AIDE MEMOIRE Climate Investment Fund (CIF) SCALING UP ...documents.worldbank.org/curated/en/...Approval 08-Aug-2013 Effectiveness Date 30-Aug-2013 Disbursements USD 11.11 million Grant

SUFORD SU Aide Memoire – May 2017

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AIDE MEMOIRE

International Development Agency (IDA) and the Forest Investment Program (FIP)

Climate Investment Fund (CIF)

SCALING –UP PARTICIPATORY SUSTAINABLE FOREST MANAGEMENT PROJECT

(SUFORD SU), P130222/IDA H8520 and TF015286

JOINT IMPLEMENTATION SUPPORT MISSION

May 15-26, 2017

KEY PROJECT INFORMATION

Project Number P130222 Closing Date 31-Aug-2018

IDA Amount USD 19.00 million IDA Number IDA H8520

Approval 08-Aug-2013 Effectiveness Date 30-Aug-2013

Disbursements USD 11.11 million

Grant Amount USD 12.83 million Grant Number TF015286

Implementation

Progress Rating

MS Board Approval 31-May-2013

PDO Rating MS Effectiveness Date 30-Aug-2013

Disbursements USD 7.87 million

1. Introduction. The Project Development Objective of SUFORD SU is to execute REDD+

activities through participatory sustainable forest management in priority areas and to pilot forest

landscape management in four provinces. Participatory sustainable forest management will be

implemented in Production Forest Areas (PFAs), while Forest Landscape Management (FLM) will

be implemented in PFAs, and adjacent conservation, protection, and village forests. Through

SUFORD SU, linkages will be developed with the REDD+ Readiness process especially with

regard to aspects related to forest dependent communities, access restriction to natural resources,

land tenure, customary rights, benefit sharing, and conflict resolution mechanisms. Collaboration

includes analytical work, capacity building, and strengthening the policy and regulatory frame

work for forest-dependent communities.

2. The total project allocation is US$50 million funded by the International Development

Association IDA (US$19 million), Forest Investment Program FIP (US$12.83 million), the

Finnish Government (US$10.5 million, Technical Assistance) and by the Government of Lao PDR

(in kind contribution, US$7.5 million). The Project has been effective since August 30, 2013, and

has a tenure of 5 years, or through August 31, 2018. The Project covers 1,090 villages and 424,000

people in 13 of 18 provinces in Lao PDR and 41 of 51 Production Forest Areas (PFAs).

3. The Mission was carried out by the World Bank, the Ministry of Foreign Affairs of Finland

(MFA), the Ministry of Agriculture and Forestry (MAF), the Department of Forestry (DoF), The

Department of Forest Inspection (DOFI) and the Finnish Technical Assistance (TA) Project from

May 15 – 26, 2017. The mission was carried out in Vientiane and in Champasak and Attapeu

Provinces and reviewed project progress for thematic, organizational, operational, safeguards and

fiduciary concerns including progress toward carrying out village livelihood activities, including

formulation and disbursements of associated grants; update on the forest landscape management

plan and activities to meet objectives prior to project completion.

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4. The World Bank and Government of Finland, Ministry of Foreign Affairs expresses its

sincere appreciation to MOF, MOFA, MAF, DOF, DOFI, and the TA team as well as the

provincial, district and village stakeholders for their invaluable contributions to a successful review

of the Project’s progress. The next mission is planned for November 2017. The mission would like

to also recognize our highest appreciation for the Chairmanship of the Mission wrap-up meeting

by Mr. Sousath Sayakoummane, Director General, Department of Forestry, Ministry of

Agriculture and Forestry. We thank him for his leadership, support and guidance to the Project.

5. Disclosure. According to the World Bank's Access to Information Policy, Aide Memoires

are to be publicly disclosed unless otherwise indicated by the counterparts. The disclosure of the

Aide Memoire was discussed and agreed to during the mission with DOF representatives.

6. Overall Implementation Status. In summary, the mission found that the project

implementation progress and progress toward the Project Development Objective is Moderately

Satisfactory. The formal approvals of the 40 forest management plans are completed and

disbursement of village livelihood grants are approximately 37% completed (249 out of 666

villages). Landscape management work has gained momentum and the action plan for this activity

aims for a successful closure by December 2017. Governance and law enforcement is strong and

the mission congratulated the project on its contributions to PMO 15 notable decreases in illegal

logging across the country.

7. Reduced emissions as a result of the project are estimated at 1.8 million tons of CO2e,

which is substantially above the original projections. A proposed modification of the indicator

framework agreed in the last mission is pending submission to the Bank and needs to be expedited.

Disbursements for IDA and FIP TF were US$ 18.98 million (60%). Increased effort needs to be

made to disburse the village livelihood and forest restoration grants.

8. The Prime Minister’s Office issued a tax exemption for the vehicles purchased by the

project, which are being processed for release to the provinces in the customs department.

However, it was noted that the vehicle dispatch is far behind schedule, and their purchase reflects

a significant expenditure on the part of the operation. The mission stressed the need to resolve the

issue of the vehicles processing and distribution without further delay.

9. Component 1: Strengthening and Expanding PSFM in Production Forest Areas.

(IDA USD$12.22 million, FIP USD$8.15 million and Government USD$4.98 million) This

component includes two subcomponents: (a) Developing partnerships to increase implementation

capacity, and (b) Community engagement in PSFM and VLD.

10. Summary: The Mission assessed the component as Moderately Satisfactory. Forest

inventories and management plans required for PSFM in 40 PFAs and 198 SFMAs, were carried


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out in accordance with the PAD, Operations Manual1 and Annual Work Plan2. There are 3 SFMAs

in one PFA which cannot be inventories because of security concerns in the area. All other Forest

Management Plans were approved in December, 2016. Under Village Livelihood Development,

the mission noted strong but incomplete progress. All the 666 VLD grant proposals are approved

at the village and district levels, and by DOF. DOF has assigned several additional staff

temporarily to quality control the proposals, which is required prior to authorization. Village

Livelihood Development Grant and supplemental guide for FRG obtained the Bank’s no objection.

The VLD grants are disbursed to 249 villages through May 2017 mission (37%). The VLD grants

disbursement to the remaining villages is expected to be complete by the end of 2017. Late delivery

of VLD grants may lead to delays in technical and organizational support to individual and groups

farmers / cooperatives as well as participatory monitoring of VLD Grants activities and the grant

disbursement needs to be further expedited.

