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Lao People’s Democratic RepublicPEACE INDEPENDENCE DEMOCRACY UNITY PROSPERITY

Government’s OfficeEnvironment Protection Fund

Annual Progress Report(01 October 2015 to 31 December 2016)

15 February 2017Last updated 31 March 2017

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PREFACE

This is the Annual Progress Report (APR) prepared by the Environment Protection Fund Office (EPF) for the reporting period of 01 October 2015 to 31 December 2016. The report fulfills the agreement under the World Bank financed Second Lao Environment and Social Project (LENS21), which supports the operation of EPF. Main activities to be highlighted for this reporting period are as follows:

The EPF as of 31 December 2016 was managing projects and amount of: 33 projects in the total amount of approximately 18.2 million USD through the Policy and Institutional Capacity Enhancement (PICE) window (of which 17 projects of 17.3 million USD financed as Component 1 under LENS2) and 22 projects in the total amount of approximately 4.6 millionUSD through the Community Biodiversity Investments financing window (of which 8 projects for 2.8 million USD is financed as Component 2 under LENS2), 27 projects in the total amount of about 490,000 USD through the Pollution Control financing window, 5 projects in the total amount of about 250,000 USD through the Sustainable Land Management financing window, 8 projects in the total amount of about 750,000 USD through the Water Resources Management financing window. The full list is available in Annex 3.

Window Total (Project / Amount) EPF LENS2PICE 33 / 18.2 million 16 / 0.94 million 17 / 17.3 millionCBI 22 / 4.6 million 14 / 1.2 million 8/ 2.8 millionPC 27 / 0.49 million 27 / 0.49 millionSLM 5 / 0.25 million 5 / 0.25 millionWRM 8 / 0.75 million 8 / 0.75 million

In terms of disbursement to the projects, during the reporting period, disbursement through the PICE and CBI windows2 amounted to 3.59mn USD, of which 3.54mn USD was expended by the subproject delivery agencies (SDAs). EPF also carries out activities dedicated to supporting project administration and EPF capacity building, financed through Component 3 of the LENS2 project. During the reporting period, cumulative expenditure for project administration and EPF capacity building amounted to $1.10 million or approximately 27% of fund allocated. See Annex 6.

EPF is operated by an organization structure that consists of 4 units with 38 full-time staff positions (see Annex 4). As of 31 December 2016, 32 staff positions have been filled;however, staff turnover rate continues to be high Procurements of consultants, vehicles, and equipment for EPFO and SDAs have been continued according to the procurement plans approved by WB. In Year 2, most consultants for EPF were recruited. Capacity building of individual EPF staff and EPF as institution are important ongoing tasks. During the semester review (May 2016) the low spending on Capacity Building was noted. EPFO team will review

1 EPF has been financing subprojects through LENS2 project, which became effective in April 2014. LENS2financing is used to fund subprojects through two of the five financing windows of EPF: Policy and Institutional Capacity Enhancement (PICE) (Component 1 under LENS2) and the Community Biodiversity Investments (CBI) (Component 2 under LENS2). Project administration and EPFO capacity building is also supported by LENS2 financing (Component 3). Of the total LENS2 budget of $38.83 million from WB, $33.4 million have been allocated for PICE and CBI subprojects and about 40 eligible Subproject Delivery Agencies (SDAs) have been identified in 2015. For more description about LENS2 project, please see Annex I. 2 The cumulative disbursement for LENS2 including the project preparation advances (PPAs) now come to $5.51mn or 14% of project amount; and cumulative expenditure is $4.61 million or 12% of project amount.

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and prepare a revised budget plan for project administration and EPF capacity building. Given limited capacity and experience of EPFO and SDAs teams, the lack of coordination among related SDAs, and the need to implement the EPF business plan, allocation of budget for these activities will be necessary. Such considerations have been reflected into our 2017 Annual Work Plan and Budget. EPF capacity building as an institution is also critical given the need to build credibility as financial institution and to expand its network and relevance.

EPF also raises funds. During the reporting period, the EPF revenue was about $1,03 million comprising $0.38 million from interests and $0.64 million from contribution from investment projects. Most of this fund has been allocated to new EPF subprojects. In 2017FY17, EPFO will make more efforts to collect EPF revenue from private contributions and to enhance partnerships with key stakeholders by developing and following a plan for communications, fundraising, and resource mobilization. Communications and fundraising officer has been recruited to work closely with the Management team to operationalize the communications and fundraising plan.

Revised EPF Decree was completed and submitted for approval by the Prime Minister (issued as No.94/PM on 09 March 2017). It puts in place a new Board of Directors chaired by the Minister of Natural Resources and Environment; and introduces a number of dimensions to administer EPF more closely following the legal mandates subjected to State Funds. In maintaining EPF value-added as a well-focused and dedicated fund for environmental protection that operates with principles of pursuing innovation, efficiency and competitiveness, and transparency will require inclusive and evidence-based results planning and to maintain competitively selected composite of people into teams.

Looking ahead, in FY17, increased effort of One-EPF Agenda, which is to streamline all operation of the EPF (LENS2-financed or not) to a solid and transparent system and to build institution around one unified approach. This will be conducted heavily through the LENS2 Mid-Term Review process in consultation with EPF’s stakeholders including our clients and the World Bank.

EPF would like to thanks our supporters and partners, especially the Prime Minister Office, the Ministry of Natural Resources and Environment, the Ministry of Finance, the Ministry of Planning and Investment, and the provincial government as well as the World Bank and other development partners for their cooperation, support and constructive guidance.

All the best,………………

Executive Director of EPFO

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ContentsPREFACE ..........................................................................................................................................................2

ABBREVIATIONS AND ACRONYMS...................................................................................................................5

I. INTRODUCTION ......................................................................................................................................7

1) The Environment Protection Fund and Activities .............................................................................72) Scope of this Annual Progress Report..............................................................................................7

II. RESULTS OF PROJECTS UNDER FINANCING WINDOWS PICE AND CBI, FINANCED BY LENS2....................7

1) Implementation Progress ...............................................................................................................72) Results Indicators ...........................................................................................................................83) Financial Management and Procurement of the LENS2 Subprojects ..............................................114) Implementation Issues of the LENS2 Subprojects...........................................................................12

III. EPF PROJECT ADMINISTRATION............................................................................................................12

1) EPF-specific Results Indicators in LENS2 Project.............................................................................122) Financial Management and Disbursement Progress......................................................................143) Human Resources.........................................................................................................................154) Operation – Support to SDAs ........................................................................................................155) Operation – Safeguards................................................................................................................166) Operation – LENS2 Implementation..............................................................................................167) Staffing ........................................................................................................................................178) Activity Implementation ...............................................................................................................179) Administering FM.........................................................................................................................1710) Procurement for EPF staff recruitment and consultancy services...............................................18

IV. EPF CAPACITY BUILDING.......................................................................................................................18

1) EPF Human Resources Capacity ....................................................................................................192) EPF Governance and Business Strategy.........................................................................................193) Budget and Financial Resources Efficiency ....................................................................................204) Sector relevant alliance ................................................................................................................205) Fiduciary Setup.............................................................................................................................216) M&E and Reporting......................................................................................................................217) Fundraising and Communications.................................................................................................21

V. DISCUSSION OF ACHIEVEMENT AND CHALLENGES FOR EPF OPERATION ..............................................22

1) One EPF Agenda...........................................................................................................................232) EPF sustainability .........................................................................................................................233) Disbursement...............................................................................................................................234) Translation Needs ........................................................................................................................255) SDA Training Approach.................................................................................................................256) Supporting SDAs Cooperation and Collaboration...........................................................................257) Next Steps towards Year 2017 ......................................................................................................26

ANNEX 1. BACKGROUND INFORMATION OF THE LENS2 PROJECT..................................................................27

ANNEX 2. STATUS OF SUBPROJECTS FINANCED UNDER LENS2.......................................................................30

ANNEX 3. STATUS OF ALL PROJECTS FINANCED BY EPF..................................................................................32

ANNEX 4. UPDATED EPFO STAFFING..............................................................................................................39

ANNEX 5. PROCUREMENT FOR SUBPROJECTS FINANCED BY LENS2 ...............................................................41

ANNEX 6. PROJECT EXPENDITURE ON LENS2-FINANCED SUBPROJECTS .........................................................43

ANNEX 7. RESULTS FRAMEWORK OF LENS2 PROJECT ....................................................................................45

ANNEX 8. EPF ANNUAL WORK PLAN FY15/16 EVALUATION...........................................................................58

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ABBREVIATIONS AND ACRONYMS

APR Annual Progress ReportAPU Administration and Personnel Unit of EPFOAWPB Annual Work Plan and BudgetBKX Bolikhamxay provinceCBI Community and Biodiversity InvestmentCEF Community Engagement FrameworkDEQP Department of Environmental Quality PromotionDESIA Department of Environmental and Social Impact AssessmentDFRM Department of Forest Reserves and Management DOFI Department of Forest Inspection of Ministry of Agriculture and ForestryDOP Department of Personnel DPC Department of Planning and CooperationEIA Environmental Impact AssessmentEPF Environment Protection FundEPF-BP EPF- Business PlanEPFO or EO Environment Protection Fund OfficeEQMS Environmental Quality Management Specialist ESMF Environment and Social Management FrameworkFMU Financial Management Unit of EPFOGEF Global Environmental FundGoL Government of Lao PDRHP Houaphanh provinceIDA International Development AgencyKM Khammouane ProvinceLENS Lao Environment and Social Project Phase ILENS2 Lao Environment and Social Project Phase IILFNC Lao Front for National ConstructionLPB Louang Phabang provinceMER Monitoring, Evaluation, and ReportMAF Ministry of Agriculture and ForestMEM Ministry of Energy and MinesMOF Ministry of FinanceMONRE Ministry of Natural Resources and EnvironmentMPI Ministry of Planning and InvestmentNAPA National Academy of Public AdministrationNEPL-NPA NamEtPhouLouey National Protected AreaNNT-NPA Nakai-NamTheun-National Protected AreaNPA National Protected AreasNREI Natural Resources and Environment Institute/MONRE NUOL National University of LaoNUOL-FEB NUOL-Faculty of Economics and Business

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NUOL-FES NUOL-Faculty of Environmental SciencesNUOL-FFS NUOL-Faculty of Forestry SciencesNUOL-FSS NUOL-Faculty of Social SciencesOMU Operations Management Unit of EFO PA Protected Area PAW Protected Area and Wildlife ProjectPCD Pollution Control DepartmentPDO Project Development ObjectivePFRM (Department of) Provincial Forest Resources ManagementPICE Policy Implementation and Capacity EnhancementPIM Project Implementation ManualPMU Procurement Management Unit of EPFOPOFI Provincial Office of Forest InspectionPONRE Provincial Office of Natural Resources and EnvironmentPP Procurement PlanPPA Project Preparation AdvancePPTA Project Preparation Technical Advisor (for LENS2 preparation)PTMA Project Technical Management AdvisorSDA Subproject Delivery AgencySPF Subproject Preparation FacilitySVK Savannakhet provinceTC Technical CommitteeVTE VienTiane provinceWB The World BankXK XiengKhouang provinceXSB XaySomboun province

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I. INTRODUCTION

1) THE ENVIRONMENT PROTECTION FUND AND ACTIVITIES

1. The Environment Protection Fund (EPF) was established in 2005 to strengthen environmental protection, sustainable natural resources management, biodiversity conservation and community development in Lao PDR. The EPF administers funding from multiple sources of capital and income, and provides financial support by means of grants, preferential loans, interest rate subsidies, or a combination of these. There are five financing windows so far: (1) Policy Implementation and Capacity Enhancement, or PICE, (2) Community and Biodiversity Investment, or CBI, (3) Pollution Control, (4) Sustainable Land Management, and (5) Water Resources Management.

2. Currently, the main source of financing that EPF channels to various Subproject Delivery Agencies (SDA) is from the World Bank Second Lao Environment and Social (LENS2) Project, background on LENS2 is provided in Annex 1. The LENS2 project supports PICE and CBI financing windows, as well as building the EPF capacity and support project administration.

2) SCOPE OF THIS ANNUAL PROGRESS REPORT

3. The reporting period for this report is from 01 October 2015 to 31 December 2016. Thisreport focuses mainly on the progress of implementing activities related to EPF capacity building and project administration (Component 3 of LENS2) with summary of projects financed through the PICE and CBI windows. EPF plans to streamline the reporting for all projects financed through EPF’s five windows in the same manner.

II. RESULTS OF PROJECTS UNDER FINANCING WINDOWS PICE AND CBI, FINANCED BY LENS2

1) IMPLEMENTATION PROGRESS

4. Overall Implementation Progress: Implementation of activities during the reporting period is on track however with slow progress for some subprojects. With increased number of EPFO staff and training, the number of successful subprojects preparation and approval has been improved, and the target for implementation of Component 3 activities (which is 25% higher than Year 1, FY14/15) was also achieved (see Section III: Outcome Monitoring). The SDAs under LENS2 financing and therefore strictly following LENS2 requirements submittedprogress reports (semester and annual) and AWPBs, but the quality requires more training and improvement. More effective training to SDAs and their consultants will be necessary. As of 31 December 2016, a total of 28 subprojects (PICE: 18 and CBI:10) are under implementation. In terms of budget, of a total budget of $33.4 million allocated for the subprojects, about $22.66 million (68%) have been endorsed by TC of which $19.58 million have been approved by EPF Board.

5. Subproject proposal preparation and sigNing update: During the 15-months report period, 5 TC sessions and 2 Board meetings were convened, whereby 15 subprojects were approved by the Board and 12 sub-grants were signed. This brings as of 31 December 2016, 28 subprojects (value about $20 million) under implementation. There are 19 more subprojects (value about $10.7 million) under preparation and expected processing in 2017. Annex 2

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presents an update on the total number of subprojects under key stage of subproject preparation and approval. Subprojects not endorsed by the TC were mainly due to reasons of too high budget, especially for purchasing equipment, hiring national and international consultant, inconsistencies among activities, budget, and project objectives. The World Bank also did not endorse subprojects for reasons of non-alignment between project objectives and expected outcome and output. EPF provided support to SDAs to improve the proposal based on the comments of TC and WB, and provided training on writing project proposal. MPI subproject, while both endorsed by TC and WB, was delayed in approval by the Board.

6. EPF role in coordination and synergy: EPF has started to try to coordinate the subprojects at a more engaged level, by hosting coordination meetings. This is to support subprojects to ensure similar activities are coordinated, and support one another where appropriate. EPF plans to increase this capacity in 2017. Preparation of PONRE subprojects and comments during TC meeting in September 2016 suggested for the need to enhance effective coordination among the proposed PONRE subprojects and DESIA, PCD, and DEQP subprojects to ensure consistency and complimentary of the activities and achievement of EPF goals. EPFO will continue to provide training on M&E resulted-based and forge effective coordination among related SDAs subprojects in 2017.

2) RESULTS INDICATORS

7. Results Framework Matrix (Annex 7. Results Framework, separate document): As mentioned in the first annual report for FY14/15, the revised Results Framework for LENS2 has been used as the basis for monitoring of project outputs/outcome. The quality of the reports and planning documents from the subprojects are generally still poor – not followingrequirements and lacking substantive narrative about the progress. In terms of outcome indicators, due to recent approval of DESIA subproject and delay in preparation of WMPA-NNT-NPA and NEPL-NPA subprojects, there is no information available for assessing some of the key PDO indicators (i.e. Indicators 1, 2, 4 and 5). Brief discussion of the results indicators are described below.

<LENS2 Results Framework Monitoring as of 31 December 20163>

PDO indicator - OI 1. Area brought under enhanced biodiversity protection measured by score of management effectivenessBaseline 37.5 (858,000); Current 40 (858,000); 2021 Target 56 (1,250,000)Seven PAs (PFRM_VTE, PFRM_SVK, PFRM_XK, PFRM_HP, PFRM_LPB, PFRM_BLX and PFRM_KM) have proposed the PAs for the additional finance in their projects. Total area now amounts to 370,439 ha (including Phouchom Voy and Phou Khao Kouay). However, some PAs (PFRM_XK and PFRM_BLX) will be re-confirmed. As now, all 7 PFRMs are drafting the full package proposal and expect to TC in June 2017.

PDO indicator - OI 2. International illegal trade information reports submitted by DOFI to international law enforcement or monitoring agenciesBaseline 0Current 22021 Target 5

3 These indicators are subject to change during the Mid-Term Review scheduled for March 2017.

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This indicator has been measured for first three months of implementation after subproject were approved in July, 2015. The actual target indicator for Y1 were "1". Annual Report on international law enforcement to CITES, in July 2015. This indicator has been measured for first three months of implementation after subproject were approved in July, 2015. The actual target indicator for Y1 were "1". Annual Report on international law enforcement to CITES, in July 2015.

