have not yet been fully met by most factories,
which in turn form the largest point-sources pollution threat. Most industrial premises are
beginning to install pre-treatment systems for their effluent discharge and it is expected
that by the end of 2004, most will have commissioned their pre-treatment works.
Samples of lake water have been taken from different points in Lake Tanganyika around
Bujumbura and are shown in Table 2. In addition the textile outflow was high in lead and
chrome.
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Burundi Brief Version of 8 September 2004
Table 2: Analyses from Lake Tanganyika Waters (2 samples) and textile industry
outflow
Parameter
Units
Lake Site1
Lake Site 2
Textile
pH -
8.6
8.9
12
Dissolved oxygen
mg/l
7.05
6.65
2.12
Chemical oxygen demand (COD)
mg/l
55
84
30.6
Chlorinate mg/l
19
22
3560
Total dissolved solids
mg/l
516
426
-
While the analyses in general, and in Table 2) are not of immediate critical concern, some
parameters do exceed safety standards and it is considered necessary appropriate to
ensure that appropriate pollution prevention measures have been taken instead of waiting
until the Lake is heavily polluted. Were the Lake to become heavily polluted, then in
addition to pollution abatement infrastructure development, the de-pollution of the lake
would be expensive and the expected damage to the Lake's globally important habitats
and biodiversity might well be irreversible.
Root causes
The threats over fishing, environmentally damaging fishing methodologies, high rates
of sedimentation into the Lake and its inflowing rivers, and particularly growing
pollution concerns impacting on Lake Tanganyika are the product of a complex and
inter-acting range of issues. Whilst the four are generic to the region; the third bullet, on
insecurity, is more specific to Burundi:
Weak local natural resource management and tenure institutions natural
resource management has long been the prerogative of central and district
government without appropriate, popular and effective participation of local
communities and resource-users. With a legacy of chronic under-resourcing in the
natural resource sector, the capacity of government institutions and the effectiveness
of their programmes have remained weak, leading to de facto open resource use
situations. De facto open resource use situations have also occurred as resource use
and tenure rights have remained contested and local communities continue to
perceive resource management and law enforcement responsibilities as lying heavily
with the state.
Poor governance and accountability reflective of a complex set of development
and societal issues, poor governance and accountability have led to ineffective natural
resource management, unsustainable resource use practices and have frequently
compromised law enforcement.
Insecurity this has been a particular issue in Burundi where government funding
priorities and implementation priorities have moved away from the environment in
order to deal with governance issues and restoring order. International peace
processes have greatly restored the security situation and it is hoped that this
fundamental root-cause is now over!
Insufficient local and national institutional liaison catchment natural resource
management is ideally a multi-sectoral undertaking involving water, agriculture,
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Burundi Brief Version of 8 September 2004
fisheries, forest, wildlife, land (tenure) and mining sectors. Each usually has its own
district department and these departments may fall under entirely different ministries
at national level. Creating and maintaining sufficient liaison and linkages between all
these institutions is not easy and often receives inadequate attention. To date,
insufficient coordination between all these sectors has led to disjointed and
sometimes contradictory policies and programmes, resulting in poor catchment
management. And underlying these institutional root-causes are the twin problems of:
A growing human population - in the Lake Tanganyika basin has led to
increasing pressure on the resource base. While growing human populations may
not necessarily lead to deleterious outcomes for the integrity of ecosystems and
biodiversity, a range of complex factors, including those presented below, have
resulted in insufficient incentives for, and the inability of, people to successfully
manage their relationship with the environment in an ecologically sustainable
way.
Poverty - is widespread in communities living around the lake, and heavily
frames people's fishery and land (forest and soil) resource use rationales which
often maximise short-term benefits to the detriment of the natural resource-base.
People farming the steep slopes of the lake's shores are amongst the poorest in
local society and therefore are unable, for a variety of reasons, to invest
sufficiently in sustainable farming and resource use practices. Underlying reasons
include seasonal farm labour shortages, insufficient access to affordable credit,
insecure land tenure, and a lack of knowledge about sustainable farming practices
in a contemporary context.
On-going Activities Baseline Activities
Urban pollution abatement
Major infrastructural pollution control and management work was carried out in 1994
funded by KFW, AfDB and the Government of Burundi on the basis of earlier design
work carried out by German GKW Consult in 1990. While virtually the entire primary
and secondary collection networks were constructed, the tertiary network was not
undertaken due an embargo on Burundi, escalating insecurity and project costs and the
halt of bilateral cooperation with many European counties. Thus, in 1996, infrastructure
construction was halted although the work was only 90% complete.
