Document of The World Bank Report No. 14914-IN STAFF APPRAISAL REPORT INDIA ECODEVELOPMENT PROJECT August 3, 1996 South Asia Department II Agriculture and Water Division CURRENCY EQUIVALENTS Currency Unit = Rupees (Rs.) US$1.00 = Rs35 .1 WEIGHTS AND NMEASURES The metnrc system is used throughout this report GOVERNMENT FISCAL YEAR Apnrl I to March 31 ABBREVIATIONS DGS&D Directoratc General of Supply and Disposal DEA Department of Economic Affairs EDC EcodeNelopment Committee GEF Global Environment Facilitv GOI Government of India GOS State Government ICB International Competitive Bidding IDA International Development Association JFM Joint Forest Management MOEF Ministry of Environment and Forestry NCB National Competitive Bidding NGO Non-Governmental Organization NTFP Non-Timber Forest Product PA Protected Area PANMIA Protectcd Area Mutual Impact Assessment PPF Project Preparation Facility PTO Project Tiger Office PRA Participatory Rural Appraisal SFD State Forest Department SOE Statement of Expenses TOR Terms of Refercnce TR Tiger Resenre UNDP United National Development Program Staff Appraisal Report INDIA: ECODEVELOPMENT PROJECT Table of Contents 1. Background I 1.1 Extent and Status of Biodiversity 1 1.2 Government Policy 2 1.3 Ecodevelopment Strategy 3 1.4 Existing Institutional Responsibilities, Capacity, and Coordination 4 1.5 Lessons from Other Projects 5 1.6 Project Preparation Process 5 2. The Project 7 2.1 Rationale for GEF and IDA Funding 7 2.2 Project Areas and Participants 7 2.3 Project Objectives 9 2.4 Summary of Project Content 8 2.5 Detailed Features 9 3. Project Costs and Financing 17 3. 1 Project Cost Estimates 17 3.2 Financing Plan 18 3.3 Procurement 19 3.4 Disbursements 22 3.5 Accounts and Audit 23 4. Project Implementation 25 4.1 Staffing and Organizational Structure 25 4.2 Flow of Funds and Work Plans 27 4.3 Project Performance Review 29 5. Project Impacts and Justification 31 5.1 Benefits and Outputs 31 5.2 Environmental Impact 31 5.3 Social Impact 32 5.4 Sustainability 33 5.5 Risks 34 6. Assurances and Recommendations 35 This report is based on participatory preparation work performed by local people, state and national government officials, NGOs staff, and researchers. It reflects a project that is Indian in conceptualization and design, as appraised by a mission comprised of Jessica Mott (Task Manager), Jose Furtado, Malcolm Jansen, and Ajith Kumar (Environmental Specialists), Gordon Temple (Economist), V.P.S. Verma (Forester), Gabriel Campbell and Nandita Jain (Social Scientists), and M.S.S. Varadan (Institutional Specialist). Chona Cruz (Social Scientist) drafted Annex 4. Theodosia Karmiris, Padma Gopalan, and H. Bhavani provided secretarial support. Jenepher Moseley provided editorial assistance. The peer reviewers were Narpat Jodha (Social and Economic Issues), Gisu Mohadjer (Project Management) and Susan Shen (Environment). The GEF external technical reviewers were Thomas Mathew (WWF-USA) and Amy Vedder (NYZS Wildlife Conservation Society). Shawki Barghouti (Division Chief, SA2AW) and Heinz Vergin (Director, SA2DR) provided managerial oversight. Staff Appraisal Report Annexes I. Biodiversity Conservation Strategy and Legislation in India 39 2. Current Organizational Structure and Capacity 47 3. Lessons Learned From Other Projects 59 4. Notes on Project Preparation Process 63 5. Rationale for GEF Funding and Incremental Costs of Biodiversity Conservation 75 6. Background on the Seven Protected Areas 80 7. Improved PA Management 101 8. Village Ecodevelopment 117 9. Environmental Education and Visitor Management 143 10. Impact Monitoring and Research on Issues Relevant to PA Management and Ecodevelopment 151 11. Project Management Component 173 12. Preparation of Future Biodiversity Projects 193 13. Summary Project Cost Tables 203 14. Procurement and Disbursement 211 15. Project Administration 221 16. Project Performance Review and Implementation Schedule 231 17. Environmental Analysis 247 18. Social Assessment 255 19. Indigenous People: Compliance with Bank Operational Directive 4.20: 279 20. People in the Protected Areas and Voluntary Relocation 281 21. Economic Analysis 291 22. Documents Available in Project File 299 Maps (a) Buxa, West Bengal -- IBRD Map 27842 (b) Gir, Gujarat -- IBRD Map 27843 (c) Nagarhole, Karnataka -- IEBRD Map 27844 (d) Palamau, Bihar -- IBRD Map 27845 (e) Pench, Madhya Pradesh -- IBRD Map 27846 (f) Periyar, Kerala -- IBRD Map 27847 (g) Ranthambhore, Rajasthan -- IBRD Map 27848 Vice President: D. Joseph Wood Director: Heinz Vergin Division Chief: Shawki Barghouti Task Manager: Jessica Mott Staff Appraisal Report INDIA ECODEVELOPMENT PROJECT CREDIT, GRANT, AND PROJECT SUMMARY Borrower: India, Acting by its President Implementing GOI Ministry of Environment and Forestry and State Forest Agencies: Departments of Bihar, Gujarat, Kamataka, Kerala, Madhya Pradesh, Rajasthan, and West Bengal Beneficiaries: Globally important protected area ecosystems and people in and around these areas Credit Amount: IDA Credit of SDR 19.5 million (US$28 rnillion equivalent) Terms: Standard, with 35 years maturity Fund Advance From GOI to state governments as part of centrally sponsored Terms: assistance through MOEF to the states for development assistance on standard terms and conditions applicable at the time. Grant Amount: GET Grant of SDR 13.9 million (US$20 million equivalent) Terms: Grant Poverty Program of Targeted Interventions Category: The project's human beneficiaries, tribal peoples and forest fringe villagers, belong to the poorest sections of society. Tribal development concerns are central to the project. They are addressed in an integral fashion under the rubric of social impact, participation, and equity, rather than as a subsidiary tribal development plan or component. The project also incorporates specific measures to safeguard the interests of the landless and women, through participation in village committees, employment preference, and ongoing social assessment review and other monitoring. Environment Category: Program of Targeted Interventions - globally significant biodiversity GEF and IDA are financing mutually dependent activities and therefore this document is intended to meet both GEF and IDA processing requirements. 2 The Global Environment Trust (GET) is the legal entity that provides Global Environment Facility (GEF) grants. Staff Appraisal Report ii Project The project would conserve biodiversity in seven globally significant Description: protected areas (PAs) using ecodevelopment. This is a strategy to increase collaboration between local people and government managers of PAs, as well as to otherwise improve PA management. The project would also include support for preparing future biodiversity projects. The project has five basic objectives: (a) Improved PA management, through strengthened capacity to conserve biodiversity and increased opportunities for local participation in PA management activities and decisions. Activities include (i) improving PA planning processes and building capacity, (ii) protecting and managing ecosystems and habitats, and (iii) upgrading PA amenities for field staff (b) Village ecodevelopment to reduce negative impacts of local people on PAs, reduce negative impacts of PAs on local people, and increase collaboration of local people in conservation efforts. Activities would include: (i) participatory microplanning and providing implementation support, (ii) reciprocal commitments to foster altemative livelihoods and resource uses, and (iii) special programs: additional joint forest management support, voluntary relocation options; and supplemental investments that benefit PA biodiversity conservation and people in and around the PAs. (c) Development of more effective and extensive support for PA management and ecodevelopment through (i) environmental education and visitor management and (ii) impact monitoring and research to improve understanding of issues and solutions relevant to PA management and interactions between PAs and people. (d) Overall project management, including effective project administration, implementation guidelines, implementation reviews, policy and strategic framework studies, and publicity. (e) Preparation of future biodiversity projects including additional ecodevelopment, biodiversity information, and ex-situ conservation. Rate of Return: Not applicable. Benefits: The project would conserve globally significant biodiversity in the seven PAs by slowing, halting, or possibly even reversing declines in the richness, complexity, diversity, connectivity, and regeneration of ecosystems and species. The project would increase the capacity of government officials to manage PAs effectively, addressing not only internal operations but also proposed and existing periphery and regional activities that impact the PAs. It would increase local people's support for and role in PA conservation. It would create Staff Appraisal Report iii organizational processes that could be expanded to other ecologically significant areas. More specifically, the project would: (a) broaden the focus of PA management planning, restore ecosystems, improve fire and poaching control, and improve staff efficiency and effectiveness; (b) enable communities to meet their needs in an environmentally sustainable manner, reduce unsustainable uses of PA resources, offset negative economic and cultural impacts of PAs on local communities, and resolve conflicts (c) provide a firmer base of public support for PAs and increase understanding of PA biodiversity, local people, and their interactions; (d) provide the technical review and administrative and financial services necessary for quality control, accountability, adaptive management, improvement of the long-term framework, dissemination, integration, and overall timeliness of project implementation. (e) produce a portfolio of biodiversity project proposals eligible for GEF, IDA, and other donor consideration. Risks: Risks are high because the project will be supporting an innovative program. Although it is not possible to fully address problems of population growth, poverty, and commercial interests, the project includes activities, institutional mechanisms, and a legal covenant designed to address regional issues. To reduce the risk of the project being blamed by association for negative trends and unmet needs, it would promote realistic expections through monitoring benchmarks and by emphasizing "reduction" not "elimination" of negative impacts To encourage government commitment to participation, the project would allocate financing according to a continuing review of work plans and progress reports and avoid a blueprint approach. To facilitate a gradual increase in trust of local communities, the project would use participatory planning processes. To address limitations in the supply of technical and management expertise, the project design involves extensive use of third party contracts (mostly NGOs). To address inexperience, detailed documentation is providing guidance on project processes. Staff Appraisal Report iv Estimated Project Costs (Rs. Lakh) (USS '900) % % Total Foreign Base Local Foreign Total Local Foreign Total Exchange Costs A. InWroved PA Maiagement Planning Proesee 367.2 1.1 3683 1,046.1 3.2 1,049.3 - 2 Ecoeystem Protection and Management 3,644.1 490.5 4,134.6 10,382.2 1,397.4 11,779.5 12 19 AmenfteforFieldStof 342.1 38.0 380.1 9746 1083 1,082.9 10 2 Subt'al 4,353.4 529.6 4,883.0 12,402.9 1,5089 13,911 7 11 22 B. Vilag Ecodevelopment ParIcipatery MAcro-Plrnning and Implementaion Support 1,681.7 1192 1,801.0 4,791 3 3397 5.131 0 7 8 In.tmentstoImpiementReciprwalCCommitmwits 7,703.7 405.5 8,109.2 21,948 0 1,155 2 23,1031 5 37 Specal Programs 1,868.2 94.4 1,962.6 5,322.5 268.9 5,591.4 5 9 Subtotal 11,253.7 619.1 11,8727 32,061.7 1,763.8 33,825.5 5 55 C. Oevelop Effective and Extensive Support for Ecodnvelopment Conduct Envircnmentai Education and Awarenee Campqgne 3169 78.0 394.9 902.9 222.1 1,125.1 20 2 Imprwe Impact Monicirng and Resach Systems 1,188.7 72.8 1,259.6 3,380.9 207.5 3,588.5 6 6 Subtol 1,503.6 150.8 1,6545 4,283.9 429.6 4,713.5 9 8 D.Project Mnagemn nt 1.784.8 67.4 1,852.2 5,084.8 192.0 5,276.8 4 9 E.Prepr Future lodlversttyProniet 573.1 245.6 818.8 1,632.8 699.8 2,332.6 30 4 F. frinbunsmentofPPF 859.9 42.1 702.0 1,880.0 120.0 2,000.0 6 3 Total EELINE COSTS 20.128 5 1,654.6 21,783 1 57,346.1 4,714.1 62,060.2 8 100 Phyicai Contingencies 567.4 57.9 625.3 1.616 5 165 0 1,781.5 9 3 Price Contingercies 5,939.6 530.4 6,470 0 2,774.5 383.8 3,158 3 - - TotaIlPROJECTCOSTS 26,6355 2,243.0 28,878.5 61,737.1 5,262.9 67,000.0 8 108 Financing Plan (US$'OOO) lntemaUonal Development Project State Government of Aseoc_oflo IP Trust Baneficlarles Government India Totsl Amount Amount Amount Amount Amount Amount % A. Improved PA Management Planning Proeeee 562.1 562.1 - 9.0 47 1,137 8 1.7 EceyslmrPr P.cton andManspemrnt 2,910.2 2,910.2 - 5,709.1 1,409 2 12,938.7 193 AmenieeforF;iedStdf 491.8 491.8 - - 2459 1,2295 1.8 Sub' 3,984.0 3,9f4.0 5 5,718.1 1,659.8 15,306.0 228 B. Vilkge Ecodevelopment Parlciperory Micro-Ptnning and Impemientabn Support 1,7018 1,667.1 2,050.4 214.9 5,6343 84 InvestmentstolmplintRecpowciCotmnte 10,019.8 7,395.1 4,5858 - 2,459.1 24,4598 36.5 Specil Proanrms 3,019.8 2,20 - - 7113 5,9916 8.9 Subtot 14,741.4 11,322.7 4,585 8 2,050.4 3.385 3 36,085.7 53.9 C. Devebp Etheliv and Extensive Support for ceodevepoent Conduct En*wrmmental Education and Avrenee Campelgns 501.1 501 1 - 98 5 157 9 1,258.7 1.9 Impn Impact Monitcing and Reerch Syrte 1,813.9 1,813.9- 204.5 103.2 3,93ss S9 Subotaw 2,315.0 2,3150 - 303.0 261.2 5.1942 78 D. Project Managment 2,398.2 2,3982 - 986.4 50.1 5,832.8 8.7 E. Prepore Puture 1lodlversty Projects 2,581.4 * - - - 2,581.4 39 F. Reimbureat ofmsn 2,000.0 20 *3 - -30 TotelDbibursement 28,000.0 20,000.0 4,585s8 9,0579 5.3564 67,0000 1000 Estimated IDA and GEF Disbursements (US$ millions) FY97 FY9B FY93 FY00 FY01 FY02 Annual IDA 0.6 2.5 5.3 8.1 6.7 4.8 Curmutive IDA 0.6 3.1 8.4 16.5 23.2 28.0 Annual GET 0.0 1.8 4.0 5.2 5.8 3.2 Cumulative GET 0.0 1.8 5.8 11.0 16.8 20.0 Staff Appraisal Report INDIA ECODEVELOPMENT PROJECT 1. Background A. Extent and Status of Biodiversity 1.1 Biological Significance. India's biodiversity is rich, often unique and increasingly endangered. India is one of the twelve megadiversity countries in the world, that collectively account for 60-70 percent of the world's biodiversity. Its ten biogeographic zones represent a broad range of ecosystems. India has 6% of the world's flowering plant species and 14% of the world's birds. There are over 45,000 identified plant species. One- third of its 15,000 flowering plants are found only in India. It has 81,000 identified species of animals. Some 14% of its 1,228 bird species, 32% of its 446 reptile species and 62% of its 204 amphibians are unique to India. The endangerment of some ten percent of all plant species and over 21% of the 372 mammal species indicates a widespread degradation of ecosystems that has significant economic implications. 1.2 Economic Importance. India's biological resources are economically important, both globally and nationally. As one of the oldest and largest agricultural societies, India has an impressive diversity of crop species and varieties. At least 166 species of crop plants and 320 species of wild relatives of cultivated crops originate on the subcontinent. About 90% of all medicines in India come from plant species, many of which are harvested in the wild. Medicinal plants and other non-timber forest products are particularly important as a source of income and subsistence for tribal populations. Closed primary forests, which cover about 21 million hectares, or six percent of the total land area, and one-third of the total forest area, have been an important source of timber and fuelwood. Natural ecosystems strongly influence natural resource development (agriculture, livestock, forestry and fishery sectors contributed 32% of GDP in 1992/3), provide new commercial products (e.g., pharmaceuticals) and also affect water resource management, which is important not only for agriculture but also for industrial and municipal development. 1.3 Protected Areas. India has 75 parks and 421 sanctuaries, covering some 14 million hectares (i.e., 4.3 percent of the total land area). Most of these areas received protection status relatively recently; there were only 10 parks and 127 sanctuaries in 1970. Selected high priority parks and sanctuaries, sometimes in combination with contiguous reserve forest areas are managed as tiger and elephant reserves. ). Some protected areas (PAs) have few or no human inhabitants, while others have small communities with significant human populations in the aggregate. Village economies on the peripheries of these protected areas are based on long-established sedentary agricultural systems. 1.4 Pressures. The biodiversity in India's forest, grassland, wetland and marine ecosystems faces many pressures. These include grazing cattle, cutting of trees for fuel, and timber, gathering of non-timber forest products, hunting, uncontrolled fires, and conversion for and spillover from agricultural, infrastructure, industrial, and commercial Staff Appraisal Report 2 development (e.g., pollution, siltation, and weed infestation). India's high levels of human population density and growth, high incidence of poverty, and large numbers of livestock speed the degradation. Local people, when traditional rights and access are limited by the establishment of PAs, often have little incentive to use natural resources in a sustainable way. B. Govemment Policy 1.5 India's forest and environmental policies, plans, and actions reflect a significant, continuing commitment to biodiversity conservation. Annex I provides a detailed overview of these policies and related legislation 1.6 Convention on Biological Diversity. The Government of India has ratified the Convention and taken recent policy and program initiatives corresponding to Convention aims. These are to reconcile the need for conservation with the concern for development and give careful consideration to equity and shared responsibility. Ministry of Environment and Forestry (MOEF) is identifying further actions required by the Convention. 1.7 Biodiversity in Action Plans and Policy Statements. The Government's plans and policies reflect its strong commitment to conserve and sustainably use biodiversity. The 1988 National Forest Policy treats forests as: (a) an ecological necessity, (b) a source of goods for use by local populations, and (c) a source of wood and other products for industries and other non-local users. India's Environmental Action Plan, published in 1993, lists "conservation of and sustainable utilization of biodiversity in selected ecosystems" as one of the top seven priorities for future action, and specifically cites ecodevelopment. The National Wildlife Action Plan (1983) identified the following goals: (a) Establishing a representative network of protected areas (b) Developing appropriate management systems for protected areas, with due regard for the needs of local people and ensuring their support and involvement (c) Protecting biodiversity within multiple-use areas, and (d) Extending conservation efforts beyond protected areas. In 1988, the Wildlife Institute of India produced a biogeographic classification for conservation planning and formulated a plan for a revised network of protected areas. 1.8 Interaction Between Protected Areas and Local People. In the past twenty years, state governments, with national assistance, have developed an extensive network of PAs strongly enforced by forest departments. During this period, governments' approach to local people has sometimes been confrontational with significant impacts, mostly negative, on the tribal populations resident within protected areas. There is a long history of communities, especially tribal groups, inhabiting or using forests that were subsequently designated as PAs. Local people were involved (usually without government recognition or sanction) in managing the forest and wildlife. Increasing government protection and legal control have curtailed local communities' resource use and management, forced changes in traditional livelihoods, and removed incentives to use resources sustainably. Forest department employment opportunities have also shrunk with the establishment of PAs and the ban on timber harvesting in most forest areas. Staff Appraisal Report 3 1.9 Community Participation in Forest Management. Now the Government is recognizing the historic, current, and potential role of local communities. The initial government effort to increase community participation was focused not on protected areas, but rather on forests officially designated for local or commercial harvest. Through this effort, called joint forest management (JFM), decision-making authority and responsibility for control over forest lands and their products are shared between forest departments and local user groups. Agreements specify the distribution of authority, responsibility, and benefits. Initiated in the 1970s, early success led to expansion of JFM programs throughout India. Several now receive support through Bank-funded state forestry projects. C. Ecodevelopment Strategy 1.10 Definition of Ecodevelopment. In response to pressures on protected areas, the Government is now beginning to address the special issues regarding participatory management of protected areas through a strategy of ecodevelopment. The strategy aims to conserve biodiversity by addressing both the impact of local people on the protected areas and the impact of the protected areas on local people Ecodevelopment thus has two main thrusts: improvement of PA management and involvement of local people. In doing so it seeks to improve the capacity of PA management to conserve biodiversity effectively, to involve local people in PA planning and protection, to develop incentives for conservation, and to support sustainable alternatives to harmful use of resources. It supports collaboration between the state forest departments and local communities in and around ecologically valuable areas. Ecodevelopment addresses the welfare and behavior of local people and integrates these concerns into management of protected areas. It also builds private-sector stakeholder support for conservation among NGOs, nature tour operators, and the general public. 1.11 Existing Ecodevelopment Programs. To date, programs for supporting PA/local community linkages have been limited and small scale. In recent years, using domestic financing, the Ministry of Environment and Forestry (MOEF) has initiated a centrally sponsored scheme with an annual average value of about US$1 million that is distributed to dozens of PAs. The Bank has financed five forestry projects with biodiversity conservation components that include village ecodevelopment investments associated with protected areas. Implementation of these ecodevelopment programs is only beginning. Nevertheless, the design of the Ecodevelopment Project has already built on the conceptualization and participatory planning of the earlier programs. The specialized attention that preparation of the Ecodevelopment Project has received has already produced detailed written guidelines that are being applied to programs already in progress. 1.12 Potential Scope of Ecodevelopment. Should this project prove it to be feasible, ecodevelopment potentially might benefit 100-200 PAs. As a next step, the Government is seeking support for an experimental demonstration and capacity-building project that would build on and integrate existing experience, would be large enough to establish the feasibility of ecodevelopment in a variety of situations, and would provide for expansion in the long term. As a national project, such an undertaking would have the potential to address multi-state ecodevelopment issues and management processes and to establish a basis for programmatic financing. Proceeding now with a limited version of such a project Staff Appraisal Report 4 is justified by the extent and urgency of human pressures on protected areas. Incorporating full-scale ecodevelopment at a large number of sites at this time would not be appropriate, given the complexity of issues, lack of implementation experience, and amount of participatory preparation required. D. Existing Institutional Responsibilities, Capacity and Coordination 1.13 Protected Area Management. State and national governments take their responsibility for PA management seriously and professionally, and have assigned significant numbers of staff. The national Project Tiger scheme, for example, supplements state support in 21 PAs by providing incentives to staff and by compensating local people for animal depredation. Although funding for PA management has been limited, it has been more adequate than in most developing countries. Management plans exist for all seven project PAs and cover an implementation period of 5 to 10 years, but most of these plans need updating in the next few years, and management skills of PA staff need improvement. In addition, PA management activities need to be better integrated into the broader ecological, sociological, and regional sphere. In many Indian PAs, humans have already modified the environment so much that the remaining species and ecological communities need carefully planned human intervention in order to survive. 1.14 Village Ecodevelopment. In existing programs, the linkage between village ecodevelopment investments and conservation actions has generally been implicit rather than explicit, through reciprocal commitments. Government initiatives have usually employed traditional top-down approaches to project planning and implementation, even when the programs have embraced the principle of a more participatory approach. Detailed guidance on participatory processes has been lacking. Some forest department staff have experience relevant to village ecodevelopment based on their work with past and ongoing joint forest management and social forestry programs. Training programs are now being designed to apply this expertise to PA-oriented ecodevelopment microplanning. NGOs also have extensive capacity and experience in fostering community participation. PA authorities have begun to forge links with NGOs but these links generally have relied on informal arrangements rather than formal contracts. 