Lao People’s Democratic Republic

Environmental Assessment Report

Global Environment Facility Medium-Size Project

Developing and Demonstrating Replicable

Protected Area Management Models

at Nam Et -Phou Louey National Protected Area (P113860)

June 21, 2012

E3061

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Contents:

(a) Executive summary -------------------------------------------------------------------------------------------- 1

(b) Policy, legal, and administrative framework -------------------------------------------------------------- 1

(c) Project description ---------------------------------------------------------------------------------------------- 3

Project development objective---------------------------------------------------------------------------------- 6

Component 1 ------------------------------------------------------------------------------------------------------ 6

Component 2 ------------------------------------------------------------------------------------------------------ 7

Component 3 ------------------------------------------------------------------------------------------------------ 7

Component 4 ------------------------------------------------------------------------------------------------------ 7

(d) Baseline data ----------------------------------------------------------------------------------------------------- 8

Physical ------------------------------------------------------------------------------------------------------------ 8

Biodiversity -------------------------------------------------------------------------------------------------------- 8

Socio-economic --------------------------------------------------------------------------------------------------- 9

NE-PL management activities ----------------------------------------------------------------------------------- 9

Other non-project activities in the NPA ------------------------------------------------------------------------ 9

(e) Potential environmental impacts under project activity ------------------------------------------------- 9

Outline of activities and potential positive and negative impacts ------------------------------------------- 9

(f) Environmental management plan --------------------------------------------------------------------------- 19

Annex 1 Record of Consultations

Annex 2 Co-Management Plan of the Phathi Road in NE-PL NPA

1

Environmental Assessment Report: Developing and Demonstrating Replicable Protected

Area Management Models at Nam Et -Phou Louey National Protected Area (P113860)

(revision as per the updated MSP document dated June 21, 2012)

(a) Executive summary.

This EA was carried out based on the World Bank Safeguards Operational Policy 4.01 Environmental

Assessment, to address OP 4.01, as well as OP 4.04 Natural Habitats and OP 4.36 Forests, and follows the

policy and legal framework set up by six principle Lao PDR laws, regulations and decrees as well as five

international conventions and agreements that Lao PDR is party to. The project area includes select areas of

the Nam Et-Phou Louey National Protected Area (NE-PL NPA) landscape in northern Lao PDR, which

harbors biodiversity of national and global significance, including the only known breeding population of

Indochinese Tiger in Laos, and has been managed by the NE-PL NPA Management Unit since 2000. The

project has one development objective: To test, in selected areas of the Nam Et-Phou Louey National

Protected Area (NE-PL NPA), targeted activities for sustainable natural resource use and protection of

selected species threatened by human interaction. The project is comprised of four core project components,

including i) Management and conservation working models, within NE-PL NPA including implementation

of co-management of infrastructure in sensitive habitats. ii) Working models of ecotourism for community

engagement and sustainable financing, iii) Dissemination and replication working models of NE-PL NPA

within Lao PDR, and iv) Project management. The proposed activities under the project involve, i) Natural

Habitats, and ii) Forests, specifically forest areas associated with the project villages in and around the NE-

PL NPA. This EA takes into consideration activities such as the assessment of the impacts of the Phathi

road on a select number of threatened species that will be addressed through different activities proposed by

the project and measures contained in the Road Co-management Plan, the construction and operation of

patrol substations and the construction and operation of ecotourism camps, which are not expected to cause

any clearing but may have impacts from operation (e.g wastes), forest and land use agreements, which will

lead to a future sustainable forest management (e.g rotation the collection of Non-Timber Forest Product

(NTFP), . An Environmental Management Plan is outlined, which is employed to minimize the impact on

natural habitats, maximized positive impact on forest areas, and includes assessment of environmental risks,

and capacity development and training to implement management and mitigation measures.

(b) Policy, legal, and administrative framework.

This EA was carried out as part of the Government of Laos (GoL) requirements and the World Bank

Safeguards Operational Policy for Bank’s financed projects.

The relevant GoL policy and regulatory framework pertaining to the preparation of the EA are as follows:

Prime Minister’s Decree No. 112 on Environmental Impact Assessment (EIA) (16 February 2010).

This decree outlines the requirements for all development projects that potentially cause

environmental and social impacts to carry out the Initial Environmental Examination (IEE) and

Environmental Impact Assessment (EIA) as relevant; as well as having appropriate project design,

mitigation measures and monitoring plan and resources to address the possible impacts.

Environmental Protection Law (26 April 1999). This law specifies necessary principles, regulations

and measures for managing, monitoring, restoring and protecting the environment in order to protect

human health, including the protection of natural resources and the richness of nature, and to ensure

the sustainable socio-economic development of the nation.

Regulation No. 0360 on Management of National Protected Areas, Aquatic Animals and Wildlife

(Ministry of Agriculture and Forestry, 2003). This regulation describes the zoning of national

2

protected areas into core, managed, and corridor zones and clearly specifies activities in those areas,

prohibits hunting of all wildlife and aquatic animals in the core zone, prohibits trade in wildlife, and

specifies that guns must be registered with special licenses.

Wildlife Law (24 December 2007). The law determines principles, regulations and measures on

wildlife and aquatic life in nature to promote the sustainable regeneration and utilization of wildlife

and aquatic life, without any harmful impact on natural resources or habitats and to restrict

anthropogenic pressure on decreasing species and the extinction of wildlife and aquatic life, by

encouraging people as a whole to understand and recognize the significance, with enhancing the

conscientious love, care and treatment of wild animals. To engage in managing, monitoring,

conserving, protecting, developing and utilizing wildlife and aquatic life in sustainable manner. To

guarantee richness of ecological natural equilibrium systems, to contribute in upgrading the

condition of livelihoods for multi-ethnic people, which has the potential to develop and realize the

national social-economic goals.

Forestry Law (24 December 2007). This law determines basic principles, regulations and measures

on sustainable management, preservation, development, utilization and inspection of forest resources

and Forestland; promotion of regeneration and tree planting; and increase of forest resources in the

Lao People’s Democratic Republic. The principles of the law aim for maintaining the balance of

nature, making forest and Forestland a stable source of resources and for the use of people, ensuring

sustainable preservation of water sources, prevention of soil erosion and maintenance of soil quality,

conserving plant and tree species, wildlife for the purpose of environment conservation and

contribution to the national socio-economic development.

Lao Tiger National Action Plan 2010 to 2015. Lao Tiger National Action Plan (financed by the

Global Tiger Initiative and produced by Division of Forest Resource Conservation, now Department

of Forest Resource Management, with WCS technical assistance); the National Tiger Recovery Plan

for Laos, produced by Lao government as part of the Global Tiger Initiative highlighted the

programs to secure the tiger habitat in this area of the NE-PL PA core zone. Two out of five Priority

Actions Programs to achieve long term strategic goals for tiger conservation, as outlined in the

Summary National Tiger Recovery Program will be supported under this project includes: establish

an inviolate core zone at NE-PL NPA by law enforcement, outreach and education, land use

planning, capacity building, and developing mechanisms for sustainable financing; and also to

establish and maintain connectivity between the NE-PL source site of tigers with other neighboring

tiger conservation landscapes, by demarcating an established corridor and collaborating with other

forest managers to create a connected forest landscape.

The World Bank’s Operational Policies that are applicable for the EA are as follows:

OP/BP 4.01 Environmental Assessment. OP/BP 4.04 Natural Habitats. OP/BP 4.36 Forests

To examine the potential environmental risks and benefits associated with Bank financed

investments

To support integration of environmental and social aspects of investments into the decision making

process

Consult affected people, involve NGOs, and provide opportunities for their participation in the

environmental assessment aspects

Apart from these, Lao PDR is a party to a number of ASEAN and international agreements such as:

ASEAN Agreement on the Conservation of Nature and Natural Resources (1985). Parties have

agreed on development planning, the sustainable use of species, conservation of genetic diversity,

endangered species, forest resources, soil, water, air and processes of environmental degradation and

pollution.

3

United Nations Convention on Biodiversity (1996). Under this convention, Lao PDR has agreed to

conduct an Environmental Assessment of proposed development projects with a view to minimize

harmful effects.

Convention on International Trade in the Endangered Species of Fauna and Flora (2004). Provides

international umbrella for management and control of trade in endangered fauna and flora. Tiger is

listed as CITES Appendix 1 species for which all international trade is prohibited.

United Nations Framework Convention on Climate Change (UNFCCC) 1995. The Government of

Lao PDR (GoL) joined the global community to combat climate change by ratifying this

Convention. As a developing country (non-Annex I), there is no requirement for Lao PDR to reduce

its greenhouse gas emissions. The country also ratified the Kyoto Protocol in 2003 and thus may be

eligible for involvement in carbon trading through a compliance market of the Clean Development

Mechanism (CDM) as well as the international voluntary greenhouse gas emission trading.

Ramsar Convention 1982. The GoL has worked on accession to Ramsar since 2003, and officially joined the

Convention on 28 September 2010. Two wetlands of international importance have been designed as

Ramsar sites as part of the accession process which are the 'Xe Champhone Wetlands' in Savannakhet

Province (12,400 ha) and the 'Beung Kiat Ngong Wetlands' in Champasak Province (6,000 ha).

(c) Project description.

The project area consist of select areas in the Nam Et-Phou Louey National Protected Area (NE-PL NPA),

which is operated under the authority of the Nam Et-Phou Louey Protected Area Management Unit with

technical support from the Wildlife Conservation Society (WCS) (Figure 1). The NPA is located in

northeastern Lao PDR covering 422,900 ha of mountainous terrain (Figure 2) and is representative of the

Northern Indochina Subtropical Forests Ecoregion (IMO1371). The NE-PL NPA ranks high in the national

protected area system for contributing the highest biological diversity of any protected area in this Northern

Highlands region (Davidson 1998; Ling 1999), and is best known for harboring the last known breeding

wild tiger population remaining in Indochina (Walston et al., 2010). The northern boundary of the NPA

borders Vietnam and a proposed expansion of the protected area spans three provinces and seven districts

including Luang Probing Province (Viengkham and Phonxay districts), Houaphan province (Viengthong,

Huamuang, Xamneua, and Xiengkhor districts), and Phoukoud district in Xieng Khuang province. This

district is known to be one of 47 poorest in Lao PDR. Altitudes in the NPA range from 400-2257 m with

over 60% of the land area above 1000m and 91% of the area along slopes greater than 12%. Approximately

a total of 30,000 people in 98 villages are known to live in and adjacent to the NPA. Approximately 80% of

the land area in Viengthong district alone is NE-PL NPA.

The NE-PL NPA landscape has a long history of human settlement by people from three major ethno-

linguistic groups, including the Lao-Tai (Tai Lao, Tai Dam, and Tai Deng), the Mon-Khmer (including

Khmu and Lao Khaa), and the Hmong-Iu Mien (including Hmong and Iu Mien), who today remain largely

engaged in subsistence agriculture activities with limited integration in the market economy.

NE-PL NPA has been chosen as the pilot site to demonstrate NPA model development for several reasons.