Subsequent to the embargo, the Government of Burundi decided to fund the construction
of the outstanding works required for the commissioning of the primary and secondary
wastewater discharging system. The works included connecting old networks to the new
system, mounting electro-mechanical equipment, and the provisioning of maintenance
equipment for the system and treatment stations. Although the primary and secondary
systems were commissioned in July 2000, the quantity of wastewater that reaches the
treatment station is insignificant, as the overall sewage system remains incomplete. This
is due to the fact that the tertiary networks for the Buyenzi area and partly for the Bwiza
and Nyakabiga areas could not be completed due to a lack of funds.
Thus the construction of the tertiary system needs finalising for the city's main sewage
system to function properly. Since the cessation of the previous donor-supported project,
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Burundi Brief Version of 8 September 2004
local institutions and the Government in Bujumbura has been unable to complete the
tertiary network as both the Municipal Technical Services (SETEMU) and the National
Institute for Environment and Conservation of the Nature (INECN), lack the requisite
financial, infrastructural and human resources. Thus untreated water particularly
industrial effluent continues to be discharged into Lake Tanganyika.
When the facilities are eventually fully commissioned, 38% of domestic wastewater and
the totality of industrial effluent will be treated, hence allowing for a reduction of
pollutants of 21,000 Kg BOD a day. This would allow for a 95% treatment ratio
according to the project implementation study carried out in 1990. In this regard, some
industrial facilities have already commissioned their pre-treatment plants such as the
Burundi Textile Complex (COTEBU) unit while others have begun construction for
example, the Burundi Brewery Company (BRARUDI).
Water quality monitoring has been undertaken by INECN, through the pollution special
group, and chemical and physical-chemical analyses have been conducted. The group is
active in promoting greater awareness about water pollution issues among industrial
stakeholders and urban communities.
The present sanitation system comprises of the following works and equipment:
Previous works for wastewater discharge in the city of Bujumbura consisted of an old
network measuring about 30,000 metres covering the town areas of Ngagara and
Mutanga-Sud. The new works made in 1999-2000 fully cover the town areas of Bwiza,
Nyakabiga, the city centre, the Asian district, the industrial area and part of the Buyenzi
area.
· A 36 km primary network of concrete pipes with 600-1200 mm diameter;
· A 34 km secondary network with 250-500 mm diameter;
· A 75 km and household network of PVC pipes with 110-200 mm diameter.
The first two networks are already installed and are functional, while the tertiary network
lacks 20 km to be finalised. 15 separators with the role of separating wastewater from
rain-water, are installed. 4 pumping stations although installed cannot operate on a
continuous basis due to a lack of sufficient energy since they presently each operate on
225 KVA generators. A lagoon treatment station consisting of 6 basins, including 2
anaerobes, 2 optional anaerobes and maturing anaerobes covers a 40 hectare area. see
map at end of Annex
The treatment station has a daily capacity of 40,000 cubic metres, but only receives 5,000
cubic metres a day. The primary network has a capacity of 60,000 cubic metres a day.
Conclusion
The biodiversity of Lake Tanganyika is threatened by three proximal threats of pollution,
sedimentation and localised over-fishing. Pollution from Bujumbura constitutes a
growing threat to both the biodiversity values of Lake Tanganyika and to urban public
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Burundi Brief Version of 8 September 2004
health. A substantial investment in pollution control has already been made through the
construction of primary and secondary sewage control infrastructure in Bujumbura, but
which due to extenuating circumstances, and despite the efforts of the Burundian
Government, remains incomplete. While the incomplete and only partially functioning
sewage system has resulted in the continued emission of untreated effluents into Lake
Tanganyika, the threat of pollution remains surmountable if an alternative course of
action, as proposed herein, is adopted and implemented.
Alternative Course of Action
Introduction
The Alternative Course of Action is to develop interventions to fill the gaps left from the
baseline scenario, so as to seek sustainable global and national benefits from rational use
and management of the Lake Tanganyika resources. The environmental threat analysis
identifies needs in improved pollution control. Thus the GEF intervention in Burundi
addresses pollution control through infrastructure completion and institutional capacity
building.
The present project is jointly designed by the Municipal Technical Services (SETEMU)
for the exploitation of the lagoon and the National Institute for Environment and
Conservation of the Nature (INECN) for awareness-raising and discharge control.