1.15 Environmental Education. PA awareness and education programs have mainly consisted of the construction of an interpretation center for visitors and the preparation of posters or leaflets. 1.16 Monitoring and Research. Monitoring in PAs has focused on large mammals. There is room for improvement in both the methodological design of existing activities and the breadth of focus. Research institutions and individuals have conducted a number of studies and inventories of flora and fauna. This research has contributed to redefinition of PA boundaries, the establishment of new PAs, and recognition of the need for increased policing, but additional research is needed to improve the understanding of other issues relevant to PA management. PAs lack the facilities, equipment, and personnel to undertake research themselves. 1.17 Annex 2 provides further analysis of the existing organizational structure and capacity. Staff Appraisal Report 5 E. Lessons from Other Projects 1.18 Conservation, forestry, rural/urban development, and multi-state projects have all provided lessons that highlight the importance of: (a) Linkage between economic investments and conservation (b) Building understanding and consensus on project concept (c) Maintaining project size within realistic, achievable limits (d) Involving disadvantaged groups in participatory resource management (e) Using contractual agreements between government entities and local communities (f) Assessing incentives for beneficiaries (g) Avoiding numerical physical output targets and top-down planning (h) Using participatory rural appraisal (PRA) exercises and cost sharing arrangements to increase ownership, appropriateness, and sustainability of investments (i) Using existing organizational structures and skilled specialists (j) Developing transparent and verifiable monitoring to ensure accountability (k) Disbursing funds to states in response to past performance and to work plans that meet clear criteria (I) Specifying a clear identity and mandate, designated full-time staff, and adequately delegated financial and administrative powers for the central coordinating unit. Annex 3 provides a further summary of lessons learned. F. Project Preparation Process 1.19 Site Selection Criteria. In consultation with NGOs and state governments, MOEF selected project PAs from a list of areas where the threats to biodiversity stem from local rural dependencies. Selection criteria comprised biodiversity importance, biogeographic representation and likelihood of success. The success factor took into account the extent of human pressures, PA management capacity, existing infrastructure (which accounts for six of the eight sites being tiger reserves), accessibility, state and national government support and state government responsiveness to community and NGO involvement in forest management. 1.20 Exclusion of Similipal Tiger Reserve in Orissa. The 1994 government proposal was for eight sites, but the Bank reduced the project scope to seven sites by excluding the Similipal Tiger Reserve in Orissa, without prejudice to future considerations. The Bank received documentation on relocation plans and activities in Similipal, but this did not confirm that all relocation after preappraisal had been and could in the future be consistent with the project strategy for people in the PAs. The Bank was particularly concerned that relocation be voluntary and be consistent with the best practices outlined in the Bank's operational directives. Staff Appraisal Report 2 development (e.g., pollution, siltation, and weed infestation). India's high levels of human population density and growth, high incidence of poverty, and large numbers of livestock speed the degradation. Local people, when traditional rights and access are limited by the establishment of PAs, often have little incentive to use natural resources in a sustainable way. B. Government Policy 1.5 India's forest and environmental policies, plans, and actions reflect a significant, continuing commitment to biodiversity conservation. Annex 1 provides a detailed overview of these policies and related legislation 1.6 Convention on Biological Diversity. The Government of India has ratified the Convention and taken recent policy and program initiatives corresponding to Convention aims. These are to reconcile the need for conservation with the concern for development and give careful consideration to equity and shared responsibility. Ministry of Environment and Forestry (MOEF) is identifying further actions required by the Convention. 1.7 Biodiversity in Action Plans and Policy Statements. The Government's plans and policies reflect its strong commitment to conserve and sustainably use biodiversity. The 1988 National Forest Policy treats forests as: (a) an ecological necessity, (b) a source of goods for use by local populations, and (c) a source of wood and other products for industries and other non-local users. India's Environmental Action Plan, published in 1993, lists "conservation of and sustainable utilization of biodiversity in selected ecosystems" as one of the top seven priorities for future action, and specifically cites ecodevelopment. The National Wildlife Action Plan (1983) identified the following goals: (a) Establishing a representative network of protected areas (b) Developing appropriate management systems for protected areas, with due regard for the needs of local people and ensuring their support and involvement (c) Protecting biodiversity within multiple-use areas, and (d) Extending conservation efforts beyond protected areas. In 1988, the Wildlife Institute of India produced a biogeographic classification for conservation planning and formulated a plan for a revised network of protected areas. 1.8 Interaction Between Protected Areas and Local People. In the past twenty years, state governments, with national assistance, have developed an extensive network of PAs strongly enforced by forest departments. During this period, governments' approach to local people has sometimes been confrontational with significant impacts, mostly negative, on the tribal populations resident within protected areas. There is a long history of communities, especially tribal groups, inhabiting or using forests that were subsequently designated as PAs. Local people were involved (usually without government recognition or sanction) in managing the forest and wildlife. Increasing government protection and legal control have curtailed local communities' resource use and management, forced changes in traditional livelihoods, and removed incentives to use resources sustainably. Forest department employment opportunities have also shrunk with the establishment of PAs and the ban on timber harvesting in most forest areas. Staff Appraisal Report 3 1.9 Community Participation in Forest Management. Now the Government is recognizing the historic, current, and potential role of local communities. The initial government effort to increase community participation was focused not on protected areas, but rather on forests officially designated for local or commercial harvest. Through this effort, called joint forest management (JFM), decision-making authority and responsibility for control over forest lands and their products are shared between forest departments and local user groups. Agreements specify the distribution of authority, responsibility, and benefits. Initiated in the 1970s, early success led to expansion of JFM programs throughout India. Several now receive support through Bank-funded state forestry projects. C. Ecodevelopment Strategy 1.10 Definition of Ecodevelopment. In response to pressures on protected areas, the Government is now beginning to address the special issues regarding participatory management of protected areas through a strategy of ecodevelopment. The strategy aims to conserve biodiversity by addressing both the impact of local people on the protected areas and the impact of the protected areas on local people. Ecodevelopment thus has two main thrusts: improvement of PA management and involvement of local people. In doing so it seeks to improve the capacity of PA management to conserve biodiversity effectively, to involve local people in PA planning and protection, to develop incentives for conservation, and to support sustainable alternatives to harmful use of resources. It supports collaboration between the state forest departments and local communities in and around ecologically valuable areas. Ecodevelopment addresses the welfare and behavior of local people and integrates these concerns into management of protected areas. It also builds private-sector stakeholder support for conservation among NGOs, nature tour operators, and the general public. 1.11 Existing Ecodevelopment Programs. To date, programs for supporting PA/local community linkages have been limited and small scale. In recent years, using domestic financing, the Ministry of Environment and Forestry (MOEF) has initiated a centrally sponsored scheme with an annual average value of about US$1 million that is distributed to dozens of PAs. The Bank has financed five forestry projects with biodiversity conservation components that include village ecodevelopment investments associated with protected areas. Implementation of these ecodevelopment programs is only beginning. Nevertheless, the design of the Ecodevelopment Project has already built on the conceptualization and participatory planning of the earlier programs. The specialized attention that preparation of the Ecodevelopment Project has received has already produced detailed written guidelines that are being applied to programs already in progress. 1.12 Potential Scope of Ecodevelopment. Should this project prove it to be feasible, ecodevelopment potentially might benefit 100-200 PAs. As a next step, the Government is seeking support for an experimental demonstration and capacity-building project that would build on and integrate existing experience, would be large enough to establish the feasibility of ecodevelopment in a variety of situations, and would provide for expansion in the long term. As a national project, such an undertaking would have the potential to address multi-state ecodevelopment issues and management processes and to establish a basis for programmatic financing. Proceeding now with a limited version of such a project Staff Appraisal Report 4 is justified by the extent and urgency of human pressures on protected areas. Incorporating full-scale ecodevelopment at a large number of sites at this time would not be appropriate, given the complexity of issues, lack of implementation experience, and amount of participatory preparation required. D. Existing Institutional Responsibilities, Capacity and Coordination 1.13 Protected Area Management. State and national governments take their responsibility for PA management seriously and professionally, and have assigned significant numbers of staff. The national Project Tiger scheme, for example, supplements state support in 21 PAs by providing incentives to staff and by compensating local people for animal depredation. Although funding for PA management has been limited, it has been more adequate than in most developing countries. Management plans exist for all seven project PAs and cover an implementation period of 5 to 10 years, but most of these plans need updating in the next few years, and management skills of PA staff need improvement. In addition, PA management activities need to be better integrated into the broader ecological, sociological, and regional sphere. In many Indian PAs, humans have already modified the environment so much that the remaining species and ecological communities need carefully planned human intervention in order to survive. 1.14 Village Ecodevelopment. In existing programs, the linkage between village ecodevelopment investments and conservation actions has generally been implicit rather than explicit, through reciprocal commitments. Government initiatives have usually employed traditional top-down approaches to project planning and implementation, even when the programs have embraced the principle of a more participatory approach. Detailed guidance on participatory processes has been lacking. Some forest department staff have experience relevant to village ecodevelopment based on their work with past and ongoing joint forest management and social forestry programs. Training programs are now being designed to apply this expertise to PA-oriented ecodevelopment microplanning. NGOs also have extensive capacity and experience in fostering community participation. PA authorities have begun to forge links with NGOs but these links generally have relied on informal arrangements rather than formal contracts. 1.15 Environmental Education. PA awareness and education programs have mainly consisted of the construction of an interpretation center for visitors and the preparation of posters or leaflets. 1.16 Monitoring and Research. Monitoring in PAs has focused on large mammals. There is room for improvement in both the methodological design of existing activities and the breadth of focus. Research institutions and individuals have conducted a number of studies and inventories of flora and fauna. This research has contributed to redefinition of PA boundaries, the establishment of new PAs, and recognition of the need for increased policing, but additional research is needed to improve the understanding of other issues relevant to PA management. PAs lack the facilities, equipment, and personnel to undertake research themselves. 1.17 Annex 2 provides further analysis of the existing organizational structure and capacity. Staff Appraisal Report 5 E. Lessons from Other Projects 1.18 Conservation, forestry, rural/urban development, and multi-state projects have all provided lessons that highlight the importance of: (a) Linkage between economic investments and conservation (b) Building understanding and consensus on project concept (c) Maintaining project size within realistic, achievable limits (d) Involving disadvantaged groups in participatory resource management (e) Using contractual agreements between govermnent entities and local communities (f) Assessing incentives for beneficiaries (g) Avoiding numerical physical output targets and top-down planning (h) Using participatory rural appraisal (PRA) exercises and cost sharing arrangements to increase ownership, appropriateness, and sustainability of investments (i) Using existing organizational structures and skilled specialists (j) Developing transparent and verifiable monitoring to ensure accountability (k) Disbursing funds to states in response to past performance and to work plans that meet clear criteria (l) Specifying a clear identity and mandate, designated full-time staff, and adequately delegated financial and administrative powers for the central coordinating unit. Annex 3 provides a further summary of lessons learned. F. Project Preparation Process 1.19 Site Selection Criteria. In consultation with NGOs and state governments, MOEF selected project PAs from a list of areas where the threats to biodiversity stem from local rural dependencies. Selection criteria comprised biodiversity importance, biogeographic representation and likelihood of success. The success factor took into account the extent of human pressures, PA management capacity, existing infrastructure (which accounts for six of the eight sites being tiger reserves), accessibility, state and national government support and state government responsiveness to community and NGO involvement in forest management. 1.20 Exclusion of Similipal Tiger Reserve in Orissa. The 1994 government proposal was for eight sites, but the Bank reduced the project scope to seven sites by excluding the Similipal Tiger Reserve in Orissa, without prejudice to future considerations. The Bank received documentation on relocation plans and activities in Similipal, but this did not confirm that all relocation after preappraisal had been and could in the future be consistent with the project strategy for people in the PAs. The Bank was particularly concerned that relocation be voluntary and be consistent with the best practices outlined in the Bank's operational directives. Staff Appraisal Report 6 1.21 Participatory Preparation Process. Preparation for the project has emphasized client ownership, local participation and public involvement (e.g., information dissemination, consultations). MOEF prepared the project with the assistance of professional institutes, NGOs and state forestry departments and financing from the UNDP/GEF Preinvestment Facility. Bank staff and foreign consultants provided limited periodic comments and advice. The preparation incorporated technical papers from in- country experts, reviews of completed studies, and collections of available information (e.g. population censuses, ethnographies, scientific reports). It also applied participatory rural appraisal (PRA) techniques and indicative planning in an innovative way based on sample views of local people about biodiversity issues. Preparation was conducted by one NGO/professional institute as national coordinator, two professional ecological/wildlife institutes, four specialists as national consultants and twelve state-level NGOs. More than 40 conservation and rural development NGOs have participated in the NGO and public consultations. Preparation included 38 recorded meetings between March 1992 and May 1995 to discuss project design and work plans. There were 14 site visits to select the sites, four inter-state PRA training sessions, four state-level PRA training workshops, and eleven national consultation meetings. Annex 4 provides a more detailed description of the project preparation process. 1.22 Project Preparation Facility Advance. In January, 1995, in response to a request from GOI, the Bank provided a US$2 million Project Preparation Facility (PPF) Advance. The Department of Economic Affairs (DEA) countersigned the PPF agreement letter in March, 1995, but the flow of funds began only in December 1995. In order to meet the condition of appraisal by May, 1995, government agencies, NGOs, and other organizations that prepared essential reports spent their own resources in anticipation of eventual reimbursement by the PPF. In addition to providing funds for completing project design prior to project appraisal, the advance is expected to finance village ecodevelopment activities on a pilot basis, consultancies needed to develop detailed guidelines and arrangements, office equipment, training and workshops in preparation for project startup expected in October 1996. A portion of the International Development Association (IDA) credit would be used to refinance the advance. The initiation of negotiations of the Ecodevelopment Project was contingent on many actions associated with the PPF including guarantees that GOI and state governments had begun to implement the activities required for a timely and full-scale startup to the project and had demonstrated their capacity to meet project administration requirements. These actions are described in relevant sections of Chapters l1-V and summarized in Chapter VI. 3 Discussions with NGOs have revealed a range of perspectives, including constructive suggestions for design improvements and expressions of distrust of any activities receiving financial support from the Bank. Staff Appraisal Report 7 II. The Project A. Rationale for GEF and IDA Funding 2.1 Rationale for GEF Involvement and Incremental Costs. The project is fully consistent with the Convention on Biological Diversity and the GEF Council guidance. The GOI has identified ecodevelopment as a national priority in the biodiversity action plans and policy statements (see paragraph 1.7). The project would address urgent global biodiversity conservation needs. The project would conserve biodiversity in seven critical areas, in a megadiversity country. One of the seven areas, Gir, has the world's only population of Asian lions. The other six project sites support vital populations of tigers, one of the world's most endangered carnivores. In combination, these sites give good biogeographic and habitat coverage (e.g., dry deciduous open forests, semi-evergreen forests, moist deciduous open forests and wet evergreen forests, in forest, semiarid, and mountain ecosystems). The level of threats to biodiversity in the seven sites is high and requires a substantial effort on an urgent basis. The analysis of incremental costs in accordance with GEF guidelines shows baseline costs of US$19 million and incremental costs of US$48 million, which would be financed by GEF and IDA. The Government of India realizes that, in view of the scale of external funding required, it cannot expect to receive a GEF grant sufficient to cover the entire incremental cost of the global alternative. However, it is so strongly committed to the objectives of the project that it is willing to borrow up to US$28 million of IDA resources to cover 58% of the incremental cost. A GEF grant of US$20 million would cover the remaining 42% of the incremental cost. Annex 5 further analyzes the rationale for GEF, including the calculation of incremental costs. 2.2 Country Assistance Strategy The Bank's Country Assistance Strategy (CAS) for India dated May 1995 explicitly encourages Bank and GEF financing of ecodevelopment as an important way for the Bank to support biodiversity conservation. The CAS mentions that such financing would build on the Bank's support for recent forestry projects. The project would also act on CAS concerns by enhancing participation, involving NGOs, and increasing women's role in managing productive resources. The project also would implement the new approaches to conservation outlined in the Bank's 1991 Forest Sector Policy. These approaches incorporate local people into PA management activities, benefit sharing, and planning, and emphasize consideration of the needs and welfare of forest- dwelling people. B. Project Areas and Participants 2.3 Biogeographical Features. The seven project areas would include protected areas (PAs) as well as villages in areas peripheral to the PA but within a 2 km. radius of the PA's boundary. Five of the seven PAs are tiger reserves, which generally comprise gazetted and proposed parks and sanctuaries, plus specified areas of reserve forests and tourism zones. There are two PAs that are not tiger reserves: Nagarhole, which is a Project Elephant reserve comprising a declared national park, and Gir, a declared national park that has the world's only wild population of asiatic lions. The total land area of the tiger reserves and national parks is 6714 sq. km., with 2014 sq. km. managed as core Staff Appraisal Report 8 areas. Individual PAs range in size from 643 to 1412 sq. km., with core areas ranging from 192 to 393 sq. km. 2.4 Demographic Features. About 427,000 villagers would participate in the project; of these 89,000 currently live within the PAs (mostly in enclaves and other non-core parts of tiger reserves where human settlement is allowed). About 39% of the participants would be tribal. ). The number of participants range from 36,000 to 77,000 per PA. The project would cover as many of the people living within 2 km. of the PA boundaries as possible, within the limits of institutional capacity. The intensity of local people's impacts on the PA provided the basis to select specific participating villages. Most of the village ecodevelopment investments would take place in the periphery area. Annex 6 further describes the project areas. C. Project Objectives 2.5 The project would conserve biodiversity by implementing the ecodevelopment strategy in and around seven protected areas (PAs) and would also include support for preparing future biodiversity projects. The main objectives would be: (a) To improve capacity of PA management to conserve biodiversity and increase opportunities for local participation in PA management activities and decisions (b) To reduce negative impacts of local people on biodiversity, reduce negative impacts of PAs on local people, and increase collaboration of local people in conservation efforts (c) To develop more effective and extensive support for ecodevelopment (d) To ensure effective management of this project, and (e) To prepare future biodiversity projects. D. Summary of Project Content 2.6 The US$67 million project would be implemented over a five-year period from October 1996 through September 2001. The components correspond to the objectives listed above and comprise: (a) Improved PA management (US$14 mln. - 22 % of the base costs): (i) improving PA planning processes and building capacity (ii) protecting and managing ecosystems and habitats within the PA (iii) upgrading PA amenities for field staff (b) Village ecodevelopment (US$34 mln. - 55 % of the base costs) that reduces negative interactions of local people on biodiversity and increases collaboration of local people in conservation by: (i) conducting participatory microplanning and providing implementation support Staff Appraisal Report 9 (ii) implementing reciprocal commitments that foster alternative livelihoods and resource uses to be financed by a village ecodevelopment program and that specify measurable actions by local people to improve conservation (iii) special programs for additional joint forest management, voluntary relocation, and supplemental investments for special needs (c) Education & awareness and impact monitoring & research (US$5 min. - 8 % of the base costs) that develops more effective and extensive support for PA ecodevelopment including: (i) promoting public support for conservation through environmental education and awareness campaigns (ii) impact monitoring and research to improve understanding of issues and solutions relevant to PA management and interactions between PAs and people (d) Overallproject management (US$5 mln. 9 % of the base costs): (e) Preparation offuture biodiversity projects (US$2 mln. - 4 % of the base costs): (i) Second Ecodevelopment Project (ii) Biodiversity Information Project (iii) Ex-situ Conservation Project, and (f) Reimbursement of the Project Preparation Facility (US$2 min. - 3 % of the base costs). E. Detailed Features Improved PA Management 2.7 Improving PA Planning Processes and Building Capacity. The improved planning processes and capacity building would use specialist advice, studies, workshops, associated travel costs, and training containing two main parts: (a) To strengthen PA management plans and the capacity to implement the plans (i) a two year updating process and skill building process would: * update PA management plans in conformity with current guidelines * incorporate ecological considerations, including boundary rationalization, buffer forest land management, and broadening the focus of the plan to cover ecosystems in addition to species Staff Appraisal Report 10 introduce processes and arrangements to broaden participation and cooperation of local people and outside groups, including increasing consultation, and developing benefit sharing arrangements for PA byproducts and enterprises develop PA-specific financial sustainability strategies incorporate initiatives supported under other project components (e.g., village ecodevelopment, environmental education strategies, research strategies, etc.). (ii) the component would also include support throughout the project for training in PA management skills. (b) To incorporate PA concerns into regional planning and regulation, which would involve. (i) early identification and assessment of existing and proposed activities outside the scope of the project that might potentially undermine effective biodiversity conservation of the PAs or undermine implementation of the ecodevelopment strategy in and around the PAs and (ii) strengthening the capacity for environmental site clearance and monitoring of non-project activities using existing environmental protection regulations and agreed best practice for environmental assessment and resettlement. 