PDO indicator - OI 3. Percentage increase of the score of functional capacity of SDAs and EPFBaseline 0Current 3.52021 Target 20During 1st October 2015 - 30th September 2016, 14 DSAs and EPF contributed the result to indicator 3: "Increase in the score of functional capacity of SDAs and EPF". Based on the evaluation, the percentages of achievement were so high and unrealistic. Thus, it requires reviewing to be more realistic for next year accordingly. EPF will ask all 14 SDAs to re-set the target of this indicator and make it more realistic in FY15/16 (2017). EPF will review detail and re-set this target indicator as well as in AWPB 2017. The reason is: Ended target indicator has been set very high. It is tough to achieve.

PDO indicator - OI 4. Projects registered in environment impact Category 1 that have up-to-date compliance monitoring report published on the DESIA website (annual)Baseline 0Current Measured2021 Target 60 (hydro); 40 (mining); 40 (transport)Updated on 31 December 2017, based on DESIA's report, component 2-activity 2.2: For baseline 2015 and FY14/15, the M&E reports were reported on hydropower (8%) and mining projects(3%). However, these reports have not yet been published on DESIA website because the website was under the improvement.

PDO indicator - OI 5. Number of village organizations supported by the project that meet the terms of a conservation agreement (CA) (cumulative)Baseline 0Current 02021 Target 140This indicator could not be tracked due to delay in project preparation processes. Until 30 September 2016, only WMPA project proposal has been writing in full packages. Updated on 30 December 2016, EPF expected that the proposal of WMPA_NT2 could be done and submitted to TC in December 2016, however, it could not be done on time due to actiion plan and decree 417 were not finialise and get approval by WMPA board. For the preparation fund has been extended from January to June 2017. For the NEPL, the full proposal has been preparing by DFRM and receiving the technical assistance from WCS.

IOI 1.1. Number of direct project beneficiaries (of which women) as measured by additional staff of public and partner’s institutions having completed basic adaptive training (short courses)Baseline 0/0Current 716/1702021 Target 1,040/208

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The overall this indicator achieved the annual targeted indicator (Target: National: 664, Regional: 0; Actual: National: 724; Regional: 10; % of female: Target: 20%; Actual: 23%) this indicator was tracked from 13 SDAs (2 more SDAs (FSS and MONRE DPC) were added to this indicator). Out of 14 SDAs, 8 SDAs achieved their own ended annual targeted indicator and 05 SDAs did not achieved. Significantly, just 7 SDAs achieved in the female beneficiary % (20%) and other 6 SDAs did not achieve this indicator. The reasons of failure of this indicator followed by: Some SDAs confused on tracking this indicator, Some SDAs have unclear result framework in data sources and method and also indicator definition, Some SDA, lack of female staff, especially female technical staff, and Lack of M&E staff.

IOI 1.2. Number of wildlife trafficking cases recorded in the IMS by POFI in eligible provincesBaseline 29/5Current 21/02021 Target 59/12Updated on 30 December 2016, this indicator was not achieved the annual target for FY15/16; Target: National: 27 cases, Int: 5 cases; Actual: National: 37 cases, Int: 0. On the other, overal, this indicator was achieved for national cases. Three SDAs (DOFI, POFI_BLX and POFI_KM) was over achieved their own annaual target indicator, however, there was just POFI_HP that did not achieve this. For international cases, there were not any cases to record into MIS.

IOI 1.3. Indicator of gradual development of a national system plan for conservation and protection forests development and management.Baseline 0Current 22021 Target 12Updated on 31 December 2016, these documents showing gradual development are not yet due. In the meanwhile, guideline on engagement guideline being early draft but this need to be reconsidered and revised as until some lessons from current practice is gained. NPA status report is pending.

IOI 1.4. Projects registered in environment impact Category 1 and Category 2 in the provinces targeted by the project who have a valid ECC (annual).Baseline UnknownCurrent Measured2021 Target 50Updated until 31 December 2016, the DESIA proposal were signed on 23 September 2016, Based on MEM website, there are 97 IPP hydropower projects (22 projects under construction, 13 operationed projects and 39 projects in MOU stages and 23 projects in PDA stages). So far, MONRE have issued ECC for 109 hydropower projects. Based on NSEDP 7th report , currently there are 269 mining activities (49 mining exploration projects). So far MONRE have issued ECC for 72 mining projects, approximately 26%. Based on statistic report on road of MoPW, Laos had 55,840 km length of roads. So far MONRE had issued 21 ECC for road projects.

IOI 2.1. Cumulative number of direct project beneficiary recipients of livelihood or conservation grants (of which, women or women organizations)Baseline 0Current 0

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2021 Target 36,000These two sub-projects (NEPL and NNT2) are under the preparasion proccesses. This indicator is included in the sub-project proposal of FEB as another key indicator. Updated until 31 December 2016, FEB sub-project signed financing agreement on 15/07/2016, however, did not much progress on implementation due to delay of bank account opening.

IOI 2.2. Area within PAs where (a) the status of the population of selected mammals and threat (b) gross forest loss rate are measured (annual).Baseline 0 /0Current Not measured2021 Target 1,000,000 /1,250,000Updated on 31 December 2016, the 9 sub-projects were under the preparation process, they are expected to be approved in 2017.

IOI 2.3. Number of POFI patrols and inspections that include wildlife crimes (of which, in border areas or to control international trade)Baseline 48 / 0Current 67/02021 Target 120 / 123 POFIs (BLX, KM and PH) contributed to this indicator. Out of 3 POFIs, POFI_KM achieved over targeted indicator (Target: 24 patrols; Actual: 29 patrols), followed by POFI-BLX achieving the target indicator as well (Target: 24 patrols; Actual: 24 patrols). On the other hands, POFI_HP did not achieve as target indicator for FY14/15 (Target: 24 patrol; Actual 14 patrol). Update through 31 December 2016 did not have any additional achievement during the 3 months (Oct-December 2016).

3) FINANCIAL MANAGEMENT AND PROCUREMENT OF THE LENS2 SUBPROJECTS

8. Financial management by SDAs: In some sub projects, accountants are mostly assigned from government staff. Most of them have no accounting background and have no experience working with project funded by WB or others similar agencies. Because of this reason, sub projects are facing difficulty in account recording and reporting and there is still an issue and challenge for the financial management team. In July 2016 (from 05-16 July 2016) EPF Finance Unit Head in accompany with the Sub project coordinator, M&E Officer and Procurement Officer have a field visit to POFI Houaphan, PONRE Xiengkhuang, PONRE Houaphan and PONRE LPB to provide support and advise. December 2016, LENS2 have done a LENS2 a risk analysis on financial management capacity and found that there are 14 SDAs who have lack of financial and accounting knowledge and categorized under C (weak capacity). For the weak capacity, it is recommended that SDAs need to recruit the accountant consultant.

9. Procurement by the SDAs continues to be a big challenge that often leads to slower implementation. The reasons are following by staffing location. As a result, EPF had to re-provide the training to new staff, unfamiliarity with procurement procedures that can be burdensome, selection criteria such as experience and qualification on Terms of Reference is too high and also no have information on local labour market, and no qualified candidates.

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4) IMPLEMENTATION ISSUES OF THE LENS2 SUBPROJECTS

10. Subproject Preparation and Approval Progress: Preparation and processing of the subprojects during FY15/16 have been improved as more staffs are on board at EPFO, more consultants are mobilized for SDAs, and more trainings are provided both to new EPFO staff and SDAs teams. However more efforts have to be made to strengthen team work, coordination, fund flows, planning, and M&E. EPF will conduct the in-house training on M&E, project management, finance and procurement to EPF staff from time to time in 2017. In addition, the external training will be provided to EPF staff based on the result of assessment report by human resource officer and management team

11. Changes in Government and EPF have affected timely support to subprojects: GoL policy on the fiscal year timeframe and relocation of DFRM/PFRM from MONRE back to MAF are affecting subprojects implementation. Changes within EPF are also affecting progress. EPF Decree revision process, Board transition, new management, resignation of key subproject coordinator, and ongoing development of EPF business plan are all factors posing challenges. All PONRE subprojects planned in Year 1 will be separated into two subprojects (i.e. one for PFRM focusing on PA management and one for PONRE focusing on environmental management) in FY15/16. In this context a total number of subprojects will increase from 41 subprojects to 49 subprojects including all additional financing while priority for LENS2 supports to the provinces will be given to PFRMs and PONREs that have strong commitment and high potential for making contribution of LENS2 PDO. In light of these changes and increasing number of SDAs under implementation with their limited capacity, key challenges for EPFO and SDAs performance in 2017 will likely to focus on ways to timely facilitate fund flows to and implementation of activities of SDAs, implementation of effective training on AWPB and M&E to SDAs, timely implementation of DFRM/PFRM/NPAs subprojects, and improving capacity and performance of EPFO.

III. EPF PROJECT ADMINISTRATION

1) EPF-SPECIFIC RESULTS INDICATORS IN LENS2 PROJECT

<LENS2 Results Framework Monitoring as of 31 December 20164>

(LENS2 IOI 3.1) Amount in US$ of funds mobilized originating from (a) public sources and (b) private sources remitted to EPFBaseline (a) $350K (b) $450KCurrent (a) $377K (b) $647K2021 Target (a) $700K (b) $900KOverall for 1 Oct 2015-30 Sept 2016, this indicator has not achieved as target indicator ($USD 850,000). Updating with 3 extra months 1st Oct 2015 - 31st Dec 2016 (15 months), EPF received total: $US 1,023,874 (Private: $US 647,040 (Mining: 447,040 and Hydro: 200,000) and Public: $US 376,834). EPF received the funds mobilized originating from both public and private sources, total: $811,584.62 out of $850,000. The reason of underachieving was following: (a). Delay of interest payment and (b). The bank decrease the interest from 6% to 5% in Q3. Regarding the private income, it was received $510,040.35 (received mining: $310,040.35 and Hydro: $200,000) out of $500,000. This indicator has been achieved 102% that was higher than the target indicator (2%).

4 These indicators are subject to change during the Mid-Term Review scheduled for March 2017.

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(LENS2 IOI 3.2) EPFO positions initially funded by the project which are funded by EPF own fundsBaseline 0Current 02021 Target 8Until now EPF: 17 staff and LENS2 Project 18 staff (including one consultant). Starting the in year four, the project staff (LENS2) will commence to be funded by EPF fund. For the first year, it is on the processes of recruiting the staff in order to fulfil the EPF's organisational chart, total 39 staff (EPF: 18 staff and project (LENS2): 21 staff.

Increase in the Score of EPF's functional capacity (annual) *See Section IV of this report for detailed discussion. Baseline 25Current 372021 Target 97For FY2015/2016 the Score of EPF's functional capacity was slightly increased 2% from FY2014/2015 (from 35% - 37%). However, target indicator is 58%. As a result, this indicator did not achieve (37% out of 58%). Number of EPF staff has been increased from 30 staff to 31 since 1st October 2015 to 30th September 2016. Meanwhile, EPF had plan for enhancing the capacity building for EPF staff in 11 trainings such as administrative assistant, TOT, financial management, leadership management, project management, monitoring and evaulation, writing project proposal, graphic design, logistic management, marketing skills and English language training. However, EPF could complete 8 trainings and other 2 trainings (TOT and marketing management skills) have been postponed due to time schedule was not available for EPF staff. Total 15 EPF staff received the benefit of 8 trainings above. Guidance for revision of EPF’s charter and decree was developing and discussing with EPF Board. It expected to complete end of 2016 (December 2016). Annual budget is increased up to US$1,000,000. However, EPF has not achieved on control the administrative costs kept under 15% of total budget. This indicator will be reviewed to be more realistic and detail score of each sections of this indicator in 2017.

Financial management, monitoring and evaluation and procurement ratings at or above "satisfactory" (exception FY2014/2015)Baseline N/ACurrent MS2021 Target (S)The average of second year for EPF project implementation performace rate "MS" The other action plans for EPF including the Finance, Procurement from previous mission have been improved and done. EPF could submit the semester and annual reports to WB.

Deliverables proposed in the AWPB completedBaseline N/ACurrent 722021 Target 100Overall, this indicator has been achieved as 72% of the 58 activities types evaluated as completed, in progress, or no progress. Important to note is that some tasks were still given the score of 2 (meaning completed), even when the task completed was of insubstantial quality that the task would have to be conducted again.

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2) FINANCIAL MANAGEMENT AND DISBURSEMENT PROGRESS

12. Disbursement and Expenditure for PICE and CBI window subprojects financing. In FY15/16, as of 30 September 2016, the total disbursement was about $2.65 million of which $0.47 million incurred during the first 2 quarters (Q1-Q2) and $2.18 million incurred during the past 6 months (Q3-Q4). Cumulative project disbursement was $4.57 million or 12% of WB funds ($38.8 million). In FY15/16, as of 30 September 2016, the total expenditures for Component 1 were $0.65 million in Q1-Q2 and $0.62 million in Q3-Q4, Component 2 was $0.55 million for Component 2 ($0.22 million in Q1-Q2 and $0.33 million in Q3-Q4).Cumulative expenditures for 27 SDAs was about $0.70 million (2% of fund allocated). See Annex 6.

13. Disbursement and Expenditure for Project Administration and EPF Capacity Building. $0.65 million for Component 3 ($0.36 million in Q1-Q2 and $0.29 million in Q3-Q4). Therefore, cumulative project expenditure was $3.55 million or 9% of WB fund. Cumulative expenditures for Component 3 was $0.93 million (23% of fund allocated).

(US$)Cumulative Total on December 31, 2016 Current Year (1 Oct 2015 – 31 Dec 2016)

Budget Expenditure % executed Budget Expenditure % executedComponent 1 14,000,000 1,802,040 13% 3,383,112 1,791,902 53%Component 2 19,400,000 964,658 5% 1,313,295 919,524 70%Component 3 4,000,0005 1,108,544 28% 1,241,4086 832,508 67%PAWPPA (refin) 310,000 530,000 n/a n/a n/a n/aLENS2PPA (refin) 434,173 900,000 n/a n/a n/a n/aTOTAL LENS2 39,544,173 5,305,242 13% 5,937,815 3,543,934 60%

14. Key outputs from the FM unit are as following: completion of two IFRs (Q1-Q2 and Q3-Q4), audit reports for LENS2 PPA and LENS2 Year 1, withdrawal of 16 applications (16 for IDA and GEF), and upgrading of LENS2 accounting system. Key findings suggested that more extensive training on FM and more effective mechanisms on fund flows will be necessary to facilitate timely implementation of subproject activities. Supervision suggested that there are concerns on FM capacity of most SDAs (especially those related to documentation and fund flow arrangements in the provinces) and more training and close supervision will be necessary. There were also issues related to inadequate advance and delay in payment from EPFO to SDAs as well as withdrawal application to Project account. These issues are being discussed with WB FM specialist to find ways to address them.

15. Achievement in FM unit is as following: In FY15/16, during Q1-Q2, full integration of PAW and LENS2 was completed including submission of audit report for LENS2 PPA and IFR report. During Q3-Q4, upgrading of accounting system was completed and IFR report is submitted with this report. EPFO also took actions to discuss within EPFO and with WB regarding the issues related to fund flows and slow payments and it has been agreed that SDA will be advised to prepare/submit a quarterly budget plan (Q-Plan) so that an advance larger than $10,000 will be provided to ensure timely implementation of subproject activities. EPFO is seeking WB no objection regarding supporting document for withdrawal application will be made based on the advance amount.

5 As per LENS2 financing agreement, there is 1,400,000 USD GoL contribution to make Component 3 budget as 5,400,000 USD; current budget for C3 is 6,710,000 USD with 1,865,000 USD of GoL contribution.6 As per approved budget for FY15/16

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3) HUMAN RESOURCES

16. EPF Staff and Organization Structure: EPFO’s organization comprises 4 units i.e. Financial Management Unit (FMU), Procurement Management unit (PMU), Administration and Personnel Unit (APU), and Operations Unit (OPU) and that as of end September 2015, there are 29 EPFO staff (including full time Project consultants) on board while recruitment of some positions face difficulty (especially for head of PMU, head of OPU, and Communications and Fundraising Officer) and staff turnover rate was high. As of December 31, 2017, most of EPFO staff (34 out of 39 positions) is on board (See Annex 4). However staff turnover rate remains high. The Safeguard Officer (SO) and the M&E Officer of EPF subprojects resigned in December 2015 and the new staffs were on board in April 2016, but the EPF M&E officer’s contract will not be extended after September 2016. The communication and fundraising officer was on board and resigned in June 2016. One procurement assistant and one financial officer also resigned in Q2-Q4. As of 31 December there was 32 staff7. Recruitments of the remaining positions are on-going. This is mainly deemed due to factors of no qualified candidate and low salary if compare to other. EPF management is planning to provide rewarding experience in working with EPF – through career development opportunities by more efficiently utilizing capacity building program of EPF (using the financing from LENS2 Component 3.2). The management will also engage in fair and objective performance-based evaluation to negotiate contracts competitively.

