Lao People’s Democratic Republic

Involuntary Resettlement Process Framework

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

Contents:

1.  Background ------1

2.  Project components ------4

3.  Project implementation arrangement ------6

4.  Legal framework ------6

5.  Project impact and the process framework------7

6.  Project measures to ensure mitigating negative impacts------8

6.1. Participatory planning of resource restriction------8

6.2. Alternative livelihood ------8

6.3. Case of the Sanam users------9

6.4. Infrastructure development in and near NEPL NPA ------9

6.5. Physical and Cultural Resources ------10

6.6. Safeguard compliance by co-financiers------10

6.7. Voluntary land acquisition------10

7.  Criteria for eligibility------10

8.  Social assessment------11

9.  Process of FPIC------14

10.  Participation framework------15

11.  Partnership with currently active and on-pipeline development projects in the NEPL NPA------19

12.  Project monitoring and evaluation------20

13.  Budget------20

Involuntary Resettlement Process Framework (revision as per the updated MSP dated June 21, 2012)

1)  Background

The Project for Developing and Demonstrating Replicable Protected Area Management Models at Nam Et -Phou Louey National Protected Area (The Project) aims 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 species threatened by human interaction. The project is comprised of three 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, and iii) Dissemination and replication working models of NE-PL NPA within Lao PDR.

The Nam Et -Phou Louey National Protected Area is located 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 (PAMU) with technical support from the Wildlife Conservation Society (WCS) (Figure 1). The project covers 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 Lao, and has been managed by the PAMU since 2000.

The NPA covers 422,900 ha of mountainous terrain (Figure 2). The northern boundary of the NPA borders Vietnam and a proposed expansion of the protected area spans three provinces and seven districts including Luang Prabang Province (Viengkham and Phonxay districts), Houaphan province (Viengthong, Huamuang, Xamneua, and Xiengkhor districts), and Phoukoud district in Xieng Khuang province. Approximately 80% of the land area in Viengthong district alone is NE-PL NPA. This district is known to be one of 47 poorest in Lao PDR. Approximately a total of 30,000 people in 127 villages are known to live in and adjacent to the 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 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. 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.

Figure 1. Institutional Arrangements for Nam Et-Phou Louey National Protected Area (after Appleton et al. 2003).

2)  Project components

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 minimize their dependency on wild meet consumption and collection of NTFPs and mitigate potential short-term negative impact due to 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 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 activities , and the implementation arrangements 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’s implementation.

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

The World Bank’s Involuntary Resettlement Policy requires that adverse impacts on local communities should be avoided wherever possible and that, where this is not possible, all project-affected persons should be assisted in their efforts to restore or improve their livelihoods. The enforcement of restrictions on access to resources will, in the long term, help villages manage common resources sustainably, improve food security as well as keep species from being extirpated. In the short-term, however, such restrictions, even when implemented based on a participatory manner as under the Project, may negatively affect the livelihood of people living within or near the NPA, especially the cash income from selling wildlife[1]. Thus, this Resettlement Policy Framework is provided to ensure restrictions of access are done through a participatory process and that alternative livelihoods are provided in line with the World Bank and GoL’s policies.

3)  Project Implementation Arrangement

The responsibility for the implementation of the RPF as well as Ethnic Peoples Plan lies with the executing NGO, Wildlife Conservation Society (WCS), which will work closely with the relevant local government agencies and communities. Government mass-based organizations such as the Lao Front National Construction (LFNC) and the Lao Women Union (LWU) will be involved in the project implementation. LFNC will assist ethnic minority consultations and mobilizations as specified in the Ethnic People Plan while the LWU will help facilitate and promote village women’s participation in the project. WCS will ensure that the relevant expertise are mobilized to implement the Framework, including activities that strengthen the participation of ethnic minorities (e.g. training and capacity building), as well as to be able to oversee its implementation.

A series of safeguard training and implementation support will be jointly provided for the project safeguard focal staff and PAMU by the Bank safeguard specialists and MoNRE[2]. Exchange workshops or visits to similar NPA projects in Lao such as NT2 watershed, Namkading NPA conservation project) and in neighboring countries would also be organized for the implementing agencies for the purpose of networking and knowledge sharing.

As mentioned above, 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 the financing of $640,000 for participative livelihood development in some target villages. 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 Poverty Reduction Fund (PRF) and CliPAD will be conducted as per provisions of this RPF. The NE-PL Management Unit (PAMU) will coordinate and monitor project implementation.

4)  Legal Framework

Lao PDF has basic regulations aiming to address negative social impacts arising from development projects. The Compensation and Resettlement Decree 192, Article 8, provides that any people whose access to community resources are affected by development projects are entitled to sustainable income restoration measures, in addition to their entitlement for compensation and other allowances, enabling them to attain at a minimum pre-project livelihood levels. The Article 12 of the Decree 192 stipulates that “The project owners shall implement the resettlement program in a participatory manner ensuring that APs, local authorities and other stakeholders are fully informed and consulted and their concerns are taken into account at all stages of the project cycle, particularly during the planning and implementation phases of the land acquisition, valuation and resettlement process”. Although these decrees do not explicitly require broad community support to be established or specifically oblige developers to conduct free, prior and informed consultations, they nonetheless require that meaningful consultations be carried out prior to project implementation and that their concerns be addressed in project design. Gaps often occur due rather to weak implementation and poor monitoring – some developers may not fully engage in meaningful consultations or address concerns of affected people but relevant government officials often fail to take remedial actions due to limited budget, weak monitoring or lack of follow up actions.

5)  Project Impact and the Process Framework

The Project will introduce the restrictions of access to natural/ forestry resources under the project which may negatively affect the livelihood of local communities at least on a short run.

This Process Framework is therefore developed to achieve the following objectives:

a)  to provide full consultation with, and informed participation of affected people.

b)  to avoid, minimize or mitigate potentially adverse effects of new restrictions, and increased enforcement of existing as well as new restrictions, of access to natural resources.

The principles laid out to meet these objectives include:

a)  broad-based and consultative definition of protected area boundaries, new restrictions, and increased enforcement in Nam Et Phou Louey based on biophysical as well as socio-economic assessments;

b)  decisions will be based on the informed participation of all affected people, in the form of consultations and agreements reached between the affected people and the respective local and project authorities. Agreements will be formalized in a Village Natural Resource Agreement (VNRA) document;