Firstly, NE-PL NPA ranks high in the national protected area system for contributing the greatest biological

diversity of any protected area in the Northern Highlands region of Laos (Ling, 1999) and contains two

contiguous Important Bird Areas and is in a Class I Tiger Conservation Landscape, with the only known

breeding population of tigers in Indochina. Over the past decade, the main threat to natural resources in the

NE-PL NPA has been the unregulated over-harvesting of wildlife for illegal trade and to a lesser degree for

subsistence. Forest clearing for agriculture has also had an important impact on the NPA (Davidson 1998;

MAF 2003; Johnson et al. 2006; WCS unpublished data). 1 Ecoregion codes are those used by WWF/National Geographic http://www.nationalgeographic.com/wildworld/terrestrial.html

4

Wildlife Conservation Society (WCS) has been partnered to assist GOL’s agencies to implement the project

activities. The WCS is experienced with the Bank policy through the implementation of a Bank project

funded by GEF Integrated Ecosystem and Wildlife Management Project (IEWMP) in Nam Kading NPA.

Already WCS has been working in NE-PL for five years, and engaging strongly, and with high

participation, with the local villages, including the ethnic groups. They have already proven to work

effectively in the area.

Figure 1. Institutional Arrangements for Nam Et-Phou Louey National Protected Area (after Appleton et al.

2003).

Research & Monitoring

Section

Enforcement Section

Ecotourism Section

Administration Section

Land Use Management

Section

WCS Technical Assistance

WCS Site Coordinator

-Finance

-Equipment

- Transportation & Maintenance

District Teams working in:

54 Villages

37 Schools

9 Military Bases

-1 Checkpoint

-3 Mobile Units

- 8 Forest Substations

-Tiger & Prey Monitoring

-Biodiversity Monitoring / Research

-Monitoring Natural Resource Use

-

-Visitor Information Center

-Wildlife-based Tourism

-ADB Livestock Project

-German Development Service Technical Support

-World Bank projects on rural development

NPA Manager

Conservation Outreach Section

Nam Et – Phou Louey Protected Area Advisory Committee

5

6

In December 2010, construction began on an old four-wheel vehicular road inside the NE-PL NPA, Phathi

Road, which was degraded and no longer traversable by cars. The road section of 31 km runs east-west

through the core zone, which is a critical habitat for the last known breeding tiger population in Indochina

(Lao, Vietnam and Cambodia). The road development included widening the existing route to four-meters

wide, completed by mid 2011. The construction has continued, widening the road to an average of nine

meters (to create a rural unsealed road of 6-m wide road with 1.5-m wide shoulders). Construction of the

road has brought about strong concerns regarding increased access to the core zone of the protected area,

including the key tiger’s habitat. The developer is the Ministry of Defense who will hand over the upgraded

road to the Province one year after completion of civil work. The Protected Area Management Unit and the

Ministry of Natural Resources and Environment (responsible for both protected areas and for environmental

compliance) were not initially involved in the planning and construction of the road at the national or

provincial level. A Road Co-management Plan has been developed to address these concerns.

Project Development Objective: To test, in selected areas of the Nam Et-Phou Louey National Protected

Area (NE-PL NPA), targeted activities for sustainable natural resource use and protection of selected

species threatened by human interaction.

Component 1: Management and conservation working models, within NE-PL NPA including

implementation of co-management of infrastructure in sensitive habitats. (US$

678,000).

Under this component, the project will strengthen Protected Area Management Unit (PAMU) capacity to

monitor and manage harvests of managed species for sustainable use in the Controlled Use Zone within the

NE-PL NPA. Activity includes a) Community Awareness Raising in 30 NPA villages aimed to raise

community awareness and understanding of, and ultimately their compliance with, NPA regulations; b)

Village Natural Resource Agreements with approximately 20 communities including those in the

controlled use zone near the Phathi Road to map village use areas and ratify village agreements with the

NPA for wildlife and land-use management; c) Monitor Change in Harvest of Wild Foods and Estimate

Sustainability of Wildlife Off-take. Results of monitoring will be incorporated into campaign messages

and used to adapt agreements for PA zoning and wildlife use; and d) Expand patrolling effort and ranger

substations to secure Totally Protected Zone, reduce illegal/unsustainable wildlife trade, and encourage

villages to graze their livestock at their village’s area rather than in the core zone. These activities will allow

the Protected Area Management Unit, WCS, the Province and District to work together to ensure that access

to the core zone along Phathi Road is managed and monitored.

Furthermore, this component will demonstrate best practices to mitigate anticipated impacts from the use of

Phathi Road through supporting the implementation of the Co-Management Plan which includes awareness

raising on the use of Phathi road; establishing a lock gate and check point at the two ends of the road;

establishing one substation along the road and financing permanent staff at the two check points and

substation to carry out patrolling activity; establishing access monitoring system; conducting training staff

on patrolling along the road; supporting land use planning in the villages near to the road; and supporting

the development of long term Phathi road management plan.

This component will include developing alternative community livelihoods within and near the NE-PL NPA

to help local villagers including ethnic minorities minimize their dependency on wild meat consumption and

collection of NTFPs and mitigate potential short-term negative impact following the introduction of

7

restricted access to natural and forest resources under the GEF project.

Two co-financiers will provide financing to the development of alternative community livelihood.

KfW/GiZ funded Climate Protection through Avoided Deforestation Project (CliPAD) will support the

Participatory Land Use Planning (PLUP) in all 30 target villages, and develop alternative community

livelihood in 15 of them through providing training and demonstration as well as the provision of in-kind

inputs. PLUP will help target villagers demarcate various categories of land based on the existing land use

patterns. Based on the results, villagers will be assisted identifying and developing alternative community

livelihoods. Initial expectation is that the livelihood support would center around increasing small and large

livestock productivity within the allocated areas.

The World Bank financed Poverty Reduction Fund (PRF), through its Livelihood Opportunity and Nutrition

Gain (LONG) component, will support alternative community livelihoods in the other 15 target villages

where CliPAD will conducts PLUP but will not provide subsequent livelihood support. Specifically, LONG

will provide training, technical support and block grant for groups of affected villagers to start up and

implement their livelihood activities that will be identified through participatory processes. All these

livelihood priorities, and the implementation arrangement and timeframes jointly identified between PRF

and villagers, will be documented in the Village Development Plan (VDP) and in the Village Natural

Resource Agreement (VNRA) as part of the Process Framework and Ethnic Peoples Plan when applicable.

Component 2: Working models of ecotourism for community engagement and sustainable financing.

(US$130,000)

Under Component 2, project will build capacity of the NPA MU and local communities to diversify revenue

for forest and wildlife management by generating alternative income through ecotourism-based activity. It

aims to Operationalize Feasible Ecotourism Products in NE-PL NPA and Establish Mechanisms for

Making the Revenues Directly Available for the Management of the PA. Activity includes a)

development of guidelines and regulations on the development of ecotourism activity in NE-PL NPA; b)

organize village structure to manage and run ecotourism activity in their village area; c) support the

establishment of ecotourism based facility such as tourism camping station and trekking route etc.

Component 3: Dissemination and replication working models of NE-PL NPA within Lao PDR.

(US$33,795)

Under the Component 3, a NE-PL NPA management model will be produced, and disseminated to

practitioners from the protected areas in Lao. Activity includes a) TA to Synthesize the lessons from NE-

PL NPA, on: (i) sustainable natural resource use by villages inside a protected area; (ii) tiger conservation;

(iii) ecotourism based livelihoods for local communities; and (iv) management of infrastructure, particularly

roads in sensitive habitats in multiple use protected areas; and b) Incorporation of the protected area

management model into a curriculum to train at the National University of Lao (NUOL) and

disseminate it through workshops with DFRM and related agencies.

Component 4: Project management. (US$37,205)

This component will support the implementation of entire project components. Activities will include the

management of staff; implementation of activities under the three core components; the management of

stakeholder relations; the management of project finances and procurement; and support for the needs of

8

WCS to work with the NE-PL PAMU and NE-PL PAMAC.

(d) Baseline data.

The NPA was established under Prime Minister’s Decree 164 on October 29th

, 1993. The NE-PL NPA has

been under active management since 2000 with ongoing international support, first from IUCN

(International Union for the Conservation of Nature) until 2002 followed by WCS from 2003 to the present

(Johnson, in press).

Study Area2:

1. Physical

Due to existence of Provincial Road 3204 intersecting the habitat, two otherwise contiguous National

Protected Areas, Nam Et and Phou Louey, were gazetted in 1993. Since the time of designation, the two

NPAs have been treated as one, managed under one Protected Area Management Unit, and referred to as

Nam Et-Phou Louey NPA. NE-PL NPA covers 422,900 ha of mountainous terrain in northern Lao PDR.

The northern boundary of the NPA borders Vietnam and a proposed expansion of the protected area spans

three provinces and seven districts including Luang Phrabang Province (Viengkham and Phonxay districts),

Houaphan province (Viengthong, Huamuang, Xamneua, and Xiengkhor districts), and Phoukoud district in

Xieng Khuang province. Altitudes in the NPA range from 400-2257 m with over 60% of the land area

above 1000m and 91% of the area along slopes greater than 12%.

2. Biodiversity

The NE-PL NPA ranks high in the national protected area system for contributing the highest biological

diversity of any protected area in this region. The original vegetation of this region was primarily dry

evergreen forest mixed with large areas of deciduous forest (Duckworth et al. 1999). Today, mature forest

defined as “areas with at least 20% canopy cover and a 30 m canopy” are uncommon in the Northern

Highlands. In areas of the NPA, prolonged shifting cultivation and fire have resulted in forests being

replaced by large areas of Imperata grass, bamboo and other secondary vegetation. Amidst this landscape,

72% of the NE-PL NPA is covered in mixed evergreen deciduous forest up to 1500 m transitioning into

evergreen forest from 1500 to 1800 m, which is interspersed with beech forest and rhododendron species

above 1800 m. These forested areas are embedded in a mosaic of old shifting cultivation fallow and bamboo

groves. Much of the wildlife of the Northern Highlands is akin to that of the Himalayan Palaearctic region

(MacKinnon and MacKinnon 1986, in Duckworth et al. 1999). Among the wildlife of Laos, relatively little

is known about the reptile and amphibian diversity. The first and only recent survey of the herpetofauna in

the NE-PL NPA was undertaken in 1998 (Stuart 1998). Preliminary surveys of the avifauna in the NPA

were first undertaken in 1998 (Davidson 1998) and resulted in a list of 299 species. Phou Louey mountain is

identified as especially important as it contains a distinctive montane bird community with ten species that

are known from only one or two other localities in Laos. NE-PL NPA is probably best known for its

mammals and most notably for harboring one of the most important tiger populations remaining in

Indochina (Johnson et al. 2006; Dinerstein et al., 2006); the only tiger source site (i.e. a breeding and viable

population) in Indochina. The Lao Tiger National Action Plan lists as priority action “creation of an

inviolate core zone for the NE-PL NPA tiger population” in recognition of the importance of this

population. In addition, the NPA also lies within the second most important core area in the world for

supporting small carnivore taxa including six cat species, Asiatic Dhole, two bear species, and eleven small

2 Excerpts from Johnson, A. In press. A landscape summary for the Nam Et-Phou Louey National Protected Area, Lao PDR. In Synergies and tradeoffs between

biodiversity conservation and local livelihoods of the Lower Mekong countries. Bogor: Center for International Forestry (CIFOR)

9

carnivore mammals.