2.8 Protecting and Managing Ecosystems and Habitats. During project preparation, the PA authorities developed an indicative list of activities based on existing plans and available information. The scope and nature of these activities differ from PA to PA and in most cases would be very site specific. The broad categories of activities are: (a) Ecosystem and habitat restoration and (b) Improving fire, poaching, and animal control. These activities would require inputs of restoration and control works, associated supervision, communications equipment, a limited number of vehicles and boats, minor access track improvements, fire watch towers, sign boards, boundary markers, and other works and goods in accordance with recommendations of the PA management plans. The updated PA management plans described above, once completed and cleared by the Bank, would determine the specific content of investments in this subcomponent. However, some investments in ecosystem protection and management would be required prior to the likely completion of the PA management plan updating. In order to ensure that activities implemented in the interim are sound and do not have a negative impact on biodiversity and the environment, PA officials would demonstrate prior to implementation that the activities would (a) conserve biodiversity; (b) be urgently needed; (c) not foreclose options being considered for the updated PA management plans; (d) be consistent with existing PA management plans; (e) be technically feasible; (f) not erode customary tenure rights of tribals, and (g) be environmentally sustainable. Staff Appraisal Report 11 2.9 Annex 7 describes details of the improved PA management planning processes, clearance requirements, technical assistance, and training. Assurances were obtained at negotiations that planning and implementation of the ecosystem protection and management investments would be in accordance with guidance agreed with IDA. 2.10 Upgrading Amenities for PA Staff. The selection of the seven PAs was premised in part on the fact that these PAs already had good facilities and would not require extensive infrastructure improvements. Nevertheless, some upgrading of the amenities for lowest ranked PA staff, would be required and would comprise limited staff quarters for the lowest ranked PA staff, patrol camps, and drinking water and electricity supplies for some locations. In addition, career development training and field kits for staff would be supported under the project. Village Ecodevelopment 2.11 Microplanning and Implementation Support. Conducting participatory microplanning and providing implementation support for reciprocal commitments would use contracted local NGOs, expert advisors, workshops, materials, training (of government officials, NGOs, and local people), and PA staff travel to: (a) Undertake participatory mutual interaction assessment of PA and local people (b) Explain and consider the implications of the eligibility criteria, budget constraints, local contribution requirements, and applications of traditional natural resource management systems (c) Identify potential investments and activities which would mitigate negative PA-people interactions (d) Analyze the financial, technical, institutional, and social feasibility of the proposed programs (e) Strengthen capacity of implementing institutions (e.g. village groups, park personnel, NGOs, etc.) (f) Confirm reciprocal microplan agreements that address negative interactions of both PA and local people, and (g) Facilitate the review and implementation of the reciprocal commitments. Teams comprising PA staff and local NGO staff (with each team including at least one woman) would use specially focused participatory rural appraisal techniques, called a protected area mutual interaction assessment (PAMIA). The PAMIA would facilitate detailed village-level planning of reciprocal ecodevelopment commitments. These teams would take special care to ensure that women, tribal groups, and other disadvantaged people participate in the planning process and benefit from the agreed program. PA-level ecologists, social scientists, and other specialists would provide advice and review the proposed microplans to ensure that they met eligibility criteria. National-level specialists would also review proposals presenting new or difficult issues. Annex 8 outlines microplan procedures and contents in detail. Staff Appraisal Report 12 2.12 Implementing the Reciprocal Commitments. Reciprocity would reside in the mutual quid pro quo of (a) specific measurable actions by local people to improve conservation and (b) investments that foster alternative resources use and livelihoods. PRA surveys in sample communities in and around the PAs have enabled the project preparation teams to identify an indicative list of possible ecodevelopment investments and actions to improve conservation. Investments categories include: biomass substitution (e.g. alternative fuels), biomass generation and forestry, ecotourism, agriculture including watershed management, small irrigation and livestock, agro-processing, and artisanry. These investment ideas need site-specific review to judge whether they meet eligibility criteria, and other proposals may be identified during more detailed planning. Examples of actions to improve conservation include curtailing grazing, curtailing fuelwood collection within the PA, and increasing participation in anti-poaching efforts. 2.13 Investment Eligibility Criteria. The eligibility criteria specifies that village ecodevelopment investments associated with the reciprocal commitments would: (a) Conserve biodiversity by reducing negative and increasing positive interactions between people and PAs, either directly, or indirectly by creating sufficient incentives for a consensus that commits local people to specific, measurable actions that improve conservation (the other essential element of the reciprocal commitment) (b) Mitigate the negative impacts of the previous establishment of the PAs on vulnerable groups and ensure equitable distribution of benefits to populations currently dependent on the PAs, especially tribals, women and other disadvantaged people (c) Add supplemental resources, i.e., alternative sources of funding and support is not available (d) Be technicallyfeasible, e.g., inputs and technical advice are adequate; physical conditions are suitable (e) Befinanciallyfeasible, e.g., costs within norms or cleared by PA manager, returns are sufficient to compensate for PA resources foregone, and for all investments intended to produce cash revenue or benefits that can be monetized, market linkages are adequate, cash flow requirements are viable, and returns compare favorably with alternative investment options; (f) Be socially and institutionallyfeasible, e.g., associated activities are culturally acceptable, local institutional capacity is adequate to organize forest protection, distribute benefits from common resources, provide physical maintenance, keep accounts, meet contribution requirements, etc., and (g) Be environmentally sustainable, e.g., adverse environmental impact of exotic species, agro-chemicals, construction activity, can be ameliorated or avoided. (h) Be selected and "owned" by EDCs, ensured through use of budget constraint mechanism and contribution requirement. Staff Appraisal Report 13 Village ecodevelopment investments associated with the reciprocal commitments must meet all of the above criteria. Annex 8 describes the process and documentation required to ensure that these criteria are met, including specific eligibility and feasibility considerations. Annexes 17 and 18 provide further guidance on environmental and social considerations. 2.14 Budget Constraints and Phasing The total costs of the ecodevelopment investments that would be associated with reciprocal commitment would not exceed Rs. 10,000 (US$285) base costs per family, plus Rs. 500 (US$14) per family at preinvestment (i.e., during initial microplanning) to establish credibility. The funding of the Rs. 10,000 per family would usually be spread out over a three year period, with one third of the total resources available each year. The budget constraint per EDC would be calculated on a per household basis, multiplied by the total number of households. For example, a forty- family hamlet would make decisions within a binding budget constraint of Rs. 133,333 (US$3,800) for the first year, or Rs. 400,000 (US$11,400) over the three years. Annex 8 further explains the basis and arrangments for the budget constraint mechanism. 2.15 Contributions of Local People. Local people would contribute at least 25 percent of the Rs. 10,000 per household village ecodevelopment investment in cash, kind, or labor. Payment from project funds for the market value of contributions would be made available to the local people for additional community investments.This arrangement would thus help to extend the incentive mechanism beyond the period of the project investments. Annex 8 describes further details of the arrangements for local contributions. 2.16 Special Programs. These programs would mostly take place outside the national park and sanctuary boundaries but inside the 2 km periphery of the PAs, and would comprise: (a) Supporting plantation activities under joint forest management (JFM) in reserve forests in the immediate vicinity of PAs, beyond levels allowed within ecodevelopment budget constraints, in order to maintain consistency with JFM coverage elsewhere in the state (b) Developing the voluntary relocation option for people in the PAs in ways that are consistent with project objectives and GOI and Bank policies (e.g., develop participatory operational plans, aid households in the transitional period, provide investment funds for altemative livelihoods, provide implementation support services, and support measures fostering cultural continuity), and 4 (c) Providing other supplemental investments through a discretionary reserve for PA managers to allocate to areas with special needs (e.g., special watershed management priorities in buffer areas, communities that are especially dependent on forest resources, or village ecodevelopment investment opportunities with economies of scale). 4 The discretionary reserve would not exceed 18% of the regular village ecodevelopment investments. Staff Appraisal Report 14 2.17 Guidelines. It is important that all village ecodevelopment activities follow project guidelines. Annex 8 provides detailed guidelines on the participatory microplanning process, including a list of specific eligibility and feasibility considerations. Annex 18 provides an analytical framework to help ensure that vulnerable groups (indigenous people, women, and other marginalized groups) would be full participants in project decision-making and benefits. Annex 19 provides guidelines on programs fro people in the PAs, including voluntary relocation. Assurances were obtained at negotiations that planning and implementation of reciprocal commitments, including associated investments, would be in accordance with guidelines (including selection process, eligibility criteria, feasibility considerations, acceptability of investment costs, budget constraint, and beneficiary contribution requirement) agreed with IDA (consistent with Annexes 8, 18, and 19). For each PA, SFDs would submit the first three proposals for village ecodevelopment microplans (which could those developed during the PPF ) for approval by IDA prior to the implementation of the microplans. EducationNisitor Management and Impact Monitoring/Research 2.18 Education and Visitor Management. The project would provide local NGOs, expert advisors, training, workshops, physical facilities, equipment, and materials for: (a) Environmental education and awareness to (i) Develop an environmental education and awareness strategy with help from professional educators, communicators, scientists, social scientists, NGOs and PA staff (ii) Improve visitor information and interpretation services (iii) Expand education programs for school children (iv) Run mass media campaigns (v) Develop alternative media (b) Visitor managment and ecotourism (i) Develop a visitor management and participatory ecotourism strategy (ii) Implement agreed strategy. 2.19 Annex 9 describes the environmental education and visitor management activities in detail. 2.20 Impact Monitoring and Research. Impact monitoring and research would improve understanding of issues and solutions relevant to PA management and interactions between PAs and people. It would involve the extensive use of contracted institutions and individuals for implementation support, expert advice, and special studies. It would also involve local people in participatory monitoring, and provide support for 5 Microplans proposed during the PPF could be implementated prior to these three proposals, provided they meet guidelines outlined in February 1996 Bank mission Aide Memoire. Staff Appraisal Report 15 improved facilities and equipment, training, workshops, transport, and materials. These imports would support: (a) Ecological and socioeconomic monitoring to measure status and impacts and to measure the effectiveness of project institutions and processes (b) Ecological research (e.g., human impact within PAs, ways to control depredation by wildlife, impacts of fires and flood, ecosystem dynamics) (c) Socioeconomic research (e.g. long-term impacts of PAs on people, ethnobiology, indigenous resource management systems, cultural heritage, participatory processes, tenure requirements), and (d) Capacity building and communication programs to facilitate experimental learning and demonstration, increase compatibility of approaches and disseminate findings on above. Annex 10 describes the impact monitoring and research activities in detail. Project Management Component 2.21 This component would support the management organization and activities, i.e., the overhead, required to implement the overall project. Items in this component are not solely associated with the individual components described above, but instead cover a range of components. It would include: (a) Direct PA level management (b) Implementation strategy and guidelines (c) Multi-state learning and dissemination (d) Implementation review (e) National-level policy studies and (f) National level administration. Assurances were obtained at negotiations that the national level project management activities would be implemented in accordance with arrangements agreed with IDA. Annex I I presents the terms of reference for the national-level technical assistance and the indicative training program in project management. Preparation of Future Biodiversity Projects 2.22 Overview. The Ecodevelopment Project would include preparation support (including experts, studies, and workshops) for relatively large and comprehensive future projects intended to strategically address India's priority biodiversity concems. The Govemment has developed a list of three project concepts which potentially could meet this criteria: Second Ecodevelopment, Biodiversity Information, and Genetic and Ex-situ Conservation. 2.23 Second Ecodevelopment Project. In concept this project would be be a larger scale, progamatic version of the current project, but also include a component addressing Staff Appraisal Report 16 biodiversity conservation in multiple use areas. This preparation of this project would involve: (a) Providing preparation guidance incorporating existing experience (b) Preparing detailed proposals for specific project areas of the Second Ecodevelopment project (c) Appraising submitted proposals for the Second Ecodevelopment Project and (d) Building capacity and consensus to lay a foundation for timely implementation of the Second Ecodevelopment Project. 2.24 Biodiversity Information Project. The concept of this project would be to organize a demand-driven system for biodiversity information that would: (a) Strengthen systems for gathering, organizing, and storing useful information (b) Strengthen distributed system for providing access to information and (c) Enhance analysis and application of information for decision-making. 2.25 Genetic and Ex-Situ Conservation Project. This project concept would comprise a nationally-coordinated and user-oriented effort to: (a) Expand the stock of ex situ genetic resources, salvaging selected species and genetic variability that would otherwise be lost if left in situ within protected or multiple use areas (b) Strengthen the capacity to replicate, manipulate, and exchange genetic resources (c) Improve safety, reliability, and efficiency of genetic resources management (d) Develop and establish a legal framework for ex situ conservation (e) Promote public awareness and education of ex situ genetic resources conservation 2.26 Annex 12 further describes the projects concepts and preparation activities. Staff Appraisal Report 17 III. PROJECT COSTS AND FINANCING A. Project Cost Estimates 6 3.1 Total project costs are estimated at US $67 million (Rs. 294.9 crore ), inclusive of duties and taxes in the amount of US $0.9 million (Rs. 3.9 crore). Of this 8 percent or US $5.3 million are foreign exchange costs. Investment costs amount to 86 percent and incremental recurrent costs to 14 percent of base costs. The base costs are those obtained at the time of appraisal, adjusted for inflation to the date of negotiations. Physical contingencies amount to 9 percent. Price contingencies reflect foreign inflation of 2.0, 2.3, and four years at 2.5 percent, and local inflation of 8.0, 8.0, 7.5 and three years at 6.0 7 percent for the respective fiscal years of the project. 3.2 The table below gives a summary of project costs by component. Additional summary tables of project costs are presented in Annex 13. Project Cost Summary (Rs. Lakh) fUSS 000) % % Total Foreign Bass Local Formign Total Local Foreign Total Exchange Costs A. Improved PA Marugerment Planning Processes 367 2 11 368.3 1,0461 32 1.049 3 - 2 EcosystemProtecttnandManagement 3,6441 4905 4,134.6 10,3822 1,397.4 11,7795 12 19 Ameniies for Field Staff 342.1 38.0 380.1 9746 1083 1,082.9 10 2 Subtal 4,353.4 529.6 4,883.0 12,402.9 1.5089 13,911.7 11 22 IL Vilege Ecodevalopment Partidpatory Micro-Panning and Implementaion Support 1,681.7 119.2 1,801.0 4,791.3 339.7 5,131.0 7 8 InvestmentstolmplementReciprocalCommrtments 7,703.7 405.5 8,1092 21,948.0 1,155.2 23,103.1 5 37 Special Programs 1,868.2 94.4 1,962.6 5,322.5 268.9 5,591.4 5 9 Subtotal 11,253.7 619.1 11,872.7 32,061.7 1,763B 33,825.5 5 55 C. Develop Effective and Extensive Support for Ecodevelopnmnt Conduct Errwonmental Educaton and Awareness Campagns 3169 78.0 394.9 902.9 222.1 1,1251 20 2 Improve Impact Mondtmng and Research Systems 1,186 7 72.8 1,259.6 3,380.9 207 5 3,588 5 6 6 Subotl 1,503 6 150.8 1,654.5 4,283 9 429 6 4,713 5 9 8 D. PoJect Managennt 1,784.8 67.4 1,852.2 5,084 8 1920 5,276.8 4 9 E. Prepre Future Biodiversity ProJects 573.1 245.6 818.8 1,632 8 699 8 2,332.6 30 4 F. Reinbusermnt of PPF 659.9 42.1 702.0 1,880.0 1200 2,000.0 6 3 Totl NMSELNE COSTS 20,1285 1,654.6 21,783.1 57,346.1 4,714 1 62,060.2 8 100 PhyeacatContingences 567.4 57.9 6253 1,616.5 1650 1.781.5 9 3 Price Contingencies 5,939.6 530.4 6,470.0 2,774.5 3838 3,158.3 TobI PROJECT COSTS 26,635 5 2,243 0 28,8785 61,737.1 5,2629 67,000.0 8 108 6 A crore, which is the Indian unit commonly used to express large sums of money, equals Rs 10,000,000. L7 Local costs have been converted into US$ costs assuming a stable, real exchange rate regime. Staff Appraisal Report 18 3.3 Relation of Cost Estimates to Annual Budgets. Cost estimates are indicative only. They indicate the overall size of the project and amount of required financing but do not provide an approved blueprint for specific expenditures. In the course of the project, managers would allocate specific expenditures according to an annual work plan and budget, which would be subject to a review process to ensure consistency with project objectives. The updated PA management plans would determine the specific investment during project years three to five for the protection and management of ecosystems component. Annual budgets for the village ecodevelopment component would specify only the location and unit size of the villages selected. Funds would then be allocated for specific activities as agreed with village groups through participatory microplanning and feasibility analysis, in conjunction with reciprocal commitments that promote conservation. Strategies supports during the initial project period would also determine specific project support for environmental education and monitoring and research activities. B. Financing Plan 3.4 The financing plan below presents the IDA, GEF, project beneficiaries, GOS, and GOI contributions for the five-year project period. The IDA Credit of US $28.0 million equivalent would finance 42% of project costs, net of taxes. The GET Grant of US $20.0 million equivalent would finance 30% of project costs. The IDA and GEF financing is allocated roughly on a pro-rata basis to all components except for the preparation of future biodiversity projects and the reimbursement of the US$2 rnillion IDA Project Preparation Facility). GOI and the GOSs would finance US $14.6 million. While this financing would represent a significant increase in government resources devoted to biodiversity conservation, it would be only a small share of the total budgets of the participating state forest departments. Project beneficiaries would contribute US $4.4 million equivalent by contributing primarily labor to the ecodevelopment program. 8 The Global Environrment Trust (GET) is the legal entity that provides Global Environmental Facility (GEF) grants. Staff Appraisal Report 19 Components by Financiers (US$'OOO) Components by Financiers (USS '00°) hternatlonal Development Project Sts Government of Aseoclailtn auP Trust Bnefclaries Governments India Tobi Anmount Amont Anount Anount Amount Anount % A. Inproved PA Management Planning Procese 562.1 5621 - 9.0 4 7 1,137.8 1.7 EcoeystamProtectionandManaement 2,910.2 2,910.2 - 5,709.1 1,409.2 12,938.7 19.3 AmsnmtftsrFied Staff 4918 491.8 - - 245.9 1 229.5 1.8 S,|tobI 3,964.0 3,964.0 - 5,718.1 1,659 8 15,308.0 22.8 IL VN61 Ecodevelopment PwticipetDry Micro-Planning and Impliroetion Support 1,701.8 1,6671 - 2,050.4 214.9 5,6343 8.4 Inesatineit tDImpementReciprocalCommnrrmnts 10,019.8 7,395.1 4,585.8 - 2,459.1 24,459.8 36.5 Specil Progrws 3,019 8 2,260.6 - - 7113 5,9916 8.9 Subkobd 14,741.4 11.322.7 4,5858 2,050.4 3,385.3 36,085.7 53.9 C. Devebp Effeliv and Extensbve Support for Eodevelopment Conduct Enionmental Educabon and Avereness Campagns 5011 501.1 - 98.5 157.9 1,258.7 1.9 ImpFe Impact Monitorng and Resewch Systems 1,813.9 1,813.9 - 204.5 103.2 3,935.5 5.9 5ubtobal 2,315.0 2,315.0 - 303.0 2612 5,194.2 7.8 D.PI PojectMnagement 2,398.2 2,3982 - 988.4 50.1 5,832.8 8.7 . Prprn Putbre Wdiverty Projech 2,581.4 - - - - 2,581.4 3.9 P. Rfhnbuerent of PPP 2,D. - - - 2000.0 3 0 otelDsbureement 28.0000 20,000.0 4,5858 9,0579 5.356.4 67,0000 100.0 C. Procurement 3.5 Procurement under the project would be undertaken by each state forestry department, and for centrally managed activities, by the responsible MOEF office. Bulking or grouping of contracts across states would not be practical because of the widely dispersed nature of the project sites. 