INTEGRATED SAFEGUARDS DATA SHEET CONCEPT STAGE Public Disclosure Copy Report No.: ISDSC621 Date ISDS Prepared/Updated: 31-Jan-2014 Date ISDS Approved/Disclosed: 01-Feb-2014 I. BASIC INFORMATION A. Basic Project Data Country: Lao People's Democratic P128393 Project ID: Republic Project Name: Protected Area and Wildlife Project (Regional APL) (P128393) Task Team Jean-Michel G. Pavy Leader: Estimated 16-Jan-2014 Estimated 27-Mar-2014 Appraisal Date: Board Date: Managing Unit: EASTS Lending Investment Project Financing Instrument: GEF Focal Biodiversity Area: Sector(s): Forestry (60%), Public administration- Agriculture, fishing and forestry (40%) Theme(s): Biodiversity (60%), Environmental policies and institutions (35%), Climate change (5%) Public Disclosure Copy Financing (In USD Million) Total Project Cost: 25.23 Total Bank Financing: 17.00 Financing Gap: 0.00 Financing Source Amount BORROWER/RECIPIENT 1.40 International Development Association (IDA) 12.50 IDA Grant 4.50 Global Environment Facility (GEF) 6.83 Total 25.23 Environmental B - Partial Assessment Category: Is this a No Repeater project? B. Project Development Objective(s) / Global Environmental Objective(s) 1. Project Development Objective(s) The Project Development Objective is to strengthen protected area management and wildlife trade control in project areas with a focus on regional cooperation and active participation of Public Disclosure Copy government and local communities. 2. Global Environmental Objective(s) C. Project Description This project is phase III of the horizontal Regional Adaptable Program Loan (APL) on Strengthening Regional Cooperation for Wildlife Protection in Asia (SRCWP). In South Asia, Bangladesh and Nepal have already started the implementation of the project. Bhutan will also commence shortly, while the projects in India and Sri Lanka are still under preparation. In East Asia, in addition to Lao PDR, Vietnam is in the process of preparing a project proposal. The APL applies a two-pronged approach: (i) capacity building to address the illegal wildlife trade through regional cooperation; and (ii) habitat protection and management to generate regional conservation benefits and address human-wildlife conflict, thereby insuring the conservation of flagship species. The project will be implemented by the Department of Forest Reserve Management (DFRM) of the Ministry of Natural Resources and Environment (MONRE) and the Department of Forest and Inspection (DOFI) of the Ministry of Agriculture, Forest, and Fisheries (MAFF) with full participation of local governments and communities. Activities would include investments in physical assets (such as office building/facilities, equipment, and vehicles), technical assistance (consultant services), policy formulation including new law; decree; and regulations, training and workshops, community-driven subprojects to support their conservation efforts, and project management. Project activities will be carried out through the following three components. Component 1: Supporting protected area management and sustainable forest management (Estimated cost: US$12.05 million) Public Disclosure Copy Sub-component 1.1: Capacity building and support at the regional level for protected area management and wildlife conservation. Activities will tentatively include: (i) Establishment of a Virtual Regional Center of Excellence (VRCE) for protected area management and wildlife conservation, by coordinating with agencies executing the APL on Strengthening Regional Cooperation for Wildlife Protection in Asia to create a virtual network of scientists and practitioners to share and disseminate knowledge, expertise and best practices through a knowledge platform, training modules, workshops and seminars; (ii) DFRM and NPA Management Units to cooperate with counterpart Vietnamese government agencies to foster transboundary protected area cooperation at NPA project sites which have boundaries with Vietnam (e.g. Nam Et Phou Louey NPA). Sub-component 1.2: Capacity building and support at the national level for NPA management and wildlife conservation. Possible activities will include: (i) Support DFRM at central level with the institutional set up; including support to establishment of office facilities, procurement of equipment and vehicle; (ii) Support, including TA, to assess policy gap and develop ministerial regulations on PA management and wildlife conservation; (iii) Develop technical capacity through TA, staff training, and workshops for (i) planning and budgeting, (ii) implementation, and (iii) monitoring and evaluation of the protected area system; (iv) Establish an Endangered Species Sub-committee or Working Group (under Environment Committee at the Prime Minister Office or MoNRE) to facilitate high level and cross sectoral government engagement on endangered species issues; (v) Establish