3. Socio-economic

The landscape within the NE-PL NPA has a long history of human settlement, which is evident today in the

patches of secondary forest, stands of bamboo and anthropogenic grasslands that were traditionally burned

for hunting and cattle grazing. There are 34 villages inside the NPA management zone and 64 villages

bordering the NPA boundary, with a mean population of 313 people per village (Schlemmer 2002). The

population is made up of three major ethno linguistic groups including the Tai-Kadai (Tai Lao, Tai Dam,

and Tai Deng), the Mon-Khmer (including Khmu), and the Hmong-Mien (including Hmong and Iu Mien).

Most families are engaged in subsistence agriculture activities with little integration in the market economy.

Rice is the staple food and is primarily produced through rotations of shifting cultivation on steep

mountainous slopes. Meat and vegetables are raised or harvested from the forest. Although Lao has over

40% forest cover and less than 22 people per km2 (ICEM 2003), hunting and fishing techniques are diverse

and extensive, including traps, snares, bows and guns that are used to capture a wide range of animals

(Duckworth et al. 1999). In a 2005 village survey in NE-PL NPA, squirrels, deer, fish, pigs, pheasants and

partridges were reported the most commonly eaten on a monthly basis (Johnson unpublished data).

4. NE-PE NPA Management Activities

Current NE-PL NPA management activities follow the guidelines of the national Forestry Law (GoL,

2007a) for the management of conservation forests and include: law enforcement, conservation outreach

and education, ecotourism, land use management, and wildlife and habitat monitoring (see Figure 1). The

proposed activities under the project, Developing and Demonstrating Replicable Protected Area

Management Models at Nam Et -Phou Louey National Protected Area (P113860) may relate to, i) Natural

Habitats, and ii) Forests, especially the forest areas of involved project’s villages.

5. Other Non-Project Activities in the NPA

As the NE-PL NPA is made up 80% of Viengthong district; other infrastructure facilities exist and are being

developed in and near the NPA, which are not related to project activities, in order to provide services to

people living in the district area. These facilities are 1) a national road 1C runs east-west to the south of the

NE_PL NPA connects Louangphrabang and Houphanh provinces; 2) a road number 3204 runs north-south

of the NE-PL NPA connects Sone area (former Sone district) with Viengthong district town and exit to

Xiengkhouang province; and 3) government financed electrical and telephone lines from Viengkham

district, Louangphrabang province through the existing road alignments (road 1C and 3024); and 4)

ongoing development of Phathi road 61 Km east-west to the north of NE-PL NPA in which 31 Km runs

through the TPZ.

(e) Potential Environmental impacts under project activity.

1. Outline of Activities and Potential Positive and Negative Impacts:

Activities:

Component 1: Management and conservation working models, within NE-PL NPA including

implementation of co-management of infrastructure in sensitive habitats. (US$

678,000).

Under this component, the project will strengthen Protected Area Management Unit (PAMU) capacity to

10

monitor and manage harvests of managed species for sustainable use in the Controlled Use Zone within the

NE-PL NPA. Activity includes a) Community Awareness Raising in 30 NPA villages aimed to raise

community awareness and understanding of, and ultimately their compliance with, NPA regulations; b)

Village Natural Resource Agreements with approximately 20 communities including those in the

controlled use zone near the Phathi Road to map village use areas and ratify village agreements with the

NPA for wildlife and land-use management; c) Monitor Change in Harvest of Wild Foods and Estimate

Sustainability of Wildlife Off-take. Results of monitoring will be incorporated into campaign messages

and used to adapt agreements for PA zoning and wildlife use; and d) Expand patrolling effort and ranger

substations to secure Totally Protected Zone, reduce illegal/unsustainable wildlife trade, and encourage

villages to graze their livestock at their village’s area rather than in the core zone. These activities will allow

the Protected Area Management Unit, WCS, the Province and District to work together to ensure that access

to the core zone along Phathi Road is managed and monitored.

Furthermore, this component will demonstrate best practices to mitigate anticipated impacts from the use of

Phathi Road through supporting the implementation of the Co-Management Plan which includes awareness

raising on the use of Phathi road; establishing a lock gate and check point at the two ends of the road;

establishing one substation along the road and financing permanent staff at the two check points and

substation to carry out patrolling activity; establishing access monitoring system; conducting training staff

on patrolling along the road; supporting land use planning in the villages near to the road; and supporting

the development of long term Phathi road management plan.

This component will include developing alternative community livelihoods within and near the NE-PL NPA

to help local villagers including ethnic minorities minimize their dependency on wild meat consumption and

collection of NTFPs and mitigate potential short-term negative impact following the introduction of

restricted access to natural and forest resources under the GEF project.

Two co-financiers will provide financing to the development of alternative community livelihood.

KfW/GiZ funded Climate Protection through Avoided Deforestation Project (CliPAD) will support the

Participatory Land Use Planning (PLUP) in all 30 target villages, and develop alternative community

livelihood in 15 of them through providing training and demonstration as well as the provision of in-kind

inputs. PLUP will help target villagers demarcate various categories of land based on the existing land use

patterns. Based on the results, villagers will be assisted identifying and developing alternative community

livelihoods. Initial expectation is that the livelihood support would center on increasing small and large

livestock productivity within the allocated areas.

The World Bank financed Poverty Reduction Fund (PRF), through its Livelihood Opportunity and Nutrition

Gain (LONG) component, will support alternative community livelihoods in the other 15 target villages

where CliPAD will conducts PLUP but will not provide subsequent livelihood support. Specifically, LONG

will provide training, technical support and block grant for groups of affected villagers to start up and

implement their livelihood activities that will be identified through participatory processes. All these

livelihood alternatives, and the implementation arrangement and timeframes jointly identified between PRF

and villagers, will be documented in the Village Development Plan (VDP) and in the Village Natural

Resource Agreement (VNRA) as part of the Process Framework and EPP when applicable.

Component 2: Working models of ecotourism for community engagement and sustainable financing.

11

(US$130,000)

Under Component 2, project will build capacity of the NPA MU and local communities to diversify revenue

for forest and wildlife management by generating alternative income through ecotourism-based activity. It

aims to Operationalize Feasible Ecotourism Products in NE-PL NPA and Establish Mechanisms for

Making the Revenues Directly Available for the Management of the PA. Activity includes a)

development of guidelines and regulations on the development of ecotourism activity in NE-PL NPA; b)

organize village structure to manage and run ecotourism activity in their village area; c) support the

establishment of ecotourism based facility such as tourism camping station and trekking route etc.

Component 3: Dissemination and replication working models of NE-PL NPA within Lao PDR.

(US$33,795)

Under the Component 3, a NE-PL NPA management model will be produced, and disseminated to

practitioners from the protected areas in Lao. Activity includes a) TA to Synthesize the lessons from NE-

PL NPA, on: (i) sustainable natural resource use by villages inside a protected area; (ii) tiger conservation;

(iii) ecotourism based livelihoods for local communities; and (iv) management of infrastructure, particularly

roads in sensitive habitats in multiple use protected areas; and b) Incorporation of the protected area

management model into a curriculum to train at the National University of Lao (NUOL) and

disseminate it through workshops with DFRM and related agencies.

Component 4: Project management. (US$37,205)

This component will support the implementation of entire project components. Activities will include the

management of staff; implementation of activities under the three core components; the management of

stakeholder relations; the management of project finances and procurement; and support for the needs of

WCS to work with the NE-PL PAMU and NE-PL PAMAC.

i) Natural Habitats.

The project will not result in any significant degradation of natural habitat or critical natural habitats. The

project is likely to bring about greater positive impacts on the natural habitat through the different activities

planned such as the awareness raising and participation of the local communities on natural resource use in

the NPA Controlled Use Zone; monitoring data on wildlife use; improving coordination and enhancing the

capacity of the local government to expand activities to secure the Totally Protected Zone; reducing illegal

wildlife trade; and providing incentives for habitat conservation to local people.

Forest and Wildlife management: Under the NE-PL NPA management structure (Figure 1), the Law

Enforcement Section has been in place since March 2005. The NPA, with the support of district

governments, has demarcated a 304,623 ha Totally Protected Zone (TPZ) (Figure 2) following the

requirements outlined in the National Wildlife Law (GoL 2007b), which prohibits any hunting, agriculture,

logging or non-timber forest product collection within the TPZ. The remaining area of the PA is Controlled

Use Zone (CUZ) in which villagers can exercise customary rights to use of forest resources, regulated by

the Forestry and Wildlife Laws (of 2007). For example, they can use traditional tools, in certain seasons to

hunt non-protected animals, at low level for household consumption only, and can collect NTFPs and some

timber for household use. From July 2005 to June 2007, there were three part-time foot patrol teams that

spent an average of ten days per month in the TPZ checking for criminal activities. Since July 2007, the

NPA has recruited and trained over 60 permanent enforcement staff. Inside the TPZ, this includes 45 staff

in seven substations. It is planned to build a further 3 substations including one along Phathi road. Each

12

substation is built in a strategic location on the border of the TPZ and the Controlled Use Zone (CUZ).

Each substation houses 6-8 full-time staff who conduct foot patrols in their respective sector of the TPZ. To

guide these patrol teams, the NPA worked with district and provincial governors to draft and ratify

regulations for the NPA (GoL 2008). The regulations specify the boundaries of the NPA TPZ and CUZ and

identify legal and illegal activities for each zone. The substations are one room structures, twenty four

square meters in size, with a detached kitchen and toilet. The structures are constructed from wood, metal

roofing and concrete posts sourced outside the NPA from local vendors (Figure 3). All substations have

been, and will be, built in strategic locations – already cleared areas (old village land or agricultural land).

Thus, there is no clearing involved. This maximizes enforcement effectiveness while minimizing

environmental impacts on the TPZ and the CUZ. The same high standards of minimal environmental

impact will be used for the three additional substations that are planned to be built.

Since the first substation was built in July 2007, the NE-PL NPA has recorded no significant environmental

impacts from the construction and operation of seven existing substations on the border of the TPZ and the

CUZ

Figure 3. This photo shows the Nam Nern Substation on the edge of the TPZ and the CUZ, which was built

on land that was a village more than 20 years ago and did not regenerate, and the substation is representative

of the other substations that are on the periphery of the TPZ.

Ecotourism: Under the NE-PL NPA management structure (Figure 1), the Ecotourism Section has been in

place since 2005. Based on the outcome of an ‘ecotourism feasibility study and business plan’ by Haas

Business School, a number of potential ecotourism products were identified. The NPA, with the support of

district governments and WCS, began establishing one of these products, the Nam Nern River Trip in 2009,

and it has been operating for tourists since early 2010. Visitors travel overnight by boat to the Nam Nern

River Camp (Figure 4). The eco-camp consists of six simple wooden structures, including guest huts for

sleeping, a staff house, a sala (small open hut) for meals, a detached kitchen, toilet and showers. All

structures are made from materials that are sourced from outside of the NPA. The facility can house up to

six guests at any one time. The river trip has a maximum of 2 trips per week, with a maximum of 6 people

per boat trip - so there is a maximum of 12 tourists/week for the Nam Nern River Trip.