3.6 Civil Works. (US$7.4 million). Works would be procured following National Competitive Bidding (NCB) or other procedures acceptable to IDA: (a) NCB. Civil works in the project consist mainly of the construction of offices, residential quarters for forest guards, foresters, and range officers in remote forest areas, a few quarters for forest officers in divisional headquarters, and repairs of gravel forest tracks. Works to an aggregate value of US$450,000 would be procured under contracts awarded on the basis of NCB procedures acceptable to IDA. The justification for the NCB for civil works is that they consist of works in widely scattered interior locations, during the first three years of the project, and therefore could not be grouped together into convenient packages that would attact foreign firms. Nevetheless, bids from foreign contractors would not be precluded. (b) Other procedures acceptable to IDA. Small works valued at less than US$20,000 would be procured by the respective state forest departments in accordance with procedures acceptable to IDA: (i) under community participation provisions by direct contracting with village communities or non-governmental organizations; (ii) by soliciting quotations from at least three qualified contractors; or (iii) through force account. Materials for Staff Appraisal Report 20 these works valued in aggregate at US $4.0 million would be procured following national shopping procedures acceptable to IDA. Monitoring of works would be done using procedures acceptable to IDA. 3.7 Vehicles and non-motorized transportation (US $0.8 million).Vehicles for the project consist of four-wheel drive vehicles, minibuses, and boats. They would be required in small numbers in widely dispersed areas over the project life of five years in contracts of less than US $100,000. To meet these requirements, vehicles costing not more than US$650,000 in the aggregate would be procured through national shopping procedures acceptable to IDA. Rate contracts of the Directorate General of Supplies and Disposal (DGS&D), New Delhi, would only be acceptable as a substitute for procurement under national shopping. Elephants and ponies to be used for anti-poaching, valued at about US $100,000, would be obtained under direct contracting procedures acceptable to IDA. 3.8 Furniture and Equipment (US $1.9 million). Computers and the associated software costing more than US$100,000 to an aggregate value of US$346,000 would be procured using international competitive bidding (ICB) procedures. The remaining information technology, field, office, and laboratory equipment are required by the seven states and spread over the project life of five years. Individual contracts are not likely to exceed US $20,000 and hence are not suitable for competitive bidding. They would be procured up to an aggregate amount of US $0.9 million through national shopping procedures acceptable to IDA. Rate contracts of the (DGS&D), New Delhi, would only be acceptable as a substitute for procurement under national shopping. Satellite imagery, aerial photography and maps up to an aggregate amount of about US$ 100,000 would be procured directly from GOI agencies such as the National Remote Sensing Agency or the Survey of India. Similarly, books and periodicals, proprietary software, extension and publicity materials, valued at about US$0.5 million would be procured under direct contracting procedures acceptable to IDA. 3.9 Ecodevelopment Investments (US$30.5 million). Investment expenditures would finance small works and village development activities in 2,000 widely scattered EDC locations over the five-year project period. Procedures acceptable to IDA for management of the investments, including planning, the selection process, eligibility criteria, would be utilized (Annex 8). Civil works required for these investments would be procured in accordance with procedures acceptable to IDA: (i) under community participation provisions by direct contracting with village communities or non-governmental organizations; (ii) by soliciting quotations from at least three qualified contractors; or (iii) through force account. Construction materials for these works, aggregating to about US $13.0 million, would be procured following national shopping procedures acceptable to IDA. Small equipment and goods required for these investments would be procured through national shopping procedures acceptable to IDA. Livestock, including breeding stock, young animals, fertile eggs for hatching, bees, and silk worms, estimated to cost US $800,000 would be obtained under direct contracting procedures acceptable to IDA. 3.10 Consultancies, Studies, Training (US $12.1 million). Consultancy services estimated at US $6.0 million with consulting firms (mainly large NGOs) and US $4.2 million with individuals for management support, implementation assistance and special studies would be contracted on terms and conditions in accordance with IDA guidelines for the use of consultants ("Guidelines: Use of Consultants by World Bank Borrowers and by the World Bank as Executing Agency, August, 1981") Consultancy services in Staff Appraisal Report 21 contracts less than US $20,000 (mainly small NGOs) up to an aggregate of US $1.6 million for participatory planning and implementation assistance with Village Ecodevelopment would be contracted on terms and conditions acceptable to IDA (Annex 14). Assurances were obtained at negotiations that GOSs would select NGOs in accordance with criteria agreed with IDA (Annex 14). Training estimated to cost US $1.1 million, including a service contract for placement and support of trainees would be procured using governmental/administrative procedures acceptable to IDA. Detailed training plans are presented in Annexes 7, 8, and 11. 3.11 Project management travel costs (US $0.7 million) that would include transportation for project managers, staff and EDC members to supervise project investments and attend planning workshops that would be financed under the project. 3.12 Incremental recurrent costs (US $9.0), including staff, the purchase of office and computer supplies, and incremental maintenance costs of vehicles and equipment, would be financed by the GOS and procured by standard GOS procedures. 3.13 Procurement Review. All ICB and.NCB contracts for works and goods exceeding US$100,000 and the first NCB contract for goods or works in each State would be subject to prior review by IDA. In respect to consultancies, (i) the model docujments for inviting proposals, (ii) terms of reference for consultant contracts regardless of value (including NGOs and autonomous government organizations), (iii) all single source contracts regardless of value (not applicable to contracts for individuals), (iv) all contracts for assignments of a critical nature (regardless of value), and (v) all contracts (original or amendments) valued at more than US $100,000 awarded to firms, or US $50,000 or more awarded to individuals, would be subject to prior review by IDA. This would result in prior review of about 10 percent of all contracts procured. Contracts below the threshold levels would be subject to selective post-review by visiting missions. In addition, a nationally recognized auditing firm would be engaged for a random post- review of 10% of the Ecodevelopment Support Investments. Reviews of the Ecodevelopment Support Investments would concentrate on the consistency of the investments with the selection and eligibility criteria, agreed procurement procedures, competitiveness of prices paid and physical inspections of the relevant items. Although this would result in only about 15 percent of project expenditures being subject to prior review, the nature of the project, with its emphasis on ecodevelopment programs managed and implemented by villagers and NGOs, is such that a higher level of IDA review would not have a significant impact on procurement quality. 3.14 Procurement Information. Procurement information will be collected and recorded as follows: (a) Contract award information will be promptly reported by the borrower (b) Comprehensive half-yearly reports will be prepared by the borrowers in the format presented in Annex 16 (c) Compliance with aggregate limits on the specified methods of procurement (d) Preparation of a completion report by the borrower within three months of the loan closing date Staff Appraisal Report 22 3.15 The project elements, their estimated costs and methods of procurement are summarized below: Procurement Arrangements (US$ '000) Procurement Method International Local Competitive Competitive Consulting Bidding Bidding Other Services N.B.F. Total Civil works - 440.9 6,990.7 - - 7,431.5 (176.3) (2,796.3) (2,972.6) [176.3] [2,796.3] [2,972.61 Vehicles - - 750.6 - - 750.6 (300.2) (300.2) 1300.2] [300.2] Furniture & equipment 329.7 - 1,585.4 - - 1,915.2 (131.9) (634.2) (766.1) [131.9] [634.2] [766.1] Ecodevelopmert fund - - 30,471.4 - - 30,471.4 (13,050.7) (13,050.7) [9,632.0] [9,632.0] Consultancies, studies and training - - 939.9 11,182.4 - 12,122.3 (469.9) (5,591.2) (6,061.1) [469.9] [5,591.2] [6,061.1] Superision travel - - 669.9 - - 669.9 (268.0) (268.0) [268.0] [268.0] Recurrent costs - - - - 9,057.9 9,057.9 Project preparabon - - 258.1 2,323.2 - 2,581.4 (258.1) (2,323.2) (2,581.4) PPF - - 200.0 1,800.0 - 2,000.0 (200.0) (1,800.0) (2,000.0) Total 329.7 440.9 41,865.9 15,305.6 9,057.9 67,000.0 (131.9) (176.3) (17,977.4) (9,714.4) - (28,000.0) [131.9] [176.3] [14,100.5] [5,591.2] - [20,000.0] Note: Figures in parenthesis are the respective amounts financed by the International Development Association Figures in square brackets are the respective amounts financed by the GEF Trust 3.16 Contractual Arrangements. Prior to negotiations, MOEF and SFDs, following procedures acceptable to IDA, ,have contracted or are in the process of contracting NGOs and professionals to implement PPF activities and have a time-bound plan on which they have begun action to prepare final terms of reference and final design and tender documents for works and goods to be procured through the first fiscal year of the project. Assurances were obtained at negotiations that: (i) procurement of works, goods, consultancy services would be in accordance with Bank guidelines; and (ii) standard procurement documents as already agreed with GOI would be used. D. Disbursements 3.17 Disbursements under the Credit would be made for: (a) 40% of civil works for building and roads (b) 50% of foreign expenditures, 50% of local ex-factory costs or 40% of other local costs of equipment, vehicles, non-motorized transport and Staff Appraisal Report 23 materials, except for those financed through the village ecodevelopment investment program (c) 50% of expenditures on consultants (including NGOs) services, training, workshops, meetings, publication contracts and contract staff , excluding the preparation of future biodiversity projects (d) 50% of local costs of small-scale field equipment and associated running costs, materials, livestock, and labor financed through the village ecodevelopment investment program in accordance with procedures acceptable to IDA (e) 40% of project management travel, and (f) 100% of expenditures on consultants (including NGOs) services, training, workshops, meetings, publication contracts and contract staff for preparation of future biodiversity projects. 3.18 Disbursements under the Grant would be made for all project components except the preparation of future biodiversity projects. (a) 40% of civil works for building and roads (b) 50% of foreign expenditures, 50% of local ex-factory costs or 40% of other local costs of equipment, vehicles, non-motorized transport and materials, except for those financed through the village ecodevelopment investment program (c) 50% of expenditures on consultants (including NGOs) services, training, workshops, meetings, publication contracts, and contract staff (d) 37% of local costs of small-scale field equipment and associated running costs, materials, livestock, and labor financed through the village ecodevelopment investment program in accordance with procedures acceptable to IDA, and (e) 40% of project management travel. 3.19 Disbursements against goods and works contracts over US $100,000, and all consultant contracts that require prior review, including contracts exceeding US $100,000 equivalent for firms and US $50,000 equivalent for individuals, would be fully documented. Disbursements for all other expenditures would be made against statements of expenditure (SOEs). Supporting documentation for SOEs would be retained by GOI and the GOSs and be made available to Association staff during supervision. 3.20 MOEF and FDs have already commenced activities to expedite project start-up, not all of which are financed under the PPF. To remiburse the Government for such expenditures, retroactive financing would be applied to all eligible expenditures for project activities not already eligible for PPF fianancing, incurred after December 31, 1995, up to a maximum of SDR 1.4 million (US $2 million equivalent) from IDA and SDR 1.4 million 9 Includes payments for travel and subsistence of government staff to workshops and meetings, honoraria for external specialists and facilitators, and contracts with NGOs. Staff Appraisal Report 24 (US$2 millioin equivalent) from GEF. All contracts and items to be financed retroactively will have been procured in a manner acceptable to the Association. Disbursements are projected over a period of six GOI fiscal years, from 96/97 through 01/02. The disbursement schedule is presented in Annex 14. The completion date would be December 31, 2001. The closing date of the Credit would be June 30, 2002. 3.21 To facilitate project implementation and to reduce the volume of withdrawal applications, a special account in US dollars would be established in the Reserve Bank of India, with an authorized allocation of US$2 million for IDA and US$2 million for GEF, which is equal to the estimated four monthly average disbursement. The state forest departments would submit withdrawal applications directly to the Controller of Aid Accounts, DEA, sending copies to MOEF. Assurances were obtained at negotiations that GOI and the GOSs would implement a system satisfactory to IDA for channeling funds required for carrying out the project. Paragraphs 4.8--4.13 provide further guidance on flow of funds. E. Accounts and Audit 3.19 The respective MOEF offices and each state government would establish a separate project account. This account together with supporting documentation, including contributions from GOI and the Credit, would provide a comprehensive record of project financing and expenditures. Assurances were obtained at negotiations that this account and the special account would be subject to normal GOI and GOS accounting procedures and controls. Project accounts would summarize project expenditures under categories to be agreed with IDA, showing: (a) actual versus planned expenditures for each quarter; (b) actual versus planned expenditures accumulated to date; and (c) financing source for the quarter, and accumulated, by IDA and the GOSs. The summaries, which would provide information for the SOEs would form part of the project account, including those expenditures for which reimbursement would be claimed with full documentation. The project accounts would be supported by a listing with the withdrawal applications submitted for the period. They would be audited annually in accordance with appropriate auditing principles. The Controller and Auditor General and his accountants general at the state levels would be considered acceptable auditors. The consolidated audited project accounts, including the special account and SOEs, and the auditors' reports, which would include a separate statement on the SOEs and certified copies of the SOEs, would be submitted to IDA not later than nine months after the close of the fiscal year. The audit report on SOEs would specifically comment on their usage and the controls established to ensure their accuracy. The special account that would be maintained by the Department of Economic Affairs (DEA) would show all withdrawal requests disbursed, amounts advanced and reimbursed by IDA, and the balance at the end of each accounting period. Auditor's reports would reflect the certification of the balance held by the Reserve Bank of India. The GOSs would prepare a project report on a biannual basis, in a format agreed with IDA, summarizing project progress in physical terms by project objectives, linked to financial terms that would be based on the biannual unaudited project accounts. Staff Appraisal Report 25 IV. PROJECT IMPLEMENTATION A. Staffing and Organizational Structure 4.1 Organizational Responsibilities. Project management would use and build upon existing forest department, inter-agency, NGO, and community organizational structures, modifying them where necessary to ensure autonomy, flexibility, and accountability. State governments, through their PA authorities, would be responsible for field level project execution. For many project activities, the PA authorities would develop partnerships with or delegate to NGOs and village groups. PA authorities would also contract tasks to individual specialists, professional research and training institutions and other groups and involve existing district coordination committees. At the national level, the project would need strong coordinating support to provide overall project integration. National NGOs, professional institutes, and contracted specialists would play major roles. Except for the project preparation component, it is anticipated that the project would not require foreign consultancies. Annex 15 further describes the allocation of responsibilities by component. 4.2 Staffing. The staffing plans generally rely on increasing the productivity of existing staff already based in the PAs. However, in some cases the state govemments propose to redeploy a limited number of departmental staff who currently are based outside the PAs, and to create new contractual positions. The state forest departments have provided documentation that the staff plan, including planned internal transfers and the assignment of project responsibilities to existing staff would not adversely affect the adequacy of staffing of existing, non-project conservation activities. At the national level, MOEF would expand existing offices to handle the project work. MOEF would in turn be assisted by outside consultancies (including NGOs). In order to support sustainability, the project would not include external financing for any government staff. Annex 15 provides further information on the staffing plans. Prior to negotiations, the state governments and MOEF finalized their respective staff plans for the PAs and PTO, and filled positions required for the implementation of PPF activities. Assurances were obtained at negotiations that the state governments and MOEF would: (a) Fill all positions required for the project by July 31, 1997 (b) Ensure that no more than 33% of the senior executive field staff (i.e., all staff above range officer level) of the project PAs, under normal circumstances, would be transferred in any one year of the project. 4.3 Consultant Contracting. Because of the importance of specialists and NGO partnerships to timely project inception prior to negotiations, the SFDs and MOEF: (a) Following procedures acceptable to IDA, contracted or were in the process of contracting NGOs, professional institutions, and private consultants required for the implementation of PPF activities (b) Had a time-bound plan on which they had begun action to prepare final terms of reference, requests for proposals, short lists, and draft contracts Staff Appraisal Report 26 for consultants including NGOs to be contracted through the first fiscal year of the project, using model documents, and obtain approval by IDA. 4.4 Village-Level Operations. Village institutions for microplanning would be relatively small and homogeneous villages or hamlets (preferably less than 100 households) in which all households are represented in the decision-making body by both men and women. They would not necessarily correspond to the panchayat (municipal) structure, due to their smaller size and differences between administrative and natural resource management boundaries. Where possible, the ecodevelopment committee would build on or use existing forest protection committees or other appropriate committees already existing, provided these committees are composed of all forest-dependent members of the village/hamlet and include women representatives from each household as well as men. Initial village ecodevelopment investments can proceed without a formal legal framework, but for large-scale implementation of the village ecodevelopment program, states will need to have an appropriate government order consistent with project design. Annex 8 outlines the minimum requirements for government orders. Prior to negotiations, each state government drafted a government order on village ecodevelopment and were in the process of considering suggested improvements. Assurances were obtained at negotiations that the state governments would adopt government orders on village ecodevelopment consistent with project design by September 31, 1998. 4.5 PA Committee Structure. Each PA is making its own arrangements to manage and coordinate the project activities in accordance with its local conventions. The PAs would make an explicit effort to expand their composition beyond government employees and to include representatives from a range of outside specialists and stakeholders including NGOs. 4.6 National Committees. The Project would have two national- level committees. (a) The Ecodevelopment Project Steering Committee, comprised of senior MOEF and SFD officials and representatives of NGO and other institutions contracted for national-level support, would (i) facilitate Center-State coordination, and (ii) provide policy guidance on project activities and work plans, and (iii) address conflicts related to application of project guidelines and compliance with project covenants that have not been otherwise resolved by SFD or MOEF officials. (b) The Ecodevelopment Project Implementation Board (EPIB) would be an empowered body assigned full financial and administrative powers necessary: (i) for program planning and implementation, and (ii) to ensure that the necessary governmental approvals are processed expediently within the MOEF. Annex 15 provides further information on committee structure and functions. As a condition of negotiation, MOEF has established the above committees with terms of Staff Appraisal Report 27 reference acceptable to IDA. As a condition of negotiation GOI and GOSs have obtained all the necessary governmental clearances. 4.7 Training. The project proposal for its various components includes careful consideration of training needs and many provisions for training of government staff, local communities and other project participants. The training activities would include: specially designed short courses, fellowships to existing domestic degree programs, study tours, on-the-job training by experts, and a very limited number of overseas training programs. Prior to negotiations, GOI and GOSs prepared detailed training plans organized according to project objective for the first fiscal year of the project. Assurances were obtained that GOI and GOSs would ensure that (a) recipients of the fellowships or degree programs, on completion of their program, would be placed in job positions for a minimum of three years where they could make full use of their training and (b) that staff selected for the fellowship or degree programs or for overseas training would have at least five years to retirement, except under circumstances acceptable to IDA. Text and tables describing the indicative plans for specific content, recipients, methodology and institutional arrangements of training are specified in accordance with the relevant project components in Annexes 7, 8 and 1 1. B. Flow of Funds and Work Plans 4.8 Overview. The innovative nature of the Ecodevelopment Project would require a management structure with the authority and competence to channel funds in a timely manner and to adapt the project work program and future project proposals in response to performance, lessons learned, and design improvements. The management will therefore need a high degree of flexibility in appointing staff and consultants, strong professional expertise, and access to good information on program activities, accomplishments, and problems. 4.9 Additionality. The sum of annual GOI and external financing that would comprise this centrally sponsored scheme represents a significant increase of the MOEF total "plan" (i.e., expenditures other than salaries and maintenance) budget, an increase of about 10% above 1995/96 levels. The project expenditures in the PAs also represent a significant increase in total expenditures of the state forest department wildlife wings. Under GOI's budget system, the entire amount of external aid is added to the normal plan resources (net budgetary support) to obtain the overall budget allocation for any particular sector. Tables in Annex 2 present data on FY94/95 - FY96/97 actual and planned expenditures of MOEF plan budget line items affecting biodiversity, and FY94/95 - FY96/97 actual and planned expenditures for project PAs and their respective state forest department wildlife wings. These data provide the baseline information to be used in an exchange of information on biodiversity expenditures at the national, state, and PA levels in semi-annual progress reports. 4.10 Work Plans and Budgets. Assurances were obtained that MOEF would: (a) submit to IDA for comment a preliminary annual work plan, which would include updated cost tables, training, contracting plans, and other items as Staff Appraisal Report 28 agreed with the Bank by September 30, 1997, and on an annual basis thereafter, (b) furnish to IDA the final annual work plan proposals, taking into account comments of IDA by January 31, 1998, and on an annual basis thereafter and (c) implement the final annual work plans. MOEF would adjust the preliminary work plan and determine the final work plan proposals (which would still be subject to Parliament approval), based on comments from the Bank, views of the Planning Commission and a review of the April-September semi- annual progress reports. To avoid delays in the implementation of microplans, the annual work plans would not include the microplans of individual hamlets, but would include estimates of the facilitation support and hamlet coverage required for the village ecodevelopment component. 