multi-sector smart green infrastructure Committee or Working Group for coordination amongst key sectors to avoid inappropriate and ill informed development in/around protected areas. Public Disclosure Copy Sub-component 1.3: Support protected area management including sustainable forest management and wildlife conservation at the project NPA site level. Activities will include: (i) Support local levels of DFRM for the NPA project sites with institutional set up; including establishment of office facilities and providing required equipment and vehicle; (ii) Support, including TA, to assess policy gap and develop local regulations on PA management and wildlife conservation; (iii) Support NPA management units to prepare management plans and annual plans for the project NPAs; building capacity for site-level planning and monitoring of plan implementation; (iv) Train protected area staff in (a) planning and budgeting, (b) implementation, and (c) monitoring and evaluation; (v) Engage local community participation on forest and wildlife conservation, through: awareness raising; village block grant for community alternative livelihood development (as their access to natural resources might be restricted by enforcing protected area management system); participatory demarcation of NPA boundary and internal zoning; and establishment of community co-management committee; (vi) Conduct forest protection at project NPAs which would complement the FCPF and Forest Investment Program (FIP).The activities might include a baseline forest cover survey and assessment of drivers of deforestation, forest protection through land-use planning and delineation with local participation, development of alternative livelihoods, and assistance for increased and stabilized agricultural productivity outside protected area. Component 2: Addressing the illegal wildlife trade at regional and national level (Estimated cost: US $4.75 million) Sub-component 2.1 capacity building and cooperation at the regional level for addressing illegal trans-boundary wildlife trade. Activities to support this sub-component would include: (i) Support GoL officials to cooperate bilaterally and regionally to control illegal trans-boundary wildlife trade, including implementation of the current (and next) MOU with Vietnam on “cooperation in controlling, preventing illegal trading and transporting of timber, forest products and wildlife.” (ii) Public Disclosure Copy TA, support and training to strengthen CITES Management and Scientific Authorities in their capacity for analytics and operational protocols to meet CITES requirements; (iii)Strengthen Lao Wildlife Enforcement Network to become operational and work with ASEAN WEN and South Asia WEN. Sub-component 2.2 Institutional strengthening of national agencies to do illegal wildlife trade control at the national and local levels. Activities to support this sub-component would include: (i) Support DoFI’s set up at national and local level to control illegal wildlife trade through physical capacity development such as the provision of office buildings and necessary equipment; (ii) Support TA to assess policy gap and develop ministerial and local regulations to enforce illegal wildlife trade in the country; (iii) Provide training, equipment and incremental operational cost for DoFI at national to local levels to address illegal wildlife trade at NPA project sites and surroundings in the province and border areas of the NPA project sites. Component 3: Project Management (Estimated cost: US$2.64 million) The third component is to support the implementation of the two components described above. Activities in this component include: (i) Project management including fiduciary, safeguards, and monitoring and evaluation aspects. Project management unit will be established under DFRM/ MoNRE and manage for the overall project implementation including day to day implementation of Component 1 (C1) and coordinate with DoFI on project management for C2; (ii) Sub-project management unit will be established in DoFI under MAFF to oversee day to day implementation of Component 2 (C2). Sub-project management unit. Public Disclosure Copy D. Project location and salient physical characteristics relevant to the safeguard analysis (if known) Site selection criteria will be discussed with the client and finalized during the project preparation. It will likely include the following aspects: size, importance in connectivity and potential for regional cooperation, broad ecosystem type, key species, existing operations including current or potential plans for mining or other development activities in the NPAs; and existing or potential plans for village relocation or village consolidation in or near the NPAs, and potential for sustainable financing and risks to success. The project will include up to four NPAs, but the final number will also be