17. EPF Staff Training on Operation Procedures: In FY15/16, the number of EPFO staff especially those under OPU increased and thus strengthened EPFO’s capacity to assist SDAs and manage the subprojects. However, most of these staff are new to EPF operations and LENS2 requirements and required significant on-the-job training on operations and this was done during PMTA missions which were conducted every 1-2 months. In FY15/16, more training on specific subjects were also provided to EPFO staff through training courses as well as training workshops8. An internal training on M&E was provided to EPFO staff in late July 2016. Discussion on Capacity Building and Career Development for EPF staff in technical skills and general competitiveness is in Section IV of the report.

4) OPERATION – SUPPORT TO SDAS

18. Supervision, Monitoring, and Training of SDAs: Given that 13 SDAs signed their sub-grants by the end of FY4/15, the M&E, FMU, and PMU teams took the lead in providing training to the SDAs team through training workshops and on-the-job training during supervision and monitoring (S&M) missions. In FY15/16, 2 extensive trainings on FM, PM, M&E, AWPB, and safeguards and 2 S&M missions were carried out in Q1-Q2 while additional 1 training and 2 S&M missions were carried out in were carried out in Q3-Q4. Experience from the M&E suggested that more strategic training and S&M on the results-based M&E and AWPB will be necessary and this is discussed in Section VI (Evaluation). Section VI also

7 It is expected that 1 subproject coordinator will resign at the end of October 2016 and 1 Administrative Assistant, 1 Project Financial Officer, and 1 Procurement Assistant will be on board in Q1 of 2017 and other positions are being re-advertised.8 Per monthly meeting note in August 2016: Training activities included 6 staff completed on secretary and assistant, Graphic design, English language training courses and planned to send more 6 staff for Leadership, Finance and Sell and Marketing Management training courses; Completed EPF staff in house training on 20-21 July 2016 in Vientiane; Completed EPF staff team building on 22 July 2016 in Vientiane and follows by staff retreat in Hue-Danang, Vietnam from 25-29 July 2016.

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presents key observations and lessons learnt during the SDA training and supervision and M&E of subprojects.

19. Training of SDAs on Procurement and FM: Procurement training to SDAs was alsoconducted as part of EPFO training for the SDAs. Discussion was also made between EPFO and SDAs on delegation of procurement responsibility to SDAs while procurement guideline is being prepared and on-the-job training is being provided by PMU staff. Procurement of vehicles and equipment that could be combined as a package will be conducted by EPFO. During FY15/16, Additional 6 vehicles, 14 motorbikes, and a number of IT equipment, cameras were transferred to the five PFRM (BKX, KM, LPB, HP, and XK) and detailed are available in asset registrar. Training of subproject accountants of SDA was also made as part of the over EPFO training to SDAs.

5) OPERATION – SAFEGUARDS

20. Community Engagement Framework (CEF) Manual: Village Focus International (VFI) was contracted to prepare the CEF manual, which was tested in Phoujomvoy Protected Area in Bolikhamxay Province in November 2015 without success. The main factors of failed pilot included It was found that the CEF manual produced by VFI should be substantially more detailed in the process it describes in order to allow for easier implementation in the field. Importantly, the manual should clarify the structured process of community engagement through more visuals, more lists, and less written explanations. After discussion with WB in February 2016, it was agreed that the draft to be revised and retested and the contract was extended to the end of June 2016 with no additional cost. In May-June 2016, VFI requested for discussion with EPFO and WB on the need for testing of the CEF manual in NEPL-NPA and/or NNT-NPA. EPFO, DFRM safeguard officer and WB safeguard team provided comments and it was agreed that the VFI contract be extended to accommodate another revision per the comments and training for EPFO and DFRM staff to be provided. VFI training and activities have been completed. Follow-up training of the CEF manual will be made for PFRM subprojects involving PAs and the training activities will be planned and implemented in close consultation with DFRM, NUOL-FEB, and WB.

21. Safeguards Application and Training: Preparation of NUOL-FEB which was endorsed by TC in June 2016, cleared by WB, and approved by EPF board has been designed in line with the CEF process and also included an Environmental and Social Management Plan (ESMP). Preparation of the PFRM proposals for Vientiane and Savannakhet provinces which were endorsed by TC in late September 2016 have also been designed following the CEF process while the ESMPs are being finalized in consultation with the SDAs and WB safeguard specialists. Application of the CEF manual and preparation of the ESMPs will be applied to all PFRM proposals which may involve PAs activities and restriction of natural resources.

6) OPERATION – LENS2 IMPLEMENTATION

22. World Bank Implementation Support Missions (ISM): In FY2015/2016, the WB conducted two formal implementation support missions (one in November 2015 and one in May-June 2016) and one small/informal mission in February 2016 to follow-up on the preparation of NNT-NPA/WMPA subproject and other subprojects. The WB has also conducted a monthly meeting between EPFO team and WB team to discuss issues and implementation progress since December 2015. EPFO technical team (OPU) has been working closely with WB team during the preparation of new proposals. Below highlights the WB rating during May-June 2016 mission.

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Components 1 and 2 Subprojects

Component 3EPF Admin. & CB LENS2

Outcome S S SImplementation MS S MSPlanning, M&E MS S MSProcurement MS S MSFM MS MS MS

7) STAFFING

23. Achieving indicator on staffing by EPF finance is part of the “one EPF agenda.” Staff transfer is expected to begin in 2018. As of 31 December 2016, of the 39 EPF staff (18 EPF and 20 LENS2) there are 33 staff (12 women) on board. See Annex 4 for details. EPF is behind planning for making progress on this indicator. There is not yet a plan on human resource strategy, and no concrete plan yet exists on how the staff cost will be afforded by EPF operation. Hence it is critical to have fundraising strategy in place to effectively mobilize potential revenues for EPF. Some projection of revenue sources collected will help identify feasible options to afford staff.

8) ACTIVITY IMPLEMENTATION

24. Evaluation of AWPB performance for Component 3 FY2015/2016 (Annex1 B. C3 Annual Work Plan FY15-16 Evaluation): During FY2015/2016, with assistance from PTMA, efforts were made to bring all new staff to understand the Project, clarifying roles and responsibilities of staffs and units, building team work, and ensuring that all staff understands the AWPB and the need for moving forward the one EPF agenda. Additional internal training and a team retreat were also conducted in late July 2016 to enhance understanding and cooperation among EPFO staff. Evaluation of C3 performance as of 31 December 2016 suggested that this indicator has been achieved as 85% and exceeded the target of 70%. There were 92 activities agreed under Subcomponents 3.1 and 3.2 and 75 activities were completed, 7 activities are on-going, and 10 activities were not yet implemented.

25. EPF Team and Institution Building: The July 2016 retreat focused on team building, sharing of implementation experience among EPFO staff, and presentation of the concept for the EPF business plan including the needs for each unit to review the functional capacity index (FCI) for EPF Capacity Building, the proposed road map for one EPF agenda, and the communication, partnership, and fund raising strategy. Results suggested that all EPFO staffs are now aware of the proposed EPF vision until year 2030 and ways forward during the next 10 years as well as connection between the FCI, road map for 1 EPF agenda, and AWPB for Component 3.

9) ADMINISTERING FM

26. Project Disbursement and Expenditures: Given that more subprojects are under implementation and they need more advance fund for the activities, it is necessary to increase the ceiling of the Project Designated Account and also find ways to facilitate quick withdrawal from WB and make payment to SDAs. Given an increasing number of subproject under implementation, limited number and capacity of EPFO staffs, and heavy workload due to limited capacity of SDAs, EPFO is making an effort to update project disbursement by

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preparing the subproject disbursement plans based on the approved AWPBs, the quarterly budget plans (Q Plan), and the actual payment so that the subproject coordinators could supervise and follow-up the subproject activities properly. The first disbursement plan based on the approved AWPB of the 34 subprojects endorsed by TC (valued about $23 million) suggested that about $6 million of fund will be needed for year 2016 ($1.5 million/Q); $7.7 million for year 2017 ($1.9 million/Q); $6 million for year 2018 ($1.5 million/Q); $4.4 million for year 2019 ($1.1 million/Q); $2.6 million for year 2020 ($0.6 million/Q); and $0.2 million for year 2021 ($0.06 million/Q). More detailed analysis will be made in 20172017.

27. Staffing in FM unit has been an issue. One Project accountant resigned in September 2015. In FY2015/2016, new recruitment of the Project accountant was completed at the end of Q2 and the staff is on board. Nonetheless in August 2016, the Project Financial Officer resigned and new recruitment is on-going (expected to be on board in Q1 of 20172017). As of 30 September 2016, there are 7 staff in FMU.

28. One EPF Agenda for FM: EPF will phase into a single software for all sources of funds and their disbursement.

10) PROCUREMENT FOR EPF STAFF RECRUITMENT AND CONSULTANCY SERVICES

29. Procurement management: In FY2015/2016, procurement activities have been continued both for EPFO and SDAs per the procurement plans approved by WB. See the latest update in Annex 5 There are 4 staff of the Procurement Management Unit (PMU) and recruitment of the procurement unit head and the procurement assistant are on-going. WB provides training to PMU staff (as well as selected SDAs) on procurement during the implementation support mission and a specialized training.

30. EPF and SDA consultants: Part time international consultants (4 individual and 2 firms) were mobilized and 3 individual contracts were completed including that for the PMTA which was closed at the end of June 2015. In FY2015/2016, the PTMA contract was extended in early November 2015 to 2018, 1 firm contract (VFI) was extended to end September 2016, and 3 individual contracts (EQMS, NRE-HRDS, and EPF-BP) were completed.

31. Consultant Mobilization for EPF: For part time consultants, the contract for the Project Management and Technical Advisor (PMTA) was extended in early November 2015 to year 2018. The contracts for the following consultants were closed: preparation of subprojects (EQMS and HRDS), preparation of manual for the Community Engagement Framework (CEF), preparation of EPF business plan, and upgrading of EPF accounting system. A draft TOR for hiring of a consultant for establishing a M&E database is being finalized. Section IV (Procurement) presents more detail on mobilization of EPF staff and consultants.

IV. EPF CAPACITY BUILDING

32. EPFO capacity and aggregate index: This indicator is established based on the following 8 parameters: (i) human resources capacity; (ii) governance; (iii) budget, financial resources, and efficiency; (iv) business strategy; (v) sector relevant alliance; (vi) fiduciary setup; (vii) reporting, monitoring, and evaluation; and (viii) fund raising and outreach. For FY2015/2016, the year-end target for the score of EPF's functional capacity is 58%, however, actual achievement is 37% therefore this indicator was not achieved (Target: 58%; Actual: 37%). Nonetheless, there was an increase of 3% from Year 1 (from 35% - 37%). Review of

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the activities and follow-up discussion after the EPFO retreat in late July 2016 suggested that adjustment of some detailed activities and assigned score and the year-end targets will be necessary to reflect reality and time required for each output to be completed and the total score should also be adjusted to 100. The revised detailed activities and scores will be used for preparation of the AWPB of 20172017 and they will be discussed with WB during the next implementation support mission in November-December 2016.

1) EPF HUMAN RESOURCES CAPACITY

33. Capacity Building on operations: Some activities in FY2015/2016 have included EPFO’s deputy director participation in study visit (conducted under MPI subproject) to Korea on green growth and also with the M&E officer attended the WB’s M&E training course in Vietnam. Safeguard training was provided to the new Safeguard Officer of EPFO as well as those of DFRM by PTMA during the missions in May 2016 and July 2016 and by WB safeguard specialist in early August 2016. Further discussion on safeguards training that was conducted. EPF provided ESPM writing reports to 8 provinces (SVK, VTE, BLK, KM, XK, LPB, HP, and XSB) and help SDAs (SVK, VTE, KM and HP) to collect data. However, EPF safeguard officer still required more coaching from expert from World Bank.

34. Career Development Opportunities: It is fully acknowledged that capacity building programs and career development opportunities for the staff have not been implemented effectively. First, no plan was systematically set up, and not many opportunities were researched. Going forward, EPF management is dedicated to establish a plan to regularly and systematically provide equal opportunities for all EPF staff to engage in capacity building and career development. This will be featured strongly in the part of outreach activity done with peer organization (other environment funds) and partner organizations (universities and technical institutions). These activities will encourage the EPF staff (LENS2 and EPF) to be active about finding suitable capacity building opportunities such as lectures and short courses, and career development opportunities such as participating in national, regional, and international conferences.

2) EPF GOVERNANCE AND BUSINESS STRATEGY

35. EPF Board and EPF Decree: Completion of the revised EPF Decree has been considered as highest priority and it is expected that the final draft will be submitted for Board consideration in late 2016 and for the Government approval in early 2017. EPF decree will be processed as follows: (i) Draft revised decree completed by end July and sent to WB for comment; (ii) Conducted public consultation in the EPF stakeholder Workshop; (iii) High ranking consultation meeting in November; (iv) Submit to PMO and facilitate PM signing by end of January 2017. Furthermore, by end December 2017 EPF will revise the Charter in line with the revised EPF decree including procedures and reporting requirements (SPPA, M&E, FM, PM, safeguard).

36. EPF Vision, Strategy, and Business Plan (BP): The first draft from the international consultant was reviewed by PTMA in early November 2015. An extensive discussion on the approach and key messages was made; and follow-up mission was conducted by the consultant in early February 2016. A revised report was submitted to EPFO at the end of February 2016, however, after reviewed and discussion with WB during the June 2016 mission, it was agreed to close the contract. In July 2016, a draft concept for the EPF-BP including a road map for one EPF agenda and scope of a communication and fund raising strategy and a human resources development plan was prepared by PTMA in close consultation with the new Executive

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Director (ED) of EPFO (which was assigned by EPF Board in late June 2016) and the draft was presented in the EPFO internal training and retreat conducted in late July 2016 (see key concept in Section VI: Evaluation). The draft EPF-BP is being reviewed and finalized by the EPFO managers for consultation in the EPF stakeholder workshop planned for late 20169. Given that the EPF-BP is built on the revised EPF decree to be submitted to Board in late 2016, submission of the EPF-BP to EPF Board is planned in early 2017.

37. EPF Board Policy and Budget Planning: It has been EPF Board policy not to provide support for procurement of vehicles and equipment as well as scholarships for master or PhD study of individual. Under LENS2, strong justifications for procurement of vehicles/equipment and scholarships for the core subprojects was provided on an exceptional basis during approval of Year 1 subprojects. In FY15/16, these principles were also applied and the number of vehicles and equipment were discussed and decided during the TC endorsement. Moreover, to ensure that the core subprojects will have adequate budget to achieve the results-targets as originally planned, the TC also provided guidance on budget allocation to subprojects and ensured that they are compliance with as much as possible. Nonetheless, for some core subproject (such as DESIA) budget higher than the proposed ceiling was endorsed on an exceptional basis (see Table 2.4). As of 30 September 2016, of the US$33.4 million to be allocated for subprojects (49 subprojects) about $22.66 million (34 subprojects) have been allocated with TC endorsement of which $19.58 million have been approved by EPF Board and under implementation. About $10.7 million is estimated for the remaining subprojects (15).

3) BUDGET AND FINANCIAL RESOURCES EFFICIENCY

38. The FM and Procurement team efficiency is assessed as good performance. The two aspects are rated by the World Bank mission team as Satisfactory. Discussion on how FM and Procurement are efficient, and what needs to be still sorted out.

4) SECTOR RELEVANT ALLIANCE

39. Sector relevant alliance as institution has advanced. As part of the environment financing mechanism for Lao PDR under green growth, EPF has been in discussion coordinating with MOF, but much more needs to be clarified with ministries that are involved in revenue collection. For example, ministry of energy and mines, ministry of agriculture and forestry, ministry of planning and investment interact with investors and industrial developers to collect contributions (as per concession agreement) to protect the environment. Appropriate regulations are requires ensuring that these collections are systematically and transparently channeled to the EPF.

40. Engagement with peer organizations and partner organizations. Building network with peer organizations (other environmental funds) and partner organizations (technical institutions or academia) are required to build EPF to have a broader network of alliance. This is to be outlined in the communications and fundraising strategy. (1) Public: Ultimately, improving the environment protection efforts requires heightened

awareness of the public and their participation. Engagement of the affected communities, but also more widely the public’s education and awareness about their role helps to make an impact towards more sustainable natural environment.

9 EPFO conducts a stakeholder workshop on an annual basis. The 2016 workshop was planned for mid August 2016 but has been postponed.

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(2) Donors and linking with fundraising: As more donors and clients work with the EPF, the institution will incrementally increase the funds managed and channeled. This is expected to both broaden the relevance of the EPF and deepen its impact with potentially larger size of financing capacity.

(3) Peer organizations: This networking can help with improving the operations of the EPF by sharing experience and solutions with those operating with similar objectives. By becoming part of the larger network across the world, this places EPF on the global radar, to be able to pursue accreditation by other donors.