4.11 Fund Advance Terms. As a centrally sponsored scheme, all funds to the PAs would flow through MOEF to the state governments. The proceeds of the credit and grant would be advanced to the seven states participating in the project, under standard arrangements for developmental assistance for centrally sponsored schemes in India. Under current policies and regulations of Government of India (GOI), fund advances take the form of 100% grant. 4.12 Release of Funds. Release of funds to the states, with immediate forwarding to PAs, would occur three times annually: by May 15, June 30, and August 31. Annex 15 further describes the flow of funds arrangements and includes charts outlining the flow of funds structure and the schedule of annual planning, budgeting, sanctioning, and fund flow. 4.13 Requirements for Effective Flow of Funds. Based on the Project Tiger and externally financed projects, the following arrangements would be essential: (a) Timely provision of project resources provided with state counterpart budget (i.e., staff and recurrent operating expenses) (b) Minimal or no lapse in cash flow between one fiscal year and the next (c) Delegation of powers permitting PA staff to make payments for certain types of project investments (especially the village ecodevelopment fund), based on clear criteria and procedures, and (d) Flexibility allowing PA managers to make adjustments between budget heads in response to project monitoring results. Standard terms and condition for flow of funds at the national and state levels allow for the flow of fund arrangements specified in Annex 15. The schedule and conditions specified in Annex 15 would be considered project performance benchmarks for this aspect of project administration. Staff Appraisal Report 29 4.14 Prior to negotiations, GOI and GOSs demonstrated that they had channels acceptable to IDA for PPF and project flow (including meeting the requirements described above) by: (a) Documenting that existing channels meet the requirements and have functioned effectively either for Project Tiger activities or for other externally financed PA investments, and (b) Using the selected channels successfully for PPF activities. C. Project Performance Review 4.15 Conceptual Approach. The project includes both permanent impact monitoring and project performance review of limited duration; the later is integral to project management. Both programs would provide feedback and accountability to assist in problem-solving and project adjustment. The performance reviews would incorporate findings from impact monitoring and research component to the extent these are available, but would mostly have to rely on shorter-term "proxy" measures of project inputs, outputs, and processes. Process would be measured by the extent to which the project follows its design specifications. An adaptive management approach would require quick incorporation of lessons learned from these reviews. The project also includes support for a special expenditure and procurement review, and an overall independent review. 4. 16 Semi-Annual Reports. The PA field directors, directors of the MOEF offices, and contracted review specialists would be responsible for ensuring that progress reports efficiently provide the information required for sound and timely management decisions. Regional and national institutions would provide background data to supplement the internally-generated information, and would review and comment on the semi-annual progress reports of project performance and the yearly work plans. The progress reporting would incorporate findings from the impact monitoring and research component. Annex 16 further explains the project approach to project performance review and presents an outline of progress report contents. As a condition of negotiation, GOI and GOSs have (a) prepared a conceptual framework for impact monitoring (Annex 10) and project performance review (Annex 16) acceptable to IDA, (b) proposed guidelines for project progress reporting including performance monitoring indicators (Annex 16) and are in the process of developing the format and (c) developed a list of project performance benchmarks (Annex 16). Assurances were obtained at negotiations that MOEF would submit to IDA progress reports, in a format acceptable to IDA, on a semi-annual basis, by June 30 and December 31, beginning in June 1997, and use performance monitoring indicators agreed with IDA. 4.17 Supervision. A Bank mission would supervise the project semi-annually. In addition to the Bank task manager, the mission team would regularly include at least one biologist and one anthropologist and, occasionally, include additional technical, financial and institutional experts. In the interest of overall portfolio management efficiency and cross- fertilization of individual state experiences, the Ecodevelopment Project supervision would also integrate the supervision of the ecodevelopment components in Tamil Nadhu and Himachal Pradesh under the Forest Research Education and Extension Project. Each mission would Staff Appraisal Report 30 include field visits to about three project sites plus a national consultation meeting that would include representatives from the seven project sites plus the two FREEP sites. Project staff from those sites not receiving a field visit would participate in the field visits to one of the other sites. Members of the national-level implementation review team contracted under the project would visit each PA at least twice a year and also participate in the supervision missions. This arrangement would enable each site to receive a Bank supervision about every 18 months, and project staff from each state to meet with Bank supervision team to review a field situation every six months. This arrangement would also encourage mutual sharing and cross- fertilization across states and build domestic capacity for implementation review. 4.18 Mid-Term Review. In the middle of the third year of the project, the project managers and the PTO, with the assistance of the implementation review specialists, would prepare a mid-term Review. It would provide the opportunity to officially adjust project benchmarks and to make other changes in project design if necessary. It would provide a channel for reporting initial measurements of longer-term project impacts. It would influence the design of the Second Ecodevelopment Project. Assurances were obtained at negotiations that the project managers in the PAs and the PTO would prepare a mid-term review not later than June 30, 1999 in accordance with guidance agreed by IDA, and would promptly carry out the recommendations of this review. 4.19 Completion Report. Within six months of project completion, the project managers and the PTO would prepare a project completion report on the basis of Government, Bank and GEF guidelines. 4.20 Other Reviews and Evaluation Studies. The project would have independent reviews to assess project activities. The impact monitoring and research component would provide the foundation for long-term evaluation, including baseline studies. Implementation Schedule 4.21 Annex 16 includes the project implementation schedule. Staff Appraisal Report 31 V. PROJECT IMPACTS AND JUSTIFICATION A. Benefits and Outputs 5.1 Basic Benefits. The project would conserve globally significant biodiversity in the seven PAs and develop capacity for increased conservation in the future. The project would slow, halt, or possibly even reverse declines in the richness, complexity, diversity, connectivity, and regeneration of ecosystems and species. 5.2 Outputs. The project would increase the capacity of government officials to manage PAs effectively, addressing not only internal operations but also proposed and existing periphery and regional activities that impact the PAs. It would increase local people's support for and role in PA conservation. It would create organizational processes that could be expanded to other ecologically significant areas. More specifically, it would: (a) Broaden the focus of PA management planning, restore ecosystems, improve fire and poaching control, and improve staff efficiency and effectiveness (b) Enable communities to meet their needs in an environmentally sustainable manner, reduce unsustainable uses of PA resources, offset negative economic and cultural impacts of PAs on local communities, and resolve conflicts; (c) Provide a firmer base of public support for PAs and increase understanding of PA biodiversity, local people, and their interactions (d) Provide the technical review and administrative and financial services necessary for quality control, accountability, adaptive management, improvement of the long-term framework, dissemination, integration, and overall timeliness of project implementation. (e) Produce a portfolio of biodiversity project proposals eligible for GEF, IDA, and other donor consideration. Annex 21 describes these outputs in greater detail, and also describes the project approach to measuring benefits, consideration of alternatives, the public sector role, cost recovery, and fiscal impact. B. Environmental Impact 5.3 Project Investments. This project would have a highly beneficial environmental impact. The main goal of the project is to conserve critical biodiversity in seven selected PAs. Adverse impacts would be minimal because all infrastructure investments would be small and labor-intensive. To further ensure minimal impact, the preparation team has reviewed the current operational procedures and guidelines for construction and maintenance and found that they would provide adequate safeguards. In order to measure project success, the project monitoring would include close review of the ecological impact of the project, beginning with carefully designed and reliable baseline studies. . Biodiversity considerations including ecosystem integrity would also be central in village ecodevelopment eligibility criteria and in defining associated obligations, as well as in park Staff Appraisal Report 32 management investments. The project also includes provision of ecologists who would review annual work plans and selected site-specific proposals on an ongoing basis throughout the project period. Annex 17 provides a further summary of the environmental analysis. 5.4 Regional Impacts. Assurances were obtained that GOI and GOSs would take steps acceptable to the Bank to ensure that activities outside the scope of the project would not undermine effective biodiversity conservation in the PAs or undermine implementation of the ecodevelopment strategy in and around the PAs. Annex 7 describes specific criteria and procedures for the compliance of this assurance. C. Social Impact Tribal Groups, Women, and Disadvantaged People 5.5 Social Assessment. The project would operate in a setting where the previous establishment of PAs and changes in forest use have already significantly and negatively affected the livelihoods of tribal groups living in and around the PAs. The establishment of PAs has also negatively affected other disadvantaged groups. These groups include women (who for example, harvest most of the non-timber forest products) and poor and landless households in the vicinity of the PAs. In this setting, the project would engage in participatory decisions on behavior changes to benefit conservation and to help offset past negative impacts of PAs on people (see Annex 8). Findings from the participatory rural appraisals conducted by teams of state forestry officials and local NGOs identified specific potential impacts that the project could have on tribals, women and other disadvantaged groups. Annex 18 presents a comprehensive social assessment of the project. 5.6 Tribal Concerns Integral to Project Design. Consistent with the Bank's Operational Directive 4.20, tribal development concerns are central to the project. The project would integrate tribal concerns rather than treating them as a subsidiary tribal development plan or component. The area-specific planning, commitments, and monitoring would address concerns of legal and usufruct rights and status, traditional economies, cultural use of natural resources, livelihood strategies, ability to adapt to new sites and economies, attitudes toward conservation, and social distribution of project investments and benefits foregone. Annex 19 lists references in the staff appraisal report (SAR) annexes that further analyze prerequisites and elements specified by Operational Directive 4.20. Annex 18 includes extensive analysis of potential project impacts on tribal people and suggests design measures to address special concerns of tribal people. Assurances were obtained at negotiations that GOI and GOSs ensure that project activities would not erode customary tenure rights over land and other assets of tribals living in the project areas. People in the PAs 5.7 Current Situation. All seven PAs have people living within the PA boundaries. Most live in areas where human settlement is allowed. People living in the PAs have already experienced losses and without the project they would face very limited and bleak options. At the same time, population pressures are adversely affecting PA conservation. To address and ameliorate existing conditions, SFDs and some PA residents have started Staff Appraisal Report 33 discussions on the possibility of participatory voluntary relocation. These discussions indicate a strong demand for relocation from some individuals but the number of potential participants is not yet clear. (Initial impressions indicate that it would be between 700 and 4,000 people.) 5.8 Relocation Strategy. The project would provide support for a participatory process to plan and implement "voluntary relocation". Relocation under the project would be "voluntary" in the sense that it would be driven by the wishes of local people. Planning would take place in the context of options that would not involve relocation. Relocation would be to lands on the periphery of the PAs, rather than to distant, non- forest lands. The forest department would not cause or carry out involuntary relocation in the project areas. All relocation planning and implementation associated with the project would be consistent with Bank guidelines, and implementation would require prior Bank approval. In addition to providing support for voluntary relocation, the project would include special efforts to identify and provide village ecodevelopment investments (subject to eligibility criteria outlined in paragraph 2.13 above) for people who do not wish to relocate. 5.9 Assurances. For all activities dealing with people in the project area that take place immediately prior to and during the project period, assurances were obtained at appraisal and were reconfirmed at negotiations that the state governments would: (a) In pursusing the objectives of the Project, not carry out any involuntary resettlement for any people resident within the PAs (b) Ensure that any proposals for voluntary relocation would be prepared and implemented in accordance with criteria agreed with IDA and after prior approval of IDA (c) For people who opt to remain in the PAs, prepare an indicative list of appropriate village ecodevelopment investments acceptable to IDA, which meets project criteria, and include these people in the village ecodevelopment program (d) Adopt an explicit strategy and plan for sustainable encroachment control acceptable to IDA before making proposals for programs of voluntary relocation. Non-project activities, including those related to resettlement, would be subject to the regional impacts covenant (see paragraph 5.4). 5.10 Annex 20 provides additional analysis and guidelines on the people in PAs issue and related project activities, including an outline of criteria and procedures for voluntary relocation. D. Sustainability 5.11 By enabling forest departments to share conservation responsibilities with local communities, the project would improve the PAs' chances of long-term survival. Successful implementation of project processes and incentives that would ensure this sharing will therefore be crucial. Sustainability would also depend on the design of administrative arrangements, and on maintaining the momentum of the ecodevelopment Staff Appraisal Report 34 approach. The use of permanent organizational structures, and the preclusion of external financing for government staff salaries would contribute to sustainability. Efforts to increase public support for PAs, to provide tangible measures of project benefits and to explore the potential of trust fund financing and other revenue, would increase prospects for more adequate long-term financing from a variety of sources. E. Risks 5.12 Risks. The project has significant risks. The degree of risk varies according to the extent of innovation in each component. The village ecodevelopment component has the highest level of risk, both because it uses novel planning processes and because there is little hard data on the impact of comparable programs. The environmental education component is the least risky. In spite of the risks, the project should proceed, because of the importance of conserving biodiversity, the critical role of local people in conservation, and the potential of this project to provide the foundation for long-term solutions to India's challenging problems. 5.13 Risk Factors. Significant risk factors include: (a) Pressures of population growth, poverty, and commercial interests (b) Dangers of unrealistic expectations in the context of high profile attention (c) Time and commitment required to achieve participation and trust (d) Limitations in implementation capacity (both supply of technical expertise and experience with process-oriented design) (e) Inadequate management support. 5.14 Measures to Address Risk Factors. Although it is not possible to fully address problems of population growth, poverty, and commercial interests, the project includes activities, institutional mechanisms, and a legal covenant designed to address regional issues. To reduce the risk of the project being blamed by association for negative trends and unmet needs, project objectives clearly emphasize "reduction" not "elimination" of negative impacts. Project preparation has included extensive efforts to communicate project objectives, and monitoring assessment criteria would further specify realistic expectations. To encourage government commitment to participation, the project would allocate financing according to a continuing review of work plans and progress reports and avoid a blueprint approach. To allow trust to develop among local communities, the project would use participatory planning processes. To address limitations in the supply of technical and management expertise, assessments of capacity during preparation and appraisal helped determine project scope, and led to a project design involving extensive use of third party contracts (mostly NGOs). To address inexperience, detailed documentation is providing guidance on project processes. The detailed specification of organizational responsibilities, administrative structures, staffing plans, contracting arrangements and ongoing planning and adjustment processes would help to ensure adequate management support. 5.15 Annex 21 provides further analysis of project risks. Staff Appraisal Report 35 VI. ASSURANCES AND RECOMMENDATIONS Assurances 6.1 Actions Completed Prior to Negotiations (a) Staffing. GOI and GOSs (para. 4.2): (i) finalized their respective staff plans, and (ii) filled positions required for the implementation of PPF activities (b) Contractual Arrangements for Consultants including NGOs and Other Services (paras 3.16 and 4.3). (i) GOI and GOSs had a time-bound plan on which they had begun action for preparing final terms of reference, requests for proposals, short lists, and draft contracts for consultants including NGOs to be contracted through the first fiscal year of the project, using model documents, and obtaining approval by IDA. (ii) GOI and GOSs, following procedures acceptable to IDA, had contracted or were in the process of contracting, NGOs, professional institutions, and private consultants required for the implementation of PPF activities. (c) Contracting of Works and Goods. GOI and GOSs had a time-bound plan on which they have begun action to prepare final design and actual tender documents for works and goods to be procured through the first fiscal year of the project, using model procurement documents, and obtain approval by IDA (para. 3.16). (d) Organizational Structure. (i) GOI established the Project Steering Committee and the Project Implementation Board with terms of reference acceptable to IDA (para 4.6 and Annex 15). (ii) GOI and GOSs demonstrated that they have channels acceptable to IDA for PPF and project flow of funds by (para 4.14): * documenting that the existing channels they plan to use have functioned effectively either for Project Tiger activities or for other externally financed PA investments, and * using the selected channels successfully for PPF activities. (iii) GOSs drafted a government order to establish ecodevelopment committees (para 4.4). (e) Impact Monitoring and Project Performance Review Design. GOI and GOSs prepared (para 4.16): Staff Appraisal Report 36 (i) a conceptual framework for impact monitoring (Annex 10) and project performance review (Annex 16) acceptable to IDA (ii) proposed guidelines for project progress reporting acceptable to IDA (Annex 16) and were in the process of developing formats, and (iii) a list of project performance benchmarks (Annex 16). (f) Clearances. GOI and GOSs obtained all the necessary governmental clearances (para. 4.6). 6.2 Other Assurances Incorporated into Credit, Grant, and Project Legal Agreements (a) Staffing. GOI and GOSs would (para 4.2): (i) fill all positions required for project by July 31, 1997 (ii) ensure that no more than 33% of the senior executive field staff of the project PAs, under normal circumstances, would be transferred in any one year of the project (b) Selection of NGOs. GOI and GOSs would select NGOs contracted under the project in accordance with criteria agreed with IDA (para 3.10; see also Annex 14). (c) Procurement (Para 3.16) (i) works/goods/consultancy Services would be in accordance with Bank Guidelines (ii) standard procurement documents as already agreed with GOI would be used. (d) Training. GOI and GOSs would ensure that recipients of the degree fellowships, on completion of their program, would be placed in job positions for a minimum of three years where they could make full use of their training and that staff selected for the fellowship or degree programs or for overseas training would have at least five years to retirement (para. 4.7). (e) PA Management. Planning and implementation of PA management activities would be in accordance with guidelines agreed with IDA (para 2.9 and Annex 7); (f) Village Ecodevelopment. Planning and implementation of the village ecodevelopment investments would be in accordance with guidelines (including selection process, eligibility criteria, feasibility considerations, acceptability of investment costs, beneficiary contribution requirement, and discretionary reserve) agreed with IDA ((para 2.16 and Annexes 8 and 18). For each PA, SFDs would submit the first three proposals for village ecodevelopment microplans (other than those approved during PPF) for Staff Appraisal Report 37 approval by IDA prior to the implementation of the microplans (para. 2.16); GOSs would adopt government orders on village ecodevelopment consistent with project design by September 31, 1998 (para 4.4). (g) Project Management. Project management activities would be implemented in accordance with arrangements agreed with IDA (para 2.20 and Annex 11); (h) Work Plans, Budgets, and Project Review. MOEF would: (i) submit to IDA for comment the preliminary annual work plan, which would include undated project cost tables, training and contracting plans, and other items agreed with IDA, by September 30, 1997 and on an annual basis thereafter (para. 4. 10) (ii) furnish to IDA final annual work plan proposals, taking into account the comments of IDA, by January 30, 1998 and on an annual basis thereafter (para 4.10) (iii) implement the final annual work plans (para. 4.10) (iv) submit to IDA progress reports, in a format acceptable to IDA, on a semi-annual basis, by June 30 and December 31, beginning in June, 1997 (para. 4.16), and (v) would prepare a mid-term review not later than June 30, 1999 in accordance with guidance agreed with IDA, and would promptly carry out the recommendations of this review (para 4.18). (i) Performance Monitoring Indicators. MOEF and GOSs would use performance monitoring indicators agreed with IDA (para 4.16 and Annex 16) (j) No Involuntary Resettlement. In pursusing the objectives of the Project, GOSs not carry out any involuntary resettlement for any people resident within the PAs (k) Regional Impacts. GOI and GOSs would take steps acceptable to IDA to ensure that activities outside the scope of the project would not undermine effective biodiversity conservation within the project PAs, and would not undermine the implementation of the ecodevelopment strategy in and around the PAs. (para. 5.4 and Annex 7). (1) Guidelines for People in the PAs. Under the project (para 5.9 and Annex 20), GOSs would: (i) Ensure that any proposals for voluntary relocation would be prepared and implemented in accordance with criteria agreed with the IDA and after prior approval of IDA Staff Appraisal Report 38 (ii) For people who opt to remain in the PAs, prepare an indicative list of appropriate village ecodevelopment investments acceptable to IDA, which meets project criteria, and include these people in the village ecodevelopment program (iii) Adopt an explicit strategy and plan for sustainable encroachment control acceptable to IDA before making proposals for programs of voluntary relocation (m) Customary Tenure Rights. GOI and GOSs would ensure that project activities would not erode customary tenure rights over land and other assets of tribals living in the project areas (para. 5.6). Recommendation 6 3 With the above assurances, the project would be suitable for an IDA Credit of SDR 19.5 million (US$28 million equivalent) on standard IDA terms with 3 5 years maturity and a GET grant of SDR 13.9 million (US$20 million equivalent). Staff Appraisal Report 39 Annex 1 Annex 1: Biodiversity Conservation Strategy and Legislation in India Background I. India is uniquely rich in biodiversity due to its diverse physiographic and climatic conditions in the tropics and its location at the confluence of three major biogeographic realms, the Indo-Malayan, the Eurasian, and the Afro-Tropical. It is a country of megadiversity and has 10 biogeographic zones: Trans-Himalayan, Himalayan, Indian Desert, Semi-arid, Western Ghats, Deccan Peninsula, Gangetic Plains, Northeast India, Islands, and Coasts. The main strategy for conserving species has been through the protection of viable representative habitats and ecosystems. 