11. Under Village Forestry, village land use maps in 33 villages are now validated, which is a

prerequisite to improving tenure rights in Laos. Village forests situated inside and outside 3 forest

categories (FCs) i.e. Production Forest Areas (PFAs), Conservation Forest Areas (CFAs) and

Protection Forest Areas (PtFAs) in 33 villages are identified and mapped. 13 villages overlap with

PFAs/outside FCs, 18 villages overlap with PFAs/CFAs/PFA/outside FCs and 2 villages adjacent

to PFAs. Village forest management planning (VFMP) and tenure support to village forests are

underway and expected to be completed by end of the fiscal year. The mission noted that the

MOUs and Village Agreements would be the most likely means of increasing land-tenure security

for target populations and their lands. The 5-year FSC certificate of the DOF Group of Forest

Management Units (FMUs) expired at the end of 2015. DOF submitted an application for

assessment for another 5-year FSC certificate to the Rainforest Alliance, the certifier. The

Rainforest Alliance Team conducted the field assessment and granted DOF the FSC forest

certification for another 5 years period 2017-2021 for an area of 10,949 ha. Village discussion on

the FRG subprojects were conducted in November, 2016 in anticipation of the release FRG to the

district, the sub-projects have been approved but the implementation is pending until districts are

waiting for the release of FRG funds.

12. Issues and Recommendations: Some VLD grants need to be fully disbursed before October

to take advantage of the planting season. Failure to disburse the grants fully by closure would have

a highly negative impact on the project. An MOU-Village Forest Management Agreement

(VFMA) is proposed for DOF’s consideration/approval for strengthening land tenure. This is

crucial in providing necessary secured tenure for village forests managed by villagers and in

attaining the project’s result indicator of 15,000 hectares of forest area under MOU-VFMA. The

prospect of timber sales and benefit sharing focusing only on certified timber was proposed during

the mission, and is compatible with the new Green Growth DPL targets. However, it requires that

the project accelerate the certification process in PFAs.

13. Carbon sequestration estimates have been projected for the activities based on emissions

reductions according to logging/trade data pre- and post-PMO 15. Estimates are for net reductions

1 SUFORD-SU Guidelines for the PFSM Planning Stage of the Operations Manual for PSFM in PFAs including: Establishing a

PFA; Preparing for PSFM in a PFA; Organizing Forest Institutions to Implement PSFM; SFMA Resources Assessment; Forest

Management Planning; Annual Operations Planning 2 3rd Annual Work Plan 2015-2016


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of over 1.8 million tons of CO2e annually. This is much higher than the amount calculated at the

project’s inception. Actual sequestration by the end of the project will depend on the

implementation of the VLD grants given their importance for REDD+. Good monitoring and

follow up to the grants is required to ensure both livelihoods and sequestration targets are met.

Regarding forest monitoring in FMUs, a few of the 13 project provinces were not able to complete

the establishment of the 30 target permanent sample plots (PSP) The provinces that have PSPs are

doing PSP re-measurement. Other provinces are presently establishing PSPs. Post-harvest

assessment was cancelled because the logging ban in PFAs has not been lifted.

14. Component 2: Piloting Forest Landscape Management (IDA USD 1.17 million. FIP

USD 0.78 million and Government USD 0.48 million). The component includes developing

methodologies and frameworks for forest landscape management for four northern provinces;

Bokeo (BK), Louang Namtha (LM), Oudomxai (OU) and Xayaburi (XA) by facilitating

consultative/participatory processes and strengthened interagency coordination.

15. Summary. The mission rated the component as Moderately Satisfactory. Work continues

on the FLM which has gained orientation and increased traction over the last year in Bokeo and

Louang Namtha in good cooperation with the ICBF operation. The development of FLM planning

approach has been completed. The approach includes two phases where the area of 3 Forest

Categories (3FC) is divided into landscape zones with different targets and restrictions. In the

Mapping Phase, the 3FC area of the target district is divided into preliminary zones based on

interpretation of satellite imagery and auxiliary data by GIS officers at FIPD. In the second phase,

district officials, village and village cluster stakeholders are invited to district consultation process

where the preliminary zones are reviewed and finalized. The approach was piloted in Long District

of Luang Namtha Province and Meun District of Vientiane Province. The pilots showed that the

approach worked well and could be scaled-up to other districts of Luang Namtha and Bokeo.

However, to make the approach compatible with the preliminary LENS2 guidelines, in Oudomxay

and Xayaburi it was significantly simplified. The project presented a credible action plan for

completion of all aspects of the work by the end of the project which is included in the Annex. The

progress on plans for the FLM indicators was being updated at the time of mission closure, due to

technical reasons in calculating surface areas under the plans.

16. Recommendation. The mission agreed with the action plan presented by the project for

completion of the work and asked DOF to monitor implementation closely in order to ensure all

objectives are met. The indicator for no of ha under FLM plans needs to be updated as soon as

possible.

17. Component 3: Enabling Legal and Regulatory Environment (IDA USD$1.97 million,

FIP USD$1.31 million and Government USD$0.80 million). This component aims to strengthen

the legal and regulatory frameworks for implementation of the PSFM and REDD+ at the national

level and at the subnational level including land use planning at the community level that is critical

to the management of forest resources.

18. Summary. The component is Satisfactory. The Department of Forest Inspection (DOFI)

has developed and started implementing new systems for law enforcement, information,

communication, and monitoring and the STEPP is advancing on schedule. The mission noted the


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progress by the Project and diligence by Government personnel and consultants to strengthen cross

agency and project links as part of a ‘3C’ approach to managing resources and deliveries: Co-

operation, Co-ordination and Co-funding. The mission noted the substantial and continuing efforts

to PMO15 dated 13 May 2016, and subsequent regulatory support instruments. A weighted

estimate of the project’s contribution to PMO 15 implementation is 44%. The mission noted that

Instruction No. 0054/MAF issued on 9 June 2016, and Notice No: 1990/PMO.ED issued on 19

December 2016 broaden PMO to include stronger action to address the trade in CITES and

wildlife. The mission noted the substantial technical and equipment provided to support the

operationalizing of the Smart Phone Information Reporting and Intelligence Tracking System

(SPIRIT), including an additional $170,000 for training and equipment, Compliance Audit system,

and enhanced Risk Assessment system has concluded. STEPP is demonstrating good results, with

1,345 cases investigated (638 still ongoing). Encouragingly, 16 cases were referred to the Office

of the Public Prosecutor, and 32 prison sentences issued for illegal trade in timber. The mission

noted that on 17 November 2017, the National Assembly passed the new Penal Law which, when

proclaimed, will strengthen and broaden the scope of offenses, and increase penalties relating to

forest and wildlife crime. An itemized list of contributions to other governance issues by the project

is found in the Annex to this Aide Memoire.