(4) Raising EPF profile to partner organizations: Partner organizations can provide support to EPF through technical capacity building. Examples of such network would be with universities or environment research institutions in the country, around the region, or in the world. This technical partnership would allow EPF to mobilize the network and its relationship built over time for quality enhancement of multiple of its roles.

5) FIDUCIARY SETUP

41. Fiduciary setup currently still lacks some of the tools that have been in plan. For example, a streamline software system for the financial management is underway with an expert. On procurement, work flow remains to be a challenge causing delayed processing. The procurement team is developing a roadmap for increasing coordination.

6) M&E AND REPORTING

42. Progress on Monitoring and Evaluation (M&E) and reporting: As reported in the first year APR that EPFO provided one trainings (24-26/06/2015) on M&E for the first 9 SDAs, but appeared inadequate. In FY15/16, three trainings were provided in Q1-Q2 (20-22/10/2015 and 21-25/12/2015, and 06/2016) to SDAs to ensure clear understanding on the M&E requirements (AWPB update, progress reports, how to establish results framework, how to measure the score of functional capacity, and how to measure each indicators). Review of the AWPB reports and annual reports of some subprojects however suggested that capacity of the SDAs on M&E and reporting remain an issue despite technical assistance from national consultants especially on understanding on the results-based M&E and AWMP reporting requirements. Key challenges are (a) limited ownership and understanding on their own proposals and activities as most proposals were prepared by consultants and most staff was not involved during the preparation, (b) the M&E and tracking methods are new to all SDAs and EPFO staff, and (c) most SDAs do not actually assign specific staff to be responsible for M&E and for some subprojects, change in staff team members also occurred. Despite additional training in late December 2015, follow-up M&E missions conducted in the provinces in January-February 2016 suggested that more training (on-the-job) will be necessary to ensure timely and correctly reporting from the SDAs. It is also important to ensure that the subproject coordinators also work closely with the M&E team and other EPFO staff to ensure consistency and timely implementation of the subprojects.

7) FUNDRAISING AND COMMUNICATIONS

43. EPF Functions on communications and fundraising: Only progress made is recruitment of communications and fundraising assistant. EPF management team decided to combine the position of Communications and Fundraising Officers as they are closely related tasks. It was decided that the unit would be directly supervised by the ED, as the head of EPFshould be the representative ‘ambassador’ of EPF in promotional and outreach activities as well as in bringing political weight to mobilize revenue source collection. Still, this is a

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challenge given that no qualified person has applied for the advertised position of CFO. In the meantime, EPF APU has drafted the first cut of communications and fundraising strategy (CFRS). The strategy will be finalized and a specific sub-set of AWPB dedicated for the C&F functions of EPF will be created as part of AWPB 2017.

44. Related to fundraising is EPF involvement with GoL’s green growth development policy operation. As part of the effort to develop and strengthen the environmental financing mechanism for Lao PDR, EPF is taking part to establish clear regulatory framework and instrument to operationalize its eligible revenue sources as listed in Article 66 of the Environment Protection Law 2012 and the revised EPF Decree. EPF Capacity Building budget lines for 1) mobilizing issue-specific technical advisor and for 2) mobilizing revenue sources will be used to make progress on this task.

45. Indicator on funds raised (LENS Component 3.1): As reported in the first APR that in Year 1 (October 2014 to September 2015), the Indicator 3.1 exceeded the year-end target of $800,000 since EPFO received the actual fund of about $1,124,000 from both public and private sources. For FY15/16, the year-end target is $850,000 while EPFO received funds from public and private sources of about $823,431 thus slightly lower than the year-end target for FY15/16. Nonetheless, the combing these funds in FY14/15 and FY15/16 ($1,935,585) will exceed the combined year-end target ($1,650,000). In FY15/16, EPF received the interest from fixed account ($301,544), interests from pilot soft loan ($11,846) and contribution from mining and hydropower projects ($510,040). It is noted that (a) the interest from fixed account was decreased (from 6% to 5% in Q3) while the payment for loan interest was delayed and (b) contribution from mining was $310,040 and is likely to be reduced while contribution from hydropower ($200,000) remains limited only to 1 project (Thuen HinBoon extension). To ensure achievement of this target in 2017 and the follow-on years, EPFO will have to strengthen the fund mobilization efforts in 2017. Updated EPF income, 2016, from 1st Oct 2015 - 31st Dec 2016 (15 months), EPF received total: $US 1,023,874 (Private: $US 647,040 (Mining: 447,040 and Hydro: 200,000) and Public: $US 376,834).

V. DISCUSSION OF ACHIEVEMENT AND CHALLENGES FOR EPF OPERATION

46. FY15/16 Goals and remaining challenges: It was expected in the first APR that during FY15/16, EPFO will (a) complete full integration of PAW and LENS2 including audit requirement of PAW and LENS2 PPAs and facilitate effective fund flow for LENS2, (b) continue to focus its attention to building its own staff toward “one EPF agenda” as well as beginning to implement the EPF business plan and communication strategy and human resources development policy (HRDP) as approved by EPF Board, and (c) increase its facilitation role for the implementation of the subprojects approved by the Board as well as continue the preparation of new subprojects. FY15/16 activities were carried out as part of AWPB FY15/16 of Component 3. While EPFO performance regarding subproject preparation and processing have done a good performance with 14 subprojects being approved by EPF Board in FY15/16 and now managing a total of 27 subprojects (valued $20 million) are under implementation, key challenges are discussed below, particularly mindful that more subprojects will come under implementation in 20172017.

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1) ONE EPF AGENDA

47. On “One EPF Agenda”, efforts were made to initiate discussion on scope and approach as well as to complete the EPF-business plan development including drafting a human resource development policy (HRDP) and a communication and fund raising strategy (CFRS). However, given that the EPF decree is being revised and expected to be submitted to GOL in late 2016, finalization of the EPF business plan, the HRDP, CFRS, and a road map for One EPF Agenda will be finalized with EPFO managers after GOL approval of the EPF decree. It is expected that clear policy direction will be provided in Q1-Q2 of 2017. Effective implementation of the CFRS will focus on actively engage key agencies (such as MPI, MEM, DESIA) and enhance EPFO partnership with international agencies and/or NGOs/academic to promote activities and technical assistance on NRE in Lao PDR. This effort will enhance EPF credibility as well as partnership ability with potential funding and technical assistance support partners.

48. EPF Subprojects and supporting implementation: Reviewed of EPF subprojects portfolio suggested that there are 93 subprojects (comprising 72 subgrants and 21 subproject loans) with a total budget of about $4.2 million. Of the 72 subgrants, there are 10 CBI subgrants, 18 PICE subgrants, 28 pollution control subgrants, 5 land management subprojects, 11 water resource subgrants, and 21 subproject loans. Most of these subgrants valued at about $0.1million with 1 large subgrant of about $0.34 million for Nam Mouan-Nam Youang PFA which is located in the upper part of Theun HinBoun hydropower project in BKX. In 2017, efforts will be made to apply the M&E results-based concept and to integrate supervision of all EPF subprojects.

2) EPF SUSTAINABILITY

49. Review of EPFO operation cost for LENS2 suggested that project staff and subproject management cost for LENS2 is about $0.7-1 million per year (about 15% of subproject cost). At present EPF receive revenue (interests and contribution) of about $0.8 million which is barely cover EPF current management cost. To ensure sustainability of EPF operations, it is necessary for EPFO to be more proactive in securing additional fund and/or increase efficiency and/or reduce size of EPFO staff. In this context, LENS2 provided support for a study on development of EPF business plan during 2015-2016 and a draft plan was discussed. However, given that the 2005 EPF decree is being revised in line with the new EPF Board policy, it is expected that the business plan including a draft human resource development policy (HRDP), a draft communication and fund raising strategy (CFRS), and a draft road map for one EPF agenda will be finalized by EPFO in Q1-Q2 of 2017 and begin implementation. It is therefore necessary to allocate LENS2 budget to support the implementation of these activities, especially the CFRS and HRDP). It is noted that the Environmental Protection Law (EPL 2012) has also identified additional funding sources for EPF.

3) DISBURSEMENT

50. On LENS2 disbursement, as presented in this report, the cumulative expenditure for FY14/15 and FY15/16 including the two PPAs was $4.61 million or 12% of project amount. Expenditure for subproject financing (PICE and CBI window subprojects) amount to having expended (cumulative) $2.76 million, which is merely 14% of the fund allocated until 2021. Cumulative expenditure for project administration and EPF capacity building amounting to $1.10 million is approximately 27% of fund allocated. Although this trend is expected,

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supporting and improving the implementation capacity of subproject delivery agencies (SDAs) will be increasingly important

51. Implementation experience in FY15/16 confirms the importance of key issues reported during the first year period while additional issues are also encountered during subprojects implementation. In FY15/16, efforts have been made to reflect on the observations of challenges from Year 110. More efforts will be necessary especially to enhance effective coordination among related SDAs and ensure consistency and complimentary of the related subprojects. Improved coordination and discussion between WB and EPFO team through a monthly meeting (start in December 215) has found to be effective and useful for EPFO staff. However, there are opportunity to use LENS2 support for forging effective coordination and cooperation among key agencies, build technical and management capacity of agencies, provinces and their staff, engage local communities, and clarity on funding mechanism and fund flow, clarity on roles and responsibility of key stakeholders. Key issues are: Delay and difficulty in processing (appraisal and approval) mainly due to limited number

of EPFO staff to assist the SDAs during preparation and implementation of subprojects, The lack of capacity and inadequate understanding of the SDA team regarding

procurement, financial management, and expected results target due to limited capacity, knowledge, and experience of SDAs and consultants regarding the design and preparation of subprojects using the results-based approach and specific templates established for LENS2,

The need for translation of proposal into both Lao and English during subproject preparation, appraisal, and clearance,

Difficulty to prepare quality proposal and limited English capacity of EPFO staff and SDAs staff,

Limited amount of advance payment and fund flow process, Clarity on AWPB and its revision/updating, and Clarity on roles and responsibility among EPFO staff and effective coordination between

EPFO team and WB team. Application of the results-based planning and results-based monitoring are new in Lao

PDR thus more time will be required to integrate the concept into subproject normal operations.

52. Need for speeding up disbursement: Given that project disbursement and actual expenditures to subprojects are quite low during the past 3 years, it is necessary for EPFO especially the subproject coordinators to take proactive actions to ensure and speed up the implementation of subproject activities and facilitate timely payment. Preparation and monitoring of Quarterly budget plan (Q Plan) will be prepared and used by SPC to monitor the SP implementation progress starting 2017 (January 2017). To minimize the financial risk, EPFO/FMU will provide more training and conduct close supervision and monitoring in 2017. EPFO/FMU will also conduct a FM risk assessment to guide the design of supervision and training. To speed up procurement process, EPFO/PMU will delegate procurement

10 The needs identified for FY14/15 were following: (1) ensuring that SDA understand their proposal and the “learning by doing approach”, (2) flexibility on languages use for proposals, (3) quick mobilization of SDA technical advisors and national consultants; (4) clear schedule for TC and Board meetings; (5) clarity on AWPB and M&E reports requirement; and (6) effective coordination and cooperation among related SDAs during subproject development and preparation.

25

responsibility to SDAs and will provide on-the-job training and conduct a procurement risk assessment and clear delegation procedures. EPFO will discuss these actions with WB.

4) TRANSLATION NEEDS

53. EPF needs to address the high demand for translation. For proposals for the province, the proposal will be prepared in Lao language and submit it to TC. The proposal will be adjusted per TC comment. The final proposal will be converted to English before submitting it to WB for clearance. After WB clearance, the proposal will be converted to Lao language and both Lao and English versions will be submitted to Board for approval. It is expected however, that significant time will be required between TC endorsement and WB endorsement for complex subprojects related to PA (such as PFRM) which will require compliance with safeguards (CEF and ESMF). However, EPF has not utilized effectively the budget available from LENS2 financing for translations. Budget had allocated 10,000 USD per year for translations, while EPF only spent 2,000 USD and 3,000 USD in YR1 and YR2 respectively. Going forward, EPF will in 2017 contract a firm to be in charge of all translations. Subproject coordinators will ensure that Provincial SDAs are supported language wise and with substance as well. For all central SDAs, because the SDAs are allocating budget for staff English training and translation costs, the SDAs will take full responsibility to improve operations in English including TORs development, output supervision, and reporting.

5) SDA TRAINING APPROACH

54. Additional training of SDAs were provided however SDAs capacity remain inadequate. Addressing weaknesses in English writing and speaking is likely to be difficult. However, it is expected that this will be improved over time. The issues related to revision of the workplan and its indicators have not been discussed and it is expected that with more experience in implementation the issues can be discussed during the WB mission. EPFO (M&E Officer) will conduct an assessment and training needs, prepare a plan, and provide training to SDAs, including conduct AWPB workshop at least 1 time per year. Given that EPF has provided multiple training and has expended 62% of its budget on training SDAs, this is becoming a financial burden, as well as laborious burden as EPF staff become occupied with ‘group training sessions’ and well as ‘hands on training’ for its SDAs. This is repetitive and ineffective. Hence The EPF staff will work on creating new and easily understandable materials (such as one-sheeter operation procedure) that makes SDAs to better grasp the information in the PIM. EPF may allocate budget to hire a firm to support such material development, supporting on the instructional methodology and approach.

6) SUPPORTING SDAS COOPERATION AND COLLABORATION

55. Strengthen coordination and cooperation among related SDAs: At present, LENS2 SDAs can be divided into 3 main groups i.e. Lao-WEN group, PA management group, and Environmental management group. EPFO will take proactive actions to forge effective coordination, cooperation, and information sharing among the related SDAs. At least 1coordination workshop, meeting, and/or study visits. The remaining PPA fund will be used for additional extensive training of SDAs (at least 2 times/year), AWPB workshop (1 time/year), and coordination workshops for related SDAs (at least 1 time per year). Details on the plan and budget will be discussed with WB.

26

7) NEXT STEPS TOWARDS YEAR 2017

56. Starting in 2017, EPF reporting per new FY: Board date: January and July of every year; LENS2 TC meetings: March, June, Sept, Dec; LENS2 progress report submission to WB: annual report 15 Feb and semester report 15 August; WB missions: Feb-March and Aug-Sept.

57. EPF organization and staff: in order to support a successful implementation progress for SDAs, it is of utmost importance that EPF as organization and individual staff are empowered and working effectively. In order to ensure EPF institution building and staff capacity building makes progress, one of the first endeavors is to establish a sound human resources strategy, and implemented based on fair performance-based review in negotiating contracts on various positions. EPF must make the positions attractive and working with the EPF a career development experience. HRD Policy: (i) draft HRDP comprising (a) staff rules and benefits, (b) staff salary scale, and (c) staff performance by end August; (ii) Consult MONRE Minister (as the EPF Standing Vice Chair) and finalize the draft taken into account the revised EPF decree to be approved by EPF Board in late 2016; and (iii) Submit to Board in January 2017.

58. Communication and Fund Raising Strategy (CFRS): This strategy and action is considered critical for ensuring sustainable EPF – not only for financing projects but also to have a sustainable organization and staffing. The strategy will aims to build partnership with key sector agencies (especially MEM and MAF) to ensure effective collection of project contribution (voluntary or mandatory) to EPF. It is anticipated that EPFO will also establish an effective mechanism to partner with private entities, national and international NGOs, and/or agencies at regional and international levels to promote green growth agenda and other economic instruments (such as PES, CSR, etc.) in Lao PDR.

59. One EPF Agenda will continued with discussion among EPF management, staff, the Board, and the World Bank. Especially given the Mid-Term Review of the LENS2 Project that may see revisions in project design, One-EPF Agenda discussion can inform good solutions towards improving EPF operations.

27

ANNEX 1. BACKGROUND INFORMATION OF THE LENS2 PROJECT

LENS2 became effective on 30 September 2015 however it has a longer history. It was formerly known as the Protected Areas and Wildlife (PAW) project, which was signed on 14 May 2014 and became effective on 4 July 2014 for the amount of US$ 23.83 million equivalent. Transition to LENS2 brought additional financing of US$ 15 million equivalent. Altogether, now US$ 38.83 million equivalent is singularly financed under LENS2 project11. For LENS2, Government contribution including EPF is US$ 3 million. Stretching even farther back, EPF had administered 152 sub-grants drawing on WB financing under the first Lao Environment and Social Project (LENS), which closed in June 2013. LENS2 was conceived out of strategic alignment of LENS and PAW project.

Basic information of World Bank LENS2 project

Project Development

Objective

To help strengthen selected environmental protection management systems, specifically for protected areas conservation, enforcement of wildlife laws and environmental assessment management.