2. Biodiversity conservation has an old history in India, being enshrined in the ancient religions (Animism, Hinduism, Jainism, Buddhism) and diverse cultures of the subcontinent and in the mythology and traditional customs of indigenous peoples (such as the "tree of life" in the Ramayana). In recent history the first codified legislation was the Wild Birds Protection Act in 1887. It was followed by the Wildlife Birds and Animals Act in 1912 (amended in 1935) and the Wildlife Protection Act 1927. After independence the most significant enabling legislation on biodiversity conservation in India was the 42nd amendment to the Indian Constitution, passed in 1976, making protection and improvement of environment and safeguarding forests and wildlife one of the directive principles of state policy. This legislation also brought wildlife and forest protection from the state list into the concurrent list, enabling both the central and state governments to pass protective legislation, that of the former superseding the latter. 3. The most comprehensive act on biodiversity conservation since Independence was the Wildlife (Protection) Act passed in 1972, affording varying degrees of protection to a whole range of animal species under different schedules and enabling the setting up of national parks and wildlife sanctuaries. This Act has been amended subsequently: in 1982 to allow capture and translocation, in 1986 to prevent trade in wild animals and animal products, and in 1991 to afford protection to scheduled plants and to stop commercial felling in wildlife sanctuaries. Other important legislation includes the Environment (Protection) Act of 1986 to prevent, control, and mitigate environmental pollution and to provide for coastal regulation zones, and the Air (Prevention and Control of Pollution) Act of 1987. Another landmark in biodiversity conservation was the ratification of the Convention on International Trade in Endangered Species (CITES) in 1976. 4. Apart from legislation, a number of policy statements have also guided conservation efforts. The National Conservation Strategy (1992) and the Environment Action Plan (1993) give priority to conservation and sustainable use of biodiversity. The conservation legislation, policies, and action plans are reflected in other related policy statements: The Policy on Abatement of Pollution (1992), the National Housing Policy (1988), the National Water Policy (1988), and the National Landuse Policy (1988). 5. A draft bill for a "Conservation of Forests and Other Ecosystems Act" is currently being debated. This bill is expected to curtail commercial felling in forest areas. There are Staff Appraisal Report 40 Annex 1 different interpretations of how the act would affect people's participation in management and conservation of biodiversity. Some believe it would enhance official acknowledgment of people's participation; others believe it would restrict local rights and increase government control. A draft status report on biodiversity has been formulated through nation-wide expert contributions; and a framework has been developed for a biodiversity action plan. A biodiversity conservation act is also being drafted in the light of the Biodiversity Convention. Laws Governing Biodiversity Conservation 6. There are more than 40 central government acts pertaining to various aspects of biodiversity conservation. A much larger volume of state legislation pertaining to biodiversity conservation is beyond the scope of this review. The Wildlife (Protection) Act of 1972 supersedes all state legislation and the Indian Forest Act of 1927. It was amended in 1982, 1986, and 1991 and is a unified national act that enables the constitution and management of such areas as national parks, sanctuaries, game reserves, and closed areas; it specifies the procedures for establishing protected areas, the management parameters for them, and the procedures for allowing or disallowing diverse uses within them. The act also lists the powers and functions of various officials. Under this act: (a) National parks are given a higher level of protection, with no grazing and no private land holding or right permitted within them. (b) Sanctuaries are given a lesser level of protection, and certain activities may be permitted within them for the better protection of wildlife or for any other good and sufficient reason. Human Interactions with Protected Areas 7. Human interaction with wilderness areas is fundamental to human civilization, as long as it does not disrupt ecological processes and the carrying capacity of ecosystems within such areas. More than 50 percent of the protected areas have human populations within and around them living under rights and leases that for the most part have not been recorded. The Wildlife (Protection) Act provides for denotification of sanctuaries to allow for certain human uses.. Protective Legal Coverage Of Biodiversity Conservation 8. The range of species and varieties given legal protection under biodiversity conservation is somewhat patchy, and domesticated varieties receive less coverage than natural biodiversity (Table 1). The institutional structures for conserving biodiversity are equally patchy. The legal and institutional coverage includes the following considerations that are relevant to the Ecodevelopment Project: (a) Identification: The Botanical Survey of India (BSI), the Zoological Survey of India (ZSI), state forest departments, universities, and several independent institutions are actively engaged in the identification and authentication of species and ecosystem types. Staff Appraisal Report 41 Annex I (b) In-situ Protection: Species protection in situ is provided for in the Wild Life (Protection) Act, and its 1991 amendments. Habitat (and ecosystem) protection is directly provided for in the Indian Forest Act, 1927, the Wild Life (Protection) Act of 1972, the Forest (Conservation) Act, 1980, the Territorial Waters, Continental Shelf, Exclusive Economic Zone and Other Maritime Zones Act, 1976 and the Environment (Protection) Act of 1986. (c) Ex-situ Protection: For rare, endangered and domesticated species living outside natural habitats, in gardens, zoos, aquaria, and gene banks, protection and perpetuation of biodiversity is especially important. The Wild Life (Protection) Act, 1972, provides for the protection of some animal species in captivity. There is no legal provision for the ex situ protection of plant species. (d) Access and Extraction: Access to biodiversity and its extraction from natural habitats enables it to be used for economic purposes and affects the status of the habitat and ecosystem type. There are no central govemment acts governing the access and property rights to animals and plants in their natural habitats, except by through ownership of individual, communal or government property. The Indian Forest Act, 1927, governs the extraction of wild flora and fauna and the Wild Life (Protection) Act, 1972, of terrestrial biodiversity. (e) Use: The Wild Life (Protection) Act, 1972 and its amendment of 1991, and the Prevention of Cruelty to Animals Act, 1960, regulate the use of some animals and plants. (f) Trade: The barter, sale, import, export, or exchange of any species or its derivatives affects the status of that species and its habitat. The Wild Life (Protection) Act, 1972, the Destructive Insects and Pests Act, 1914, the Import and Export (Control) Act, 1947, The Customs Act, 1962, and the Marine Products Export Development Authority Act, 1972, govern the trade of selected wild animals and plants and their products. (g) Breeding, Cultivation and Multiplication: The breeding systems of species determine the extent of their genetic variability and the dynamics of habitats and ecosystems they utilize. Artificial or induced breeding techniques are important for propagating captive populations. The Wild Life (Protection) Act, 1972 and its 1991 amendments, govern the captive breeding of some wild plants and animals. (h) Introduction, Augmentation and Reintroduction: There are no central government acts on the introduction, augmentation, or reintroduction of wild or domesticated animals or plants, except for specific legislation on economic plant products, on some domesticated animals, and on the accidental introduction of pests. (i) Release: There are no central government acts governing the accidental release of wild or domesticated plants or animals. Staff Appraisal Report 42 Annex I (j) Movement: The movement of specific wild or domesticated plants and animals is govemed by central govemment acts controlling its trade. (k) Intellectual Property Rights: The are no central government acts goveming the intellectual property rights of wild or domesticated plants and animals. 9. India has ratified a number of international treaties pertaining to the conservation of biodiversitv. 10. Coverage of protected areas is low in the Trans-Himalayan, North East Indian ,and Gangetic Plain biogeographic zones (Table 2) where endemism is high and conservation is critical. 11. Among ecosystem types, forests (Table 3) appear better covered by conservation measures than wetlands, coral reefs, or grasslands. Thus, this larger area of representative, unique and fragile ecosystems, needs protection that is not only guaranteed but also strengthened in relation to existing measures for conservation of biodiversity. Status of Protected Areas 12. PAs are under intense pressures from human populations living within them (>55 percent of PAs) and around them (<80 percent); from traditional rights and leases 40 percent), from traditional grazing by livestock (>40 percent ), fodder extraction (>15 percent), timber extraction (>16 percent), and non-timber forest product (NTFP) extraction (>35 percent). In addition, a significant number of PAs are used by other government agencies (>55 percent ), for public thoroughfares (>45 percent), and for plantations (>45 percent). Protected areas also experience illegal occupation and use (>8 percent), encroachment (>7 percent), and poaching (>55 percent). In terms of PA management, some have plans (>30 percent) with zoning (>20 percent; some have populations that need relocation (>5 percent); some have research and monitoring usually by extemal persons (>23 percent); some have exotic species introductions (>15 percent); and some captive breeding programs (15 percent). In terms of land use and environmental effects, some PAs are affected by forest fires (>20 percent), floods (>35 percent), droughts (50 percent), and/or water pollution (>40 percent). Some have trained personnel (>35 percent) and honorary wardens (>35 percent); but their association with NGOs appears weak (> 15 percent). 13. India is party to several international conventions on biodiversity, so the protected areas system is expected to conserve biodiversity not just for India but for the Earth as a whole. That being so, this system clearly needs strengthening in a variety of ways Future Directions 14. The Ministry of Environment and Forests (MOEF), the Ministry of Agriculture, and the Ministry of Rural Development have joint responsibility for conserving wildlife and biodiversity, and the first ministry has lead responsibility. The policy for biodiversity conservation has been enunciated clearly in the National Conservation Strategy and Policy Statement on Environment and Development (MOEF 1992), MOEF appears better organized for wildlife conservation than for biodiversity conservation. The apparent Staff Appraisal Report 43 Annex I reasons appear to be the broader scope of biodiversity conservation, the joint central and state government responsibility for implementing biodiversity conservation in comparison to the state responsibility for wildlife conservation, and the lack of a clearly defined institutional network for implementing biodiversity conservation. As a consequence, the wildlife institutions are implementing much of the terrestrial biodiversity conservation, even though they have been poorly trained for this additional responsibility. Central and state government strategies need to be developed for understanding, protecting, and using biodiversity on a sustainable and equitable basis, especially to support India role as a party to several international conventions on biodiversity. 15. By definition, the current types of protected areas permitted in the Wildlife Act of 1 972---national parks and wildlife sanctuaries---restrict opportunities for local people to derive benefits from PAs, and so present them with little incentive to participate in conservation. India could benefit from an expanded protective network covering other types of legally acceptable PAs. These might include protected landscapes, multiple resource areas, etc., where mutually beneficial human-wildlife interactions can be accommodated and promoted and multiple, site-specific objectives incorporated into management plans. Several national NGOs are now advocating the concept of community PA management, but this idea is controversial within government and some conservation NGO circles. 16. The M. S. Swaminathan Research Foundation, an environmental non-governmental organization, has set out a list of policy actions and priority goals for biodiversity that central and state governments need to consider: (a) Save prime habitats and endangered species (b) Conserve the entire range of species (c) Meet the minimum needs of the people in an ecologically sustainable way (d) Enhance conservation practices through education and awareness (e) Facilitate community activity for biodiversity conservation (f) Assess the implications of international conventions and agreements on national sovereignty for saving and sharing biodiversity (g) Develop and strengthen effective enabling legislation for biodiversity conservation (h) Strengthen and integrate administrative mechanisms at the community, state, and national levels (i) Ensure that the biodiversity conservation movement is adequately supported at central and state levels with financial, technical, and institutional resources. 17. As a sequel to Agenda 21, the Ministry of Environment and Forests is developing the framework for a biodiversity action plan. 18. Biodiversity conservation is under human pressure from the increasing scarcity of land due to population growth. In addition, India's biodiversity is under severe threat from Staff Appraisal Report 44 Annex 1 industry, especially subsidized forest-based industries . Already industrial interests are trying to denotify established sanctuaries. Addressing the nine-point action plan of the Swaminathan Foundation is an imperative. The Bank's ecodevelopment project for protected areas, which provides for village ecodevelopment incentives while strengthening PA management, is a step in the right direction towards building the kinds of alliances both locally and nationally for biodiversity conservation. Table 1: Legal Coverage Of Biodiversity Conservation In India Biodiversity: Wild Domestic Genetic Coverage: Materials Fauna Flora Fauna Flora Identirication N N N N N Protection in-situ N N N Protection ex-situ N N N Uese _NNN N Trade_ Breeding, cultivation, :-: ---- W ................ .. - -:- multiplication-. .:-:-i:I; -|introduction, |-P.- . .. . augmeintaoution . ...... ........ -| Release N N | N _ N ; ij i> ~~~~~~.. ................... ... .... ...>* <-; Movement P . P Intellectual N N N N N Property Ri hts Note: C = Well covered; P = Partially covered; N = Not covered Source: Kothari, Ashish, and Singh, Shekhar. 1992. Legal Provisions Relating to Biodiversity in India. 44 pp. New Delhi: Indian Institute of Public Administration Staff Appraisal Report 45 Annex I Table 2: Bio geographic Distribution Of Protected Areas In India Biogeographic Zone Area Of India National Park Protected Area (%) No. % No. % 11 Trans-Himalayan 3.1 1 <1.0 2 <1.0 Himalayan 7.8 10 2.5 56 5.0 Deserts 6.8 0 0.0 5 4.0 Semi-Arid 15.5 5 0.2 53 2.3 Western Ghats 4.8 7 1.3 44 9.9 Deccan 43.2 17 0.5 115 3.4 Gangetic Plain 10.9 3 0.3 25 1.3 Northeast India 5.2 4 0.6 17 1.1 Islands 0.3 6 4.7 100 8.3 Coasts 2.4 2 1 ? 1 17 . _ ? Source: IIPA. 1994. Conservation of Wild Biodiversity in India. A Status Report. 347 pp. New Delhi: Indian Institute of Public Administration Table 3: Conservation Measures For Forests In India Measures: Threats Legal Preventive Other Institutional Control Schemes Regulations Structures Clearfelling - - ------ Conversion To Non-Forest 1 : N Use Shifting Cultivation N Selective Felling N :___--___. Conversion To Monoculture N N Flooding by Dams - Mining - Other Disturbance - N Grazing p Fuelwood Collection _ . Exotic Species Introductions - -- N l; :: Fires | Pollution | P:.- - Note: = Good, P =Partial, N None. Source: IIPA. 1994. Conservation of Wild Biodiversity in India. A Status Report. 347 pp. New Delhi: Indian Institute of Public Administration Staff Appraisal Report 46 Annex 1 International Treaties on Biodiversity Conservation 1933 Convention Relative to the Preservation of Fauna and Flora in their Natural State. Adopted 08 November 1933, London. (India ratified on 09 August 1939) 1946 International Convention for the Regulation of Whaling. Adopted 02 December 1946, Washington. (India ratified on 02 December 1981) 1951 International Plant Protection Convention. Adopted 06 December 1951, Rome. (India ratified on 09 June 1952) 1954 International Convention for the Prevention of Pollution of the Sea by Oil. Adopted 12 May 1954, London. (India ratified 23 May 1962) 1956 Plant Protection Agreement for South East Asia and Pacific Region. Adopted 27 February 1956, Rome. (India ratified on 02 July 1956) 1959 The Antarctic Treaty. Adopted 01 December 1959, Washington. (India ratified on 19 August 1983) 1963 Treaty Banning Nuclear Weapon Tests in the Atmosphere, in Outer Space and Under Water. Adopted 05 August 1963, Moscow. (India ratified on 10 October 1963) 1971 Convention on Wetlands of International Importance especially as Waterfowl Habitat. Adopted 02 February 1971, Ramsar. (India ratified on 01 February 1982) 1972 Convention Concerning the Protection of the World Cultural and natural Heritage. Adopted 23 November 1972, Paris. (India ratified on 14 February 1978) 1973 Convention on International Trade in Endangered Species of Wild Fauna and Flora. Adopted 03 March 1973. (India ratified on 18 October 1976) 1979 Convention on the Conservation of Migratory Species of Wild Animals. Adopted 23 June 1979, Bonn. (India ratified on 01 November 1983) 1980 Convention on the Conservation of Antarctic Marine Living Resources. Adopted on 20 May 1980. (India ratified on 17 July 1985) 1982 Protocol to Amend the Convention on Wetlands of International Importance especially as Waterfowl Habitat. Adopted 03 December 1982, Paris. (India ratified on 09 March 1984) 1982 United Nations Convention on the Law of the Sea. Adopted on 10 December 1982, Montego Bay. (India ratified on 10 December 1982) 1983 International Tropical Timber Agreement. Adopted on 18 November 1983, Geneva. (India ratified on 01 April 1985) 1989 Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal. Adopted on 22 March 1989, Basel. (India ratified on 15 March 1989) 1993 Convention on Biological Diversity. Adopted on December 29, 1993. (India ratified on February 18, 1994) Source: IIPA. 1993. Biodiversity Conservation in India. 86 pp. New Delhi: Indian Institute of Public Administration Staff Appraisal Report 47 Annex 2 Annex 2: Current Organizational Structure and Capacity General Management, Staffing, and Financial Support I1. The seven PAs have similar institutional arrangements for PA management, with a conservator-level person in charge of the park. In some cases, like Kerala, this official's major responsibility is the park, with other, smaller PAs also under his or her domain. In cases like Karnataka, the conservator level-official's responsibility is much wider. In such cases the next-level official, namely the deputy conservator of forests or the DFO, is in full charge of the project PA. In all cases these officials are assisted by range officers, foresters and forest guards 2. In combination the seven PAs have a total of about 1800 field executive staff, ranging from a low of 81 staff in Pench to a high of 458 in Gir. Annex 15, Table I specifies the existing staffing levels for each PA. The PAs combined FY95/96 budgets totaled US$4.2 million, ranging from a low of US$250,000 in Pench to US$1,320,000 in Buxa. The "non-plan" budget for the project PAs, which is mainly for base wages, generally represents about one half of total PA expenditures. These budgets represent a significant portion of the total state budget for wildlife activities, reflecting the priority that the states attach to the project PAs. Table I of this Annex presents the specific budgets and financing for each PA. External project financing from IDA and GEF would be in addition to existing levels of financial support for the project PAs and state wildlife programs, which would be maintained during the project period. During the project period, budgets for the MOEF ecodevelopment program in project PAs would be used to cover a portion of the GOI counterpart budget requirements. 3. The Project Tiger scheme, first introduced in 1973, has enhanced support for management activities in the five PAs that are tiger reserves. In addition to centrally sponsored financial assistance for PA management activities in these PAs, Project Tiger provides. (a) 100 percent of central assistance for selected new staff including research and veterinary staff (although the lack of career prospects have prevented tiger reserves from attracting research staff); (b) 100 percemt of central assistance for special wage supplements to staff at all levels; (c) 50 percent of central assistance for subsidizing crop insurance premia of damage to property and life within 5 km of the tiger reserve boundaries, and (d) 100 percent of assistance for grants for permanent disability of staff. 4. Currently, the capacity of the Project Tiger Office is barely adequate to carry out the Project Tiger program. The Project Tiger Office (PTO) is headed by a director, supported by a deputy director, who are both seconded to the states for a four to five year period. There are seven additional clerical staff, plus two peons. Although small in size the PTO has enormous responsibilities for coordinating and supporting programs in India's 21 tiger reserves. PTO's responsibilities include the management of a centrally sponsored scheme for supporting the development and maintenance of activities in the tiger reserves, for providing secretariat support to a high-level Project Tiger Steering Committee, for supporting MOEF ecodevelopment programs around the tiger reserves, for organizing national and international meetings on tiger conservation, for supporting and coordinating research, training, and census activities in the tiger reserves, for liaising with international and national donor agencies and governments, and for responding to public and Staff Appraisal Report 48 Annex 2 parliamentary queries about tiger conservation in India. The PTO has no prior experience with the Bank's financial, procurement, and reporting procedures. Table 2 shows the administrative budget of the Project Tiger Office. Existing PA Management Programs 5. Although management plans exist for all seven project PAs and cover an implementation period of 5 to 10 years, most of these plans have expired or will need updating in the next few years. The status of the plans by PA is: (a) Buxa 1993/94 to 1996/97 (b) Gir 1976/77 to 1990/91 (c) Nagarhole 1989 to 1994 (d) Palamau 1987 to 1997 (e) Pench 1990/91 to 1994/95 (f) Periyar 1986/87 to 1995/96 (g) Ranthambhore 1973/74 to 1983/84 6. These plans are also not as comprehensive as they ought to be, and in particular they do not take full cognizance of the linkages between PAs and local people who depend on the resources contained within them. In addition, PA plans are not adequately integrated into the broader ecological, socioeconomic, and regional sphere. PAs have largely been managed as islands set aside from development. 7. The project PAs are some of the more important PAs in the country and have received more management and financial inputs than most others. However, there is still considerable room for improvement. 8. All of the PAs include legally designated sanctuaries and/or parks. Several also include forest reserve areas that are managed as buffers. Four of the PAs are in the process of upgrading sanctuaries to parks, a process that involves identifying and settling the rights to meet the required prerequisite to final legal notification. Even those PAs that have received final notification (Gir, Nagarhole, and Ranthambhore) face situations of continued resource use and the possibility of legal challenges. All of the sites face the limitations inherent in the Wildlife Act of 1972 which does not make legal provision for multiple use areas within national parks. 