19. Issues and Recommendations. The mission noted the positive moves by the government to

clarify the regulatory framework concerning illegal trade in forest and wildlife products. The

project support includes assisting DOFI to enforce forest and wildlife laws. The mission

recommended that the project apply resources and support additional and stronger enforcement

action, including enhanced investigations to support prosecutions. The mission also recommends

that following the passing of the new Penal Law by the National Assembly on 17 May 2017, DoFI

and PoFI should take stronger action to address the illegal trade in CITES Appendix 1 species in

Lao PDR. The mission notes the strong commitment by DoFI to the development and

implementation of SPRIT, but remain concerned that its use by PoFI’s remains relatively low. The

mission encouraged DoFI to take stronger action to ensure SPIRIT is fully implemented at the

provincial level. The mission notes the development of the IMS team’s capacity continues to

improve, and encourage DoFI to enhance the skills of this team to include the analysis of

information, and continued evaluation of Provincial reporting is maintained. The mission

recommends the Compliance Audit system is implemented, and STEPP financial and reporting

systems are assessed for compliance. Actions to implement these recommendations should be

reported by 1 November 2017 to ensure proper evaluation at the next mission date.

20. Component 4: Project Management (IDA USD$3.19 million, FIP USD$2.13 million

and Government USD$1.3 million).

Summary. This component is considered Moderately Satisfactory. Since the announcement in

January 2017 by the Government of Finland to terminate financial support to Laos, the project

faced some delays in project support as some technical advisor positions were terminated (IT and

communications) or changed to part-time (M&E). As a result, the inventory and mapping of

resettlement and field impact assessment, and the study on feasibility of applying customary forest

tenure in PFAs will be postponed to the second half of 2017. Some Technical Assistance positions

will be hired under the SUFORD-SU project through Bank financing, including four international

expert positions (forest management consultant, Village forestry Consultant, Village Livelihood


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Development Consultant, and Forest Law Enforcement Consultant) and six National Consultants

(three Forestry and Three Livelihood Development Consultants). In response to the project

request, the project has proposed the employment of the remaining consultants namely, the Chief

Technical Advisor, the Remote Sensing Consultant, and M&E Consultant, the Financial

Management Consultant, and the Gender and Ethnic Consultant.

Issues and Recommendations. The mission noted the issuance from the Prime Minister’s Office,

Notice No.600/PMO, dated 20 April 2017 granted the exemption from the payment of taxes for

the importation of vehicles and motorcycles for the project. The exemption is credited as

counterpart financing by the government to the project of around US$ 2 million. The Bank urged

the project to speed up the documentation process to release the vehicles and motorcycles before

the end of the Bank’s Fiscal Year ending in June 2017. The mission stressed that the vehicles and

all goods and services procured under Bank funded project should be used for the purpose

intended.

21. Financial Management. Financial Management performance of the project remained

Moderately Satisfactory. Audit reports and IFRs have been submitted timely. However, the audits

revealed significant issues and weaknesses in internal controls that require urgent attention and

action from project management. A review of transactions revealed similar weaknesses in internal

controls. There were also questionable expenditures requiring discussions with the project

management office. Disbursement of VLD and Forest Restoration (FRG) grants are slower than

planned. Out of approximately $5 million aimed to be transferred between January and June 2017,

$1.7 million had been transferred so far. The process of preparing and reviewing withdrawal

applications is moving slowly. Moreover, there was also significant time lag in recording of

provincial expenditures. All these factors could contribute to delays in documentation of

expenditures and thus replenishment of needed funds. (Please refer to the Annex for findings of

review of internal controls and transactions.)

22. The disbursement rate is 58% for H8520 and 62% for TF15286. The mission was informed

that two withdrawal applications amounted to approximately $0.9 million have been prepared and

under internal review of MAF before submitting to MOF. However, the total expenditure for

which application has not yet been prepared amounted to approximately $0.6 million. The

temporary increase of DA ceiling expired in May. If there is a need to extend the duration for

temporary DA increase, the project management office should discuss with the task team leader

and submit request for extension, together with justifications and funds flow forecast, as soon as

possible.

23. Procurement: Overall, procurement performance of the project is considered “Moderately

Satisfactory”. The implementation of procurement packages is progressing. In particular, the

agency has awarded total five contracts of goods, and extended six individual consultant contracts

and a selection of a firm is in progress. Please see Annex 1 for more information about procurement

progress of the project. The two biggest packages procurement of 72 vehicles and 755 motorcycles

were awarded on March 19, 2015 and July 27, 2015 respectively. There was a good news that the

importation duty and taxes has been accepted, and the process of registration and plates numbers

are in process. The mission advised the project to update the procurement plan in order to reflect


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the current implementation status of all procurement packages and to add new packages as

necessary; then send for the Bank’s review by June 15, 2017.

24. Social Safeguards. The social safeguards performance of the project to date is satisfactory.

No land acquisition or involuntary resettlement has taken place, and any restriction of access to

natural resources likely to occur will be achieved through the participatory preparation of land use

management plans that conform to the requirements of the Community Engagement Framework.

In terms of ethnic engagement, the project has targeted ethnic communities as beneficiaries, with

an estimated 157,000 ethnic people benefitting to date. For the Village Livelihood Development

activities, a process of Free, Prior and Informed Consultation has taken place in 678 communities.

This process has been finalized in 675 communities resulting in broad community support for

Community Action Plans on Village Livelihood Development. The vast majority of recipients

grant recipients will be ethnic people. Other important achievements relevant to project

performance on the ethnic components of the Community Engagement Framework include:

- The completion of a baseline survey on the socio-economic situation of village grant

recipients which includes the possibility of disaggregating results by ethnicity.

- Proficiency in 16 ethnic languages among project staff (the project team regularly takes

stock of the number of staff proficient in ethnic languages)

- Participatory assessments of culturally sensitive sites prior to the commencement of forest

related activities.