Results indicators,

Project Development

Objective level

Indicator 1. Area brought under enhanced biodiversity protection measured by the score of management effectiveness.Indicator 2. International illegal trade information report submitted by the Department of Forest Inspection (DOFI) to international law enforcement or monitoring agencies.Indicator 3.Increase in the score of functional capacity of Subproject Delivery Agencies (SDA) and EPF.Indicator 4. Projects registered in environment impact Category 1 that have up-to-date compliance monitoring report published on the Department of Environmental and Social Impact Assessment (DESIA) website.Indicator 5. Village organizations supported by the project that meet the terms of conservation agreements (CAs).

Component 1(PICE)

US$ 14mn WB+ US$ 0.4mn GoL

Institution development and capacity building. Seeks to improve capacity and collaboration public institutions to design and monitor natural resources, environmental, and social policies. The SDAs and scope include those related to protection forest and wildlife enforcement, environment and social impact management, pollution control and management as well as education and human resource development and public relations related to these aspects.

Component 2(CBI)

US$ 19.4mn WB+ US$ 1.2mn GoL

Management of wildlife and protected areas. Seeks to improve the capacity and collaboration of public institutions, civil society, and communities to manage protected areas and enforce wildlife laws. It will strengthen (a) management of selected PAs and wildlife in participating provinces, (b) capacity of provincial and district authorities and other stakeholders to coordinate and support the management of PAs and to control the illegal wildlife and timber trade.

Component 3US$ 4mn WB

+ US$ 1.4mn GoL

Project administration and EPF capacity building. Technical and operational supports is provided to EPF: (a) carry out day-to-day administration, procurement, financial management, communication, environmental and social management, monitoring, evaluation, reporting and audit of project and (b) enhance capacity to manage efficiently financial resources, administer sub-grants, implement communication strategy, raise public and corporate funds for environment protection, and monitor and draw lessons from its operations.

11 71% IDA credit, 18% IDA grant, and 12% GEF grant

28

Budget per components and sources of financing under LENS2 project12

Project Components Allocation (US$, thousands)

IDA Grant

IDA Credit

IDA Add.Cr.

GEFGrant

GoL Total

Component 1: Institution development and capacity building

1,486 4,679 5,278 2,557 400 14,400

Component 2: Management of wildlife and protected areas

2,059 6,484 7,314 3,543 1,200 20,600

Component 3: Project administration and EPF capacity building

425 1,337 1,508 730 1,400 5,400

PAW PPA 530 - - - - 530LENS2 PPA - - 900 - - 900

Total Project Costs 4,500 12,500 15,000 6,830 3,000 41,830

12 As per Project Paper PP1267

29Overview of key dates and status related to the LENS2 project (as of 31 December 2016)

Calendar 4/1/14-6/30/14 7/1/14-9/30/14 10/1/14-12/31/14 1/1/15-3/31/15 4/1/15-

6/30/157/1/15-9/30/15

10/1/15-12/31/15

1/1/16-3/30/16

4/1/16-6/30/16

7/1/16-9/30/16

10/1/16-12/31/16

1/1/17-3/31/17

GoL FY FY14 Q3 FY14 Q4 FY15 Q1 FY15 Q2 FY15 Q3 FY15 Q4 FY16Q1 FY16Q2 FY16 Q3 FY16 Q4 FY Gap FY17 Q1EPF BOD Meeting 5/11/14 12/4/15 25/12/15 12/4/16

TC Meeting

14/10/1413

16/12/141422/7/1515

21/9/151611/1/1617

25/3/1618 30/6/1619 23/9/1620 2/17

Subprojects (SP) Signing

7 SP + 2 SPF21

Total: 9+3 SP22

Total: 18+9 SP23

Total: 27

Reporting 2/4/14-30/9/14 (1/10/14-31/3/14)

Annual Report(2/4/14-30/9/15)

(1/10/15-31/3/16)

Annual Report(1/10/15-30/9/16)

Annual Report(1/10/15-31/12/16)

EPF & SDA Training

3-day SDA training 10/15

5-day SDA Training 6/15

5-day EPF Retreat 7/15

5-day SDATraining 12/15

EPF retreat 7/16; SDA

training 8/16 Subproject

Disbursement(cumulative)

PICE: 1.80mnCBI: 0.96mn

EPF Admin expenditure(cumulative)

0.84mn

EPF Cap Bldg expenditure(cumulative)

0.27mn

EPF-WB PAW Signed 14/5/14

PAW Effective 4/7/14

WB mission 11/14

WB mission 5/15; LENS2 Signed 4/6/15

LENS2 Effective 30/9/15

WB mission 11/15

WB mission 2/16

WB mission 5/16

Workshop 11/16

MTR3/17

GoL in-kind Commitment US$ 1.4 mn US$ 1.6 mn

(additional) ...

WB Financing (cumulative)24 $23.83mn eq. $15mn eq.

(additional)

13<Endorsed>: MAF-DOFI, MONRE-DFRM, NUOL-FFS, GO-DPR14<Endorsed>: MAF-POFI(3), MPI(SPF), WMPA(SPF)15<Endorsed>: MONRE-PFRM(4) BLX, LPB, XK, HP, <Rejected>: MONRE-PFRM(1) KM 16<Endorsed>: None, <Rejected>: MONRE-NREI, NUOL-FEB/FSS/FNS, Custom/MOF17<Endorsed>: DPC/MoNRE, NUOL-FSS, NEPL-SPF; <Rejected> NREI/MoNRE, NUOL-FNS18<Endorsed>: DFRM-AF, NUOL-FEB, NUOL-FES, NUOL-FNS, NREI/MoNRE <Rejected> PCD/MoNRE and Custom/MoF, 19<Endorsed>: MPI, PCD, Customs, E-police20<Endorsed>: ; <Rejected>:21<Signed>: DOFI,POFI(3), DFRM,PFRM(5), NUOL-FFS, GO-DPR, MPI(SPF), WMPA(SPF)22 <Signed>: DPC, FNS, FES23 <Signed>: FSS, DESIA, DEQP, PCD, NREI,24Includes IDA credit/grant, GEF grant;

30

ANNEX 2. STATUS OF SUBPROJECTS FINANCED UNDER LENS2

Table 2.1 Implementation and Approval of Subprojects (SP) (as of 31 December 2016)

# Subproject/SDA Window US$ Preparation Approval Process

Sign

ENVIRONMENTAL MANAGEMENTC1.4 Producing Media Products on NPA and Aquatics Wildlife Management to be used by Govt Leaders /DPR-GO PICE-PAW 299,750 4/15C1.5 Capacity Building to Mainstreaming Green Growth Development Framework into NSEDP Strategy and Plan /MPI PICE-PAW SPPF 49,775 4/15

C1.18 Capacity Building to Mainstreaming Green Growth Development Framework into NSEDP Strategy and Plan /MPI PICE-PAW 499,730 6/16C1.6 Capacity building for national environment and natural resources planning/DPC-MONRE PICE-PAW 498,000 1/16, 5/16 6/16

C1.10 Nat’l env lab for pollution control and capacity building for Greening SMEs monitoring & waste mgmt.NREI/MONRE PICE-ENV 829,000 6/16 9/16C1.15 Capacity building for enforcement of environment and social impact legislation (DESIA/MONRE). PICE-ENV 1,879,229 6/16 9/16C1.16 Capacity building for environment promotion and scaling up ISP in selected provinces (DEQP/MONRE). PICE-ENV 799,115 6/16 9/16C1.17 Capacity building for pollution reduction especially from industries and SMEs (PCD/MONRE) PICE-ENV 699,773 6/16 9/16C1.19 Design and adoption of MONRE Structure and Staffing Plan by Dep of Personnel and Organization PICE-ENV 391,985 9/16 EndC1.20 PONRE-VTE PICE 338,052 9/16 – TCC1.21 PONRE-SVK PICE 348,293 9/16 – TCC1.24 PONRE-HP PICE-ENV 300,000* 9/16 CNC1.25 PONRE-XK PICE-ENV 300,000* 9/16 CNC1.26 PONRE-LPB PICE-ENV 300,000* 9/16 CNC1.27 PONRE-BKX PICE-ENV 300,000* OngoingC1.28 PONRE-KM PICE-ENV 300,000* OngoingC1.29 PONRE-XSB *financing by EPF PICE-ENV EPF 100,000* CN ongoing

PROTECTED AREAS MANAGEMENTC1.1 Institutional capacity building for PA and protection forest management and wildlife conservation /DFRM-MONRE PICE-PAW 2,497,440 4/15

C1.12 Re-delineate the 3 Forest Categories (DFRM –AF) PICE-PAW 900,000 3/16 7/16C2.1 Management of Nakai Nam Theun Watershed (WMPA-NNT-SPF) CBI-PAW SPPF 98,000 4/15

C2.13 WMPA-NNT CBI-PAW 2,900,000* 10/16 RevisedC2.10 Management of Nam Et Phou Louey (NEPL-SPF) CBI-PAW SPPF 99,950 2/16 3/16C2.14 NEPL-NPA/PMU CBI-PAW 2,900,000* OngoingC2.5 Coordination for protected area and protection forest management in Bolikhamxay / PONRE-BLX CBI-PAW 281,000 4/15

C2.18 PFRM-BKX-AF CBI-PAW 600,000* CN ongoingC2.6 Coordination for protected area and protection forest management in Houaphanh /PONRE-HP CBI-PAW 279,000 4/15

C2.16 PFRM-HP-AF CBI-PAW 600,000* CN ongoingC2.7 Strengthening Protected Area and Protection Forest in LuangPhabang /PONRE LPB CBI-PAW 283,000 4/15

C2.17 PFRM-LPB-AF CBI-PAW 600,000* CN ongoingC2.8 Coordination for protected area and protection forest management in Xiengkhouang /PONRE-XK CBI-PAW 277,000 4/15

C2.15 PFRM-XK-AF CBI-PAW 600,000* CN ongoingC2.9 Coordination for protected area and protection forest management in Khammouane /PONRE-KM CBI –PAW 287,540 11/15 11/15

C2.19 PFRM-KM-AF CBI-PAW 600,000* CN ongoingC2.11 PFRM-VTE CBI 661,865 9/16 – TC

31C2.12 PFRM-SVK CBI 636,662 9/16 – TCC2.20 PFRM-XSB *financing by EPF CBI-PAW EPF 100,000* CN ongoing

WILDLIFE ENFORCEMENT NETWORKC1.2 National-level capacity building in wildlife law enforcement/DOFI-MAF PICE-PAW 1,822,150 4/15

C1.13 Custom capacity building in anti-smuggling and law enforcement (Custom, Dept of MOF or “LCD”) PICE-PAW 600,000 6/16 8/16C1.14 Strengthening Capacity of MoPS Law Enforcement Agencies to Reduce Illegal Wildlife/Timber Trade (DCNEC) PICE-PAW 598,862 6/16 8/16C2.4 Wildlife law enforcement in Houaphanh /POFI-HP CBI-PAW 470,580 4/15C2.3 Wildlife law enforcement in Khammouane /POFI-KM CBI-PAW 444,620 4/15C2.2 Wildlife law enforcement in Bolikhamxay /POFI-BLX CBI-PAW 492,415 4/15

ACADEMIAC1.3 Human Resource Development for protected area and wildlife management/NUOL-FFS PICE-PAW 2,299,847 4/15C1.7 Capacity building and strengthening of social impact assessment curriculum (NUOL-FSS) PICE-ENV 740,000 1/29, 5/16 6/16

C1.11 Capacity building and strengthening of env economic curriculum with focus on PES and offsets/NUOL-FEB PICE-PAW 799,997 3/16 7/16C1.8 Capacity building and strengthening of env science and EIA curriculum. (NUOL-FES) PICE-ENV 658,075 3/16 7/16C1.9 Project for Capacity Enhancement Lao’s Natural Science Related to Env Protection (NUOL-FNS) PICE-ENV 598,700 3/16 7/16

C1.19 Development of env/social curriculum and teachers training at Nat’l Academy of Politic and Administration (NAPA). PICE-ENV 200,000 9/16 – TCC1.23 Constituency building of high-level officials on biodiversity and wildlife (Kaysone Academy) PICE-PAW 200,000* 9/16 Revised

Table 2.2 Number of subprojects (SP) per processing stage (as of 31 December 2016)

Number of subprojects

Concept submitted to EPF

Proposal submitted to EPF

Proposal submitted to TC

Proposals endorsed by TC

Proposals endorsedby World Bank

Approved by EPF BoD(implementing)

Total FY14/15 (Y1) (as of 30 Sep 2015)

31 19 19 14 13 13

Total FY15/16 (Y2)(as of 31 Dec 2016)

18 15 25 20 15 14

Total Y1+Y2 (as of 30 Sep 2016)

49 34 4425 34 28 27

25 Many proposals were submitted to TC more than 1 time.

32

ANNEX 3. STATUS OF ALL PROJECTS FINANCED BY EPF

Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

Financing Window: Policy and Institutional Capacity Enhancement

28-Jan-16 31-Dec-16 Improvement of TV environmental program National TV Channel 3 MIC EPF 38,757

28-Jan-16 31-Dec-18 Environment and Education Awareness for Laos Army Dept. of Science MND/NNO EPF 55,556

28-Jan-16 31-Jan-18 Development of Environmental education and development Center FES NUOL EPF 61,704

28-Jan-16 31-Jan-18 Capacity Buiding EIA Project PONRE Champassak EPF 49,383

7-Jun-16 7-Jun-20 Capacity Buiding EIA Project PONRE Saravan EPF 49,383

7-Jun-16 7-Jun-20 Capacity Buiding EIA Project PONRE Sekong EPF 49,383

8-Jun-16 8-Jun-20 Capacity Buiding EIA Project PONRE Attapeu EPF 49,383

25-Apr-16 25-Nov-19 Capacity Buiding EIA and Grass Disinfectant Project PONRE Xayabouly EPF 74,074

5-May-16 5-May-20 Capacity Buiding EIA and Grass Disinfectant Project PONRE Phongsaly EPF 74,074

3-May-16 3-May-20 Capacity Buiding EIA and Grass Disinfectant Project PONRE Luang Namtha EPF 74,074

28-Apr-16 28-Apr-18 Capacity Buiding EIA and Grass Disinfectant Project PONRE Bokeo EPF 74,074

9-May-16 9-May-20 Capacity Buiding EIA and Grass Disinfectant Project PONRE Oudomxay EPF 74,074

11-Feb-15 11-Mar-17 Developing Information System on Natral Resource and Environment to support… Xaysomboun 18,638

27-May-15 27-May-17 Developing Information System on Natral Resource and Environment to support… VTE 49,888

6-May-15 31-Dec-20 Institutional capacity building for protected area and protection forest management, wildlife conservation

DFRM MAF LENS2 2,497,440

21/6/16 31-Dec-20 Institutional capacity building for protected area and protection forest management, wildlife conservation (AF)

DFRM MAF LENS2 900,000

28/5/15 31-Dec-20 National-level capacity building in wildlife law enforcement DOFI MAF LENS2 1,822,150

27/5/15 30-Sep-18 Government Office Protected Areas and Wildlife knowledge Dissemination Department of Public Relation DPR-GO LENS2 299,750

7/5/15 30-Sep-16Capacity Building on Mainstreaming Green Growth Agenda into National, Sub-national and Sectorial Strategies and Action Plans (Preparation Project Fund) NERI MPI LENS2 49,775

10-Jan-16 31/12/2019 Capacity Building on Mainstreaming Green Growth Agenda into National, Sub-national and Sectorial Strategies and Action Plans

NERI MPI LENS2 499,730

7/5/15 31-Mar-20 Human Resources Development for Protected Area and Wildlife Management FFS NUoL LENS2 2,299,847

15/7/16 31-Dec-19 Learning by Doing: Implementing the Community Engagement Framework for Protection of Forest Resources and Enhancing Livelihoods

FEB NUoL LENS2 799,997

15/7/16 31-Dec-20 Capacity Enhancement of Laos's Natural Science Related to Environmental Protection FNS NUoL LENS2 598,700

15/7/16 31-Dec-20 Building Country Capacity for Technical Aspects of Environmental Impact Assessments FES NUoL LENS2 658,075

21/6/16 31-Dec-20Capacity Building Project on Social Safeguard Education for the Faculty of Social Sciences, National University of Laos FSS NUoL LENS2 740,000

15/8/16 31-Dec-20Customs capacity building on combating illegal wildlife, timber and non-timber forest product (NTFP) trade and law enforcement

LCD MOF LENS2 600,000

15/8/16 30-Sep-20 Strengthening capacity of wildlife and aquatic law enforcement of DCNEC DCNEC Ministry of Security LENS2 598,862

33Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

21/6/15 31/06/2020Enhancing MONRE’s DPC Capacity for Natural Resources and Environment Sector Planning and Coordination DPC MONRE LENS2 498,015

23/9/16 31-Dec-20 Capacity Building for enforcement of environmental and social impact legislation DESIA MONRE LENS2 1,879,229

23/9/16 31-Dec-20 DEQP general capacity building for scaling up ISP and SEA DEQP MONRE LENS2 799,115

23/9/16 31-Mar-20 Institutional strengthening on air and noise quality monitoring and the NREI MONRE LENS2 829,000

23/9/16 31-Dec-20 PCD Capacity Building for Pollution Control, Waste and Hazardous Chemicals Management PCD MONRE LENS2 699,773

Strengthening the capacity on the ESIA PONRE Vientiane Cap EPF 50,000

Strengthening of National Radio environment program National Radio MIC EFP 25,000

Strengthening of Youth Radio environment program Youth Media Department Lao Youth Union EFP 25,000

Strengthening of Woman Media environment program Woman Media Department Woman Youth Union EFP 25,000

Strengthening of Lao Trade Union Media environment program Media Department Lao Trade Union EFP 25,000

Strengthening of Lao Front for Construction Media environment program Media Department Lao Front for Construction EFP 25,000

MONRE Communication Program Cabinet MONRE EFP 56,250

Environment events (WED and others event) DEQP and other MONRE MONRE EPF 12,500

Monitoring the development projects in the country <Monitoring Fund> DESIA MONRE MF 4,800,000

National networking of the green, clean, beautiful Lao and pilot project on urban environmental quality in 10 priority districts (including Chanthabouly district) DEQP MONRE EPF 100,000

Improvement of environment Curriculum for pre-school, primary, secondary, and vocational school.