A further two or three ecotourism products will be developed, and will likely all be overnight treks. It is

anticipated that during the GEF project two more eco-camps will be built, to facilitate two or three overnight

forest treks. Minimal environmental impacts will be ensured; treks will only follow existing trails, and will

avoid routing through sensitive areas.

The Nam Nern River Camp was built on previously cleared land that was a village area abandoned around

20 years ago that never regenerated back to forest. As with the Nam Nern eco-camp, additional ecotourism

13

facilities (eco-camps) will be built on already cleared land, in strategic locations to maximize ecotourism

appeal while minimizing environmental impacts on the NPA.

Ecotourism planned is likely to increase the number of tourists to the NPA. The Haas Team generated an

estimate of the number of potential tourists per year, if all three/four products are operating. They based this

on current numbers of tourists to the province and according to demand. The number of tourists that go to

that province is currently around 3000, and increasing a little every year. The report stated that they expect

the NE-PL NPA will be able to capture 3-5% of the tourists that come to the province, thus they expect, for

the GEF period:

YR 1 - 120 tourists in the year,

YR 2 – 230 tourists, and

YR 3 - 350 tourist.

In the pilot year, with only the Nam Nern River Trip, the NPA received 53 tourists for 8 months.

Potential minor environmental impacts from the patrol substations and ecotourism activities are recognized

by the NE-PL NPA management team:

Water quality: grey water generated from toilets and kitchens at substations and ecotourism camps along

riparian areas in the TPZ may cause eutrophication and affect the water quality and aquatic fauna; washing

of motorbikes and vehicles by staff near the rivers may cause turbidity and minor spill of hydrocarbon on

the water surface;

Solid wastes: improper household waste disposal from substations and ecotourism camps may cause waste

disposal in the small forest streams near the camps and substations.

Biodiversity: there may be minimal use of non-protected resources around the substations and ecotourism

lodges by staff; and:

It is anticipated that no chemicals and pesticides will be applied in the project activities. There will be no

procurement of pesticides or fertilizers through the project, nor will the project lead to an increase in use of

pesticides or fertilizers in the project area.

Figure 4. This photo shows the Nam Nern River Camp on the edge of the TPZ and the CUZ, built on

abandoned village land, and is representative of other ecotourism facilities planned under the project.

Village resource agreements: through participatory consultation process, will expand the work with

communities to actually map village use areas and ratify village agreements with the NPA for wildlife and

land-use management, including villages in the controlled use zone area near the Phathi Road. With village

agreements in place, on-the-ground work with households in a representative subset of villages will allow

for implementation of project plans including the agreement on future use of the Phathi road. The agreement

will apply equally also to the outsiders. For the long term, once these agreements are effectively

implemented, natural resources will be properly managed and wise used by villagers. With lest exploitation

of natural resources, the habitat is expected to be improved over the time,

14

ii) Forests.

This project will not involve or support any logging activities and/or wood processing industries in project

village’s areas. However, the project will support a consultation process in order to reach an agreement with

project villages on land use planning and sustainable use of Non-Timer Forest Products (NTFP) within the

Control Use Zones (CUZ) of participating villages. It was indicated in the project document that land use

planning and resource use agreement would be ratified in 20 project villages in or near the NE-PL NPA

including villages close to the Phathi Road area.

Land and forest use zoning: the process was completed during 1990s for most villages in and near the NPA.

Supported by the government’s Land and Forest Allocation Program, village maps have been produced to

indicate overall village area; agricultural land including livestock grazing areas; forest areas including forest

use and conservation areas. Villagers are authorized to us the area for agriculture activity, wood collection

for construction and firewood, collection of NTFP and sometimes wild meat of managed species for their

own consumption.

Collection of NTPF: As indicated in project documents, livelihood of local communities is heavily realized

on forest resource. NTPF plays an important role on household economy; it provides food and seasonal

income to accommodate the use for medicine; schools; and to improve housing. This project will improve

their sufficient use of NTFP by establishing agreements with project villages to manage and collect NTFP in

the CUZ.

15

Figure 5. This photo shows map of Houaydteun village located along road #3204. Village map provides

village area, agriculture and forest areas that is belonging to village.

Figure 6. Samples of NTFP seasonally collected by villagers near NE-PL NPA. Cardamom on the left and

medicine bark on the right, seasonal collected for sell, trader will collect in the village.

16

Project's likely positive and negative impacts

Compone

nt

Activities Actions Positive Impacts Negative

Impacts

Mitigat

ion

Managem

ent and

conservati

on

working

models,

within

NE-PL

NPA

including

implement

ation of

co-

managem

ent of

infrastruct

ure in

sensitive

habitats.

Community

Awareness

Raising

Interactive

community

awareness

raising in

dialect of that

village (eg Lao,

Hmong, Khmu,

Mien)

Community learns PA

regulations in local

language; creates

community

involvement in

management; creates

compliance with

regulations

None n/a

Village

Natural

Resource

Agreements

Map village use

areas, ratify

village led

agreements on

use

Sustainable off take of

NTFP and wildlife,

which leads to long

term food security and

biodiversity protection

May lead to

change in areas

and

amount/season of

NTFP collection

- Monitor

change in

harvest of

wild food

-

supplemen

t with

agricultura

l

assistance

through

PRF/JSDF

Monitor

change in

Harvest of

Wild Food,

Estimate

Sustainabilit

y of

Wildlife Off

take

Cook pot

studies in

households.

Results used in

awareness

raising and in

adaptive

management for

agreements

mentioned

above

Developing

improved rice

productivity

Improving

livestock

husbandry and

fodder

Increased rice and

livestock reduces

pressure on forest

products and increases

villagers’ food security

Improved livestock

raising means less

livestock enter forest

for forage, so less

damage to forest and

less predation by tigers

(which leads to revenge

killings of tigers)

As above As above

Expand

patrol and

substation to

secure

Already half of

the NPA is

protected by

permanent

Secure the TPZ to

protect tigers and their

prey, and also habitat

Waste from

operation of

substations

-Bathe

and clean

dishes in

designated

17

Totally

Protected

Zone,

reduce

illegal/unsus

tainable

wildlife

trade,

encourage

villages to

graze their

livestock at

their

village’s

area rather

than in the

core zone,

and

implement

Co-

Managemen

t of the

Phati Road.

patrol teams

who work out

of small

wooden

substations in

remote areas –

this will expand

to cover the rest

of the TPZ of

the NPA.

Additional

action on low

enforcement

will be

undertaken as

part of Phathi

road co-

management

plan.

Create ownership of the

NPA from involved

partners (forestry staff,

police, military,

villagers)

People (whether

villagers or

outsiders)

conducting illegal

activities may

receive warnings

or fines

Staff may collect

local resources

areas that

are far

away from

the water

sources.

- Treat

grey water

in the

containme

nt areas or

septic

tanks.

- Use

water and

detergent/

washing

liquids

efficiently

to reduce

the

amount of

wastewate

r and

chemicals.

- Dispose

biodegrad

ables in a

designated

areas;

compost

biodegrad

ables

where

feasible.

- Recycle

recyclable

s and

remove

non-

biodegrad

able from

the site

where

possible.

- No

collection/

18

purchase

of non-

timber

forest

products

for

personal

consumpti

on

- No

hunting of

wildlife

for

consumpti

on and

sale

- No

Illegal

collection,

purchase

or sale of

natural

resources.

Working

model of

ecotouris

m for

communit

y

engageme

nt and

sustainabl

e

financing.

Operationali

se

ecotourism

products,

and make

revenue

available for

PAs

managemen

t

Feasibility

study and list of

feasible

ecotourism

products was

created last year

One ecotourism

product now in

place (river

wildlife spotting

and overnight

camp)

Two more

products will be

developed, eg a

trek

Create a

mechanism to

get revenue

directly to PA

and concerned

Linking wildlife

presence to income

generation from

ecotourism will

provide:

(a) Funds for

management

(b) Funds for village

development

(c) Income for

villagers providing

services

(d) Ownership of the

NPA by local

government and

people

(e) Publicity for NE-

PL NPA

(f) Link wildlife and

income so that

locals and

managers work

harder to protect

Possible small

impacts from

operation (i.e.

waste), and

tourist numbers.

Effect of tourists

on local culture

and spirit forest

As above

- Discuss

with

tourists

the do’s

and don’ts

related to

the local

culture;

avoid

spirit

forest for

treks

19

villages (rather

than to central

government or

only to tour

operator)

habitat and

wildlife

Opportunities for

outsiders to see NE-PL

wildlife

Creates a model for

Laos

Dissemina

tion and

replication

working

models of

NE-PL

NPA

within

Lao PDR.

Develop

training

modules

Based on

lessons from all

above activities,

create modules

on PA

management.

Builds on work

already

conducted by

WCS with the

National

University

Increased information,

understanding and

capacity to undertake

best practice PA

management in Laos,

based on real life

models not just theory

None n/a

Disseminate

NPA

models

Modules taught

in participative

way at National

University and

at other PAs.

Builds on work

already

conducted by

WCS with the

National

University

Increased information,

understanding and

capacity to undertake

best practice PA

management in Laos,

based on real life

models not just theory

Training of trainers

None n/a

(f) Environmental Management Plan (EMP)

It is NE-PL management policy to conduct an environmental and social risk assessment of the key

environmental aspects identified above prior to the construction of additional substations, ecotourism

camps, and forest associated activity. The management team conducts risk assessments3 to adequately

assess and prevent threats to the environment from building and operating the substations and ecotourism

facilities and ensure that all management practices are environmentally sound and sustainable.

For instance, septic tanks will be built to treat sewage and grey water generated from showers and washing

to minimize the impact on surface and ground water quality. Solid wastes will be separated and treated

using appropriate disposal methods. Recyclables (plastics and glasses) will be collected for recycling and

organic wastes will be piled and left in a dedicated area for decomposition by bacteria in the environment.

Combustible materials will be burnt in a manageable size and suitable wind direction to reduce the amount

3 As defined by the OP 4.01, Annex A – Definitions.

20

of solid wastes. Non-combustible materials will be dumped and covered with soil on a regular basis in a

small pit which is far away from the water sources. In addition, only fallen twigs and timber left on the

ground will be collected and used as fuel wood. Cutting trees for fuel wood will be prohibited and lighting

of fires for camping and cooking will be carried out in a designated area to avoid forest fires.

The project will also minimize the potential environmental related impacts through good planning, design

and applying sound engineering techniques that are eco-friendly to the areas that the facilities will be

located as detailed below:

Construction of Substations and Ecotourism Camps

The NE-PL NPA management team assigns NPA staff to be responsible for construction of any

infrastructure within the NPA. The responsible NPA staff conducts a reconnaissance survey of the potential

site location prior to developing a construction plan. The team determines which substation site has the

highest potential to implement effective enforcement with the minimal impact to the TPZ or the CUZ. In

the case of an ecotourism camps, a similar visit is conducted while considering the tourist experience and

the potential environmental impacts the camp will have on the site location.

Following the field survey for site selection, the team develops a construction plan for the site. This

includes detailed descriptions of toilet and kitchen placement, and the distance the structures will be from

any surface water source, for example stream, river or wet areas. During construction of these small

facilities, care is taken to have a minimal impact on the surroundings. After construction is complete,

excess building materials and waste is removed from the construction site.