25. It will be important to sustain these achievements going forward, despite the reduction in

the Finnish technical assistance. One challenge identified during the mission, and in the semi-

annual progress report, was the potential for training on grievance redress for VLD and PSFM

activities to be dropped as a result of reduction in Finnish TA. The task team recommended that a

grievance redress mechanism would still need to be rolled out for these activities in order to be in

compliance with the community engagement framework. This may involve a simplified process

of sharing information at the village level about their rights to grievance redress (and who to

complain to at the village, district and provincial level), and the maintenance of a grievance

register.

26. In addition to safeguards, the project is doing an excellent job in targeting project benefits

towards women and vulnerable groups, through the village livelihood development activities. This

activity includes a requirement that the first round of beneficiaries in each village include women,

economically vulnerable people, and middle income people. By taking this approach, the project

has minimized the risk of elite capture of livelihood activities, which often characterizes this type

of support. Another social consideration that goes beyond safeguards, that may need to be

considered are labor and working conditions for people employed as part of forest restoration

activities. The technical guidelines for these activities, which already include requirements for

gender equity, should also include provisions on core labor standards (e.g. health and safety,

grievance redress and child labor).

27. Environmental Safeguards. The environmental safeguards performance of the project is

satisfactory. No compliance issues for environmental safeguards were identified during the

mission. The mission advised the project not to revise the EMP as it has already been approved,


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there are no major changes needed, it is used for training of trainer programs and embedded in the

overall process of VLD and PSFM planning. The mission clarified that no road construction is

financed under the project and is not to be included in the Operational Guidelines. The mission

noted that environmental safeguards are considered in the landscape management activity. In

addition, the project reported that awareness training was carried out for pesticide use. Even though

pesticides are not a project activity, they are frequently used in villages for other purposes. More

details of the safeguards issues are found in Annex 3.


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List of Annexes:

Annex 1 – Project Action Plan

Annex 2 – Financial Management

Annex 3 – Procurement Action Plan Compliance

Annex 4 – Environmental Safeguards

Annex 5 – FLM Action Plan

Annex 6 – Results Framework

Annex 7 – Progress Report

Annex 8 - Mission Agenda

Annex 9 - List of Participants

Annex 10 – Project Monitoring Indicators

ANNEX 1

Action Plan

Issue Due Date Responsibility Comment

Accelerate approval of

VLD Grants

Ongoing DOF Over 400 grants still need to be

disbursed to ensure they are being

implemented by project closure

Submission of proposal for

modification of Indicators

June 30, 2017 WB To be routed through MOF to the

World Bank.

Vehicle Registration and

Dispatch to the Provinces

June 30, 2017 DOF Vehicles registered and dispatched to

provinces

Attapeu, Logging and

Plantations

June 26, 2017 DOF The report on the logging and

plantations establishment in

Phoupasang PFA in Attapeu should be

finalized and followup actions as

necessary.

Submit a request to the

Bank for a temporary

increase in DA

Immediately SUFORD-SU Submit request for temporary increase

in DA from 2.5 to 3.5 million for the

period of an additional 6 months

Audit and Other Financial

Management Issues

June 26, 2017 Finance team,

SUFORD-SU

See Annex 2 for FM queries to be

addressed.

Respond to second annual

environmental and social

safeguard assessment

July 15, 2017 DOF DOF should review and send

comments and corrections to the Bank.

Procurement

W01: construction of

NPMO building

June 2017 NPMO, DOF. Contract award

Distribution of 72 units of

pick up vehicles.

August 2017. NPMO, DOF. registration and plates numbers

Distribution of 755 units of

motorbikes.

October 2017. NPMO, DOF. registration and plates numbers

G13: Office Equipment July 2017. NPMO, DOF. Contract award

G16: field equipment for

DOFI

August 2017 NPMO, DOFI. Revise technical specifications and

RFQ

ANNEX 2 Financial Management

1. Staffing. We are pleased to note that recruitment for Senior FM consultant is underway at

evaluation stage. However, it has taken sometime to recruit FM for Southern provinces. As project work

increases, additional support will be required to ensure smooth implementation of financial management

work. Therefore, it is advised that the project accelerates recruitment of this position and have the consultant

on board by end of June. We are also pleased to note that the official reviewing role of the Senior FM

specialist for PMO has been reflected in the FM Manual and this control should be enforced strictly to

ensure internal controls put in place are observed.

2. Audit. The audit report and management letter were submitted timely. However, the auditors

raised some significant issues that requires urgent attention and action, namely late clearance of advances,

issues concerning inadequate/incomplete supporting documents, non-compliance with regulations with

regards to payment of per diems, insufficient quotation for equipment purchase, large amount of payment

in cash, check not issued in the name of suppliers/services providers and incorrect account code used to

record transactions. Some of these issues are recurring. As issues are significant, the mission team will

follow up with PMO separately on this matter. Due to the change in government fiscal year, the next audit

report will cover the period from October 1, 2016 to December 31, 2017 and due for submission no later

than June 30, 2018.

3. Interim unaudited Financial Report (IFR). IFR for the quarter ended March 31, 2017 was due

for submission on 15 May 2017. However, this has not been submitted. We urge that PMO urgently submit

the IFR by May 31. The next IFR covering the period from April to June will be due on August 15, 2017.

4. Internal controls. Reviews of selected internal controls revealed that some basic controls were not

followed. Summary of findings are as follows:

Bank reconciliation. DA reconciliation is only performed at time of preparation of withdrawal

application. The mission team recommends DA statement be obtained monthly and reconciliation

performed to ensure no unusual transaction or items left unreconciled, fraud or error. The

reconciliation should also be reviewed and signed off by authorized officials being Senior FM

consultant or head of finance division.

Petty cash. Petty cash replenishment and cash count was not done on monthly basis. Not

performing the cash count at the end of each month could create the risk of misuse of cash, theft,

error and fraud. Therefore, the project is advised to conduct the cash counts monthly and cash count

sheet reviewed verified by authorized officials e.g. head of finance. In addition, the project needs

to replenish the cash on monthly basis to ensure fund sufficiency and adherence to the FMM.

Contract monitoring. Although a record is maintained for all individual consulting contracts

indicating information e.g. fees, out of pocket expenses and duration of contract, the payments

previously made on the contracts were not recorded or monitored. As the project has large number

of consultants both at PMO and provincial level, it is essential to monitor payments to ensure that

payments are made within the terms and conditions and not exceeding the amount of the contract.