The expected impacts of GEF support
Burundi is committed to fulfilling its international and regional commitments to
biodiversity conservation and the sustainable management of the Burundian part of the
Lake Tanganyika basin. GEF co-financing would enable Burundi and Bujumbura City to
complete the construction of its pollution control infrastructure and to further develop the
institutional capacity required to maintain and further develop pollution control in the
future. The key impact from GEF support will be:
Point sources of urban pollution and their negative impact on the aquatic
ecosystem controlled and reduced through:
Completing the construction of the tertiary sewage management infrastructure,
commissioning the works as well as setting and maintaining pollution control
standards:
Increasing the awareness of urban communities and industrial stakeholders about
water pollution control and management
Capacity building for SETEMU and INECN;
Carrying out a feasibility study of the areas that are not yet served by the sewage
network
Objectives
The Project's objectives are embedded within the Strategic Action Programme (SAP)
as:
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Burundi Brief Version of 8 September 2004
`The protection and conservation of the biological diversity and the sustainable
use of the natural resources of Lake Tanganyika'
The outcome from the project is: `The wastewater management system in Bujumbura
finalised, thereby reducing point source pollution levels of Lake Tanganyika waters
and so improving biodiversity habitats'
Outputs wastewater management component
To attain the outcome and hence contribute to the fulfilment of the development
objective, the stakeholders of this project have selected five tangible, specific outputs:
Table 8: Project outputs
Output 1:
Tertiary wastewater collection network constructed and completed
Output 2:
The water treatment lagoon station commissioned and pre-treatment
facilities operational
Output 3:
Discharge standards established, approved and issued
Output 4:
Awareness of urban communities about the biodiversity and public
health impacts of pollution raised and monitoring inputs developed
Output 5:
Project implementation study updated and project effectively
managed, monitored and evaluated
Output 1: Tertiary wastewater collection network constructed
and commissioned
The tertiary sewage system will be finally completed enabling the entire Bujumbura
sewage system to function properly. Works to achieve the secondary and tertiary network
for the town area of Buyenzi (the most populated in Bujumbura) are a priority.
Wastewater collection in this low-lying area of Bujumbura with shallow ground water is
crucial in order to prevent pollution of Lake waters.
Sub-outputs
1.1 The tendering procedure for selecting the construction contractor established
1.2 The construction contractor selected
1.3 Sewage infrastructure constructed
Output 2: The water treatment lagoon station commissioned and
pre-treatment facilities operational
Industrial pollution will begin to be treated as a result of the construction of pre-treatment
facilities at all major industrial facilities under the `polluter pays' principle. The water
treatment lagoon station will also be commission once the pre-treatment facilities have
come on-line.
Sub-outputs
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Burundi Brief Version of 8 September 2004
2.1 All pumping stations, public toilets, and water and electricity separators connected
2.2 Pre-treatment facilities at all major industrial facilities completed.
2.3 The water treatment lagoon commissioned
Output 3: Discharge standards established, approved and
issued
In order to ensure that the investment made in pollution control and management
infrastructure is functioning appropriately, a system of discharge standards for the sewage
system will be developed and implemented. This will enable any extraordinary discharge
levels to be identified and appropriate remedial steps to be developed.
Sub-outputs
3.1 Discharge monitoring laboratory established, equipped and commissioned
3.2 Laboratory staff and management trained
3.3 Discharge standards developed with stakeholders, validated and implemented
Output 4: Awareness of urban communities about the
biodiversity and public health impacts of pollution raised and
monitoring inputs developed
INECN has already created a special pollution group to promote greater awareness
among urban communities and industrial stakeholders about pollution issues. The team
requires training in the field of communication, management of a chemical and
bacteriological analysis, sampling and result interpretation methods.
Sub-outputs
4.1 Strategy for raising urban community awareness developed
4.2 Strategy implemented
4.3 Water quality control programme developed
4.4 Water quality control programme implemented
Output 5: Project implementation study updated and project
effectively managed, monitored and evaluated
The project implementation initially developed in 1990 for the expansion of the sewage
system in Bujumbura needs to be up-dated in line with the current situation and future
sanitation needs of the city. The project will also need to develop an effective and
efficient Management Information System (MIS) that will be a key administrative tool
for the project's implementation. The MIS will require the timely acquisition, analysis
and dissemination of relevant information to the project's staff and stakeholders. It will
therefore be important that the Project Implementation Unit (PIU), in collaboration with
key stakeholders, agrees and develops an effective and appropriate MIS.