Substation and Ecotourism Camp Operations

While the substations and ecotourism camps are being created, the NPA team recruits staff to operate the

substations and camps. Once the human resources to operate the facilities have been hired, they receive

extensive training on managing the substations and camps.

Collection of NTFPs

During the project implementation, a detailed plan will be developed on awareness raising activities, village

consultation will be conducted to inform/discuss village and forest areas, and the important NTFPs.

Villagers will be consulted, agreed, and participated in identifying the CUZ area, all manage species of

NTFP and wildlife. A plan will be developed jointly with villagers as part of NE-PL PA management plan

to manage and control the use of NTFPs within the CUZ, this will include: authorized areas for collection,

types of NTFPs, seasons and cycles to be collected; where and how to sell; establishment of a committee to

manage the selling and subsequent management of revenue for the benefit of the village as whole. The plan

will also be considering an opportunity for creating a plantation of local species in the forest area such as

cardamom, where forest clearance is not required or permitted. If adopted, the plantation plan will require

special care to minimize disturbances.

Livelihood support activities: There are two co-financiers to this project. The Bank funded Poverty Reduction Fund (PRF) project, using grant

financing from the Japan Social Development Fund (JSDF), will provide a parallel financing of $640,000 for

participative livelihood development in some target villages. PRF staff experienced in subproject screening process,

activity implementation will be using their own safeguard mechanisms that are in line with Bank procedures and

policies and thus compatible with this EMP. The KfW funded Climate Protection Through Avoided Deforestation

Project (CliPAD) will also provide a co-financing of 700,000 to the project. Funds will be provided to relevant district

officials (e.g. District Agricultural and Forest Office) to implement project activities as well as to WCS to develop the

capacity of relevant district officials. Project activities funded by CliPAD will be conducted as per provisions of this

EMP. The NE-PL Management Unit (PAMU) will coordinate and monitor project implementation.

Environmental Management Plan (EMP)

The following section provides proposed mitigation measures, monitoring, responsibility Implementation

21

Schedule and Costing as shown in table 1 below:

Table 1. Summaries of potential environmental impacts, mitigation measures and training to reduce

environmental impacts at substations and ecotourism camp facilities, and to ensure the sustainable harvest

of NTFPs.

Potential

Impacts

Mitigation Monitoring Implementation

Schedule and Cost

Estimates.4

Responsibil

ity

Contamination

of surface and

groundwater

- Remove and dispose hazardous

materials outside the TPZ or CUZ

of the NPA.

- Bathe and clean dishes in

designated areas that are far away

from water sources.

- Treat grey water in the

containment areas or septic tanks.

- Use water and detergent/washing

liquids efficiently to reduce the

amount of wastewater and

chemicals.

- Biannual refresher training will be

provided to staff at substations and

ecotourism camps on proper

disposal and management of waste

water.

Log books will be maintained

at the substation and camps to

monitor the management of

waste water.

Through routine visits to

ecotourism camps and

substations senior staff will

physically observed if there is

any issue and determine

solutions to address should it

occurs.

Trainings conducted

twice a year

~$50 USD will be

budgeted for

materials and

indirect costs

annually.

WCS and

NPA

Managemen

t staff

Littering of

household

waste

inappropriately

- Dispose of biodegradables in

designated areas; compost

biodegradables where feasible.

- Recycle recyclables and remove

non-biodegradable from the site

where possible.

- Biannual refresher training will be

provided to staff at substations and

ecotourism camps on solid waste

management including methods for

proper disposal of non-

biodegradable using sanitary pit and

incinerations.

Senior NPA staff will make 4

routine visits to each

substation per year to

determine if household waste

is being disposed of properly.

Information will be recorded

into NPA log books to monitor

the long term management of

waste.

Trainings conducted

twice a year

~$50 USD will be

budgeted for

materials and

indirect costs

annually.

WCS in

collaboratio

n with NPA

Managemen

t staff

Biodiversity

loss from use

by

construction

workers and

tourists

- No collection/purchase of non-

timber forest products for

personal consumption;

- No hunting of wildlife for

consumption and sale;

- No Illegal collection, purchase or

sale of natural resources.

- Review the importance of the

TPZ and CUZ for construction

workers and tourists, including

introducing the rules and

regulations of the TPZ and the

repercussions of non-compliance

by NPA staff at substations or

ecotourism camps. Rules and

Substation and camp leaders

will report on the behavior of

staff, workers, and tourists at

monthly meetings.

Trainings conducted

twice a year

~$50 USD will be

budgeted for

materials and

indirect costs

annually.

WCS in

collaboratio

n with NPA

Managemen

t staff

4 Training modules will be part of an existing training schedule so direct costs will be lower. Routine visits of substations and

ecotourism camps are covered by existing budgets elsewhere in the project document.

22

regulations will be provided in a

booklet to inform the “dos and

don’ts”, while staying in the PA.

Air quality

such as dust,

excessive

noise, smoke

from setting

fires for

cooking and/or

camping.

- Enforce speed limit in the

community areas during the dry

seasons by staff.

- Limit construction seasonally to

reduce sedimentation load being

washed into the watercourses

- Minimize noise to personal

conversations. No multi-media

equipments and machinery are

allowed in substations or

ecotourism camps.

- Provide a training module on air,

water and noise pollution and

their associated effects on the

micro habitats around substations

and camps.

- Instructions provided on the

lighting and supervision of fires

in the forests for camp fires

No construction of substations

or camps will be authorized in

August and September when

rains and surface water are

moving across the area.

Senior NPA staff will make 4

visits to each substation per

year to determine if

substations are following the

policy of no multi-media

equipment or machinery at

substations.

Trainings conducted

twice a year

~$50 USD will be

budgeted for

materials and

indirect costs

annually.

WCS in

collaboratio

n with NPA

Managemen

t staff

Biodiversity

loss due to

over

harvesting by

local

communities

- Review the importance of the

TPZ and CUZ for communities

in selected villages in and near

the NPA, including introducing

the rules and regulations of the

TPZ and the repercussions of

non-compliance by NPA staff.

- Agreement on rules/regulations

by villages and disseminate to all

villagers in and near village.

- Develop an action plan and

establish a responsible

committee.

NPA management unit

monitor the use of NTFPs in

selected villages.

Budget for this

activity is under

training and

awareness raising

activity in

component 1.

WCS in

collaboratio

n with NPA

Managemen

t staff

Given the nature of this project, the EMP is an integral component of the success of this GEF. Assessing

the risk, identifying the mitigation measures to reduce potential environmental impacts to acceptable levels

is taken into account throughout the project design and is well documented in the Project Document (PD).

Environmental monitoring of potential impacts has been built into the project as seen in the PD. The

framework in table 1 illustrates how the capacity of project staff and government officials will be addressed

to ensure that appropriate mitigation measures are taken, monitored and reported during the project period.

Environment Management Plan to address the Development of the Phathi Road:

1. In December 2010, construction began on an old four-wheel vehicular road inside the NE-PL NPA,

Phathi Road, which was degraded and no longer traversable by cars. The 31 km road section runs

east-west through the core zone which is a critical habitat for last known breeding tiger population in

Indochina (Lao, Vietnam and Cambodia). The road development included widening the existing

route to four-meters, which was completed by mid 2011. The construction has continued, widening

the road to an average of nine meters wide (to create a rural unsealed road of 6-m wide road with

1.5-m wide shoulders). Construction of the road has brought about concerns regarding increased

access to the core zone of the protected area, including the key tiger’s habitat. The developer is the

Ministry of Defense who will hand over the upgraded road to the Province one year after completion

of civil work. The Protected Area Management Unit and the Ministry of Natural Resources and

Environment (responsible for both protected areas and for environmental compliance) were not

initially involved in planning and construction of the road at the national or provincial level. The

23

World Bank Task Team and WCS have worked with Government to bring together the Province and

Ministry of Defense to discuss potential impacts from the road, and viable solutions.

2. The potential impacts and management measures from Phathi Road development will be addressed

through the activities of Component 1 and the Phathi Road Co-Management Plan (Annex II). A co-

management plan of Phathi road has been developed with an objective to manage and monitor the

impacts of the Phathi Road on the adjacent habitat and wildlife communities, with partners, towards

protection of the local tiger and prey populations, habitat and other key species. The plan provided

activity, responsibility of each party and budget to manage possible impact courses by the road. The

co-management plan will also used as a basic for future development of mid term and long term

Phathi road management plan.

3. A dialog with the government of Lao both at National and provincial level regarding to the road

management has been steadily engaged by the WCS and the WB as part of due diligence (Annex

IV). The engagement has been reached the agreement on restriction to the use of Phathi road for

emergency case only, role and responsibility of parties concern; and funding for the implementation

of Phathi road co-management plan. Extensive discussion has been going on within the Bank and

other NGOs to avoid reputation risk on the future support for NE-PL PA management.

Other infrastructure :

Lao PDR is rapidly developing in its use of natural resources, with numerous roads, mines, plantations and

hydropower projects in feasibility, planning, and construction or operational stages throughout the country.

A number of infrastructure development activities already exist and additional infrastructures are being

developed in and near the NE-PL NPA, including roads, electrical and telecommunication lines. Although

these activities are not financed by the GEF, the text below outlines proposed mechanisms to deal with the

existing and planned infrastructure development activities

1. Road: there are three existing roads running through NE-PL NPA namely a) road 1C from Viengkham

district (Luangphrabang province) to Samneua district (Huaphanh province), b) road number 3204 from

Muangsone area passing Viengthong district (Huaphan province) to Xiengkhouang province, and c) a

new expansion of the Phathi Road from Xamneua district to Sone area (old Muangsone) in Viengthong

district, Huaphan province. The maintenance work for a 30 km section of the road #3204 running

through the NE-PL NPA was completed in late 2010. This road benefits about 14,688 people of 37

villages in and near the other side of the NPA. The provincial authority had developed an Environmental

Assessment for construction; the civil work only followed the existing road alignment and the EA was

implemented accordingly. An existing quarry along the road C1 opened many years ago for C1 road

maintenance, but was closed since the NPA establishment, it has been confirmed that this quarry will

remain closed.

2. Electrical Line Extension: the extension of 22kv of the electrical line from Viengkham district

(Luangphrabang province) to Viengthong District (Houaphan Province) in which 36km of electricity

line passes through NE-PL NPA (to Muangsone area) was completed in 2010. The electrical line

followed the existing road that is in the NPA and was designed to minimize its environmental footprint.

An MOU was developed prior the construction, which includes details on minimising tree and

vegetation clearance and disturbance, transportation methods, and construction staff management, to

minimise environmental impact. Monitoring was carried out jointly between Department of Energy and

Mines (DEM) and NE-PL NPA management unit, and joint monitoring will continue during the

operation of the line.

24

3. Similarly, the telecommunication line was extended from Viengkham district, Louangprhabang province

to Sone area in Viengthong district was completed before the extension of the electricity line. The

monitoring of future use and maintenance of the line will be done in close supervision of NE-PL NPA

management unit.

4. Infrastructure Rejected by the Province: A hydropower project in Nam Et river and another one in Nam

Neun (both are adjacent to the NE-PL NPA) were propose for feasibility studies. The province

confirmed that concessions for feasibility studies will not be granted and hydropower will not be

allowed in these two sites due to potential negative impacts on the NE-PL NPA.