DEQP MONRE EPF 20,000

Improvement and development of curriculum on sustainable development including green growth, green economy.

Savannakhet University Savannakhet EPF 38,750

Improvement and development of curriculum on sustainable development including green growth, green economy. Champassak University Champassak EPF 93,750

Improvement and development of curriculum on sustainable development including green growth, green economy.

Souphannouvong University Luangphrabang EPF 93,750

Strengthening and training on environmental and social management for provincial and districts MONRE EPF 20,000

Strengthening the capacity on Environment and social management PONRE Saysomboun LENS2 100,000

Strengthening the capacity on Environment and social management PONRE Houaphan LENS2 300,000

Strengthening the capacity on Environment and social management PONRE Luang Pabang LENS2 300,000

Strengthening the capacity on Environment and social management PONRE Vientiane Prov LENS2 300,000

Strengthening the capacity on Environment and social management PONRE Xiengkhouang LENS2 300,000

Strengthening the capacity on Environment and social management PONRE Svanakhet LENS2 300,000

Strengthening the capacity on Environment and social management PONRE Khammoune LENS2 300,000

Strengthening the capacity on Environment and social management PONRE Bolikhamxay LENS2 300,000

Strengthening Capacity on Environment and Social NAPA LENS2 200,000

Financing Window: Community and Biodiversity

34Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

8-Jun-16 11-Jul-20 Nam-Lan Protected area Management Bountai PSL Project PAFO Phongsaly EPF 74,074

21-Jun-16 21-Jun-19 Houy Ngoi Protected area Management Project PAFO Bolikhamxay EPF 79,997

8-Jun-16 8-Jun-20 Phoupieng Bolaven Protected area Management Paksong-Bachieng-Xanasonboun CPS Project PONRE (Environment Division) Champassak EPF 82,099

7-Jun-16 7-Jun-19 Phou-Nak Protected area Capacity Buiding and Management SARAVAN Project PAFO Saravan EPF 80,247

7-Jun-16 7-Jun-20 Houy-Thon Protected area Management Sekong Project PONRE (Water Division) Sekong EPF 74,074

11-Jul-16 8-Jun-20 Nam Houng-Nam Mad Protected area Capacity Buiding and Management Xayabouly Project PONRE (Environment Division) Xayabouli EPF 80,531

11-Jul-16 11-Jul-20 Phou San Yod Protected Area Management PAFO Luang Namtha EPF 74,667

25-Feb-16 25-Feb-20 Nammoun-Namyoung Protected area and Management Project Phase2 PAFO Bolikhamxay EPF 345,185

11-Jul-16 11-Jul-20 Nam yao-Nam youn and Houy TabvProteced AreaManagement Project PONRE (Water Division) Bokeo EPF 74,074

8-Jun-16 8-Jun-20 Phoupieng Bolaven Protected area Samakyxay Management Attapeu Project PAFO Attopeu EPF 92,531

11-Jul-16 11-Jul-20 Phu Hi Phi Proteced Are Project PAFO Oudomxay EPF 86,420

11-Feb-15 11-Oct-16 Elephant Management Project ;Savannakhet Province PAFO SVK EPF 22,375

5-Jun-14 5-Jul-16 Wild Elephen protected at Naterd-Thongkong,Ngommalath KHM EPF 10,000

12-Jun-14 12-Jun-15 Monitoring and Servey for Wild Cow/Bull at Muet PA HINHERB VTE Province VTE Province EPF 7,375

11/6/15 30-Jun-20 Strengthening capacity for wildlife and aquatic law enforcement POFI Houaphanh LENS2 470,580

26/5/15 31-May-20 Strengthening capacity of wildlife and aquatic law enforcement POFI Bolikhamxay LENS2 492,415

25/5/15 31-May-20 Strengthening capacity for wildlife and aquatic law enforcement POFI Khammouane LENS2 444,620

9/10/15 30-Sep-17 Coordination for protected area and protection forest management (Phase 1) PFRM, PONRE Bolikhamxay LENS2 281,000

8/10/15 30-Sep-17 Coordination for protected area and protection forest management (Phase 1) PFRM, PONRE Xiengkhouang LENS2 277,000

6/10/15 30-Sep-17 Coordination of protected area and protection forest management (Phase 1) PFRM, PONRE Houaphanh LENS2 279,000

5/10/15 30-Sep-17 Strengthening protected area and protection forest management (Phase 1) PFRM, PONRE Luangphrabang LENS2 283,000

24/11/15 30-Sep-17 Capacity strengthening for Protected Areas (PAs) and Protection Forests (PFs) Management (Phase 1)

PFRM Khammouane LENS2 287,540

6-May-15 31-Dec-16 Development and Management of Nakai Nam Theun NPA (Preparation Project Fund) NT2-WMPA WMPA LENS2 98,000

26-Feb-16 28-Feb-17Strengthening Capacity on Development and Management of Nam Et-Phou Loey National Protected Area (NPA) (Preparation Project Fund)

NEPL, DFRM DFRM, MAF LENS2 99,550

Strengthening the management of Nam Ngiep protection forested watershed PAFO Xiengkhouang EPF 50,000

Strengthening the management of May Long Leng protected area in Xaysomboun Prov PAFO Xaysomboun EPF 50,000

Management of community Forest PAFO Vientiane Prov EPF 62,500

Elephant Conservation in Phouphanang National Protected Area PAFO Vientiane Prov EPF 56,250

Management of Phou Kao Khouay Protected area PAFO Vientiane Cap EPF 75,000

Development of Laving Laveun National Park PONRE and PAFO Savannakhet EPF 300,000

Development of Khounxe Nongma National Pak PONRE and PAFO Savannakhet and KhammounEPF 300,000

35Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

Development of Dongkhanthoung National Park PONRE and PAFO Champassak EPF 300,000

Development of Phouhinpoun National Park PONRE and PAFO Khammouane EPF 300,000

Development of Phoudendin National Park PONRE and PAFO Phongsaly EPF 300,000

Development of Sepian Senamnoy National Park PONRE and PAFO Champassak EPF 300,000

Development of Nam Ha National Park PONRE and PAFO Luang Namtha EPF 300,000

Management of community Forest PAFO Khammouane EPF 62,500

Management of community Forest PAFO Champassak EPF 62,500

Management of endangered species MONRE EPF 150,000

Biodiversity Conservation and Recovery in Thalang Area, Namthern 2 PAFO Khammoune EPF 62,500

Strengthening protected area and protection forest management PFRM Xaysomboun LENS2 100,000

Coordination for protected area and protection forest management (Phase 2) PFRM Bolikhamxay LENS2 400,000

Coordination for protected area and protection forest management (Phase 2) PFRM Xiengkhouang LENS2 400,000

Coordination of protected area and protection forest management (Phase 2) PFRM Houaphanh LENS2 400,000

Strengthening protected area and protection forest management (Phase 2) PFRM Luangphrabang LENS2 400,000

Capacity strengthening for PAs and Protection Forests (PFs) Management (Phase 2) PFRM Khammouane LENS2 400,000

Strengthening protected area and protection forest management PFRM Savannakhet LENS2 636,662

Strengthening protected area and protection forest management PFRM Vientiane Prov LENS2 661,865

Strengthening Capacity of Nakai Nam Theun WMPA Management (Implementation) NT2-WMPA WMPA LENS2 2,900,000

Strengthening Capacity on Development and Management of Nam Et-Phou Loey National Protected Area (NPA) (Implementation)

NEPL-NPA, DFRM DFRM, MAF LENS2 2,900,000

Financing Window: Pollution Control

28-Jan-16 31-Dec-18 Grass Disinfectant Management Project FNS NUOL EPF 61,704

28-Jan-16 4-Oct-17 Wast Management and Awareness Though people at Mahaxay PONRE (Water Division) Khammouane EPF 14,815

10-Feb-16 31-Jan-18 Grass disinfectant in cane garden Management 2 districts Atsapangthong-Xaybouly Project PONRE (Water Division) Savannakhet EPF 30,864

18-Mar-16 18-Sep-16 Wast Management Tha-Pang-Thong District Thapangthong Savannakhet EPF 14,815

26-May-17 26/11/2017 Waste Buiding Management Phou-Koud District XK Project Phoukoud Xiengkhouang EPF 18,519

6-May-16 11-Jun-18 Waste Field Buiding Sam-phan District Project Samphanh Phongsaly EPF 18,519

25-May-16 25/11/2017 Wast Management at Vangvieng District Project Vangvieng Vientiane Prov EPF 17,284

30/5/2016 30/11/2017 Waste Field Buiding Project Et Houaphanh EPF 18,519

4-Jul-16 4-Apr-17 Wast Management at Dak-Chung District Project Dakchung Sekong EPF 18,519

19-Jun-14 19-Jun-17 Improve West Management PIENG district Phieng District Xyyabuli EPF

Waste water treatment of Regional hospital Dept. of Health (Provincial Hospital)

Luangphrabang EPF 18,750

36Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

Waste management at National Games PONRE Xiengkhouang EPF 12,500

Management of herbicide use PONRE (Environment Division) Vientiane Prov EPF 37,500

Management of herbicide use PONRE Vientiane Cap EPF 37,500

Management of herbicide use PONRE (Water Division) Bolikhamxay EPF 43,750

Management of herbicide use PONRE (Environment Division) Luangphrabang EPF 37,500

Management of herbicide use PONRE (Environment Division) Xiengkhouang EPF 37,500

Management of herbicide use PONRE (Environment Division) Houaphanh EPF 37,500

Management of herbicide use MOH All provinces EPF 62,500

Management of herbicide use LCD All provinces EPF 62,500

Management of herbicide use Police All provinces EPF 62,500

Management of herbicide use MIC All provinces EPF 62,500

Management of herbicide use (Regislation Enforcement and awareness raising) MONRE and SEADA All provinces EPF 62,500

Strengthening the management on registration enforcement and herbicide MAF All provinces EPF 62,500

Management of used battery MONRE All provinces EPF 12,500

Southern natural resource and environmental center MONRE Champassak EPF 125,000

Northern natural resource and environmental center MONRE Luangphrabang EPF 125,000

Central natural resource and environmental center/district MONRE VTE Cap EPF 125,000

Waste management Hinboun Khammouane EPF 15,000

Waste management Kong Champassak EPF 15,000

Waste management Soukouma EPF 15,000

Waste management Phonthong EPF 15,000

Waste management Samouay Saravan EPF 18,750

Waste management Toumlane EPF 15,000

Waste management Atsaphone Savannakhet EPF 15,000

Waste management Xayphouthong Savannakhet EPF 15,000

Waste management Xaybouly Savannakhet EPF 15,000

Wast mangement SVK University Savannakhet EPF 55,000

Waste management Thaphabard Bolikhamxay EPF 15,000

Waste management Phouvong Attopeu EPF 22,500

Waste management Nonghat EPF 18,750

Waste management Anouvong Xaysomboun EPF 31,250

Waste management Thathom EPF 10,000

37Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

Waste management Xienghon Xayabouly EPF 18,750

Waste management Boten EPF 15,000

Waste management May Phongsaly EPF 18,750

Waste management Pheuang Vientiane Prov EPF 15,000

Waste management Sanakham Vientiane Prov EPF 15,000

Waste management Xam Neua Houaphanh EPF 31,250

Waste management Houamuong Houaphanh EPF 18,750

Waste management Nalea Luang Namtha EPF 18,750

Waste management Phoukhoun Luangprabang EPF 18,750

Waste management Pakou EPF 18,750

Waste management PONRE Bokeo EPF 18,750

Waste management La Oudomxay EPF 18,750

Waste management ESC VTE Cap EPF 62,500

Waste management VUDAA VTE Cap EPF 62,500

Waste management LNTA All provinces EPF 62,500

Waste water treatment of Regional hospital Dept. of Health (Hospital) Champassak EPF 18,750

Waste water treatment of Regional hospital Dept. of Health (Hospital) Savannakhet EPF 18,750

Financing Window: Water Resource Management

20/02/2014 20/02/2016 Hinboun Catchment Management Plans Establishment and Analysis Project in Khamouan PONRE (Water Division) KHM EPF 50,000

17/02/2012 17/02/2013 Study and make plan for Yod Ngeum basin management PONRE (Water Division) XKH EPF 12,465

1/7/2014 31/12/2016 Namxam Basin Protected and Management Project PONRE (Water Division) HPH EPF 36,875

26/02/2016 25/02/2020 Hinboun Catchment Management Plans Establishment and Analysis Project in Khamouan PONRE (Water Division) KHM EPF 160,481

8/6/2016 8/6/2019 Namxam Basin Protected and Management Project Phase 3 PONRE (Water Division) HPH EPF 98,765

25/02/2016 31/01/2018 Nam Thuen-Nam Kading Basin Management Project PONRE (Water Division) BKX EPF 135,802

10/6/2016 10/6/2020 Nam Thuen-Nam Kading Basin Management and Environment (Grass Disinfectant) Project PONRE (Water Division) KHM EPF 106,889

23/05/2016 23/05/2020 Staff Capacity Buiding on river Basin and Land Management PONRE (Water Division) NNO EPF 148,148

Wetlands Management/River basin planning PONRE Champassak EPF 37,500

Wetlands Management/River basin planning PONRE Saravan EPF 37,500

Wetlands Management/River basin planning PONRE Xayabouly EPF 37,500

Nam Tong basin planning and management PONRE/ District Vientiane Prov EPF 37,500

Wetlands Management/River basin planning PONRE Attopeu EPF 37,500

Wetlands Management/River basin planning PONRE Xiengkhouang EPF 37,500

38Date Project Title Fund Recipient Ministry or Province Source 5yr budget $

Wetlands Management/River basin planning PONRE Savannakhet EPF 37,500

Wetlands Management/River basin planning PONRE Phongsaly EPF 37,500

Wetlands Management/River basin planning PONRE Luang Namtha EPF 37,500

Wetlands Management/River basin planning PONRE Luangphrabang EPF 37,500

Wetlands Management/River basin planning PONRE Vientiane Cap EPF 37,500

Wetlands Management/River basin planning PONRE Bokeo EPF 37,500

Wetlands Management/River basin planning PONRE Oudomxay EPF 37,500

Wetlands Management/River basin planning PONRE Sekong EPF 37,500

Wetlands Management/River basin planning PONRE Xaysomboun EPF 37,500

Safe Water for remote area Army All provinces EPF 62,500

Financing Window: Sustainable Land Management

26/03/2012 26/03/2013 Organic farm sustainable development and reduce chemical using SVK EPF 23,364.48

26/03/2012 26/02/2014 Mountain reforest for source forest become healthy forest by community XKH EPF 17,632.50

12/6/2014 12/12/2015 Nammee source forest and biodisversity management VTE EPF 8,225.00

6/6/2014 6/12/2016 Land forest and Sustainable land Management BKX EPF 20,000.00

25/02/2016 31/01/2018 Land allocation Subport for local Project NNO EPF 185,185.19

Develop integrated land planning PONRE Champassak EPF 43,750

Develop integrated land planning PONRE Saravan EPF 43,750

Develop integrated land planning PONRE Sekong EPF 43,750

Develop integrated land planning PONRE Bokeo EPF 43,750

Develop integrated land planning PONRE Attopeu EPF 43,750

Develop integrated land planning PONRE Oudomxay EPF 43,750

Produce integrated natural resource and environmental single map: ISP, Watershed, Protection forest, land use Dept. of land information MONRE EPF 100,000

Develop integrated land planning PONRE Xayabouly EPF 43,750

Develop integrated land planning PONRE Phongsaly EPF 43,750

Develop integrated land planning PONRE Luang Namtha EPF 43,750

Develop integrated land planning PONRE Vientiane Cap EPF 43,750

39

ANNEX 4. UPDATED EPFO STAFFING

Count Positions26 Status Remarks38 Total (33/38)2 Management (2/2) Excluding TC (10)1 ED (EPF) On board New ED has been assigned at the end of 6/2016. 2 DED (EPF) On board13 Admin-Personnel Unit (10/13)1 Admin-Personnel Unit Head (project) On board, April 2015 Recruitment process completed 2 Executive Assistant (EPF) On board, March 2015 3 Admin Assistant 1 (EPF) Recruiting On the process of Recruiting4 Admin Assistant 2 (EPF) Vacant to be recruited as needed 5 Human Resources (EPF) On board January 2016 Completed6-8 3 drivers (EPF) On board January 2013, 5/14, 5/15 1 driver resigned; new recruit completed9 Cleaner (EPF) On board March 2015 Completed10 Fund Raising- Communication Officer (project) Recruiting Onboard staff in early 2016 resigned mid-201611 Communication and Fundraising Assistant (project) On board in April 2016 Combines Fund Raising and Comm Assistant. 12 Database/IT (EPF) On board in Feb 2015 Completed 13 Data Clerk (EPF) On board in Feb 2015 Completed 7 Financial Management Unit (7/7)1 Financial Unit Head (project) On board, mid-March 2015 Completed2 Financial Officer (EPF) On board in July 2013 Completed3 Financial Officer (project) On board in November 2014 Staff has been resigned at end September 20164 Accountant 1 (EPF) On board in Nov 2013 Completed5 Accountant 2 (project)(new) On board in Feb 2016 One accountant resigned, new recruit completed6 Accountant 3 (project) On board in Feb 2015 Completed7 Cashier (EPF) On board in Oct 2014 Completed6 Procurement Management Unit (5/6)1 Procurement Unit Head (project) Recruiting One officer is assigned to act for this function2 Procurement Officer 1 (EPF) On board in 2013 Completed3 Procurement Officer 2 (project) On board, April 2014 Completed4 Procurement Officer 3 (project) On board, April 2014 Completed5 Procurement Assistant 1 (project) On board, Feb 2015 Completed6 Procurement Assistant 2 (project) On board, Feb 2015 Completed10 Operations Unit (9/10)1 Operations Unit Head (project) Recruiting One staff acting with PTMA supervision2 Subproject Coordinator 1 (project) On board, January 2015 Completed

26 (EPF) indicates staff hired by EPF resources (project) indicates staff hired using WB financing.