Sub-outputs
5.1 Project implementation study updated
5.2 Project staff recruited
5.3 Management Information System (MIS) developed and implemented
5.4 Preparation and implementation of Annual Work plans and Budgets (AWPB)
carried out
5.5 Mid-term review and end of project evaluation planned and conducted
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Burundi Brief Version of 8 September 2004
Project Site
Some areas in the city of Bujumbura, especially those in the south of the city, do not have
wastewater collection networks. Therefore, it will be necessary to carry out feasibility
studies for these areas and develop further proposals for leveraging funding in the future
for achieving appropriate pollution control measures and infrastructure development.
Global Environmental Benefits
The conservation of Lake Tanganyika and its basin will lead to substantial global
environmental benefits. With more than 2,000 species of plants and animals, Lake
Tanganyika is among the richest freshwater ecosystems in the world. Together with the
other African great lakes of Malawi and Victoria, Lake Tanganyika is famous for its
endemic and highly diversified flocks of cichlid species. However, what distinguishes
Lake Tanganyika from the other great lakes is its comparatively far greater biodiversity
that includes flocks of non-cichlid fish as well as invertebrate organisms such as
gastropods, bivalves, ostracodes, decapods, copepods, leeches and sponges. The level of
biodiversity that has thus far been recorded for Lake Tanganyika is of particular
significance. Much of the Tanganyikan coast has not been adequately explored and
consequently invertebrate species numbers are probably currently significantly
underestimated.
Pollution abatement in Bujumbura is necessary to preserve Lake Tanganyika's local and
wider aquatic and littoral biodiversity, complementing the outcomes of the DRC,
Tanzanian and Zambian components, and thereby supporting the wider global
environmental benefits of the multi-component regional and transboundary project.
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Sustainability
Institutional sustainability
Regional level. The proposed second phase of the Lake Tanganyika
Biodiversity Project will fall under the Lake Tanganyika Regional Integrated
Management Program (LTRIMP). The Lake Tanganyika convention provides
a legal framework and an institutional mechanism - in the form of a regional
body, the Lake Tanganyika Authority (LTA) - for the management of the
Lake. However the LTA will only begin operation once the Convention has
been ratified and has begun to be implemented. While waiting for the
ratification of the Convention, the four partner countries have agreed that
an Interim Lake Tanganyika Management Authority (ILTMA) will coordinate
the LTRIMP at regional level until the LTA is created. Project
implementation at national level will therefore ultimately fall under the
ILTMA through National Steering Committees (NSCs) and a Regional
Steering Committee.
National level The INECN is a parastatal organisation with the mandate to
conserve and protect nature and natural resources including water and
other environmental values. It is linked to the Ministry of Land
Management, Environment and Tourism (the DG of INECN is the GEF Focal
Point).
City Council level The Government of Burundi has established a parastatal
to control urban cleansing including sewage, under the City Council of
Bujumbura this is SETEMU (Municipal Technical Services). SETUMU has
a Director General and is staffed with engineering professionals. SETUMU
collects fees from urban clients but is also subsidised by government.
SETUMU worked with past baseline finance (AfDB and KFW, Government)
in building/operating the treatment plant.
Financial sustainability
The Government has introduced a sanitation tax that will cover the cost of operating the
sewage collection and management system. In this regard an agreement has been
developed between the official water and electricity-company (REGIDESO) and
SETEMU. Thus water users will pay for their sewage on the basis of the amount of clean
water they use. The levy will come into operation as individual households and industrial
facilities are connected to the new network. While the implementation of the sanitation
tax is being finalised, the government is providing an annual grant of USD 100,000 for
the exploitation of sanitation facilities.
In addition, individual households will have to pay the costs of connection to the feeder
tertiary networks. Since many poorer households may be unable to afford paying the
entire cost of connection at once, a facility for paying in instalments will be created. The
installation costs of industrial effluent pre-treatment units are to be financially borne by
the concerned industrial enterprises and the estimated costs are detailed within this
proposal.
Existing legislation will be enforced with environmental by-laws specifying how the
polluter-pays principle is to be implemented. A high pollution tax will be instituted,
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Burundi Brief Version of 8 September 2004
which will provide an appropriate disincentive as required for stakeholders not properly
managing their sewage discharges.
Assumptions and risks potentially impacting on the
sustainability of project outputs
Risks follow from the discussion in the Executive Summary in which resurgence of insecurity
remains the biggest risk. However the strength of the donor and regional peace support process
offers strong mitigation to this potential threat.