9. PAs have been managed as islands from surrounding areas. Forests in the PA surroundings are under the jurisdiction of the territorial wings of the state forest departments, which manage the areas for timber, bamboo and other NTFPs and generally neglect the areas' supportive role in PA conservation. Coordination between PA authorities and agencies working in vicinity of the PA are virtually non-existent. Often, outside agencies implement activities that are detrimental to wildlife, for example., the elimination of wildlife corridors that adjoin the PAs. 10. Current PA management activities depend on availability of funds. They comprise: (a) construction of water harvesting structures such as water holes, check dams, and other small structures mainly for improving dry season availability of water for wildlife; (b) limited programs for removal of noxious weeds and enrichment planting of these areas with fodder and tree species; (c) construction of electric fencing and trenches to keep Staff Appraisal Report 49 Annex 2 animals from straying into surrounding villages, and to keep domestic animals from entering the PAs; (d) quarters for staff, and (e) maintenance of firelines, boundary surveys, and sign posting. Existing Experience with Village Ecodevelopment and PA/Village Linkages 11. There are a number of existing ecodevelopment programs. Small-scale ecodevelopment programs include a centrally-sponsored MOEF scheme (with expenditures of about US$1 million between FY93/94 and FY95/96, other schemes by NGOs (for which specific estimates of total annual expenditures are not available, but are only a small fraction of the MOEF scheme); preparation and training assistance administered by the Wildlife Institute of India with funding from the United Nations Development Program (US$1.3 million spread over several years); and the Forest Research Education and Extension Project support for ecodevelopment programs in the Great Himalayan Nation Park in Himachyl Pradesh and the Kalakad Mundanthurai Tiger Reserve in Tamil Nadu (US$3.3 million spread over five years). All are rather limited in scope and restricted to certain pockets. Evidence to date shows that the government initiatives are generally employing traditional top-down approaches to project planning and implementation, even when program documentation has embraced the principal of a more participatory approach. The relation to reciprocal commitments and linkage to conservation objectives has generally been implicit rather than explicit. 12. Existing efforts confirm the need to develop stronger linkages between the protected area and the local communities in order to implement effective ecodevelopment programs. Currently some forest departments, such as Gujarat, already have used NGOs to cultivate linkages with local communities, and other state forest departments are planning to expand their use of NGOs. However at the moment this use of NGOs is not generally structured and relies on informal arrangements rather than formal contracts. 13. Experienced and professional NGOs already operate in at least four of the sites including Nagarhole (MYRADA & BAIF), Periyar (Peermade), Gir (AKRSP & BAIF) and Ranthambhore (WWF/India, Ranthambhore Foundation, & CEE). MYRADA and AKRSP are nationally recognized leaders in participatory rural development and in the use of PRA methodologies. WWF/India is the leading conservation organization operating throughout India; and BAIF is nationally recognized for its expertise in agroforestry, horticulture, and land use. In addition there are local NGOs at these sites and Palamau, with varying degrees of experience, competence, and interest. SPWD, IBRAD, and Action Aid have played a national role in developing microplanning expertise for JFM, IIPA has served as the national coordinator for the project preparation, and SPWD has served as an advisor to project design. 14. At the village level informal links with youth clubs, mahila sanghs (women's associations) etc. form a part of the institutional arrangements for most ecodevelopment efforts. In many cases, larger NGOs have encouraged these groups as part of overall development efforts, without a specific focus on ecodevelopment. Forest departments have begun to establish contact with these groups as part of the process of preparation for this project. Staff Appraisal Report 50 Annex 2 15. The extent to which forest department officials already have experience relevant to the village ecodevelopment varies from state to state. For example, in West Bengal, the success of the JFM activities has spurred many officers to start involving the communities. Monitoring and Research 16. Monitoring. Annual census surveys have been a part of the management of many PAs in India, especially tiger reserves, for many years. Such surveys have almost entirely focused on large mammals (herbivores and carnivores), and have used many methods such as total count, block count, transect sampling, and pug marks. Such monitoring has been the subject of several criticisms: (a) No coverage of the status of the habitat (which is relatively easy to quantify) (b) The full range of biodiversity has not been covered, e.g. ecosystems, smaller mammals, lower vertebrates, invertebrates, and plants (c) Methods such as total count and block count have no statistical base, hence have low interpretability while making spatial and temporal comparisons (d) Statistically robust methods such as transect sampling often require large samples that are beyond the resources and expertise available to management (e) Tiger pug mark identification is highly arbitrary and requires a very high level of subjectivity and expertise (f) Since the habitat conditions, disturbance factors, and management activities have not been monitored, the results of monitoring of large mammals have to be viewed in isolation (g) The increase in the large mammal population apparent from the annual census is in contradiction with the general degradation of habitat evident in many PAs (h) The absence of participation from others such as local people, NGOs, scientists etc., although in recent years this has not been the case in some PAs. 17. The major drawback of these annual surveys is that there has been no conceptual framework consisting of (a) clearly stated objectives for monitoring; (b) criteria for evaluating the observed trends; (c) statistical model for the survey; (d) attributes of the disturbance and PA management activities, and (e) mechanisms for feedback to PA management. 18. Research. In the past three decades a fair number of ecological studies and status surveys have addressed conservation issues in protected and unprotected forested areas in India. These studies have been conducted by a few institutions in India such as Wildlife Institute of India (Dehra Dun), Centre for Ecological Sciences (Bangalore), Kerala Forest Research Institute (Trissur), Bombay Natural History Society (Bombay), and recently the Salim All Centre for Ornithology and Natural History (Coimbatore). The issues addressed mostly relate to single species, often endangered large mammals and birds (e.g., elephant, Staff Appraisal Report 51 Annex 2 Asiatic wild ass, wild buffalo, Himalayan ibex, Asian lion, snow leopard, lion-tailed macaque, Phayre's leaf monkey, lesser florican, etc). These studies have also mostly concentrated on certain biogeographic zones in India, for example, western Ghats, north-west India, and western Himalayas. Organisations such as some universities, Botanical Survey of India, and Zoological Survey of India have carried out extensive inventories of flora and fauna. The above studies have provided considerable insights into the ecology of individual species and their conservation requirements, and provided some information on the distribution of flora and fauna. Socioeconomic research has been scantier and has addressed issues such as local resource needs and dependency on PAs, ethnobotany, local traditions and culture, and so forth. These studies have been carried out by many organisations such as SPWD, WII, TISS, Institute of Economic Growth, and so forth. 19. Some management decisions and actions (mostly redefinition of existing PA boundaries, creation of new PAs, and stringent policing) have flowed from such studies; by and large, however, there has been no major improvement in the understanding of issues relevant to PA management. As a result, research as it is now practiced, although of considerable academic interest, is often viewed as only of marginal relevance to PA management. 20. There are several reasons for this state of affairs: (a) Research on biological, ecological, and socioeconomic issues has often followed interests or perceptions of individuals and organizations, in isolation from PA management and other interest groups or stake holders. As a result, ecological and socioeconomic studies have often failed to address information needs critical to PA management, even though such needs have sometimes been articulated by the PA management and other interest groups. It is also true that mechanisms for consultations to identify information needs of PAs have not existed. For example, preparation of management plans does not provide an opportunity for researchers to contribute to them. (b) The fair body of information on biological, ecological and socioeconomic issues relevant to PA management that have been generated over the last many years has remained in the custody of numerous government and non- governmental organizations and individuals. Much of this information has not been verified for quality, is not published in a form accessible to PA management, and has not been synthesized so as to meet the information needs of PA management to the greatest extent possible. (c) The lack of adequately trained personnel and well staffed and equipped institutions has been a major constraint in generating information that is relevant to PA management. In such a large country as India, with a very rich biodiversity, more than 500 PAs and large terrestrial and aquatic habitats outside the PAs, the institutions and individuals with adequate expertise and infrastructure for research have been very limited. Only a few national institutions have been actively engaged in ecological and biological research. Capacity to address socioeconomic research related to PA management has been even more of a constraint. There has been no serious Staff Appraisal Report 52 Annex 2 effort to develop research interest and capabilities among institutions (such as universities and NGOs) around or near the PAs that could meet the information needs of the PA management on a sustained basis. National institutes have been overburdened and, moreover, have had to shift their focus topically and geographically in order to meet their mandate at a national level. (d) Some PAs, especially riger teserves, have tried to conduct research by appointing research officers. These attempts have mostly failed due to lack of career opportunities for researchers in the forest departments, lack of infrastructure, funding, and sustained commitment to research. (e) Finally, lack of adequate funds have constrained the extent of research that could be carried out. Moreover with national institutions cornering most of the research funds by virtue of their expertise, local institutions have been starved of funds thus curtailing the development of expertise and research interests in PAs adjacent to them. 21. The emphasis on systematic information collection and use is minimal. The day-to-day pressures of PA management are very high and there is little time and motivation and few resources to collect, manage, use, and disseminate information. For the most part, use of information is reactive. Field staff spend considerable time on non-productive administrative reporting processes. Environmental Education 22. Awareness and education programs have usually been confined to the construction of an interpretation center for visitors and to the preparation of a few posters or leaflets. A few of the PAs show films on wildlife and organize nature camps. Staff conduct most of these programs with little or no NGO participation. The PAs do not have an overall strategy or plan that defines target groups, tools to be employed, types of materials needed, institutional arrangements for implementation (including NGO roles), financial costs, and so forth. Coordination Arrangements in Recent Multistate Natural Resource Management Projects 23. The World Bank has financed many multi state projects in the past, including the recently-closed National Social Forestry Project (NSFP) and Pilot Project for Watershed Development in Rainfed Areas (PPWDRA), each of which covered four states. Two continuing integrated watershed development projects (IWDPs) are also multistate projects. 24. In each case the nodal ministry of Government of India was responsible for clarifying and communicating project concepts to participating states, reviewing progress of project implementation through half-yearly reports and periodic visits to the states, organizing the monitoring and evaluation of the project, and coordinating training programs. Special cells or offices were established in the nodal ministry to enable it to perform the assigned functions. Staff Appraisal Report 53 Annex 2 25. In NSFP, the central support office (CSO) suffered from lack of proper identity. and never had its own clearly designated full-time staff. It lacked adequate financial and administrative powers, and was encumbered by a time-consuming clearance and decision making-process. MOEF engaged seven regional institutions to carry out monitoring, training, and studies on mutually agreed aspects of the project. The results of their investigations were rarely fed into policy-making mechanisms of the states. 26. A Watershed Development Council (WDC) staffed by twenty-three persons was constituted in Ministry of Agriculture (MOA) to perform similar functions in respect of watershed development projects financed by the Bank. Periodic workshops were organized by WDC for exchange of implementation experience by the participating states. Besides coordinating and supervising Bank-assisted projects, the WDC supervises other watershed development programs sponsored by MOA. Panchayat Raj Act 27. A panchayat is a municipal body. The recently introduced Panchayat Raj Act may eventually affect the project's village-level institutional structures. Only a few states have begun to implement this act (e.g. Kamataka, West Bengal). 28. This act seeks to set in motion a decentralization process whereby the benefits of development can reach people at the village level. While different states may have varying structures, in general a three-tier system puts the zilla parishad/panchayat at the district- level. Here elected representatives of the people and an administrative head chief executive officer (CEO), who is an Indian Administrative Service officer handle matters at the district level. A level below is the taluk panchayat, where elected representatives and administrative officers are in charge of a few taluks, each consisting of approximately 30- 35 gram panchayats. A gram panchayat covers about 5000 population. 29. Where a decentralized system is in place - West Bengal, for example - implementation is quicker and people definitely participate more at the grassroots level. It is important to note that planning, prioritization and implementation responsibilities shift to the district level under the panchayat system. 30. Village ecodevelopment committees would not necessarily correspond to the panchayat structure, due to their smaller size and differences between administrative and natural resource management boundaries. However, in some states they are likely to include the local representative of the gram panchayat. Staff Appraisal Report 54 Annex 2 Table 1: Public Expenditures and Funding of Seven Protected Areas Rs. 100,000 Protected Area Actual 93/94 Actual 94195 Estimate 95/96 Planned 96/97 Buxa Tiger Reserve _ 2 2 _ 266 __ State funded non-plan ___ 228 236 299 26_ _2 _ Statefunded plan _ _ 33 29 31 63 GOI Project Tiger 53 _ 51 45 _ 70 ___ GOI Ecodevelopment 32 20 __ 13 __ 21 Bank Forestry 72 100 _ 67 87 GEF/IDA Ecodevelopment __ ___ . 9 228 Total __ 418 436 464 _ 735 Total without Project 418 436 4___ 455 507 Gir National Park & Sanctuary _ ____________ State funded non-plan 126 171 197 _ 167 State funded plan 34 42 46 _ 45 GOI Ecodevelopment 11 4 10 I_Other GOI 121 7 91-3 UNDP Ecodevelopment l GEF/IDA Ecodevelopment 8 215 | Total ____183 220 264 440 _ t_w_thout Project 183 220 256 _ 225 Nagarhole National Park _________ _State funded non-plan 47 109 _ 23 _ 28 _ State funded plan 35 80 32 20 GOI Ecodevelopment _ Other GOI 126 41 40 87 UNDP Ecodevelopment _t_ _ GEF/IDA Ecodevelopment 10 __ Total 208 230 105 135 Total without Project 208 2301 95 __ __ 135 Palamau Tiger Reserve _ | |State funded non-plan 85 83 881 110 State funded plan - 40 361 _ _ 36 50 GOI Project Tiger 1 54 60 75 36 75 GOI Ecodevelopment 33 38 0 50 Other GOI 63 42' _ _ 7! GEF/IDA Ecodevelopment ___ _1 - - _ 105 | Total 275 259 168 390 |Total without Pro ect 275 259 167 285 Staff Appraisal Report 55 Annex 2 Protected Area Actual 93/94 Actual 94/95 Estimate 95/96 Planned 96/97 Pench Tiger Reserve State funded non-plan 15 16 23 35 State funded plan 27 29 19 25 GOI Project Tiger 46 34 42 90 GOI Ecodevelopment 15 12 2 5 Other GOI 8 6 1 10 =Bank forestry project 0 3 GEF/IDA Ecodevelopment 2 160 Total |111 97 89 328 Total without Project Ill 97 87 168 Periyar Tiger Reserve State funded non-plan 36 31 66 75 State funded plan 100 123 115 80 GOI Project Tiger 50 32 29 50 GOI Ecodevelopment 6 13 4 10 Other GOI 1 3 3 World Food Program 1 2 GEF/IDA Ecodevelopment 150 Total 192 200 218 370 Total without Project 192 200 218 220 Ranthambhore Tiger Reserve State funded non-plan 33 48 43 52 State funded plan 58 45 47 57 GOI Project Tiger 56 59 64 178 GOI Ecodevelopment 20 23 10 90 Other GOI GEF/IDA Ecodevelopment 246 Total 167 175 164 623 Total without Project 167 175 164 377 Total of Seven PAs 1554 1617 1473 3021 Total of 7 PAs without Proj. 1554 1617 1443 1917 Staff Appraisal Report 56 Annex 2 Table 2: Public Expenditures and Funding of Wildlife Wings Rs. 100,000 State Actual 93/941 Actual 94/95 Estimate 95/96 Planned 96/97 __ __ West Bengal State funded non-plan 664 735 884 918 State funded plan 91 120 111 165 GOI Project Tiger 85 102 117 136 GOI Ecodevelopment 58 49 41 60 Other GOI 87 101 155 222 Bank Forestry Project 77 165 319 380 _ GEF/IDA Ecodevelopment _ 9 228 Total 1062 1272 1636 2109 Total without project 1062 1272 1627 1881 Gujarat State funded non-plan 157 206 248 203 State funded plan 205 199 174 187 GOI Ecodevelopment 17 1 12 25 _Other GOI 61 47 27 60 UNDP Ecodevelopment GEF/IDA Ecodevelopment 4 1 8 216 | Total 444 454 469 691 Total without project 440 453 461 475 Karnataka State funded non-pan 491 615 602 535 State funded plan _ _235 322 300 220 GOI Ecodevelopment _ _58 51 69 30 Other GOI 309 280 268 551 I UND Ecodevlopmen 2 2 _X | Protected Area Area Biogeographic Zone and Major Vegetation Biodiversity Values Important Species H. State ( Province Buxa Tiger Reserve, 761 2C Central Himalaya Tropical moist & subtropical hill foresi Hligh floral & faunal diversity Large prey-predators, Elephant, West Bengal 315 7B: Lower Gangetic Plains Regional PA connectivity Clouded leopard, Small mammals, 55 Lower vertebrates & invert. Lower vertebrates, invertebrates, C) 391 Orchids & other plant fonns C Gir National Park, Gujarat 1412 4B. Semi-arid. Gujrat-Rajwara Very dry teak forests The only Asiatic lion population Lion rt 258 Dry deciduous scrub forest 1154 Nagarhole (Rajiv Gandhi) National 643 6A: Deccan Peninsula: Deccan Tropical Semi-evergreen; In Nilgiri Biosphere Reserve Large prey-predators, Park, 192 Plateau South Southern Tropical moist & dry Large prey-predator system Elephant Karataka 451 deciduous; Regional PA connectivity Small carnivores, 0 Man made wetlands Lower vert. & invert., Wetlands Waterfowl Palamau Tiger Reserve, Bihar 1026 6D: Deccan Peninsula: Chota Sal dominated & mixed deciduous, & Large prey - predator system Large prey-predators 213 Nagpur bamboo forests Regional PA connectivity 766 Largest forested area in state O ench Tiger Reserve, 758 6E: Deccan Peninsula: Cental Southen Tropical dry deciduous: teak Large prey - predator system Large prey-predators adya Pradesh 293 Highlands domuuded & mixed Regional PA connectivity 157 30S eryar Tiger Reserve, SB: Western Ghats Mountain Tropical wet & semri-evergreen, & Very high diversity & endemism in plants, invertebrates Large prey-predators, Butterflies, Keaa 350 moist deciduous forests; 8 lower vertebrates Herpetofauna, Small mammals, 427 Montane grasslands hids, fems, & other plant fornms O Ranthambhore Tiger Reserve, 1335 4B: Semi-arid: Gujrat Rajwara Tropical dry & northem dry deciduous; Large prey-predator system Large prey-predators, Rajasthan 393 Dry deciduous scrub; Wetlands Hyena, S01 Man made wetlands aracal., 0,_ Water fowls (D X First line shows total sq. km. of protecled area (either tiger reserve or in the cases of Gir and Nagarhole, national park), second line shows sq. km. of core area, third line show sq km of non-core sanctuary & park area, and fourth line shows sq km. of forest reserve & enclave area. Does not include periphery withm project area but outside PAs. (In case of Gir and Nagarhole, the estimated size of the core area reflects past management practice rather than official designation of entire PA as national park which legally treats entire area as core.) Table 2: Project Areas: Demographic Features CiO rt Protected Area Area (sq. Population Population Tribal Percent Comments km.) Density Population Tribal _ Buxa Tiger NA 36,000 NA (47) 15,700 44% No settlement in intended National Park (NP); 37 Forest Villages in Reserve, of which 8 in Reserve, 761 15,600 20 6,500 42% excluded enclaves & 29 in Sanctuary; In addition there are 5 in fixed demand holdings in forcst 315 0 0 0 0% reserve. West Bengal Gir National Park NA 72,000 NA (51) 2,800 4% Hamlets (Nesses) in long-standing NP (core) were resettled in 1970-1986; 54 remaining Nesses in and Sanctuary, 1412 7,100 5 2,800 39% notified NP (pop 2540); Notified NP also includes 3 temple complexes (pop 65) and 14 forest Gujarat 258 0 0 0 0% villages in periphery (pop 4494). Nagarhole (Rajiv NA 70,000 NA(108) 17,500 25% 54 settlements in notified NP, including interior landless laborers and periphery agriculturists.. 0 Gandi) National 643 7,100 11 7,000 99% r Park, Karniataka 192 0 0 0% Palatnau Tiger NA 75,000 NA (73) 55,600 76% 3 Forest Villages in intended NP (pop 630). 102 villages in legally excluded enclaves in Sanctuary Reserve, Bihar 1026 39,000 38 29,600 76% of which 27 are subject to relocation proposed by the Irrigation Dept. 213 630 3 0 100% Pench Tiger NA 48,000 NA (64) 23,000 46% No settlements in proposed NP; already resettled. Reserve, Madhya 758 12,000 16 5,800 48% Pradesh 293 0 0 0 0% Periyar Tiger NA 62,000 NA(80) 15,500 25% 3 Tribal senlements (pop 2036) and 1 agricultural settlement (pop 1820) in Sanctuary periphery. Reserve, 777 3,900 5 2,000 51% There are 225,000 people living within a 2 km. radius of the PA. Kerala 350 0 0 0 0% Ranthambhore, NA 64,000 NA (48) 36,500 57% 4 villages in and on boundary of notified NP (pop 1210); 25 villages in Sanctuaries (pop 3067). Tiger Reserve, 1335 4,300 3 1,000 26% Rajasthan 393 1,210 3 1,000 83% Total Seven PAs NA 427,000 NA (64) 166,600 39% If Nagarhole regarded as 100% core, then core = 2,465 sq. km., total num. of people in core areas 6714 77,000 11 48,800 63% = 8,940, and average pop. density of core = 4 persons per sq. km. 1__ _ 2014 1,840 1 1,630 89% Area: The project area comprises land within a 2 km. radius of the Protected Area (PA). The first line shows that the sq. km. of project area is not available (NA). Second line gives total area of PA (either tiger reserve or in case of Nagarhole, the notified national park, and of Gir, the notified park and sanctuary) including both core and other areas. The third line indicates area of core (in case of Nagarhole, the core is defined in accordance wit past management practice rather than current official designation of entire PA as national park which legally treats entire PA as core). Population: First number includes all project beneficiaries (some but not always all of the people living within 2 km. of the PA boundary). Second number indicates people living within the Protected Area (PA), many of whom live outside the core conservation areas, in enclaves and other parts of tiger reserves where human settlement is allowed. Third number x gives number of people who live in core area, as defined above. Popultion Density: First line shows that persons per sq. km in total project area is not available. Number in parenthesis indicates relative pop. pressures with ratio of people living within 2 km radius to total area of Protected Area (PA). Second line shows number of persons per sq. km in total PA. Third lines shows persons per sq. km. in core. Staff Appraisal Report 81 Annex 6 Table 3: Commercial Collection of NTFP Buxa Gir Nagarhole Annual permits for the Rayan - fruit and thorns Hunse (Tamarindus indica) following amounts: (Manilkara hexandra) Alalae (Terminalia chebula) Kakkebark (Cassia fistula) Totala pods Karamdi (Carissa carandas) Honge (Pongamia pinnata) (Oroxylum indicum) - 20,000 Seege (Acacia coucinna) Amla (Emblica officinalis) Antuvala (Sapindus emarginatus) Naglata shoots Bela (Feronia elephatum) (Bauninia anguina) - 50,000 Bher (Zizyphus mauritiana) Nelli (Emblica officinalus) Dhupa (Ailanthus triphysa) Decorative Golden fungus Aritha (Sapindus trifoliatus) Gulaganchi (Abrus precatorius) (Polyporus spp) - 5,000,000 Gaijige (Caesalpina bounducella) Honey Thupra (Diospyrus melanoxylon) Decorative Sponge fungus Wax Dalechini (Cinnanonum zeylancium) (Agaricus spp) - 9 tones Geru (Anacardium occidentale) Muthuga leaves (Butea monosperma) Narkeli leaves Sagade (Schleichera oleosa) (Pterygota alata) - 200,000 Maggare seeds (Randia dumetorum) Kasarka (Strychnos nux-vomica) Dhundul dry fruit Kadugera (Semicarpus anacardium) (Luffa aegyptica)- 200,000 Lichens Wild tumeric Wild ginger Eachalu (Phonix sylvestris) Makliberu Halmaddi Kallabale Wax Horns Lac Honey Bones Staff Appraisal Report 82 Annex 6 Table 3 contd. Commercial Collection of NTFP Palamau Pench Penyar Ranthambhore Mahua - flowers Tendu patta (Dispyros Cinnamon bark Permits are given & fruits melanoxylon) (Cinnanonum zeylancium) for the following: Lac Tussar Mahua fruit and flowers Kulamavu oil Butea leaves (Butea Cane (Mahua indica) (Kingiodendron monosperma) Honey pinnatum) Chironji (Buchanania lanzan) Tendu patta Thelli powder (Camarium (Diospyros Gum (Stercula urens) strictum, Vatteria indica) melanoxylon) Mahul bhel (Bauhania vahli) Reeds Roofing materials (Grewia spp.) Bamboo Cane Lac Grass Honey Palm leaves Antlers of Cheetal & Sambar Staff Appraisal Report 83 Annex 6 Buxa Tiger Reserve Locafton 1. Buxa Tiger Reserve is situated in northern West Bengal's Jalpaiguri district, on the border with Bhutan and the state of Assam. It covers an area of 761 sq. km, with a core zone of 314.5 sq. km designated as sanctuary (117 sq. km proposed the national park), and the remaining 391 sq. km categorized as forest reserve. 