Advances. At PMO level, the total of outstanding advances paid from operating account as at

March 31was $0.02 million consisting of 5 items. Although the amount is small, the aging of these

advances is between 2 and 6.5 months. PMO is advised to follow up with respective advance

holders and clear immediately. The longer it takes to clear advances, the higher the risk of those

expenditure becoming ineligible for financing. Moreover, adherence to the liquidation

requirements in the FMM must be followed.

Journal entry review. Review of journals from January to April indicated that the journals were

not reviewed and verified before they were processed into the system. This increases risk of

recording expenditure into incorrect account code. The auditors also raised this issue in the FY16

audit.

Asset management. The mission team was informed that project assets were last counted and

verified in November 2016. However, the updated register has not yet been approved by the project

director. Moreover, the register also lacked information e.g. date of purchase, condition of assets,

and details of the locations of assets in the provinces. PMO is advised to update the list with

complete information before the FY17 audit commence. In 2015, the project also procured 72 pick-

up trucks and 755 motorcycles. Due to some unresolved issues on taxes, the vehicles have not been

registered and distributed officially. Due to needs of the project, 17 trucks were released for used

at PMO and some provinces without formal registration. The mission team was advised that

vehicle insurances were purchased for all vehicles in used and register kept for these vehicles. The

mission team also carried out sighting of remaining trucks and motorcycles at MAF’s warehouse.

Majority of the motorcycles were parked in a locked warehouse; however, some are parked in the

yard with no roof. Remaining trucks were also parked in the yard. We were informed that one

vehicle front screen was damaged from falling trees. Now that the import tax exemption had been

approved, it is highly recommended that the PMO accelerates the processing of documents for tax

exemption so that vehicles can be released for good use in the project as soon as possible. Leaving

vehicles unused for a long period of time also increases risks of deterioration or damage.

Accounting records. It was noted that transactions at the PMO as recorded in the accounting

software (ACCPAC) is not up to date. Transactions at PMO were only recorded up to January

2017. Delay in recording expenditures leads to understatement of project expenditure.

Replenishment cannot be made timely leading to shortages of project funding. Risk of those

expenditure becoming ineligible is also high. PMO is recommended to ensure that transactions are

up to date at all levels. PMO and Regional financial management consultants should ensure that

data are entered into the accounting software timely, accurately and completely.

5. Transaction review. The mission team randomly selected and reviewed 14 transactions. Based

on the review, the team noted that (i) journals were not reviewed and verified (sign off); (ii) payment to

consultants were delayed, (iii) significant delays in clearing advances and (iv) questionable expenditure.

Transactions relating to those questionable expenditures are as follows.

No. Transaction

Description

Date Questionable

Amount

Findings

8. Clearing of advance

for Car Shipping

paper work 163 paid

to KOY Copy Shop

14.9.2016 20,385,000 Kip It took five months before advance

was cleared. The purpose of the

advance taken was to process the

importation of vehicles. The

No. Transaction

Description

Date Questionable

Amount

Findings

for copies of

supporting

document to submit

the tax department

for purchase of 755

units of motorbikes

advance amount is rather large

($21,621.42) and should have not

been provided as advance to project

staff. Payment should have been

made as expenditure in incurred.

Total expenditure was $15,107

Based on out review, we noted

questionable expenditure relating to

payment of import fees charged by

Ms. Koy Shop amounted to 20.4

million kip (20,385,000 kip) for

importing 755 motorbikes. It is not

clear to us as to the nature of this fee

and why it is paid to a shop and not

appropriate authority. It was not

clear from the receipt, the business

address and type of this business.

From other receipts and invoices,

we noted that the same shop also

charged for form typing fees and

photocopying fees. Therefore,

PMO is requested to provide

explanation.

Total of 44,335,000KIP

9. Payment to oil

provincial project

steering committee

for Mr Chansee

17.11.2015

2,654,400 Kip

Motorbike #1495, 2745 & 7242

were given the fuel on 20L instead

of 16L as mentioned in 2066.

((20L-16L) *3 motorbikes *3

months *9,000) =324,000

The Fuel rate used to calculate is

incorrect, the project is using the

fixed rate (9,000KIP/L for Regular

and 8,000KIP/L for Diesel) rather

than the rate from the Lao State Fuel

Website as for their usual practice.

As of 7 Nov 2015 the rate for

regular was 7770KIP/L and

6400KIP/L. Thus the variance is:

((80L *5cars *3months* (8,000-

6,400)) =1,920,000 KIP

((20L *3 bikes *3months* (9,000-

7,770) =221,400KIP

No. Transaction

Description

Date Questionable

Amount

Findings

These over provision will either be

returned to the project or deducted

from future provision.

14. Clear Per Diem

advance for 52 staff

to join training for

the control of VD

funding for four

district at ATP

meeting hall from

26-29/Apr/2016

9.5.2016

4,340,000 kip

Both per diem and lunch were paid

or provided to participants

31 participants received per diem

100,000KIP/day for attending

workshop from 25-29.04.2016.

Lunch was also provided at

35,000KIP/day. If lunch is

provided, then per diems should not

be received in full. Therefore, the

amount in question is

35,000KIP/day *4

days*31=4,340,000

Annex 3 Procurement Action Plan Compliance

Item Deadline Comments Status Submission of Revised

Procurement Plan to the WB

November 28, 2016 Update the procurement plan in

order to reflect the current

implementation status of all

procurement packages and to add

new packages as necessary.

Done

W01 Construction of NPMO

Office Building.

March 2017 Completed bidding

process/contract signing with

contractor/ Start the construction.

Completed NPMO

Office building design

and biding opening

G03-3 to G03-11 Furniture for

PFS.

May 2017. Four out of ten

packages were

completed.

G11 (Lot2): Supply and delivery

of 72 units of 4WD Double Cab

Pick Up

December 15, 2016 The importation duty and taxes

issues have to be cleared with

MOF. Otherwise it shall be

charged to the project budget.

Tax exemption was

approved by PMO and

MOF

G12: Supply and delivery of 755

units of motorbikes.

December 15, 2016 The importation duty and taxes

issues have to be cleared with

MOF. Otherwise it shall be

charged to the project budget.

Tax exemption was

approved by PMO and

MOF

G13 Office Equipment:

(Scanner, Copier, Fax, LCD

Projector, Wifi Router)

February 2017. Draft Bidding Document (NBC) is

completed and shall be submit the

Bank for review and No –

Objection Early December 2016.