determined during preparation process. Lao PDR (Lao) is a sparsely-populated least-developed country in south-east Asia. Forests cover 41.5% (9.8 million hectares) of the total land area of Lao PDR. Forests harbor some 1,200 animal species, including endangered species, such as the Indochinese tiger and Asian elephant. Of the 9.8 million hectares of classified forest in Lao PDR, around half of this is ‘conservation forest’ – the National, Provincial and District Protected Areas. The remainder is ‘production forest,’ set aside for timber extraction, and ‘protection forest,’ which serves the purpose of soil, slopes and watershed protection. The Protected Area System was designated in 1993 (PM Decree 164) and followed extensive data collection to determine sites of high conservation value and to include 5-20% of every ecosystem found in Lao (IUCN, 2004). This proposed project will address both the gap in resources and the high threats to the Protected Area System of Lao, and aims to strengthen the protection and conservation of the PA system’s high biodiversity value forests and wildlife. E. Borrowers Institutional Capacity for Safeguard Policies Public Disclosure Copy The DFRM has been one of the recipients of the Lao Environment and Social (LEnS) project and is familiar with WB safeguard policies and its implementation, while DoFI is new to WB operations. In this context, safeguards training for DFRM, DoFI, and local authorities and local communities as well as other stakeholders who may be involved in the project implementation, will be important. Training program including an estimated budget and work schedule will be prepared during project preparation and implemented as part of project activity during project implementation. F. Environmental and Social Safeguards Specialists on the Team Satoshi Ishihara (EASTS) James Orehmie Monday (SASDI) II. SAFEGUARD POLICIES THAT MIGHT APPLY Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/ Yes As noted at the PCN decision meeting held on BP 4.01 January 31, 2012, the proposed project aims to tackle several complex and multi-faceted issues. Therefore, it is important that the proposed safeguard instruments are indeed useful for the overall project design to achieve the stated objectives, by being informative for not only avoiding/minimizing adverse environmental and socio-economic impacts, but also to enhancing Public Disclosure Copy the project’s positive impacts. It is in this context a standalone Environmental Assessment (EA) for the project covering each of the participating NPAs. The EA will address the requirements of OP4.01, OP4.04 and OP4.36 that are relevant for the revised project scope. Specifically, the EA will include: (a) Baseline information on each of the participating NPAs, including its current management practices, stakeholders involved in its management, ongoing and planned infrastructures (e.g., roads, transmission lines, hydropower projects) or other natural resource excavation activities (e.g., mining, wood factory) in the participating NPA, the extent to which the communities are using the timber/ non-timber forest resources, main biodiversity value, etc.; (b) Assessment of whether the ongoing/planned infrastructures or other natural resource excavation activates would significantly affect the effectiveness of the project activities in achieving the PDO; and (c) Preliminary review of the existing NPA management plan(s) for the participating NPAs, Public Disclosure Copy if available, and identify areas that require improvements to achieve the project objectives, especially in the context of the findings from the above assessment. The above review and assessment will be used as a basis for developing recommendations on actions that need to be taken during project implementation. The recommendations would include: (a) Recommendations for the formulation/update during project implementation of NPA Management Plan and annual plan, institutional arrangements of sustainable use of non-timber forest resources by local communities, demarcation of NPA boundaries and internal zoning, etc. The recommendations are expected to include advice on how these activities will be designed and implemented in a manner that will conserve the health and quality of the forests; protect the rights and welfare of local communities and their livelihood of dependence on/interaction Public Disclosure Copy with forests; and minimize the adverse impacts from bringing changes in the management, protection, and utilization of forest resources (as specified under para 3, policy scope of OP4.36 Forests); (b) Recommendations for additional studies and monitoring programs that may need to be commissioned during project implementation in order to inform the design and implementation of NPA Management Plans and annual plans, arrangements of sustainable use of non-timber forest