Proper revenue management and re-investment in pollution management infrastructure, by
SETUMU is a potential risk, but the capacity before the breakdown in security and the importance of
lake waters to the city augurs well for the future. This project is catalysing linkages from the private
sector and public / civil society in partnership with SETUMU, which provides considerable
mitigation to any perceived weakness of SETUMU. The GEF project has a role to build financial
sustainability.
Compliance and completion of industrial pre-treatment works by the private sector is again a
potential risk. Mitigation comes from the enormous incentive of the importance of clean water a
public health issue and an impact on fisheries and so livelihoods. The law and the social commitment
provide strong incentive for compliance.
Replicability
In order to ensure knowledge replicability in the project, a clear and consistent
mechanism will be put in place to exchange information between the two urban
wastewater management programmes within the overall project under implementation
within the 4 partner countries. Exchange workshops will be held, and modern
communication systems such as the internet will be used. The awareness-raising
initiatives will be particularly replicable. Thus lessons learned about the process of
engendering greater participation and responsibility among community and industrial
stakeholders about pollution management and its significance for the biodiversity of Lake
Tanganyika and for public health will be shared with other initiatives in the region.
Stakeholder Involvement
Stakeholder involvement in project proposal development
In developing the project, the two key institutions - SETEMU and INECN - have
endeavoured to engender the participation of appropriate stakeholders, including the
Bujumbura city official services, the local administration, NGOs, women groups in
Bujumbura town, industrialists, economic operators, the health sector, and the University
of Burundi in order to jointly identify the activities that will be carried out during the
project. In addition, the national consultation process involved the National Cross-
Sectoral Working Groups (including pollution control group and a biodiversity group)
created by the Minister of Land, Environment and Tourism.
Lessons from Similar Projects
Implementation of this project will benefit substantially from experiences and lessons
learnt from other projects, including the first phase of the Lake Tanganyika Biodiversity
Project (GEF/UNDP), the Lake Victoria Environmental Management Project (GEF/WB),
the East African Cross-Border Biodiversity project (GEF/UNDP), the Sustainable and
Integrated Management of the Coastal Environment supported by DANIDA and the
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Tanzania Coastal Management Partnership project. All these projects include aspects of
regional cooperation, approaches fully involving local communities and appropriate
NGOs, public awareness and capacity building activities, as well as working with local
and central government.
Monitoring and Evaluation
The National Steering Committee (NSC) will oversee both project components. Using
Key Performance Indicators (KPIs) (to be completed within the Inception Report) its
role will be to review annual progress in the achievement of the project's outputs and
objectives and to provide the National Project Coordinator (NPC), as head of the National
Project Management Unit (PMU), with feedback for project implementation
improvement.
SETEMU and INECN with the PMU will submit quarterly reports on the progress of
activities to the Government and Lake Management Authority and UNDP-GEF. The
reports that must be transmitted to the Global Environmental Fund and the Government
of Burundi will have to integrate both expert reports and field activity reports. A mid-
review evaluation is planned to review the project framework logical analysis and
implementation process and adapt it according to needs.
Financing
Baseline wastewater management expenditure
The Government of Burundi had obtained significant donor finance for the Water
Pollution Control Infrastructure, from AfDB (13.25 million $) and from KFW (17 million
$). Most of this funding was spent but not all as the civil unrest halted construction
prematurely and the project ended, with some infrastructure unconnected. Of this total of
over 30 million $, some 3.2 million representing the last year of input is considered
recent enough to call baseline input (see Annex 1a).