Completed the bid

opening

G15: IT equipment for DOFI Completed

C07.1-2 Financial Management

Consultant based in Southern

Provinces.

December, 2016. The EOIs are received. The

project further proceed EOIs

Evaluation submit to the Bank for

review and No – Objection by end

of November 2016.

Done

Procurement information

disclosure

The information to be posted on the

ministry’s website will include:

i. Annual procurement plan.

ii. Invitation/REOI.

iii. Bidding/proposal documents,

which can be downloaded by

interested bidders and they can

submit bids/proposals in

hardcopy to project

implementing agency as

specified in the

bidding/proposal documents.

iv. Questions and Answers.

v. Bid opening record, and

vi. Contract award.

The project has started

advertise of request

expression of interest

(REOI), request for

quotation (RFQ) and

Invitation for bid (IFB)

on Home Page of DOF

website.

Annex 4 Environmental Safeguards

Detailed Findings from the Environmental Safeguards:

1. Pesticide Use – The Pesticide Risk Reduction (PRR) campaign focusing on the appropriate

use of chemicals in agriculture and forestry plantation as an important land management tool and

advocacy for organic cultivation was conducted in Oudomxay in close cooperation with FAO. It

has enabled about 40 provincial and district staff to identify and address pesticide issues, train

farmers in target villages on proper use of agrochemicals and how to mitigate possible negative

effects. PRR Campaigns in the Northern provinces are planned to be conducted before the end of

this year. The agrochemical data that was collected in the field at the same time as household

baseline data collection was analyzed and will be used to target the agrochemical awareness

campaign, prioritizing the Northern provinces.

2. Forest Management Plan – Of 25 district FMAs without FMP, 24 FMP formulated and

completed in December 2016. The National Project Director will submit an FMP to the Bank for

its review and comment by end May 2017.

3. Forest Landscape Management Framework (FLM) – Components of FLM framework

consist of i) FLM institutional framework; ii) FLM decision framework; and iii) FLM monitoring

framework. Framework for environmental safeguards and NRTF-PRTF safeguards information

system will be included in the FLM decision framework and FLM monitoring framework,

respectively. Process used during development of the forest landscape framework agreements

should be documented and disseminated so that methodologies can be used to support replication

in other landscape areas.

4. Monitoring and Evaluation – The second annual integrated safeguard assessment was

conducted by a team of experts (3 national experts and 1 World Bank international consultant). A

pilot mission to test the methodology was conducted in November 2016 in Vientiane province and

a full assessment in Bokeo, Xayabouly and Attapue provinces in January 2017. The results suggest

that environmental safeguards have been implemented well and environmental safeguards have

been embedded in general operational procedures.

5. Environmental management and monitoring is embedded in the overall project

implementation and monitoring framework. An estimated 5% of the PSFM and VLD budget is

used for safeguards monitoring and management. In addition, special budget lines are reserved for

special assessments (see Table A).

Table A. Environmental Safeguard Budget (USD)

Budget line FY 14/15 FY 15/16 FY 16/17

5% of PSFM budget 118,000 148,000 87,000

5% of VLD budget 157,000 156,000 120,000

Combined E & S Safeguard Assessment 7,000 2,000 1,000

Various inventories and remote sensing studies 33,000 41,000 51,000

Total 315,000 347,000 259,000

6. As the Finnish funding will be end in June 2017 an M&E consultant may be reassigned.

The mission stressed the importance of maintaining an M&E consultant to sustain the capacity of

the monitoring and evaluation on safeguard.

Annex 5

Forest Landscape Management Action Plan

Provide support to institutionalize the PRTF 2017 Q2- Q4 and 2018 Q2

Conduct FLM Workshops with Provincial

REDD+ Staff and FLM Stakeholders

2017 Q4

Organize PRTF meeting(s) (coordinate with

DOF REDD+ Division and KFW

2017 Q2 – 2017 Q4

Framework for identified FL decision-making

situations

2017 Q4

Framework for environmental and social

safeguards

2017 Q4

Conduct FLM Workshops 2017 Q4

Conduct FLM Monitoring 2017 Q4

Completion of Component 2018 Q1

Annex 6 Results Framework

ORIGINAL RESULTS FRAMEWORK

Indicator Name Core Unit of

Measure Baseline

Target Y4 (Dec 2017)

Current (May 2017)

End Target Comment

Project Development Objective Indicators

1. Forest area brought under management plans X Hectare

(ha) 1,283,000 2,301,000 2,265,000 2,301,000

1 FMA missing due to security reasons. Will not be completed.

2. Forest areas brought under forest landscape management plans

Ha 0 2,682,000 0 2,682,000 Fieldwork scheduled for May 2017

3. People in forest and adjacent community with monetary/non-monetary benefit from forest X Number 309,000 424,000 544,000 424,000

Target revision suggested. Will be calculated only once a year for an annual report.

3a. People in forest and adjacent community with monetary/non-monetary benefit from forest - female

X Number 145,000 198,000 260,000 198,000 Target revision suggested. Will be calculated only once a year for an annual report.

3b. People in forest and adjacent community with monetary/non-monetary benefit from forest – ethnic minority / indigenous peoples

X Number 157,000 237,000 304,000 237,000 Target revision suggested. Will be calculated only once a year for an annual report.

4. Rate of forest cover loss/gain in target areas compared to untreated areas

Ha 8,694 6,836 No change 4,814 New indicator proposed. Will be assessed during next fiscal year (in 2018).

5. Enhanced carbon storage from improved forest protection and restoration in selected PSFM areas

tCO2e 0.00 8,555 No change 14,227 Not yet able to be assessed. Will be assessed during next fiscal year (in 2018).

6. Reduced emissions from deforestation and forest degradation in selected PSFM areas

tCO2e 0.00 97,125 1,800,000 121,407

Indicative national level estimate on impact of law enforcement available. SUFORD-SU contribution being estimated.

Intermediate Results Indicators

1.1 Percentage of beneficiaries who receive technical services of adequate quality

Percentage 0 70 Not measured 80

Assessment methodology to be reviewed. Only end status proposed to be assessed.