resources by local communities, demarcation of NPA boundaries and internal zoning, etc. The EA will be prepared through a consultative and participatory process by involving a representative range of stakeholders, including national and international NGOs, local communities, key government agencies, and disclosing relevant information in a timely manner in local language(s) As the proposed project will also assist the government in formulating new regulations during project implementation to help define, strengthen, and enforce the existing laws and Public Disclosure Copy policies on NPA management/wildlife conservation. It was agreed that these new regulations will be developed through a consultative, participatory, and informative process, which engages key stakeholders including indigenous peoples groups, and takes into account the potential environmental and socio-economic impacts on local communities during the implementation of the new regulations. To mitigate any potential environmental impacts from those small-scale civil works to be financed under the community-level livelihood development activities and establishment of office facilities for the institutions, the project will prepare Environmental Codes of Practices (ECOPs) for each type of physical works. The ECOPs will provide site selection criteria to avoid potential impacts on Physical Cultural Resources. Natural Habitats OP/BP 4.04 Yes Project activity will not create significant Public Disclosure Copy degradation of natural habitats but provide positive impact instead. However, as stated in the section under OP4.01 above, some project activities may have adverse impacts on natural habitats as defined by this policy. Therefore, to ensure this project related activities on natural habitats are fully understood, the EA’s prepared for each will assess these implications and will inform the management plans to ensure compliance with this policy and to ensure that there are no impacts on critical natural habitats. For anticipated minor impacts associated with the proposed minor civil works, the proposed ECOPs will contain the appropriate measures to avoid or manage these minor impacts. Forests OP/BP 4.36 Yes This policy is triggered as the proposed activities involve changes in management of forest areas (financing NPA management plans), which may then affect the rights and welfare of people and their dependence on the forests (i.e. the NPA), as defined by Para 3 of the policy. The EA’s prepared for each selected NPA will inform preparation and implementation of the forest management plans to ensure compliance with this policy. Public Disclosure Copy Pest Management OP 4.09 No The project will not finance procurement of pesticides as specified in this policy. Physical Cultural Resources OP/ TBD The project will not affect any known historical, BP 4.11 cultural, and/or archeological, paleontological, historical, religious, or unique natural values of national and/or regional importance. However, the project area may involve ethnic minority groups such as Hmong, Mien, Lao Tai and Khmu and there could be a limited number of graves, village cemeteries, and/or spirit forests in the project sitesthat may be affected by project activities. If the project activities are likely to restrict the access to PCRs that are of spiritual or religious value for local communities, the policy will be triggered. Suitable mitigation measures will be incorporated into the corresponding NPA management plan(s), Ethnic Peoples Plan (EPP), or Process Framework. Indigenous Peoples OP/BP 4.10 Yes Ethnic minorities (Hmong, Khmu, Mien, Public Disclosure Copy Makong, Bru and others) living in and around the NPAs are the main project beneficiaries. These are considered to be vulnerable ethnic groups in Lao PDR as their livelihood is heavily based on subsistence agriculture and forest. The presence and involvement of these ethnic groups triggers this safeguard policy. An ethnic screening will be carried out by the Bank task team in all project NPAs before the commencement of project activities in NPAs. An Ethnic Peoples Framework (EPF, which is equivalent to the Indigenous Peoples Framework (IPF)) will be prepared prior to appraisal which will provide the processes and procedures as well as technical guidance for screening, social assessment and consultations with affected local populations including ethnic minorities. If ethnic minorities are present in or near project NPAs, a social assessment (SA) will be carried out and an Ethnic Peoples Plan (EPP) be prepared before the implementation of project activities in consultation with affected ethnic minority communities in participating NPAs. Public Disclosure Copy The EPP will describe the findings of SA, the results of free, prior and informed consultations conducted and evidence of broad community support to the project. The EPP may