There are 19 potential mining sites reported during July 2010 mission in Vienthong district in which 9 are

located inside the NPA. Following results of a brief general survey, which reported minerals occur at these

locations but in low quantities, and based on notifications from central government, and in consideration of

the value of the NPA, the District cancelled all the mining survey/exploration proposals in July 2010 and

confirmed that no mining operations will be allowed in and near the NE-PL NPA.

Consultation:

Series of consultations of similar project’s activity have been conducted by WCS since 2008 with local

villages in Vienthong and Houamouang districts, Houaphanh province; and Viengkham district,

Louanprabang province; district official; and NGOs (annex 1). Primary concerns of local community are

land for agriculture activity and area for them to collect seasonal Non-Timber Forest Product (NTFP).

Consultation process had reached an agreement with villages on having clear forest and land use allocation

for Agriculture Area where villagers and practice their agriculture activity; Controlled Use Zone where they

can collect wood, NTFP and managed wildlife species for their own consumption; and Totally Protected

Zone where assess is restricted. Mission team had confirmed such agreement during project appraisal

mission in July 20105. Additional livelihood activity has been agreed to support under Poverty Reduction

Fund (PRF)/JSDF and KfW/GIZ Climate Protection through Avoided Deforestation Project (CliPAD) to

improve their living condition.

The project will support the NE-PL NPA Management Unit to closely follow with provincial and district

offices, and transport, energy and mining sectors and report on any proposed developments to the Bank. In

the event of an unanticipated development in/near the protected area, or other unanticipated issues that may

affect the project objectives being met or involve WB safeguards, a strict process will be followed. The first

action in such a situation is to hold a meeting at the District and/or Provincial level among the NE-PL NPA

management unit and relevant sectors and stakeholders, to come to a suitable resolution. If this does not

provide a satisfactory outcome, discussions will be held among the Ministry of Natural Resources and

Environment (MoNRE), WCS, World Bank and the concerned sectors to come to a resolution. For public

services, such as power or telephone lines; the NPA management unit must be consulted prior to any future

planning for improvement, and all such projects should be subject to ESIAs, to be reviewed by both the

5 Preliminary consultations with local population to both discuss detailed actions necessary to implement the Phathi road co-

management plan and also to consult the updated draft EA, EPP and RPF already started in eight villages near both ends of the Phathi

road. EA, EPP and RPF may be updated during implementation based on the comments and feedbacks received. Consultations of the

earlier versions of EA, EPP and RPF had already been conducted.

25

Department of ESIA (in MoNRE), the Division of Forest Resource Management (in MoNRE) and the NE-

PL NPA management unit.

Reports associated with this EA report:

1. Project Document

2. Ethnic People’s Plan

3. Involuntary Resettlement Process Framework

References:

Appleton, M.R., G.I. Texon and M.T. Uriarte 2003 Competence Standards for Protected Area Jobs in South

East Asia. ASEAN Regional Centre for Biodiversity Conservation, Los Baños, Philippines.

Davidson, P. 1998 A Wildlife and Habitat Survey of Nam Et Phou Louey National Biodiversity

Conservation Areas, Houaphanh Province. WCS/CPAWM/Cooperative Program, Vientiane, Lao

PDR.

GoL 1999. Environmental Protection Law; 26 April 1999. Lao People's Democratic Republic National

Assembly, Vientiane, Lao PDR.

GoL 2005. National Heritage Law; 19 December 2005. Lao People's Democratic Republic National

Assembly, Vientiane, Lao PDR.

GoL 2007a Forestry Law No.6/NA; 24 December 2007. Lao People's Democratic Republic National

Assembly, Vientiane, Lao PDR.

GoL 2007b Wildlife Law 07; 24 December 2007. Lao People's Democratic Republic National Assembly,

Vientiane, Lao PDR.

GoL 2008 Regulation on protected area and wildlife management in the Nam Et-Phou Louey National

Protected Area. Viengthong District, Houaphan Province, Lao PDR.

Johnson, A. In press. A landscape summary for the Nam Et-Phou Louey National Protected Area, Lao PDR.

In Synergies and tradeoffs between biodiversity conservation and local livelihoods of the Lower Mekong

countries. Bogor: Center for International Forestry (CIFOR)

Johnson, A., C. Vongkhamheng, M. Hedemark, and T. Saithongdam 2006 Effects of human-carnivore

conflict on tiger (Panthera tigris) and prey populations in Lao PDR. Animal Conservation 9: 421-

430.

Lao Front for National Construction. 2008, The Ethnic Groups in Lao PDR, Vientiane, Lao PDR.

Ling, S. 1999 A biological system of prioritization for protected areas in the Lao PDR. CPAWM / Wildlife

Conservation Society Cooperative Program, Department of Forestry, Ministry of Agriculture and

Forestry, Vientiane, Lao PDR.

MAF 2003. Regulation No. 0360 on Management of National Protected Areas, Aquatic Animals and

Wildlife. Ministry of Agriculture and Forestry, Lao PDR.

MAF. 2003. Nam Et-Phou Loei NBCA Management Plan. Ministry of Agriculture and Forestry, Vientiane,

Lao PDR.

National Social Research Institute (Ministry of Information and Culture)., 2009., Investigating Ethnic

Groups in Lao PDR, Vientiane, Lao PDR

Walston, J., U. Karanth, and E. Stokes 2010 Avoiding the unthinkable: what will it cost to prevent tigers

becoming extinct in the wild? Wildlife Conservation Society, New York.

26

Annex I. Record of interagency and consultation meetings, including consultations for obtaining the

informed views of the affected people and local nongovernmental organizations (NGOs). The record

specifies any means other than consultations (e.g., surveys) that were used to obtain the views of affected

groups and local NGOs.

Date Stake holder Activity

April - November

2008

42 Village committee

meetings in Viengthong

District to discuss the role of

natural resources in their

communities and determine

the village use areas

Participatory meetings with the Village

Committee

January - April

2009

14 Village committee

meetings in Hua Muang

District to discuss the role of

natural resources in their

communities and determine

the village boundary areas.

Participatory meetings with the Village

Committee

Mar-09 SNV Netherlands Discussions on how to collaborate on future

NE-PL NPA projects including NTFP

marketing, Tourism and Value Chain

Development

Jul-09 All village headman meeting

in Viengthong

Participatory meeting to discuss the

government rules and regulations governing

the NE-PL NPA

Oct-09 All village headman meeting

in Hua Muang

Participatory meeting to discuss the

government rules and regulations governing

the NE-PL NPA

Nov-09 All village headman meeting

in Viengkham

Participatory meeting to discuss the

government rules and regulations governing

the NE-PL NPA

Nov-09 KfW, GTZ, DED and other

donors

Discussions on how to co-manage the NE-PL

NPA in a sustainable way as a model for Lao

PDR

Apr-10 Viengthong District

Government

Conceptual Model of Nam Et Phou Louey

NPA

Aug-10 Hua Muang District

Government

Conceptual Model of Nam Et Phou Louey

NPA

Aug-10 Viengkham District

Government

Conceptual Model of Nam Et Phou Louey

NPA

Aug-10 Viengthong District

Government

Conceptual Model of Nam Et Phou Louey

NPA

27

Annex II. Co-Management Plan of the Phathi Road in NE-PL NPA (Draft for final discussion with the

Government, March 2012)

Short to Long-Term Co-management for the Phathi Road Infrastructure

Co-management refers to the joint planning and regulation for use of the Phathi Road infrastructure to meet

dual interests of ongoing protection of key biodiversity and sustainable development. Parties in co-management

are central government, Province, District, NPA Management Unit, local community and international

organizations6.

Short-term co-management refers to urgent measures to protect key biodiversity in the area of the Phathi Road,

given the potential for increased human access to the area along the road; and ongoing dialogue with partners

(government and community) on the medium to long-term plans for the protected area and the road including

analysis of alternatives and options regarding the road.

Medium to longer-term co-management refers to sustaining ongoing management of road access as/if needed,

and developing alternatives that may eventually diminish or eliminate the need for the road.

Co-management of road in the short-term is proposed as below.

Objectiv

e

As part of the management of the NE-PL multiple-use national protected area:

Manage and monitor the impacts of the Phathi Road on the adjacent habitat

and wildlife communities, with partners, towards protection of the local tiger

and prey populations, habitat and other key species.

Short-term Phathi Road Co-Management (the two year plan; see budget in Annex 2)

includes:

Activities The Department of Environmental Impact Assessment

(DESIA) and province issue letter to road developer to

take action to avoid and minimize impact during the

construction such as behavior of construction workers (no

consumption of wildlife and waste management in the

camp), disposal of soil, and drainage structures. DESIA

and province, will supervise periodically on the action

taken by road developer. *

On going.

To be implemented

after agreement on

this in the multi

stakeholder meeting

on 16 March.

DESIA and DFRM/MoNRE to facilitate meetings with all

concerned agencies at central, provincial and district level

including community representative to discuss road use

criteria, permits issuing, access control and recording

system etc. *

On going.

Meetings held on

Dec 28, 2011 in the

province; February

9, 2012 at MoNRE.

One meeting is

6 Refers to World Bank, WCS, GIZ, KfW, USFWS, Panthera, CEPF and others financing activities within NE-PL NPA.

* new activities (not part of the plans for NE-PL NPA management pre-Phathi road)

28

expected to be held

in March 16 2012.

Conduct survey to identify any gibbon groups near Phathi

road area. If gibbon groups are located along the road,

appropriate measures will be taken to minimize/mitigate

impacts of the road on the affected populations. Subject to

survey results, one possible measure would be building

artificial canopy crossing points (e.g. with ropes). Five

potential gibbon crossing sites (areas with canopy

connections over the road, or the potential for with tree re-

growth) have been identified along 15 km of the road (i.e.

the eastern half of Phathi Road, which was already not

ideal gibbon habitat even prior to the road) and will be

reserved for potential future crossing points. A similar

survey will be conducted for the western 15km of the

Phathi Road, which is higher potential gibbon habitat. *

Not yet due. This

activity is part of

Co-Management

Plan. Plan to do in

April by WCS and

NPA staff with WB

budget.

Conduct interactive outreach in the villages near either

end of the road to ensure villagers have buy-in to co-

management of NE-PL NPA including an understanding

of the importance of the forest and wildlife, the rules for

the total protection zone, and the access limitations of

Phathi Road.

Not yet due. This

activity will be part

of Co-Management

Plan

implementation.

Construct locked gates at each end of the road where the

total protection zone starts (where ranger stations already

exist and operate). *

Not yet due. This is

part of Co-

Management Plan

implementation,

and is funded by

GEF MSP and

WCS.

Install a small military unit (provincial contribution) at the

gate area at each end of the road, to ensure there is no

non-permitted entry to the Phathi Road. *

Not yet due. This is

part of Co-

Management Plan

implementation.

Develop a monitoring system for road co-management,

including spot checks of staff activities at the ranger

stations by the NPA Manager and the NPA Law

Enforcement Head, and also, ongoing monitoring via the

MIST database (which collates and analyses patrol data).

Not yet due. This is

part of Co-

Management Plan

implementation,

and is funded by

GEF MSP and

WCS.

29

Continue to conduct forest patrols from the ranger stations

that already exist at each end of Phathi Road, which are

staffed by around 6 people, and add to this with additional

staff (2 per ranger station) and add two off-road

motorbikes to each ranger station to conduct mobile road

patrols on the road.