Project cost estimates
The GEF Alternative is to build on this recent baseline, and complete the infrastructure,
linking particularly to the industrial effluent sources by working with the Private Sector
as co-financing partners. The GEF Alternative also builds capacity to oversee and
monitor the waste-water treatment process within the mandated institutions
Government and Bujumbura Municipality. The GEF alternative has an incremental cost
over this baseline of US$, of which US$ is to be met by GEF
resources, with 1,193,000US$ from the private sector (see letters in Annex 8b)
There are five parts to this intervention. These are:
Component/Output Source
Cost
$
1 Tertiary Waste-Water Network Completed
GEF
700,000
2 Waste-Water Treatment Lagoon Operational Private
Sector
1,193,400
3 Discharge Standards
GEF
788,000
4 Awareness
GEF
631,000
5 Project Management
GEF
316,000
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Burundi Brief Version of 8 September 2004
Plus : Government input in kind (across outputs 1-5)
GoB / Council 885,000
Table 9: Project Cost Estimates
Outputs Amount
(US$)
Output 1: Tertiary wastewater collection network constructed and commissioned (GEF
funding)
1.1 Purchase of 3,400 PVC pipes
300,000
1.2 Implementation costs
200,000
1.3 Construction of related infrastructure works
200,000
Sub-total
700,000
Output 2: The water treatment lagoon station commissioned and pre-treatment facilities
operational (co-financing by local private sector enterprises)
2.4 Brewery (BRARUDI) ((84,000 Euros)
1,060,000
2.7 Textiles (Cotebu)
133,000
(Smaller industries will be involved as the project develops)
1,193,000
Sub-total:
Output 3: Discharge standards established, approved and issued (GEF funding)
3.1 Utilities (Water / Electricity) Upgrading Connections
75,000
3.3 Purchase of water control laboratory facilities
300,000
3.4 Purchase of 2 computers and accessories for laboratory
8,000
3.5 Training for 5 laboratory staff (coordinator and technicians)
95,000
3.9 On-the-job training for 6 field maintenance teams
20,000
3.10 Vehicles (two light trucks and one cleaning-out vehicle)
180,000
3.11 12 months training expertise for the lab (regional consultant)
80,000
3.12 Two validation workshops
10,000
3.13 Issuing and extension of standards
20,000
Sub-total
788,000
Output 4: Awareness of urban communities about the biodiversity and public health
impacts of pollution raised and monitoring inputs developed (GEF funding)
4.1 Awareness Strategy development
15,000
4.2 Awareness workshops within communities and private sector
60,000
4.3 Local and outside training courses for facilitators
75,000
4.4 Purchase of AV equipment and sensitisation material
50,000
4.5 Purchase of transport (1 pick-up vehicles, 1 saloon)
54,000
4.6 Staff support (training, compliance)
40,000
4.7 Running of training centres for pollution
20,000
4.8 Special pollution group operating costs
85,000
4.9 Project Technical Committee Costs
24,000
4.10 Consultancy 24 mm (Compliance, EIA, Regulatory, Standards
120,000
4.11 INECN and Bujumbura Council Capacity for oversight/M and E
77,000
4.12 Production and dissemination of reports
11,000
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Burundi Brief Version of 8 September 2004
Outputs Amount
(US$)
Sub-total
631,000
Output 5: Project implementation study updated and project effectively managed,
monitored and evaluated (GEF funding)
5.1 Updating the overall implementation study
50,000
5.2 Project Coordinator/Manager 36mm
196,000
5.2 Project efficiently managed M and E, reporting
70,000
Sub-total
316,000
Grand Total Outputs 1, 3,4,5 (excluding Output 2 co-finance)
2,435,000
The Government of Burundi (Dept Envir) will contribute USD 385,000 through
supporting the cost of national project staff, providing training facilities and under-
writing miscellaneous project expenses. The Council of Bujumbura and the Water /
Sewage Authority will contribute staff time (costed as 10,000$ pm over 48 months) at
senior and field staff levels, totalling 500,000$. See details in Table 3.
Table 10: Co-financing - Government of Burundi and Bujumbura Council
Contribution
Item
Government Council / SETEMU
Total cost
Personnel
225,000
480,000
705,000
Training
22,000
22,000
Equipment
100,000
100,000
Miscellaneous
38,000
20,000
58,000
Grand Total
385,000
500,000
885,000
Institutional Coordination and Support
Project linkages with national/regional/global sector programs
A number of projects were recently developed on Lake Tanganyika. These include the
regional management and fisheries project of FAO/FINNIDA dealing with the biological
basis of marine production; the role of ecotones in Lake Tanganyika by
DANIDA/UNESCO in Burundi installations of waste water treatment facilities in
Bujumbura by KFW (Germany)/SETEMU in Burundi; Creation and management of a
research centre in ichthyology and hydrobiology, AECD (Belgium), CEPGL-IRAZ, in
Burundi, Rwanda and the DRC.
In regard to national institutional linkages, it is worth noting that in Burundi, the ministry
specifically responsible for the environment, through the National Institute for
Environment and Conservation of Nature ((INECN), has created a special pollution
group. The project also will have linkages with the University of Burundi which has
carried out research into lake pollution.
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Burundi Brief Version of 8 September 2004
Coordination and Collaboration
A National Project Management Unit (PMU) will be based in SETUMU, and will
comprise the National Project Coordinator, and support staff. The PMU will work closely
with INECN and private public stakeholders and other ministries which are directly
involved in the waters of the lake. The PMU will include the GEF supported expert and
consultant inputs. The PMU will execute the project under contractual processes from
UNOPS, and with the oversight of a cross-sectoral Steering Committee.