also be used to help address project impacts such as the loss of access to natural resources in combination with the PF (see next section). The EPP will also ensure that local community support and/or livelihood development alternatives will be provided in culturally and ethnically sensitive manner. FPIC will be carried out as part of SA namely to ensure that local villagers including ethnic minorities are informed of their rights to use forest (in the management zone) and provide BCS to the measures to be carried out under the project. Similar to other NPA management in most developing countries, it is anticipated that there may be issues related to conflicting land use and land allocation in the NPAs. If such is the case these issues and corresponding Public Disclosure Copy mitigation measures will be identified in the SA and included in EPP. Technical assistance to be provided under the project will be designed to address land and resources use issues. In addition, in the case where the project support any policy formulation related to the aboce issues, a broad consultation process will be carried out with the participation of civil society and community representatives, and will include an analysis of how local communities rights, including customary land and resource uses of Indigenous Peoples are incorporated into policy development, and analysis of potential social implications of various policy alternatives. Involuntary Resettlement OP/BP Yes The project will not involve physical relocation. 4.12 However, minor land acquisition may be required under community livelihood activities and/or small infrastructure rehabilitation/ upgrading for local government agencies. The Resettlement Policy Framework (RPF) will be prepared during preparation that will set out policies and procedures that will apply to such impacts. Resettlement Action Plan(s) (RAP) will be prepared for any activities that require involuntary land acquisition known by Public Disclosure Copy appraisal. The improvement/development of policies/ regulations for the management of protected areas may restrict hunting and non-timber forest product (NTFP) collection in the totally protected zone (though it will be allowed in the management zone) of protected areas, which may lead to loss of access to some of the critical sources of livelihood for local people. A Process Framework (PF) will be developed prior to appraisal that will cover all participating NPAs if such resources access restrictions occur. This framework will also outline participatory processes through which the project affected peoples (PAPs) are supported to articulate their livelihood needs and participate in the design and implementation of livelihood activities. The Process Frameworks would also be used as the instrument to address impacts of restricting the access to PCRs by local communities due to the NPA management arrangements. Public Disclosure Copy Safety of Dams OP/BP 4.37 No The project will not involve construction of any dam as specified in the policy. Projects on International No Project activity will not affect international Waterways OP/BP 7.50 waterways as described in OP/BP 7.50. Projects in Disputed Areas OP/BP No The project activities are not located in any 7.60 disputed areas as described in OP/BP 7.60. III. SAFEGUARD PREPARATION PLAN A. Tentative target date for preparing the PAD Stage ISDS: 20-Mar-2013 B. Time frame for launching and completing the safeguard-related studies that may be needed. The specific studies and their timing1 should be specified in the PAD-stage ISDS: A. Target date for the Quality Enhancement Review (QER), at which time the PAD-stage ISDS would be prepared: August 30, 2012. B. For simple projects that will not require a QER, the target date for preparing the PAD- stage ISDS: N/A C.Time frame for launching and completing the safeguard-related studies that may be needed. The specific studies and their timing should be specified in the PAD-stage ISDS: (i) Environmental safeguards: One Environmental Assessment (EA) per NPA and one project level EMP including ECOPs, will be prepared and disclosed before appraisal, which is currently planned for October 30, 2012; (ii) Social safeguards: Resettlement Policy Framework (RPF); Ethnic Peoples Framework (EPF) and Process Framework (PF) will be developed for project sites Public Disclosure Copy and disclosed before appraisal IV. APPROVALS Task Team Leader: Name: Jean-Michel G. Pavy Approved By: Regional Safeguards Name: Peter Leonard (RSA) Date: 01-Feb-2014 Coordinator: Sector Manager: Name: Janelle Plummer (SM) Date: 01-Feb-2014 1 Reminder: The Bank's Disclosure Policy requires that safeguard-related documents be disclosed before appraisal (i) at the InfoShop and (ii) in country, at publicly accessible locations and in a form and language that are accessible to potentially affected persons.