403 Subproject Coordinator 2 (project) On board Feb 2015 Completed 4 Subproject Coordinator 3 (project) On-board in April 2015 Completed 5 Subproject Coordinator 4 (project) On-board in Nov 2015 Completed6 Safeguard Officer (project) On board in April 2016 Resigned Dec 2015, new officer in Mar 2016. 7 M&E Officer (EPF) On board in March 2016 The contract is not extended after Sep 2016. 8 M&E Officer (project) On board, Jan 20159 M&E Assistant 1 (EPF) On board November 2014 Assist EPF and project10 M&E Assistant 2 (project) On board April 2015

41

ANNEX 5. PROCUREMENT FOR SUBPROJECTS FINANCED BY LENS2

Table 4.2 Mobilization status of international consultants for EPF

# Positions Status Remarks1 PTMA Individual, Int’l; On-board (3-6/15); The contract has been renewed on 9/11/15 Closing date is to 9/18.2 FMCBA Individual, Int’l; On board (Nov 2014-March 2015); Assignment completed Road map and capacity building submitted3 PMCBA Individual, Int’l; On board (Feb 2015); Assignment completed Road map and capacity building was submitted4 Auditor PAW PPA Firm, Int’l; On board August 2015; assignment completed 9/15 and close Audit report submitted 5 Auditor LENS 2 Firm, Int’l; On board February 2016; on first year assignment 3 yr contract subject to satisfactory performance 6 Gender advisor - To be recruited in 2017 or 20187 Fund raising advisor - To be recruited in 2017 (closely coordinate with #7)8 Communication advisor - To be recruited in 2017 (closely coordinate with #6)9 M &E advisor - To be recruited in 2017 or 201810 NRE-HRDS Individual, Int’l; Mobilized 1/15; Assignment complete and closed 2/16 Final report submitted in 2/16.11 EQMS Individual, Int’l; Mobilized 2/2015; Assignment complete and closed 12/15 Final draft proposals DESIA, PCD, DEQP in 12/16 12 EPFBP-PEAS Individual, International; Mobilized in 3/15; report submitted 2/16 Completed.13 IT firm Firm to upgrade EPF accounting system; assignment completed and closed 8/16 Completed14 VFI Firm, International; Prepare CEF manual: Mobilized in 6/15-12/15 Contract was extended to 9/16

Table 4.3: Status of SDA’s consultant mobilizations (as of end December 2016)

# SDAs Consultants Status Remarks1 DFRM (4) National (fulltime) Onboard in November 2015 Dr.Phaivanh

National (safeguard, fulltime) On board in February 2016 Mr Yhoksamai (PTMA trained on safeguard)International (full time) On board in February 2016 Mr John W. Kenneth ParrAccountant On Board in February 2016 Ms Sengchanh OunvilayGIS Mapping Expert-Manager (Int'l, Reg'l or Nat'l)

On Board in December 2016 Mr Phoukong Phongsa

2 DOFI (3) International (part time) Onboard February 2016 Mr. Michael DysonNational (full time) Onboard November 2016 Mr. Sudanrong Charles PhonmdoungsyAccountant Onboard January 2016 Ms.Somkhane Kettavong

3 NUOL-FFS (5) Accountant Clerk Onboard 17 March 2016 Nouanthai ThongphanhProject Coordinator Onboard 21 December 2015 Bouangeunh KhensababPrinciple trainer (Protected Areas) Onboard 01 November 2015 Banethom ThepsombathPrinciple Trainer (Wildlife Trade) Onboard 01 October 2015 Phansamai PhommexayAdministrative and Procurement Assistant Onboard 21 December 2015 Khampheng Chandavong

4 DPR-GO No consultant

425 POFI-KM Consultant on Sub-grant planning and

implementationOnboard 1/4/ 2016 Mr.Khammone Luangsackda

Accountant On board 14/7/2016 Ms. Sounthaly Soumaly6 POFI-BKX Consultant on Sub-grant planning and

implementationOnboard 1/4/ 2016 Mr.Khammone Luangsackda

Accountant Onboard October 2015 Ms.Khaikham Kounnavong7 POFI-HP 3 Consultant on Sub-grant planning and

implementationOnboard 1/4/ 2016 Mr. Khammone Luangsackda

Accountant On board 1/12/2016 Khonethong Komphengmee8 PONRE-KM (1) National Technical Advisor On board 4/7/2016 Mr. Douangchanh Lorpaying9 PONRE-BKX (1)10 PONRE-XK (1)11 PONRE-HP (1) National Technical Advisor On board 17/10/2016 Mr. Khamphet Sengchanoudom12 PONRE-LPB (1)13 NNT-SPF/WMPA (4) TA Preparation Coordinator National On board 15/12/2015 Dr. Chanthavy Vongkhamheng

Fiduciary review and design FM manual, Administration manual including procurement

On board 23/6/2016 Mr. Pradi Vongsana

Consultant to Prepare ESMP Fiducially On board 11/8/2016 Ms. Chansouk InsouvanhConsultant to update FM software Recruiting

14 MPI-SPF(1) Accountant Cancelled? Revised AWPB

43

ANNEX 6. PROJECT EXPENDITURE ON LENS2-FINANCED SUBPROJECTS

Description/Components/Sub-grant BudgetCumulative as of

31/12/2016

Total for Year 1/10/2015-31/12/2016

% of total budget for project life (IDA,GEF)

% of Year Budget

planFund balance

I Component 1:institution development and capacity building 17,069,351 1,802,040.42 1,791,902.06 11% 15,267,310.58DFRM &DFRM AF

Institutional capacity building for protected area management and wildlife conservation

3,397,348 439,800.86 439,800.86 13% 65% 2,957,547.14

DOFI Human Resources Development for protected area wildlife management 1,822,150 404,652.71 401,493.63 22% 77% 1,417,497.29

NUOL FFSStrenthening the publication of Socio-Economic Development with Sustainable Enviromenttal Protection and Natural Resource management

2,299,847 618,457.50 612,061.44 27% 103% 1,681,389.50

GO PR Constituency building of high level officials 299,750 117,326.21 116,742.99 39% 76% 182,423.79

DPCEnhancing MONRE’s DPC Capacity for Natural Resources and Environment Sector Planning and Coordination

498,000 68,736.04 68,736.04 14% 89% 429,263.96

DCNECBuilding the capacity of DCNEC to enforcement of wildlife laws and combat natural resource

598,862 23,249.90 23,249.90 4% 12% 575,612.10

NUOL-FSSCapacity Building Project on Social Safeguard Education for the Faculty of Social Sciences, National University of Laos

740,000 34,868.23 34,868.23 5% 18% 705,131.77

LCDCustoms capacity building on combating illegal wildlife, timber and non-timber forest product (NTFP) trade and law enforcement

600,000 - - 0% 0% 600,000.00

DESIACapacity building for enforcement of environment and social impact legislations

1,879,229 - - 0% 0% 1,879,229.00

DEQPCapacity building for environment promotion and scaling up ISP in selected provinces

799,115 19,027.03 19,027.03 2% 0% 780,087.97

PCDCapacity and institution building for pollution reduction especially from industries and small and medium enterprises

699,773 37,532.25 37,532.25 5% 15% 662,240.75

NREI Institutional strengthening on air and noise quality monitoring and the 829,000 - - 0% 0% 829,000.00

NUOL -FEBCapacity building and strengthening of the environmental economic curriculum with focus on PES and valuing offsets

799,997 - - 0% 0% 799,997.00

NUOL- FNSProject for Capacity Enhancement of Laos's Natural Science Related to Environmental Protection

598,700 - - 0% 0% 598,700.00

NUOL- FESCapacity building and strengthening of the environmental science and evironmenttal impact assessment curriculum

658,075 - - 0% 0% 658,075.00

MPI PPACapacity Building on Mainstreaming Green Growth Agenda into National, Sub-national and Sectorial Strategies and Action Plans

49,775 38,389.69 38,389.69 77% 77% 11,385.31

MPI NRICapacity Building on Mainstreaming Green Growth Agenda into National, Sub-national and Sectorial Strategies and Action Plans

499,730 499,730.00

II Management of wildlife and protected areas 3,013,555 964,658.62 919,524.52 32% 2,048,897.38NT2 Capacity building for participatory management of the NT2 watershed 98,450 50,015.27 50,013.45 51% 51% 48,434.73

NPA MU Capacity building for participatory management of the NEPL NPA 99,950 25,514.52 25,514.52 26% 26% 74,435.48PFRM/BLX. Support to communities engagement and PA management in BLX province 281,000 116,884.92 116,884.80 42% 85% 164,115.08PFRM/KHM. Support to communities engagement and PA management in KHM province 287,540 76,111.45 76,111.45 26% 36% 211,428.55PFRM/HPH. Support to communities engagement and PA management in HPH province 279,000 111,498.70 111,498.70 40% 83% 167,501.30

44PFRM/LPB Support to communities engagement and PA management in LPB province 283,000 88,621.71 88,621.71 31% 53% 194,378.29

PFRM/XKH. Support to communities engagement and PA management in XKH province 277,000 91,544.21 91,544.21 33% 68% 185,455.79POFI -BLX Wildlife law enforcement in BLX province 492,415 186,878.74 172,248.69 38% 156% 305,536.26POFI-KHM Wildlife law enforcement in KHM province 444,620 107,267.11 92,175.53 24% 76% 337,352.89POFI -HPH Wildlife law enforcement in HPH province 470,580 110,320.99 94,910.46 23% 95% 360,259.01

III Project administration and EPF capacity building 4,000,000 1,108,544.05 832,508.27 28% 67% 2,891,456.953.1 Project administration 3,130,000 839,112.13 617,527.24 27% 74% 2,290,887.873.2 EPF capacity Development 870,000 269,431.92 214,981.03 31% 53% 600,568.08

Project Total 24,082,906 3,875,242 3,543,934 20,207,664.91

(as of 31 December 2016)

45

ANNEX 7. RESULTS FRAMEWORK OF LENS2 PROJECT

Target Values (Annual)

PDO Level Results Indicators

Unit of Measure

PA BaselineYR 1

1Oct'14-30Sep'15

YR 21Oct'15-31Dec'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Indicator 1: Area brought under enhanced biodiversity

protection measured by score of management effectiveness (annual)

% (of max score)

NEPL (for 420,000 ha)(baseline: 2013)

37% (38 of 102)

Plan 40 40 44 46 48 51 53

Rev Plan 39 39 42 46 48 51 53

Actual 39 39

NN2 watershed (for 438,000 ha)(baseline: 2013)

34%(35 of 102)

Plan 35 36 37 40 43 49 50

Rev Plan 35 36 37 40 43 49 50

Actual 35 36

FEB (for Phouchom

Voy PPA: 23,000 ha ); (for

Phou Khao Kouay Portion:

8,000 ha)

Phouchom Voy: 39%

(23,000 ha)

Plan 39 46 54 60

Rev Plan 39 46 54 60

ActualPhou Khao

Kouay Portion:

39% (8,000 ha)

Plan 39 46 54 60

Rev Plan 39 46 54 60

Actual

PFRM_VTE(for Phoumeud

-Phousankheuan:

24,307 ha)

TBD

Plan TBD TBD TBD TBD TBD

Rev Plan

Actual

PFRM_SVK(for Dongnatad:

6,300 ha)(baseline: 2016)

TBD

Plan TBD TBD TBD TBD TBD

Rev Plan TBD

Actual

PFRM_KM(for NamIn-

Phouhinlekphai: 16,898 ha)

TBD

Plan TBD TBD TBD TBD TBD

Rev Plan

Actual

PFRM_BLX(for

NamMouane -NamNgouang:

107,000ha)

TBD

Plan TBD TBD TBD TBD TBD

Rev Plan

Actual

PFRM_XK(for

Zonphouchong: 80,000 ha)

(baseline 2016)

TBD

Plan TBD TBD TBD TBD TBD

Rev Plan

Actual

PFRM_HP(for Namsam:

70,000 ha)TBD

Plan TBD TBD TBD TBD TBD

Rev Plan

ActualPFRM_LPB

(for Phoufeung - Phouphathoon

and Tad

TBD

Plan TBD TBD TBD TBD TBD

Rev Plan

Actual

46Kuangsi:

34,934 ha)

Total (other Pas): 370,439

haTBD

Plan TBD TBD TBD TBD TBD

Rev Plan

Actual

PDO Level Results IndicatorsUnit of

MeasureBaseline

YR 11Oct'14-30Sep'15

YR 21Oct'15-31Dec'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Indicator 2: International illegal trade information reports submitted by DOFI to

international law enforcement or monitoring agencies (annual)

#0

(2013)

Plan 0 2 3 5 5 5 5

Rev Plan 0 1 3 5 5 5 5

Actual 1 2 0 0 0 0 0

47Target Values (Annual)

(a) Numerical Score | (b) % increase in scorePDO Level

Results Indicators

Unit of Measure

SDA(Baseline)

(Approved)Baseline

YR 11Oct'14-30Sep'15

YR2 1Oct'15-31Dec'16

YR32017

YR42018

YR52019

YR62020

YR72021

(a) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b)

Score of Functional

Capacity

Total 28

Plan 15 (0)

Revised Plan

Actual

EPF(baseline:

2014)27

Plan 27 - 36 37 40 43 49 50

Revised Plan

Actual 37 0 DFRM

(baseline: 2013)

(07/02/2015)

12

Plan 11 (0) 13 19 20 20 21 22

Revised Plan 12

Actual 12 -

DOFI(baseline:

2013)6

Plan 9 1 17 21 23 23 26 26

Revised Plan

Actual 14 1

POFI-HP(baseline:

2015)1

Plan 3 2 12 19 21 29

Revised Plan

Actual 10 9

POFI-BLX(baseline:

2015)9

Plan 11 0 18 25 30 36

Revised Plan

Actual 16 1

POFI-KM(baseline:

2015)10

Plan 11 0 18 25 30 36

Revised Plan

Actual 11 0

DPR-GO(baseline:

2015)22

Plan 28 0 38 46

Revised Plan

Actual 28 0

NUOL-FFS(baseline:

2015)36

Plan 40 0 44 50 54 58 60 60

Revised Plan

Actual 38 0

PFRM-HP(baseline:

2016)9

Plan 13 0

Revised Plan

Actual

PFRM-LPB(baseline:

2016)9

Plan 14

Revised Plan

Actual

PFRM-XK(baseline:

2016)9

Plan 13 0 21

Revised Plan

Actual

15Plan 19 0 25

Revised Plan

48PFRM-BLX

(baseline: 2016)

Actual

PFRM-KM(baseline:

2016)15

Plan 19 0 18

Revised Plan

Actual

NUOL-FSS (baseline:

2016)13

Plan (1) 44 53 65 76 76

Revised Plan

Actual

DPC (baseline:

2016)12

Plan (1) 20 27 33 40 43 43

Revised Plan

Actual 22

NUOL-FEB 39

Plan 39 46 54 60

Revised Plan

Actual

NUOL-FES 36

Plan 36 38 38 44

Revised Plan

Actual

NUOL-FNS 34

Plan 34 38 42 46

Revised Plan

Actual

MPI/NIER 5

Plan 33 63 90

Revised Plan

Actual

LCD

Plan

Revised Plan

Actual

DCNEC 11

Plan 21 40

Revised Plan

Actual

NREI

Plan 33 42

Revised Plan

Actual

DESIA 13

Plan 50 70 80 90

Revised Plan

Actual

DEQP 8

Plan 20 33 45 55

Revised Plan

Actual

PCD 10

Plan 18 40 60 82

Revised Plan

Actual

49Target Values (Annual)

PDO Level Results Indicators

Unit of Measure

PA BaselineYR1

1Oct'14-30Sep'15

YR 21Oct'15-30Sep'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Indicator 4: Projects registered in environment

impact Category 1 that have up-to-date

compliance monitoring report published in the

DESIA website[2] (annual)

%

Total 0

Plan

Revised Plan

ActualDESIA: Hydro

(baseline: 2014)

0

Plan 0 0 20 30 40 50 60

Revised Plan 0 8

Actual 0 0

DESIA: Mining

(baseline: 2014)

0

Plan 0 0 10 15 20 30 40

Revised Plan 0 3

Actual 0 0

DESIA: Road(baseline:

2014)0

Plan 0 0 10 15 20 30 40

Revised Plan 0 0

Actual 0 0

PONRE_VTE 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

PONRE_LPB 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

PONRE_XK 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

PONRE_HP 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

PONRE_SVK 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

PONRE_KM 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

PONRE_BLX 0

Plan Tbd Tbd Tbd Tbd Tbd Tbd Tbd

Revised Plan

Actual

50Target Values Cumulative

PDO Level Results Indicators

Unit of Measure

PA BaselineYR1

1Oct'14-30Sep'15

YR 21Oct'15-30Sep'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Indicator 5: Villages organizations within, or adjacent to, PAs supported by the

Project that meet the terms of a

conservation agreement

(cumulative)

#

Total 0

Plan 0 10 30 70 95 130 140

Revised Plan

Actual

NEPL(baseline:

2014)0

Plan 5 10 20 30 40 40

Revised Plan

Actual 0

NNT(baseline:

2014)0

Plan 5 15 35 45 60 65

Revised Plan

Actual

FEB 0

Plan

Revised Plan

Actual

PFRM_VTE0

Plan

Revised Plan

Actual

PFRM_SVK0

Plan

Revised Plan

Actual

PFRM_KM 0

Plan

Revised Plan

Actual

PFRM_BLX0

Plan

Revised Plan

Actual

PFRM_XK 0

Plan

Revised Plan

Actual

PFRM_HP 0

Plan

Revised Plan

Actual

PFRM_LPB0

Plan

Revised Plan

Actual

Other PA(baseline:

2014)0

Plan 0 5 15 20 30 35

Revised Plan

Actual

51

Target Values (Cumulative)(a) Total (#) | (b) Nat'l (#) | (c) Regional (#) | (d) Female (%)*Annual

Results Indicators U

nit

of

Mea

sure

SDA Baseline YR1

1Oct'14- 30Sep'15YR 2

1Oct'15-30Sep'16YR32017

YR42018

YR52019

YR62020

YR72021

Plan (Total)

(a) (b) (c) (d) (a) (b) (c) (d) (a) (b) (c) (d) (a) (b) (c) (d) (a) (b) (c) (d) (a) (b) (c) (d) (a) (b) (c) (d)

Intermediate Result

indicator 1.1

Direct Project

beneficiary (of which

women) as measured by

additional staff of

public and partner

institutions having

completed basic

adaptive training (short

courses)

(cumulative)

#

Total (SDAs)

0

Plan 502 469 33 60 704 684 0 260 ### ### 2 300 882 ### 40 180 ### 683 34 60 ### 423 52 60 590 0 0 0

RevPlan 262 229 33 60 0 0 0 0

Actual 224 191 33 42 960 910 10 380

DFRM0

(2014)

Plan 20 20 0 0 20 20 0 20 30 30 0 20 40 0 20 60 70 80

RevPlan 20 20 0 0

Actual 0 0 0 0 27 23 4 32

DOFI0

(2014)

Plan 83 50 33 0 120 120 0 20 120 120 0 20 240 0 20 360 480 510

RevPlan 83 50 33 0

Actual 33 0 33 1.3 144 138 6 14 22 22 32

POFI-HP0

(2014)

Plan 25 25 0 20 30 30 0 20 30 30 0 20 30 0 20 30 30

RevPlan 25 25 0 20

Actual 77 77 0 17 33 33 17

POFI-BLX

0(2014)

Plan 25 25 0 20 25 25 0 20 40 40 0 20 40 0 20 40 40

RevPlan 25 25 0 20

Actual 95 95 0 21 14 14 21

POFI-KM

0(2014)

Plan 25 25 0 20 25 25 20 40 40 0 20 40 0 20 40 40

RevPlan 25 25 0 20

Actual 19 19 0 3 55 55 13

DPR-GO0

(2014)

Plan 84 84 0 0 84 84 0 20 0 0 0 20

RevPlan 84 84 0 0

Actual 0 0 0 0 258 258 0 41

NUOL-FFS

0(2014)

Plan 240 240 0 0 240 240 0 20 240 240 0 20 480 0 20 600

RevPlan 0 0 0 0

Actual 0 0 0 0 256 256 56PFRM-HP(baseline: 2016)

0(2014)

Plan 0 0 0 0 20 20 0 20 30 30 0 20

RevPlan 0 0 0 0

Actual 0 0 0 0 22 22 32

PFRM-LPB(baseline: 2016)

0(2014)

Plan 0 0 0 0 20 20 0 20 45 45 0 20

RevPlan 0 0 0 0

Actual 0 0 0 0 20 20 20

PFRM-XK(baseline: 2016)

0(2014)

Plan 0 0 0 0 20 20 0 20 45 45 0 20

RevPlan 0 0 0 0

Actual 0 0 0 0 20 20 20

PFRM-BLX

0(2014)

Plan 0 0 0 0 20 20 0 20 45 45 0 20

RevPlan 0 0 0 0

Actual 0 0 0 0 20 20 30

52(baseline: 2016)PFRM-KM(baseline: 2016)

0(2014)

Plan 0 0 0 0 15 15 0 20 20 20 0 20

RevPlan 0 0 0 0

Actual 0 0 0 0 21 21 26

NUOL-FSS

0

Plan 0 0 0 0 20 20 30 30 50 50

RevPlan

Actual 0 0

DPC 0

Plan 25 25 50 50 75 75 100 100 100 100

RevPlan

Actual 30 30 0 30

NUOL-FEB

0

Plan

RevPlan

Actual

NUOL-FES

0

Plan 20 20 140 260 360

RevPlan

Actual

NUOL-FNS

0

Plan 0 48 68 118 118

RevPlan

Actual

LCD 0

Plan

RevPlan

Actual

DCNEC 0

Plan 50 50 2 20 65 65 4 20 75 75 4 20 95 95 6 20

RevPlan

Actual

NREI 0

Plan

RevPlan

Actual

DESIA 0

Plan 20 20 0 20 330 330 0 20 354 338 16 20 334 334 0 20 50 34 16 20

RevPlan

Actual

DEQP 0

Plan 30 40 82 82

RevPlan

Actual

PCD 0

Plan 0 0 20 20 0 20 120 100 20 20 174 144 30 20 174 144 30 20

RevPlan

Actual 40 28

53

Results IndicatorsUnit of

MeasureSDA Baseline

YR 11Oct'14-30Sep'15

YR2 1Oct'15-31Dec'16

YR32017

YR42018

YR52019

YR62020

YR72021

(a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b)

Intermediate Result Indicator 1.2: Wildlife trafficking cases recorded

in the IMS by POFI in eligible provinces (of which are

international cases)(annual).

Number

Total 27 5

Plan 27 5 33 5 42 9 49 9 56 11 58 11 59 12

Revised Plan 0 0 0 0 0 0 0 0 0 0 0 0

Actual 37 0 0 0 0 0 0 0 0 0 0 0 0 0

DOFI(baseline:

2013)3 0

Plan 3 5 0 7 1 9 1 11 2 11 2 11 3

Revised Plan

Actual 11 0

POFI-HP(baseline:

2013)5 0

Plan 5 7 0 10 1 12 1 14 1 14 1 14 1

Revised Plan

Actual 1 0

POFI-BLX(baseline:

2013)14 5

Plan 14 15 5 17 6 18 6 20 7 21 7 22 7

Revised Plan

Actual 19 0

POFI-KM(baseline:

2013)5 0

Plan 5 6 0 8 1 10 1 11 1 12 1 12 1

Revised Plan

Actual 6 0

Target Values (Cumulative)

Results IndicatorsUnit of

MeasureBaseline

YR 11Oct 30Sep'15

YR21Oct'15-30

Dec'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Intermediate Result indicator 1.3 Indicator of gradual development of a national system

plan for NPA* development and management *NPAs are National

Conservation Forests and National Protection Forests

Cumulative0

(2013)

Plan 0 2 4 6 10 12 12

Revised Plan 0 2 4 6 10 12 12

Actual 0 1

54Target Values (Annual)

Results IndicatorsUnit of

MeasurePA Baseline

YR 11Oct'14-30Sep'15

YR 21Oct'15-30Sep'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Intermediate Result indicator 1.4

Projects in environment impact Cat 1 and Cat 2 in the

provinces targeted by the Project who have a valid ECC

(annual).

%

Total 0

Plan 0

Revised Plan 0

Actual 0Hydro (<50

mw)(baseline:

2014)

Near 0

Plan Measured 10 20 30 40 50 50

Revised Plan 0 0 0 0 0 0 0

Actual 0 0 0 0 0 0 0

Mining tbd

Plan tbd Measured 10 20 30 40 50

Revised Plan 0 0 0 0 0 0 0

Actual 0 0 0 0 0 0 0

Road tbd

Plan tbd Measured 10 20 30 40 50

Revised Plan 0 0 0 0 0 0 0

Actual 0 0 0 0 0 0 0

PONRE_VTE: tbd

Plan tbd tbd tbd tbd tbd tbd tbd

Revised Plan

Actual

PONRE_LPB tbd

Plan

Revised Plan

Actual

PONRE_XK tbd

Plan tbd tbd tbd tbd tbd tbd tbd

Revised Plan

Actual

PONRE_HP tbd

Plan tbd tbd tbd tbd tbd tbd tbd

Revised Plan

Actual

PONRE_SVK tbd

Plan tbd tbd tbd tbd tbd tbd tbd

Revised Plan

Actual

PONRE_KM

tbd Plan tbd tbd tbd tbd tbd tbd tbd

Revised Plan

Actual

PONRE_BLX tbd

Plan tbd tbd tbd tbd tbd tbd tbd

Revised Plan

Actual

55

Target Values (Cumulative)(a) Total (# '000s) | (b) Female (%) | (c) from Ethnic Group (%)

Results Indicators

Unit of

Measure

PA BaselineYR 1

1Oct'14-30Sep'15YR 2

1Oct'15-31Dec'16YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

(a) (b) (c) (a) (b) (c) (a) (b) (c) (a) (b) (c) (a) (b) (c) (a) (b) (c) (a) (b) (c) (a) (b) (c)

Indicator 2.1

Direct Project beneficiary recipient of

livelihood or conservation

grants (of which women

or women organizations) (cumulative)

# ('000s)

Total(Cumulative)

tbd tbd tbd

Plan NA NA 24 1 0 24 5 1 36 16 2 36 24 4 40 32 4 40 36 4 40

Revised Plan NA NA NA 1 5 16 24 32 36

Actual 0 0 0 0 0 0 0 0 0 0 0 0 0 0

NEPL(baseline:

2013)

0 (of 20)

NA NA

Plan NA 0.5 3 8 11 14 16

Revised Plan NA

Actual NA

NNT2 (baseline:

2013)

0(of 6.9)

NA NA

Plan NA 0.5 2 6 9 12 13

Revised Plan NA

Actual NA

PFRM_VTE tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

PFRM_SVK tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

PFRM_KM tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

PFRM_BLX tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

PFRM_XK tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

PFRM_HP tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

PFRM_LPB tbd tbd tbd

Plan NA tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd tbd

Revised Plan NA

Actual NA

Other PAs tbd tbd tbd

Plan NA BL 2 4 6 7

Revised Plan NA

Actual NA

56

Target Values (Annual)(a) Threats and mammals | (b) Gross forest loss rate

Results Indicators

Unit of

Measure

PA BaselineYR 1

1Oct'14-30Sep'15YR2

1Oct'15-31Dec'16YR32017

YR42018

YR52019

YR62020

YR72021

(a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b)

Intermediate Result

Indicator 2.2

Area within PAs

where…

(a) the status of the

population of selected mammals and threat

(b) gross forest loss rate are

measured (annual)

Ha ('000s)

Total 0 0

Plan - 400 - 600 1250 1000 - 1000 - 1000 1250

Revised Plan

Actual 0 0 0 0 0 0

NEPL(baseline:

2013)0 0

Plan na na

Revised Plan

Actual

NNT(baseline:

2013)0 0

Plan na na

Revised Plan

Actual

PFRM_VTE tbd tbd

Plan na na

Revised Plan

Actual

PFRM_SVK tbd tbd

Plan na na

Revised Plan

Actual

PFRM_KM tbd tbd

Plan na na

Revised Plan

Actual

PFRM_BLX tbd tbd

Plan na na

Revised Plan

Actual

PFRM_XK tbd tbd

Plan na na

Revised Plan

Actual

PFRM_HP tbd tbd

Plan na na

Revised Plan

Actual

PFRM_LPB tbd tbd

Plan na na

Revised Plan

Actual

Other Pastbd

tbd tbd

Plan na na

Revised Plan

Actual

57Target Values (Annual)

(a) Total (#) | (b) Int'l (#)

Results Indicators

Unit of Measu

reSDA Baseline

YR 11Oct'14-30Sep'15

YR2 1Oct'15-31Dec'16

YR32017

YR42018

YR52019

YR62020

YR72021

(a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b)

Intermediate Result indicator

2.3

POFI patrols and inspections

that include wildlife crimes

(of which in border areas or

to control international

trade) (annual)

Annual

Total 48 0

Plan 72 0 72 0 108 3 108 6 120 12 120 12 120 12

Revised Plan 0 0 72 0 108 2 108 6 120 12 120 12 120 12

Actual 19 0 67 1 0 0 0 0 0 0 0 0 0 0

POFI-HP(baseline:

2013)24 0

Plan 24 0 24 0 36 1 36 2 40 4 40 4 40 4

Revised Plan 0 24 0 36 36 2 40 4 40 4 40 4

Actual 3 0 14

POFI-BLX(baseline:

2013)0 0

Plan 24 0 24 0 36 1 36 2 40 4 40 4 40 4

Revised Plan 0 24 0 36 1 36 2 40 4 40 4 40 4

Actual 0 0 24

POFI-KM(baseline:

2013)24 0

Plan 24 0 24 0 36 1 36 2 40 4 40 4 40 4

Revised Plan 0 24 0 36 1 36 2 40 4 40 4 40 4

Actual 16 0 29 1

Target Values (Annual)(a) Public Sources | (b) Private Sources

Results IndicatorsUnit of

MeasureBaseline(2014)

YR 11Oct'14-30Sep'15

YR2 1Oct'15-31Dec'16

YR32017

YR42018

YR52019

YR62020

YR72021

(a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b) (a) (b)

Intm. Results Indicator 3.1 Funds

mobilized originating from (a) public sources and (b) private sources

remitted to EPF (annual)

US$ ('000s)

350 450

Plan 350 450 350 500 500 600 600 700 700 800 700 900 700 900

Revised Plan

Actual 309 815 376 647

Target Values (Annual)

Results IndicatorsUnit of

MeasureBaseline(2014)

YR 11Oct'14-30Sep'15

YR 21Oct'15-30Sep'16

YR 32017

YR 42018

YR 52019

YR 62020

YR 72021

Indicator 3.2EPFO staff positions initially funded by the Project which

are funded by EPF own funds (annual)

# 0

Plan 0 0 0 2 4 6 8

Revised Plan

Actual 0 0

58

ANNEX 8. EPF ANNUAL WORK PLAN FY15/16 EVALUATION

59