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Burundi Brief Version of 8 September 2004
Project Output and Activity Matrix
Development Objective:
The protection and conservation of the biological diversity and the
sustainable use of the natural resources of Lake Tanganyika
Outcome:
`The wastewater management system in Bujumbura finalised,
thereby reducing point source pollution levels of Lake
Tanganyika waters and so improving biodiversity habitats'
OUTPUT 1
OUTPUT 2
OUTPUT 3
OUTPUT 4
OUTPUT 5
Tertiary wastewater
The water treatment
Discharge standards
Awareness of urban
Project
implementation
collection network
lagoon station
established, approved
communities about the
study updated and project
constructed and
commissioned and pre-
and issued
biodiversity and public health
effectively managed, monitored
commissioned
treatment facilities
impacts of pollution raised
and evaluated
operational
and monitoring inputs
developed
Sub-outputs
Sub-outputs
Sub-outputs
Sub-outputs
Sub-outputs
1.1 The tendering
2.1 All pumping stations,
3.1 Discharge monitoring
4.1 Strategy for raising urban
5.1 Implementation study updated
procedure for selecting the
public toilets, and water
laboratory established,
community awareness developed
ecruited
construction contractor
and electricity separators
equipped and commissioned
4.2Strategy implemented
nformation System (MIS) developed
established
connected
3.2 Laboratory staff and
4.3 Water quality control
and implemented
1.2 The construction
2.2 Pre-treatment facilities
management trained
programme developed
5.4 Preparation and implementation
contractor selected
at all major industrial
3.3 Discharge standards
4.4 Water quality control
of Annual Work plans and Budgets
1.2 Sewage infrastructure
facilities completed.
developed with stakeholders,
programme implemented
(AWPB) carried out
constructed
2.3 The water treatment
validated and implemented
w and end of project evaluation
lagoon commissioned
planned and conducted
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Burundi Brief Version of 8 September 2004
Project Logical Framework Matrix
Narrative Summary
Indicators
Means of verification
Assumptions
Development objective:
% increase in household income arising from non-
Post project evaluation reports
The policy environment supporting
fishing sources for households engaging in
Annual reports of line Ministries
community involvement in NRM
The protection and conservation of the
enterprises.
( Environment and Natural
continues to be favourable
biological diversity and the sustainable use of
% improvements in biodiversity (land and water)
Resources, Water. Agriculture,
Conflict in the Lake Tanganyika Basin
the natural resources of Lake Tanganyika
indices.
Energy)
does not interfere with the project's
implementation
Outcome:
38% of domestic wastewater and the full industrial Management system report
The government of Burundi fully
The wastewater management system in Bujumbura
discharges in Bujumbura are treated before being Statistics from hospitals and
supports the project and the on-going
finalised, thereby reducing point source pollution
discharged in the lake.
health centres.
peace process goes forward.
levels of Lake Tanganyika waters and so
The frequency of diarrhoea diseases has reduced up SETEMU analysis reports.
Demographic growth has been taken
improving biodiversity habitats
to more than 50%.
into account
The pollutant charge is reduced up to 21,000 kg of
BOD per day or the treatment output is 95%.
Narrative Summary
Indicators
Means of verification
Assumptions
Output 1:Tertiary wastewater collection
20 km of tertiary network are constructed
SETEMU internal monitoring The 1994 feasibility study took into
network constructed and
40% of the urban population are connected to
quarterly reports
account the demographic growth.
commissioned
the collecting network
SETEMU survey
Sub-outputs / Activities
Terms of reference are published in newspapers
Applications available
1.1 The tendering procedure for selecting the
construction contractor established
1.2 The construction contractor selected
Selecting committee is created
Committee report is available
1.3 The sewage infrastructure constructed
After 2 years, 3,400 pipes and 1,000 manholes are
Activity progress reports
installed.
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Burundi Brief Version of 8 September 2004
Narrative Summary
Indicators
Means of verification
Assumptions
Output 2: The water treatment lagoon station
The operating station receives 40,000 m3 of Activity progress reports
Electricity is permanently supplied in
commissioned and pre-treatment
waste water a day
the town
facilities operational
100% of the most pollutant industries in
All industries use their pre-treatment
Bujumbura pre-treat their wastewater before
systems and do not try to reduce their
rejecting them in the treatment station
operating costs
2.1 All pumping stations, public toilets, and water
At the end of the 1st year, 4 pumping stations, 6
Activity progress reports
and electricity separators connected
public toilets and 15 separators are connected.