Measure Baseline


Current (May 2017)

End Target Comment

1.1a Percentage of VFLC who receive services of adequate quality in Forest Management



1.1b Percentage of production groups who receive services of adequate quality in Livelihood Support



1.2 Percentage of participants who perceive the CEF process is adequate



1.3 Aggregate forest area brought under strengthened tenure

ha 1,2830,00 2,371,000 1,283,000 2,386,600 Indicator and targets under revision

1.3a Forest area brought under strengthened tenure (MoU)

ha 1,283,000 2,301,000 1,283,000 2,301,000 Indicator and targets under revision.

1.3b Forest area brought under strengthened tenure (Forest Lease)

ha 0 40,000 0 40,000 Indicator irrelevant. No legal basis for forest leases.

1.3c Forest area brought under strengthened tenure (Community Land Title)

ha 0 30,000 0 45,600 Indicator and targets under revision. On hold until approval of Land Policy.

1.4 Percentage of CAPs and Village Development Plans under implementation

Percentage 68 100 70 100 Will be calculated only once a year for an annual report.

1.5 Aggregate forest area under certification ha 80,600 650,000 10,949 650,000 Targets under revision.

1.5a Forest area under certification (FSC Forest Management Standard)

ha 80,600 150,000 10,949 150,000 Targets under revision. Certificate restored in limited area.

1.5b Forest area under certification (FSC Controlled Wood Standard)

ha 0 0 0 500,000 Targets under revision. FSC suspended.

2.1 Number of FLM Frameworks developed under the project that are assessed as complete

Text 0 4 0 4 Will be reported only once a year for an annual report.

2.2 Areas with FLM Annual Plans under implementation

ha 0 1,080,000 0 1,080,000 Relevance of annual plans under review


Measure Baseline


Current (May 2017)

End Target Comment

3.1 Reforms in forest policy, legislation or other regulations supported X Yes/No No Yes Yes Yes

Village forestry, salvage logging, forestry legal compendium, wildlife and aquatic legal compendium

3.2 Regulations required to support national sustainable sector financing and sub-national implementation of PSFM and REDD+ are identified, drafted, and submitted for government review

Text

Regulation partial; not regularly

monitored

No targets until end of

project

No change from baseline

Regulation complete with implementation monitored

regularly

Suggested to be combined with the previous indicator in the Revised Results Framework.

3.3 Number of breaches of forest law detected Number 900 750 1345 650 Indicator revision suggested. 638 cases ongoing

3.4 Percentage of investigations of breaches of forest law initiated and successfully concluded

Percentage 60% 80% 80% Indicator revision suggested.

REVISED RESULTS FRAMEWORK


Measure Baseline


Current (May 2017)

End Target Comment

Project Development Objective Indicators

1. Forest area brought under management plans X Hectare

(ha) 0 1,018,000 982,000 1,018,000

1 FMA missing due to security reasons. Will not be completed.

2. Forest area under forest landscape management pilots

Ha 0 750,000 0 750,000 Fieldwork scheduled for May 2017

3. People in forest & adjacent community with increased monetary/non-monetary benefit from

forest X Number 0 717,000 235,000 717,000

Will be calculated only once a year for an annual report.

3a. People in targeted forest & adjacent community with increased benefits from forest-female

X Number 0 354,000 115,000 354,000 Will be calculated only once a year for an annual report.

3b. People in targeted forest & adjacent community with increased benefit from forest-Ethnic minority/ indigenous

X Number 0 346,000 147,000 346,000 Will be calculated only once a year for an annual report.

4. Rate of annual forest cover loss in target areas Percentage 0,27 0,25 TBA 0,23 Will be assessed during next fiscal year (in 2018).

5. Enhanced carbon storage from improved forest protection and restoration in selected PSFM areas

tCO2e 0 0 TBA 14,227 Will be assessed during next fiscal year (in 2018).

6. Reduced emissions from deforestation and forest degradation in selected PSFM areas

tCO2e 0 0 1,800,000 121,407 Indicative national level estimate on impact of law enforcement available. SUFORD-SU contribution being estimated.

Intermediate Results Indicators

1.1 Beneficiaries who perceive that they receive

technical services of adequate quality Percentage 0 0 Not measured 80


1.1a VFLC who perceive that they receive

services of adequate quality in Forest Management and Village Livelihood Development

Percentage 0 0 Not measured 80 Assessment methodology to be reviewed. Only end status proposed to be assessed.

1.1b Production groups who perceive that they

receive services of adequate quality in Livelihood Support


1.2 Participants who perceive the CEF process is adequate


1.3 Aggregate forest area brought under strengthened tenure

ha 0 1,018,000 982,000 1,018,000 Indicator and targets under revision

1.3a Forest area under (MoU-PSFM) ha 0 1,018,000 0 1,018,000 Template for MoUs under review


Measure Baseline


Current (May 2017)

End Target Comment

1.3b Forest area under MoU-VFMA ha 0 5,000 0 10,000 Template for MoUs under review

1.4 VLD grants under implementation Percentage 0 100 5

(estimate) 100

Will be calculated only once a year for an annual report.

1.5 Forest area under certification as a result of the project.

ha 0 150,000 0 400,000

1.5a Forest area under certification (FSC Forest Management Standard) as a result of the project.

ha 0 150,000 10,949 150,000 Certificate restored in limited area.

1.5b Forest area under certification (FSC Controlled Wood Standard) as a result of the project.

ha 0 0 0 250,000 FSC suspended.

2.1 FLM Frameworks developed Yes/No No Yes No Yes Will be reported only once a year for an annual report.

2.2 Areas with FLM implementation plans ha 0 750,000 0 750,000

3.1 Reforms in forest policy, legislation or other regulations supported X Yes/No No Yes Yes Yes

Village forestry, salvage logging, forestry legal compendium, wildlife and aquatic legal compendium

3.3 STEPP field activities resulting in enforcement action

Percentage 0 65 55 75

Significant expansion of inspection activities outside high risk areas brings the percentage down. Before PMO 15, inspections targeted mostly high-risk cases resulting in higher percentage.

3.4 POFIs in compliance with DOFI best management practice operating procedures

Number 0 17 17 18

Annex 7 Progress Report

[Appended by reference]

Annex 8 Mission Agenda

JOINT IMPLEMENTATION SUPPORT MISSION OF SUFORD-SU 15-26 MAY 2017

KEY CONTACTS

NAME TITLE MOBILE EMAIL

GOVERNMENT STAFF

Mr Bounpone Sengthong Nat. Project Coordinator +856-20-2222 7330 [email protected]

SUFORD SU

Mr Esa Puustjärvi CTA +856-20-5552 6882 [email protected]

Ms Noi (Simpaseuth Rasavong) Office Manager +856-20-5562 1961 [email protected]

THE WORLD BANK

Mr. Robert Davis Mission Leader +856-20-2222 1357 [email protected]

Mr. Soudalath Silaphet (Mimi) Climate Investment Sp. +856-20-2222 1303 [email protected]

MFA

Ms. Annika Kaipola Councellor +84-4-3826 6788 [email protected]

Full list of participants in Annex 1.