Not yet due. This is

part of Co-

Management Plan

implementation,

and is funded by

GEF MSP and

WCS.

Add one more ranger station, with six staff, in the middle

of the length of Phathi road within the total protection

zone, to support forest patrols and mobile road patrols

with motor bikes. *

Not yet due. This is

part of Co-

Management Plan

implementation.

This will be

CliPAD funded,

implemented with

government.

Access control and patrolling to prevent human

encroachment, and thus prevent, detect and suppress

illegal activities such as poaching (including of tigers and

prey), agricultural expansion, livestock grazing, timber off

take in the TPZ along and adjacent to the Phathi Road.

Not yet due. This is

part of Co-

Management Plan

implementation,

and is funded by

GEF MSP and

WCS.

Conduct an initial law enforcement training for staff of all

three ranger stations on Phathi Road; training to be

delivered on-site by an expert trainer (WCS’ regional Law

Enforcement expert)

Not yet due. This is

part of activity

under GEF MSP.

Continue training staff, by conducting in-house training of

each ranger station’s Head and Deputy staff during the

monthly meetings held at the NPA Management Unit

Not yet due. This is

part of activity

under GEF MSP.

Conduct outreach and land use planning in villages in the

area.

Not yet due. This is

part of activity

under GEF MSP.

Conduct land use planning in the villages near either end

of the road (there are none along the road inside the total

protection zone) to ensure villagers know their village

boundary and the total protection zone boundary

Not yet due. This is

part of activity

under GEF MSP.

Remove livestock that are grazing in the total protection

zone along the Phathi Road, to prevent people entering the

total protection zone (provincial contribution). Replace

Not yet due. Part of

provincial activity,

in coordination

30

this with fodder production in the villages with GIZ Livestock

project.

Construct and place “no entry” signs at the entrance to the

total protection zone along the Phathi Road, and add

boundary marker posts along total protection zone near

the road. “No entry” signs to total protection zone along

the road*

Not yet due. Part of

action plan

implementation.

Quarterly monitoring and reporting on Co-Management

Plan implementation for Government follow-up and twice

yearly progress reporting shared with Development

Partners; quarterly reports to be based on MIST (which

presents data on mobile and forest patrols frequency,

location and outcomes), other monitoring (e.g. of number

of vehicles entering the road) and presenting progress

updates on all activities. Reporting via quarterly field

reports in Lao language to MoNRE and Provincial

Governor for follow-up and via twice yearly progress

reports in English and Lao to all stakeholders and the

Advisory Group.

Not yet due. This is

part of Co-

Management Plan

implementation,

and included in

GEF MSP.

Develop a plan for the medium to long-term co-

management of NE-PL NPA infrastructure, in particular

the Phathi Road, including a needs assessment of the use

of the Phathi Road and analysis of alternative options, and

a review of other existing and planned infrastructure and

development for NE-PL NPA*

Develop, finalize and endorse a medium to long-term road

co-management plan through:

WCS and field staff to develop plan at site and in

Vientiane in consultation with NPA Unit, MoNRE,

KfW/GIZ, DoF, DoFI, Province and World Bank.

Send draft plan to stakeholders (Advisory Group,

Provincial Governor Office, NPA Unit, and Provincial

environment office, PoFI, Provincial and District

Military, MoNRE, MAFF, World Bank, NGOs,

KfW/GIZ). Hold a workshop to gain consensus and

endorsement of the plan.

Not yet due. This is

part of MSP

activity.

31

Budget The total cost for two years of start up and operation, including Government in-

kind contribution, would be in the range of $334,990.

Of this, $268,070 is non-government funded.

$66,920 is Government in-kind (salaries for field staff).

Of the $334,990 total cost, 55% is covered by activities that were planned before

the road; 45% is incremental (i.e. new costs incurred for co-management of the

road).

Much of the cost outlined above will be dedicated to one time investment in

infrastructure and training; the annual running costs of road co-management are

expected to be around $23,960 non-government and $18,200 government in-

kind if the road remains open and if livestock grazing along road is eliminated

within first two years. (See detailed budget in Annex 2)

Role/Res

ponsibilit

y

Ministry of Natural Resources and Environment (MoNRE): commits to: (i)

officially designate the northern extension as part of the NPA7, (ii) review

quarterly reports, and (iii) provide advice and oversight to the NPA

Management Unit

Ministry of Defense: commits to (i) restrict road access to emergencies and

(ii) assign military staff to a small unit at each end of the road to restrict

access until the substation is strong enough to do the work, which would be

assessed by number of incursions.

Ministry of Foreign Affairs: commits to: (i) ensure that all agreements

outlined in this action plan with respect to road co-management are adhered

to.

Houaphan Province and Vieng Thong and Sam Neua Districts: commit to: (i)

limit road access to emergency use and protected area staff (as per MOFA

letter June 10, 2011), (ii)set up a system of permits for emergency access,

(iii) provide skilled staff for checkpoints and patrols (including military,

police, district line ministry staff) and other activities included in the short-

term co-management plan, (iv) develop medium to long-term plan for road

co-management, (v) assess alternative options for road, and (vi) Provincial

Governor to undertake follow-up action based on quarterly field reports

prepared by the NPA Management Unit

Houaphan and Luang Prabang Provinces: commit to formally designate the

proposed northern extension as part of the NPA

7 The Northern Extension is already recognized formally at the village and District levels, and informally recognized at Province level

by both provinces, and included in operations by the NPA Unit.

32

Protected Area Manager: commits to (i) provide coordination and oversight

of staff working in NPA (including field visits to the road and field

operations), (ii) respond to requests for information from central

government, World Bank and WCS regarding the road co-management, (iii)

train field staff to do road co-management (with WCS support), (iv)

coordinate with DAFO and WCS to implement the activities included in the

plan (ranger stations, mobile road patrols, gate control, outreach and land use

planning in villages, livestock access control), (v) prepare quarterly field

reports in Lao language shared with Provincial Governor and MoNRE for

follow up action, (vi) prepare twice yearly progress reports in English and

Lao, and (vii) share progress reports with World Bank, KfW/GIZ, Provincial

and District Governors, MoNRE and Advisory Group

Local community: has responsibility of abiding by the access restriction and

permit system, and will be involved by having community members as part

of patrol/substation teams. This is necessary for local level buy-in and

awareness and for local knowledge and local language ability within the

teams.

Local NGOs: While there are no environment local/national NGOs that

operate in Houaphan area, the team will attempt to find ways to involve the

limited number of national NGOs to support this Plan. There may be a role

for the local branches of the Lao Women’s Union and the Lao Front for

National Construction at village and district levels, possibly to (i) support

capacity building, (ii) help with conflict resolution (up to a point), (iii) help

with strategic (two-way) communication between communities and

implementing agencies. NGOs are unlikely to act as a counterweight to

Government or play an advocacy role as they do in other countries.

Implementing NGO: WCS would be involved in operational work on the

ground, and an Advisory Group, comprised of protected area/species

conservation experts and with NGOs participation will be active in advice

and oversight to the Plan and the MSP. Specifically, WCS commits to (i) on

the ground oversight, (ii) ongoing dialogue with local government, (iii)

provide TA to assist government to develop a medium to long-term plan for

road co-management.

Other International NGOs: WWF’s and TRAFFIC’s primary role is to advise

on technical aspects of the action plan development and implementation. The

INGO involvement to date includes: i) WWF and TRAFFIC discussing

planned activities under the action plan; ii) WWF and IUCN will attend (as

an observer) the discussion with government on the plan; and iii) WWF and

TRAFFIC joined as member of the Advisory Group for action plan

implementation.

World Bank: WB responsibilities are supervision - both technical and

33

fiduciary supervision of the WB-GEF funded project; specific task includes

(i) regular supervision, (ii) ongoing dialogue with government from local to

national level, (iii) facilitate provision of some GEF 4 MSP funds towards

co-management, (iv) provide advice and financial assistance on medium to

long-term plan for road co-management and an assessment of alternative

options to the road.

KfW/GIZ: commits to: (i) regular supervision, (ii) ongoing dialogue with

government from local to national level, (iii) provision of Climate Protection

through Avoided Deforestation Project (CLiPAD) funds towards some of the

short-term co-management plan (pending finalization of planning)

Advisory Group: members have agreed to: (i) review twice yearly reports

and provide recommendations, (ii) provide advice when requested by

WCS/GoL, (iii) help build consensus on the content and implementation

approach for the medium to long-term road co-management plan; (iv) do site

visits.

Timeline Short-term road co-management: a two year period for training, establishing

systems and any small infrastructure and operations for road co-management

(early second quarter of 2012 – end of first quarter Dec 2013)

Medium to long-term: co-management and assessment of alternatives, to be

developed as a Government-Partners activity by 2014, with technical assistance

included as part of GEF 4.

Key

Indicator

s

Short-term:

proportion of people who accessed road with permission versus people

found to have entered without permission (as measured by MIST

analysis from patrol data);

number of people found in the total protection zone without permission;

number of violations of Forestry and Wildlife Law and NPA Regulations

in the total protection zone in the area of the road (including poaching)

Medium to long-term:

progress towards improved planning /control of infrastructure

dialogue on road decommissioning

tiger numbers stable or increased

prey numbers increased

decreasing number of incursions

34

Funding

Sources

Short-term:

Government

WCS

Bilateral (KfW8, GIZ, others)

GEF 4 (design/document adjustments detailed in section 3 below)

Panthera

USFWS

Medium-term:

IDA (Strengthening Protection and Management Effectiveness for

Wildlife and Protected Areas ) – to be confirmed

Government

8 Note that KfW is expected to cover $76,360 of the road co-management costs during the first two years via their CliPAD project if:

a) Vieng Thong is the selected as the target district for the CLiPAD Project during the current technical assessment, and b) the

activities meet additionality criteria under the climate change mitigation funding. KfW technical assessment is expected to be

completed in March/April 2012.

35

Annex 1: Maps

Location of NEPL in Laos, and the Total Protection Zone, Management Zone, and Proposed Extensions

for NEPL NPA.

36

Map of Nam Et – Phou Louey National Protected Area in Lao PDR, showing the extent of the Phathi

Road upgrade as of 29 December 2011.

Sun Ong Substation

Phati Substation

Road upgrade

Annex 2: Budget and activities of short-term road co-management (See attachment)

Annex 3: Timeline (See attachment)

Annex IV

Summary of Bank’s Due Diligence on the Development of Phathi Road

Nam Et Phou Louey National Protected Area, Lao PDR

1. The World Bank does not support the development of the Phathi Road in Nam Et Phou Louey National

Protected Area (NE-PL NPA). However, the World Bank recognizes the Government’s position

concerning the importance of the road for emergency use (as stated in a June 10, 2011 letter from the

Ministry of Foreign Affairs (MoFA)). In light of these circumstances, a Co-Management Plan was

prepared and discussed amongst relevant stakeholders in the country, including government agencies at

the national, provincial and district levels, and amongst international NGOs. The Co-Management Plan

is intended to act an action plan to outline how to minimize and mitigate the anticipated impacts of the

Phathi Road in the multi-use NE-PL NPA, especially, but not exclusively, in relation to the threatened

tiger population. This summary represents the status of dialogue, commitments and accountabilities for

monitoring and reporting, as of March 21, 2012.