Sub-outputs / Activities
After 3 years, 92 industrial enterprise units or
INECN and SETEMU surveys
Some enterprises take too long to put in
similar establishments are equipped with waste
and reports
place their pre-treatment facilities
2.2 Pre-treatment facilities at all major industrial
water pre-treatment systems, including garages,
facilities completed.
photo labs, oil mill, soap factories, slaughterhouse,
brewery, textile enterprise, hospital and battery.
2.3 The water treatment lagoon commissioned
Monitoring plan developed and implemented after
Monitoring reports and analysis
one year
of discharge samples per
industry
Output 3: Discharge standards established,
The decree on discharge standards is published
Available at INECN and
The government encourages the
approved and issued
stakeholders aware of
creation of by-laws on the national
standards
environmental code
Sub-outputs / Activities
The 2 labs (SETEMU and INECN) are equipped
Reports on equipment and
3.1 Discharge monitoring laboratory established,
and SETEMU&INECN have adequate vehicles,
laboratory acquisition
equipped and commissioned
computers and AV materials
3.2 Laboratory staff and management trained
After the 1st year, 11 SETEMU staff and 4 INECN Training reports
The external training may be late
staff are trained
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Burundi Brief Version of 8 September 2004
Narrative Summary
Indicators
Means of verification
Assumptions
3.3 Discharge standards developed with
Validated standards available
Expertise reports
The system of standards is dynamic and
stakeholders, validated and implemented
National standards of discharge in the lagoon and
Validation reports from will be regularly updated
natural environment available
different partners
At least one visit to each industry and at least one
Official decree to issue the
workshop for each category of industry
standards
Visit and workshop reports
Output 4: Awareness of urban communities
INECN produces 18 bi-monthly reports on Reports available at INECN
Good collaboration exists between
about the biodiversity and public
water quality monitoring
SETEMU and INECN.
health impacts of pollution raised
50% of the communities are sensitised
Workshop reports and
and monitoring inputs developed
100% of industrialists are sensitised.
surveys
Sub-output / Activities
A plan is prepared by the end of the 1st year
Plan available at INECN
4.1 Strategy for raising urban community
awareness developed
4.2 Strategy implemented
Sensitisation and education materials produced
Sensitisation materials available
Radio and TV programmes
to INECN
18 workshops will be held after the 1st year, i.e. one
workshop for each of the 6 identified groups
4.3 Water quality control programme developed
Programme available at the end of the 1st year
Programme document available
to INECN
4.4 Water quality control programme implemented
Sampling and analysis are carried out every 2
Control reports
months
Output 5: Project implementation study updated
MIS maintained
MIS records and reports
All partners meet their commitments
and project effectively managed,
Project implementation study updated
Project reports
to the project
monitored and evaluated
Timely disbursement of funds from
the donor for project implementation
activities
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Burundi Brief Version of 8 September 2004
Narrative Summary
Indicators
Means of verification
Assumptions
Sub-outputs / Activities:
5.1 Project implementation study updated
Terms of conditions published in papers
Applications available
Feasibility study available by the end of the 1st year Study available to SETEMU
5.2 Recruitment of Project staff
Appropriate Project staff in place by Project year
Project progress reports
5.3 Management Information System (MIS)
Key information requirements and reporting
Project MIS records
developed and implemented
formats developed for the project
Copies of Reporting formats
Appropriate number of project plans and reports
Copies of AWPB
available in a timely manner at different
management levels
5.4 Preparation and implementation of Annual Work
AWPB available on-time
Project progress reports
plans and Budgets (AWPB) carried out
Committee meetings held on schedule
Project MIS records
Annual and quarterly reports prepared in time
Equipment procured and ready in store for use
Consulting and other services secured and
completed as scheduled
Audit reports
5.5 Mid-term review and end of project evaluation
Number of useful lessons learnt, disseminated and
Mid- term Review Report
planned and conducted
corrective measures taken
Impact Assessment Report
Number of milestones achieved at mid term project
Number of milestones achieved by year 5 of project
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Burundi Brief Version of 8 September 2004
Map of Bujumbura Sewage System
(Note thick straight lines in RED are the main sewage system,
the pump station and lagoons are the rectangles in top left, the
Brewery is 5cm inland from the narrow peninsula into the lake).
45