PROGRAM

Date Activities Venue/Presenter /Comments

Mon, 15 May

In the morning Team members arrive

Kick off Meeting DOF Meeting Room

14.00-14.10 - Opening Remarks Chair

14.10-14.20 - Introduction of the mission purpose and team members Mr. Robert Davis, Mission Leader, Senior Forestry Specialist of WB

14.20-14.30 - Remarks from the Government of Finland Ms. Annika Kaipola, Councellor, Embassy of Finland in Hanoi

14.30-15.15 - Delivery of Outputs and Achievement of Project Results Mr. Bounpone, National Coordinator

15.15-15.30 - Coffee break

15.30-16.30 - Discussion and Concluding Remarks

Tue, 16 May

Technical meetings DOF Meeting Room

mailto:[email protected]







8.30-10.10 PSFM Team: Presentation on current status of activities Mr. Manuel Bonita, Forest Management Advisor

10.10-10.30 Coffee

10.30-12.00 VLD Team: Presentation on current status of activities Mr. Peter Greindl, Village Livelihoods Advisor

12.00-13.30 Lunch

13.30-15.00 Forest Law Enforcement Team: Presentation on current status of activities

Mr. Khampeth, DOFI

15.20-16.30 Village Forestry Team: Presentation on current status of activities

Mr. Edwin Payuan, Village Forestry Advisor

Wed, 17 May

Technical Meetings DOF Meeting Room

8.30-10.00 Private Sector Plantations - Findings from social and environmental

assessments - Review of concession contracts

Mr. Steeve Daviau, Gender and Ethnic Advisor Mr. Jukka-Pekka Tolvanen, Legal Advisor

10.00-10.20 Coffee Break

10.20-11.10 Forest Landscape Management Team - Development FLM framework

Mr. Manuel Bonita, Forest Management Advisor

11.10-12.00 Assessment of Forest Degradation Mr. Markus Kukkonen, Remote Sensing Advisor

Lunch

Meeting of the Supervisory Board SUFORD Meeting Room

13.30-13.35 Opening Remarks

13.35-13.40 Remarks from the Government of Finland Ms. Annika Kaipola, Councellor, Embassy of Finland in Hanoi

13.40-14.50 Evaluation of Performance by Technical Assistance Team Members Discussion

Mr. Esa, CTA of SUFORD-SU

14.50-15.20 Evaluation of Performance by Counterpart Staff Discussion

Mr. Esa, CTA of SUFORD-SU

15.20-15.55 Other issues

15.55-16.00 Concluding Remarks

Thu, 18 May

09.00-11.00 Review of Financial Management

13.30-15.00 Review of policy and regulatory work done and to be done by SUFORD

Mr. Esa and Mr. Aidan

Fri, 19 May

Meetings as required/drafting of Aide Memoire

WEEKEND

Mon, 22 Nov


Flight VTE-Pakse dep. 7.30 arr. 8.45

Morning Travel to Attapeu

Lunch

1.30-2.30 Meeting with PAFO, discussion on past and future activities

1.30-2.30 Meeting with POFI, discussion on past and future activities

Travel to district (to be selected)

3.30-4.30 Meeting at DAFO, discussion on past and future activities

Travel back to Attapeu (depends on the district)

Overnight in district or Attapeu Town

Tue, 23 Nov

8.00-14.00 Visit to 2 villages that have received VLD grants

Drive to Pakse

Overnight in Pakse

Wed, 24 Nov

Morning Free

Mission Wrap-Up in Pakse Venue to be decided

13.30-13.45 Opening Remarks Chair

13.45-15.00 Presentation of main findings by the mission Mr. Robert Davis, Task Team leader

15.00-15.20 Coffee

15.20-16.30 Discussion

16.30-16.40 Concluding Remarks Chair

Thurs, 25 and Friday, 26 November

All day. Separate Agenda

Stakeholder and M&E Workshop DOF and World Bank with Stakeholders

Annex 9 LIST OF PARTICIPANTS

Name of Mission Member

World Bank

Mr. Robert R. Davis, Task Team Leader, Sr. Forestry Specialist

Ms. Soudalath Silaphet, Climate-Smart Investment Specialist

Mr. Dzung Viet, Village Forestry Spec. (FAO)

Mr. Jim Carle, Forest Mgt. Spec. (by remote)

Ms. Waraporn Hirunwatsiri, Environment Specialist

Mr. Khamphet Chanvongnaraz, Procurement Specialist

Ms. Anita Soukhaseum , Program Assistant

Ms. Siriphone Vanitsaveth, Sr. SM Spec.

Ms. Kingfa Ooudomphan, FM Consultant

Mr. Martin Lenihan, Sr. Social Specialist

Government of Finland

Ms. Annika Kaipola, Councelor

Department of Forestry

Mr. Bounpone Sengthong, DDG, National Coordinator of SUFORD

Mr. Lattana, Deputy Head of Forest Management Division

Mr. Sengdeuan, Forestry Officer

Mr. Khamnoi, Forestry Officer

Ms. Phetsamai, Administrative Officer

Ms. Khonesavan, Financial Officer

Department of Forest Inspection

Mr. Bounthan, Director of Planning and Cooperation

Mr. Khamphet, SUFORD Coordinator

TA Team

Mr. Esa Puustjarvi, CTA

Mr. Edwin Payuan, Village Forestry Advisor

Mr. Peter Greindl, Village Livelihood Advisor

Mr. Steeve Daviau, Gender and Ethnic Advisor

Mr. Aidan Flanagan, Forest Law Enforcement Advisor

Mr. Manuel Bonita, Forest Management Advisor,

Ms. Simpaseuth Ratsavong, Office Manager

Documents

AIDE MEMOIRE Climate Investment Fund (CIF) SCALING UP ...documents.worldbank.org/curated/en/...Approval 08-Aug-2013 Effectiveness Date 30-Aug-2013 Disbursements USD 11.11 million Grant