2. There is a broad consensus, including within Government agencies, that the development of this road

creates potentially serious challenges to conservation objectives. The road has caused some tree loss and the

road may increase human access to the area, which could result in increased poaching and habitat

encroachment. In the management of the road the essential needs are: control of human access, effective law

enforcement on the ground, and the improvement of local understanding concerning the significance or

linkages of species to ecosystem health and human livelihoods. The threats posed by the road have to be

mitigated through extensive foot patrolling in the area along the road, controlling access from the two

ends of the road and raising the awareness of local communities. This is reflected in the Co-Management

Plan mentioned above that was prepared in consultation with WCS, other Development Partners

(KfW/GIZ), and other international NGOs (WWF and TRAFFIC) in the country and region to facilitate the

government in managing the use of Phathi Road.

3. The Government of Laos maintains primary responsibility and accountability for the Co-Management Plan.

However, there is a need for Development Partners (DPs) to assist all levels of Government in the near-term

to: (a) develop an understanding of how to concurrently manage development activities and conservation

efforts, (b) assist in building capacity towards better coordination amongst government agencies at the

national, provincial and local levels regarding conservation and development, and (c) balance short-term

needs versus longer-term sustainable -development that can benefit both global/national biodiversity goals

and local communities. It is imperative that the Bank in coordination with other DPs and NGOs continues to

develop a constructive engagement regarding protection of this site with all levels of Government, including

keeping the Government of Lao PDR actively engaged in the global tiger conservation agenda.

4. On-the-ground in Lao PDR, and supported by their Headquarter, the key non-government partner and

beneficiary is WCS, who is committed to stay and work with Government at NE-PL NPA in recognition of

the high biodiversity of the site, including the last known breeding tiger population in Indochina, unique

value in high carnivore diversity, and as one of the most important landscapes globally for the Critically

Endangered Northern White-Cheeked Gibbon. WCS has an MOU with the Department of Forestry, MAF

titled “NE-PL NPA Management and Tiger Conservation Project Phase IV” that operates until September

30th

2015 (at the next MOU renewal time it will be converted to DFRM under MoNRE, now in charge of

NPAs). There are numerous funding partners to WCS for the NE-PL NPA with key funding sources

including the US Fish and Wildlife Service, Panthera and the Critical Ecosystems Partnership Fund.

Additional key partner are KfW and GIZ, who are working with WCS and the Department of Forestry

(MAFF) to deliver the Climate Protection through Avoided Deforestation Project (CLiPAD) at two national

protected areas in Laos, of which one site is NE-PL NPA. This is a seven-year project that is currently in

advanced stages of project design, and will be implemented from mid-2012.

5. Additional DPs expected to maintain and/or expand their engagement in NE-PL NPA over the coming years

includes KfW/GIZ, US Fish and Wildlife Service (USFWS), Panthera, Critical Ecosystems Partnership

Fund (CEPF), and the World Bank (through IDA-GEF and IDA/JSDF-PRF). In addition to DPs who are

funding onsite activities, other partners (including WWF-Greater Mekong Program, and Traffic-SEA) have

agreed to play an advisory role.

Actions Taken Following the Commencement of Phathi Road Expansion

6. Since learning of the road re-opening, the World Bank Country Management Unit (CMU) advised GoL via

meetings and in a letter (2 March 2011) of the Bank's concern that the Phathi Road is inconsistent with both

Government regulations and policies, and that the road represented a substantive threat to the integrity of the

NE-PL Total Protection Zone (TPZ) which is one of the key objectives of the proposed GEF-4 operation.

7. The Ministry of Foreign Affairs responded by letter (No. 694/MFA, 10 June 2011) recognizing the concern

of the World Bank on the consequences of the road construction, and wrote that the Provincial authority

would undertake the following measures:

The road would not be open to the general public. It would be restricted to only emergency situations

and the protection and preservation of the NPA in accordance with the Law and MOU signed. As well,

the road would be used for facilitating the work of rangers.

The Provincial authority would adopt strict measures regarding road use and set up check points to

regulate the entry and exit to and from this road.

The Lao Government would undertake every measure to ensure that all NPA regulations would be

observed and strictly implemented.

8. Considering the biological significance of the NE-PL NPA, in June 2011, the Bank requested that WCS

complete an assessment of the Phathi Road’s potential impact to tiger’s and other species’ populations and

habitats. WCS completed the assessment in August 2011 and it was received by the Bank. The report

highlighted that the road could potentially increase the level of human access to the Totally Protected Area

(TPZ) and could facilitate increased livestock grazing, agriculture, temporary settlements, and poaching.

These are the primary threats to the tiger, its prey populations, and other species. In addition, loss of canopy

connections may affect gibbon groups, if any are found to occur along the Phathi Road area. Addressing

these potential threats is the first priority of the Co-Management Plan. However, the direct destruction of

habitat from the road construction is not a key threat to wildlife populations.

9. The area of the Phathi Road is not the core area for the known gibbon groups in NE-PL NPA of the

critically endangered Northern White-Cheeked Gibbon. Based on MIST analysis of patrol data, 14 gibbon

groups have been recorded in NE-PL NPA: 13 were recorded in the western half of the NPA, and one in the

eastern half of the NPA, which is where Phathi Road is located. Scientific surveys are required to determine

whether there are additional gibbon groups in the eastern half of the NPA, especially along the Phathi Road.

As noted in the WCS biodiversity assessment, gibbons are an arboreal species and are reluctant to descend

from the trees to cross the road. Thus, if any gibbon groups are found to occur along or near the Phathi

Road, the greatest threat to gibbons would be the habitat fragmentation caused by the road creating a break

in any existing canopy.

10. The CMU issued a letter to the Ministry of Natural Resources and Environmental (MoNRE) (December 8,

2011) requesting the Ministry to organize a multi-stakeholder meeting in Vientiane with the objective of

reaching a consensus on the Phathi Road Co-Management Plan.

11. A second letter was issued from the CMU to the MoNRE (December 16, 2011) proposing a site visit in

December by the World Bank team, Government counterparts, and other DPs to review the Co-Management

Plan and to gather additional information on the status of road construction (e.g. road alignment, road width,

number of villages at either end of the road, status of EIA process, etc.). A joint WB-Government site visit

was conducted from December 28 - 30. The action plan was discussed, provincial authorities reacted

positively to the Co-Management Plan, and the status of the Phathi Road was recorded during a site visit on

December 29, 2011.

12. The Department of Environmental Impact Assessment (DESIA) under the MONRE held a working level

meeting on February 9, 2012 to discuss at a technical level the proposed Co-Management Plan. Prior to this

meeting the draft action plan was translated into the local language. The meeting was attended by

representatives from the Ministry of Public Works and Transport (MPWT), Ministry of Defense (MOD),

Ministry of Foreign Affairs (MOFA), and Department of Forest Resource Management (DFRM)/MONRE.

The major topic of discussion was the proposed roles and responsibilities of each agency for the

implementation of the action plan. Each agency agreed to discuss with and seek advice from their

management on the proposed responsibilities.

13. A final meeting to discuss and confirm permitted road activities, roles and responsibilities, and proposed

financing was held on March 16, 2012. This meeting was convened by the MoNRE and government

participants included representatives from the Provincial Governor’s office, the NE-PL NPA Manager,

Ministry of Defense, Department of Forest Resource Management (under MoNRE), Department of

Environmental and Social Impact Assessment (DESIA) (under MoNRE), Department of Forest Inspection

(under Ministry of Agriculture, Forestry and Fisheries), Ministry of Foreign Affairs, and Ministry of Public

Works and Transportation. Non-Government participants included the KfW, German Embassy, CliPAD,

WCS, Word Bank. IUCN, WWF and the national NGO, Lao Wildlife Conservation Association. Parties

agreed that the utilization of the road would be restricted to emergencies (related to national defense, natural

disasters or medical), and park management. As well, participants agreed that a small military unit will be

posted on each end of the road to ensure enforcement is adequate until the number of illegal incursions

decreases to an amount manageable for park staff. The DESIA is drafting a letter to record what topics were

discussed and agreed upon at this meeting, as well as to guide government agencies on future actions

required.

Proposed Future Actions

14. An Advisory Group to support the design and implementation of the Co-Management Plan (both short and

medium to long-term) and the GEF 4 MSP is proposed to be established. The Advisory Group will include

international experts on protected areas and species conservation working on a pro-bono basis to ensure

inclusion of best global practice and review and endorse the proposed activities. The ToR of the Advisory

Group includes:

a. Conduct an initial review before implementation starts and review the bi-annual co-management

plan implementation progress report, which provides a summary from MIST, update on any

issues with the road and its co-management, and progress of the co-management plan

implementation.

b. Based on the co-management plan implementation reports, provide recommendations, and an

overall assessment.

c. Be available to review and provide input on the medium to long term co-management plan as it

is developed.

d. Be available for site visits.

e. Provide advice to GoL/WCS (implementing agencies) and to the World Bank (supervision

agency) on the road co-management as requested.

15. The travel cost for the Advisory Group’s visit to Lao PDR will be funded by the GEF 4 MSP. In initial

discussions with the proposed group members, all have confirmed interest and availability, as well as

endorsing finding a way to remain engaged at NE-PL NPA. Proposed members are:

Mr. Stuart Chapman, WWF Greater Mekong Program Director

Dr. William Schaedla, TRAFFIC SEA Director

TBC.

16. WCS will act as the Secretariat of the Advisory Group, as well as organizing logistics. Given the Advisory

Group is comprised of only three members, it is anticipated that there would not be a convener within the

Group, as no member would be expected to have a neutral voice.

17. To respond to the WCS’s report concerning the threat of habitat fragmentation to any potential gibbon

populations along the Phathi Road, more information is required. The core population of gibbons is

located in the western half of the NPA, not in the eastern half where the Phathi Road is located. Only one

group has been recorded in the whole of the eastern half of the NPA. These records come from ground

patrols, and no scientific surveys across the whole NPA have been conducted. The gibbons prefer primary

forest whereas along much of the road there is largely degraded forest. Nevertheless, Duckworth (2008)9 has

noted that gibbons will persist in degraded forests if not heavily hunted. Considering that this is a critically

endangered species, a survey in the forested (i.e. non grassland) habitat along the Phathi Road will be

conducted to ascertain whether any gibbons are present. This will be completed before May 2012, as the

gibbons will stop calling during the wet season. If gibbon groups are located, then efforts will be made to

augment canopy crossing opportunities (such as rope crossings).

9Duckworth, J.W. 2008. Preliminary Gibbon Status Review for Lao PDR 2008. Fauna and Flora International. http://www.fauna-

flora.org/docs/LaoPDR-GibbonReview-2008.pdf

18. One World Bank project is planned to co-finance livelihood development for conservation activities within

the GEF 4 MSP. The community driven development portion of Poverty Reduction Fund Phase II (PRF) is

financed by a Japanese Social Development Fund (JSDF) grant and has been under implementation since

the beginning of FY12. The JSDF is active in one of the same target districts as the GEF 4 MSP (Vieng

Thong - the main area of NE-PL NPA traversed by the Phathi Road) and is providing livelihood grants and

training at community level.