2. The Protected Area includes two distinct types of topography: the southern plains, at an elevation of 150 m, and the northem hills, with elevations up to 1750 m. Several seasonal and perennial rivers, the largest being the Sankosh River, drain the hills. The annual rainfall is about 400 cm, mostly from the southwest monsoon; annual temperatures range from -10° to 40°C. 3. Buxa's combination of habitats - semi-evergreen and subtropical hill forest with tropical moist forest and wetland - shelters a particularly wide and unusual variety of wildlife. Human occupation of the Gangetic Plains has been intensive for so long that representative natural areas are few. The Central and Eastern Himalaya, on the other hand, are a treasure trove of diversity, and a great many floral and faunal elements from the Eastem Himalaya spill into Buxa. People 4. According to the 1991 census, 15,608 people inhabit "forest villages" and fixed demand holdings within the Protected Area. The indigenous population includes Bengalis, Nepalese and members of Scheduled Tribes (primarily Rava, Bhutia, Bodo, Garu and Santal) and the Scheduled Rajbanshi Caste. The British established forest villages at the tum of the century, settlers received up to 0.2 ha of homestead land and permanent cultivation areas up to 0.4 ha in hill areas, or 0.8 ha in the plains. Bangladeshi immigrants, among more recent arrivals, reside on the outskirts of the PA. 5. At present there are 37 forest villages inside reserve boundaries, and eight within the park. Forest villagers derive their income from sources including employment in Forest Department operations (decreasing due to restrictions resulting from the establishment of the PA); intercropping or 'taungya' in plantation areas; collection of NTFP for non- resident permit holders (see Table 3) and other NTFP for themselves, for which no royalties are charged; and traditional agriculture. 6. Forest Department operations account for five fixed-demand holdings within reserve boundaries. For a number of years, the practice of renewing annual fixed demand licenses has lapsed, due to concem that leasing of forest areas for non-forest purposes would contravene provisions of the Forest (Conservation) Act, 1980; technically, these settlements could be considered illegal. 7. Forty-four revenue villages, with a population of 84,648 (1991 census), surround the project area. Scheduled Tribes form 44% of this population; 36% belong to Scheduled Castes. PA authorities have targeted a population of 36,000 for the ecodevelopment project. Staff Appraisal Report 84 Annex 6 8. Urban settlements within 5 km of the reserve include Alipurduar (pop. 26,000), as well as a few large villages. 25 tea estates adjoining the reserve add a population of 125,601 of which over half belong to Scheduled Tribes. 9. Agriculture is the principal activity in the revenue villages adjoining the PA, with rain-fed paddy rice, jute and tea as the main crops. Land is primarily under private ownership (raiyat), but some wasteland is held by the Government as vested land. Tea garden lands are allocated on a long-term basis by the Land Revenue Department. About 20% of rural households are landless or sharecroppers. There are 279 recognized firewood dealers, 26 sawmills, 45 cane processing units and four veneer units in close proximity of the reserve. 10. Approximately 29,000 people visited Buxa Tiger Reserve during 1992-1993. Three-quarters come for riverside picnics around Jainti, others visit two holy caves within the project area, and a small number venture further inside the reserve in order to trek at higher elevations. At present there is little opportunity for local residents to participate in tourism activities, since operations are controlled by the Forest Department. Biodiversity Values 11. Nearly 120 sq. km. of lowland moist forest and large areas of the hill forests are still relatively undisturbed. These forests contain the best remnants of the rich biodiversity in this area. Nine distinct forest types have been identified within PA borders, and 1,000 species of plants, including ferns. 12. The clouded leopard, goral,-Malayan giant squirreL parti-colored flying squirrel, hoary- bellied squirrel, Himalayan palm civet and yellow-throated marten represent larger Central and East Himalayan mammals. Characteristic animals of the Gangetic plains, now rare, include tiger, leopard, elephants, sambar, chital, and otter. Two species historically reported, the wild buffalo and the Great Indian rhinoceros, are no longer found at Buxa but occur in adjoining PAs. 13. This PA is too small in area to sustain populations of large mammals over time. With Jaldapara situated to the west, Butan to the north, and Assam to the east, efforts to maintain and improve wildlife access to other protected areas will be vital to the long-term survival of big animals such as elephants. 14. Birdlife includes the Bengal florican and black-necked crane (only a few sightings), along with a full compliment of Himalayan birds- the 185 reported species are likely to be only a sample. A great variety of smaller mammals, lower vertebrates (fishes, amphibians and reptiles), invertebrates, such as butterflies and moths, and plant forms such as orchids remain to be studied. Blodiversity Pressures 15. Settlements within and adjoining the reserve put great strain on natural resources. (Peculiar to this site is the inability of PA authorities to deal directly with tea estates, as they are considered an organized industry beyond the mandate of the Forest Department.) Staff Appraisal Report 85 Annex 6 16. Compounded by timber and fuelwood collection (for day-to-day needs and for selling to tea estates), crop cultivation disturbs and degrades habitat. Feeding 105,000 head of cattle on PA vegetation furthers degradation and invasion by weeds. Crop depredation by elephants and other ungulates causes conflict between local people and forest managers. Ivory poaching has recently become a major threat to the elephants. 17. Local people collect a wide variety of non-timber forest products - bamboo, cane, fruits, seeds, simul floss, Dioscoria tubers, edible and decorative mushrooms, resins - with little regard for future supplies. 18. Seventy-three fixed-demand licensees and 181 other individuals (including residents of forest villages) have encroached onto Reserve forest lands to establish 300 ha of orange orchards. 19- Forestry operations have had significant impact on native biodiversity with large areas being logged, primarily for sal-wood railway sleepers, and about 28% of the area planted with teak. Mining dolomite from a 12-ha site within the PA is causing major disturbance, siltation and pollution. 20. Flooding occurs and rivers change course every year, damaging large areas and often destroying critical habitats. Social Considerations 21. Since 1991 PA authorities have been using Project Tiger funding for ecodevelopment activities that include crop protection measures, land improvement, fuelwood plantations, energy conservation efforts and education programs. Sixteen Ecodevelopment Committees have been established in the project area, which also comes under a JFM Government Order. Villagers and the Forest Department jointly operate several Forest Protection Committees. 22. Authorities plan to relocate a number of forest villages, with their consent, during the course of the project period. Currently, officials are discussing relocation of one forest village from the reserve. The terms of agreement include provisions for each household to receive one hectare of irrigated land plus housing outside the reserve plus access to forest land, while remaining outside the panchayat system for the time being. PA authorities plan to raise fodder/fruit plantations on the vacated land. Two other forest villages are in more preliminary stages of discussing relocation. 23. The nature of planned ecodevelopment activities raises a number of key social issues which need to be addressed prior to implementation. The effectiveness of the microplanning process will clearly be hindered by the absence of NGOs in the area. Relocation plans for settlements currently within the PA require further elaboration, particularly for those settlements at higher elevations, and for fixed demand holdings where the security of tenure is unclear. As employment opportunities with the Forest Department decrease, the feasibility and appropriateness of alternative income generation strategies, especially for the landless, tribals and women, will require considerable attention. Staff Appraisal Report 86 Annex 6 Gir National Park Location 24. Gir National Park is located in the Kathiawar Peninsula in Saurashtra, Gujarat. The PA covers 1,412 sq. km. of which 258 sq. km is National Park and the remaining area is sanctuary. 25. The rugged, hilly terrain ranges in altitude from 152 m to 528 m. Most of the 100-cm mean annual rainfall comes from the southwest monsoon, temperatures range from 100 to 440 C. There are seven perennial rivers, four man-made irrigation tanks, and 18 year-round tanks. 26. Though the entire park is considered semi-arid, a sharp decrease in rainfall from west to east is reflected in the vegetation, with very dry teak forest in the west giving way to dry deciduous scrub and dry savanna forest in the east. Significantly different vegetation grows in narrow bands along the rivers. A limited area was planted with teak in 1961-62. About 400 species of flowering plants have been reported. People 27. Over 70,000 people lived in the intended project area as of the 1981 census. In 1981, 1,491 (1%) were Scheduled Tribes and 7,486 (6%) were Scheduled Castes. PA authorities have identified a population of 72,000 within a 2-km radius of park boundaries, in 97 revenue villages, to participate in ecodevelopment. Within the park itself are 54 pastoral settlements or 'nesses' inhabited by 2,540 Maldharis; 14 forest villages, with a population of 4,500 residents including 239 Siddis, a Scheduled Tribe of African origin; and three temple complexes occupied by 65 people. 28. Neighboring villagers mostly grow groundnuts, cotton, sorghum and sugarcane and raise livestock. Especially during the monsoon, grazing territory lies primarily within the PA. 29. Maldharis, with settlement and grazing rights in the park, raise livestock and sell milk products (usually clarified butter and milk for those with access to markets). Between 1972 and 1986, 580 Maldhari families were resettled from the area currently defined as national park to new locations, with land for cultivation, on the periphery of the PA. Some have continued in livestock production, while others have taken up wage labor. 30. The temple complexes of Kankai, Banej and Tulsishyam occupy 3,522 ha of land in the protected area, some of which is given over to cultivation, and 20 ha of which is leased from the Forest Department. Though the park is closed to tourists during the monsoons, pilgrims tend to visit throughout the year. 1992-93 saw some 80,000 pilgrims, mainly from Gujarat, accommodated in a variety of temple-owned, private and state- government facilities. 31. In 1992-93, 45,000 tourists came to see the animals. The Forest Department operates a guesthouse in Sasan, and an Interpretative Park for tourists in Devalia. Locals benefit from tourism by operating several small lodges in Sasan and are employed as guides. Staff Appraisal Report 87 Annex 6 Biodiversity Values 32. In the 64,000 sq. km of the Saurashtra peninsula, Gir remains the only patch of natural forest. Its unique importance is as the only home for the last surviving Asian lions in the wild, currently thought to have recovered from fewer than 50 to an estimated population of 284. . 33. The highly productive grass-and-shrub landscape supports large numbers of grazing animals including four-homed antelope and Indian gazelle as well as chital, sambar and nilgai. Large carnivores include leopards and striped hyena as well as lions; noteworthy smaller mammals include the rusty spotted cat. 34. Also notable are the lesser florican and a rich assortment of birds of prey (especially during migration) and substantial populations of marsh crocodile and starred tortoise. Smaller mammals, lower vertebrates and invertebrates have not been studied. Biodiversity Pressures 35. In the past, Gir NP has experienced considerable trouble from timber smuggling and animal poaching. With the active cooperation of local people, much of this illicit activity has been successfully controlled. The cumulative effect of human activities such as logging, plantations, fire and grazing has resulted, however, in the dominance of thomy and fire-hardy plant species and an abundance of weeds. Moreover, the total conversion of surrounding land to intensive agriculture has isolated the ecosystem. 36. Continuing issues concern the impact of local demand for grazing and fuelwood; crop loss caused by wild animals; loss of livestock, and human lives, to lions. 37. Residents of 54 Maldhari settlements and 14 forest villages within the park and villagers from around the protected area maintain 100,000 head of cattle on (Gir's vegetation. Human settlement and the intense grazing pressure have severely impacted biodiversity, though the ungulate population rebounded when some of the grazier community resettled outside the PA. 38. Traffic: four public roads that pass through the PA are heavily used by pilgrims, tourists and the local populace; three temple complexes are located on disputed lands inside the PA; the number of tourists is increasing; and a railway line passes through the PA. Increased human traffic increases the chance of fire. 39. The singularity of the Asiatic lion population leaves it extremely vulnerable to local catastrophe, such as drought and disease. This isolation is relatively recent, since lions were recorded in adjoining states even early this century. There are plans to translocate lions from Gir, to create a second population. Social Considerations 40. The Maldharis have a long and close association with the fauna and flora of Gir. While many have moved away from their traditional grazing areas and some from their traditional livelihoods, their indigenous knowledge of the area could play an important role in managing the PA for biodiversity conservation. 41. Key social issues in Gir concern the process of relocation, the implications of tenure for forest villagers and the relationship between PA authorities and local people. Staff Appraisal Report 88 Annex 6 Long-term, the Forest Department has a relocation plan for another 361 families presently living in the Sanctuary. Some families appear willing to relocate in order to obtain better economic returns by selling milk rather than milk products, and to gain access to health and education facilities. A key factor in successful voluntary relocation of Maldhari graziers will be the ability to provide alternatives that provide facilities and income equal or superior to current conditions. The inability of forest villagers to obtain credit increases pressures on PA authorities to change tenure status or provide income-generating activities. 42. In addition to small-scale agriculture and NTFP-collecting, (see Table I), forest villagers continue to work in the shrinking forestry operations. As they lease their land from the Forest Department for 15-year periods, they are unable to obtain mortgages in order to raise funds for investment and are asking the Forest Department to convert leased land to revenue areas. Although this demand clearly raises concern, PA management has no plans to relocate forest villages. Nagarhole National Park Location 43. Nagarhole National Park, in the Kodagu and Mysore districts of Kamataka state, covers an area of 643.4 sq. kin, with a core zone of 192 sq. km. and a tourism zone of 1 10 sq. km. 44. The mostly undulating terrain ranges in altitude from 701 to 959 meters. Annual rainfall runs about 177 cm, and temperatures range from 170 to 30° C. Sources of water include five large perennial rivers and about 40 artificial water tanks, many used year-round. 45. Forests dominate the area: southem tropical moist mixed deciduous forests, southern tropical dry deciduous forests, southem tropical semi-evergreen forests (found only in patches in the westem shelter parts of the park), teak plantations and, in the eastem parts of the park, scrub forests resulting from heavy human pressure on the original dry deciduous forests. Small areas of low-lying swamps, locally known as 'hadlus', are a unique and critical habitat, providing ungulates with water and forage during the summer. 46. Although some elements reflect its Westem Ghat classification, the Nagarhole National Park resembles the Deccan Peninsula biogeographic zone in topography, vegetation and animal life. Larger carnivores include tiger, leopard and wild dog; large ungulates include gaur, sambar and chital. Four-homed antelope are found in the drier parts. Numerous bodies of water support a rich assortment of birds such as the lesser whistling teal, adjutant stork, osprey, shahin falcon and spoonbill. Marsh crocodiles are also important. Lower vertebrates and invertebrates have not been studied at all. People 47. The total population in the project area was 72,652 as of the 1981 census. Over 6,888 (8%) belong to Scheduled Tribes of Jenu Kurbas, Betta Kurbas, Hakki-Pikki and Yeravas, who live inside the park along with five non-tribal families. Within a 5-km radius Staff Appraisal Report 89 Annex 6 of the boundaries PA authorities have identified a population of 66,507, in 96 revenue villages, to participate in project activities. Findings from a PRA carried out in 14 of these villages also identified Gowdas, Lingayaths, Odigas and Kodavas, as prominent social groups in the area. 48. The tribal groups who live in the park collect NTFP such as honey and fruit for their own consumption (see Table 1) to supplement their income from labor at nearby coffee estates and forestry operations. Some groups have already been resettled from the core zone to areas they are no longer permitted to cultivate. Tribal groups still grow 40-50 ha of ragi and paddy in the park, however, supplemented by wild-collected foods. Non- tribal people cultivate another 10 ha in a revenue enclave. On the fringes of the park are settlements mainly of Odigas who cultivate 300 ha of land leased annually from the Forest Department, and 300 ha of land for which they have tax receipts but no pattas. In addition the tribal Yeravas encroach on another 300 ha of forest land in the north west. 49. Outside the park, the primary occupation is agriculture. Most farmers grow ragi, jowar, paddy and livestock; those with larger holdings grow tobacco and cotton as cash crops. Marginal cultivators and the landless earn money by working at nearby coffee estates and forestry operations, and collect NTFP. 50. Nagarhole has demarcated two tourism zones. PA authorities provide accommodation near the eastern side, where a complex has also been built by government and leased to a private company for operations. On the southern boundary the Karnataka state government operates a lodge near the Kabini Reservoir. Approximately 21,000 people from the region visited the park in 1992-1993. Local people gain little from tourism other than the opportunity to labor in guesthouses. Biodiversity Values 51. The most important biodiversity value is the large predator/prey system. Herd densities are amongst the highest in India, comparable even to the African savanna. The abundance of small carnivores and water birds, again one of the highest in protected-area forests, is another notable feature. 52. As part of the 4500-sq. km Nilgiri Biosphere Reserve, Nagarhole is a significant component of one of the largest conservation areas in India, and a central link in the seasonal migrations of elephants to Bandipur National Park in the southeast and Wynad Wildlife Sanctuary in the southwest. Biodiversity Pressures 53. The high density of wildlife in the park and the varied activities of the large human population on its periphery result in problems for PA authorities and local people. Important concerns include losing crop and livestock production, and human lives, to elephants and other animals (somewhat contained by elephant-proof trenching); meeting local demand for fuelwood (particularly for curing tobacco), timber and grazing (because access to park resources is restricted); losing income because collecting NTFP is now prohibited; poaching of elephants for ivory, and increasing tourism and tourism facilities in the area. Staff Appraisal Report 90 Annex 6 54. Agriculture inside the park threatens wildlife as swamps are drained and converted to growing fields. About 5,000 head of cattle graze inside the park, mostly in the buffer zone, leading to habitat degradation and weed invasion. 55. Ninety sq. km of the park are planted with teak; large grazing animals may survive, but biodiversity in general suffers. 56. Considerable areas in the eastern parts are heavily degraded due to human pressures. Ecorestoration efforts are going on in these areas with the planting of native species. 57. The dry deciduous forest is very prone to fire during the dry season. In recent years, major fires have caused extensive damage. Social Considerations 58. Tribal groups in the park have strong cultural attachments to their forests. Traditional livelihoods and social organization depend on forest ecosystems, and forest resources are key to local belief systems. 59. Under the terms of the Indian Wildlife Act (1972) settlements within a national park are considered illegal. PA authorities had therefore proposed that between 1993 and 1996, 1550 households currently residing within the park be relocated to forest areas on the periphery. To date no relocation has occurred since funds for the approved plan have yet to be released by the Government of India. A local human-rights NGO (Fedina Vikas) has expressed concern over the relocation process, especially as it affects tribal non- cultivators. Evidence suggests that they may be more willing to relocate, however, than those who own or have access to arable land. Redefining park boundaries could be more effective than resettlement as a means of resolving illegal habitation by farmers. Meanwhile, plans to continue with relocation have been halted in order to gather information on the extent of consent and possible terms of agreement, and to carry out a small-scale anthropological and ecological study on tribal groups and their relationship with natural resources in the area. 60. A critical social issue in Nagarhole concerns tribal groups in the PA. The establishment of a PA has restricted access to forest resources and affected traditional livelihoods. Tribal groups are being incorporated into the larger commercial economy outside the PA, as they pursue wage labor in nearby estates for necessary supplemental income. Questions arise over the loss of indigenous knowledge and tribal cultural heritage, and their ability to integrate successfully into a cash economy. The issue of current limited access to PA resources, and possible further restrictions resulting from the new Forest Conservation Act, will continue to strain relationships between PA authorities and other stakeholders. Staff Appraisal Report 91 Annex 6 Palamau Tiger Reserve Location 61. Palamau Tiger reserve, located in the Palamau district in southwest Bihar, is 1026 sq. km. in area. The core zone encompasses 213 sq. km, 766 sq. km of the buffer zone form the Palamau Wildlife Sanctuary, and 47 sq. km is reserve forest. Some 29 sq. km of this area is designated as a tourism zone. An area of 225 sq. km covering the current core area plus a portion of the sanctuary is the intended area of the proposed Betla National Park. In the southwest, the PA shares a border with the state of Madhya Pradesh. 62. The terrain of the PA is undulating and hillier to the south, with altitudes ranging between 300 m and 1140 m. Most of the annual 105-cm rainfall arrives with the southwest monsoon; temperatures range from 10 C in winter to 480 C in summer. Only one river and a few water tanks provide water year-round. 63. The PA falls within the Deccan Peninsula biogeographic zone, in the Chhotanagpur Plateau province. Forests are largely deciduous and, especially in the moister south, dominated by sal. Vegetation is classified as moist and dry peninsular sal forests, northern secondary moist and dry mixed deciduous forests; dry bamboo brakes; teak plantations; and grassy blanks (discarded shifting cultivation areas). 64. The large predator/prey system includes tiger, leopard, striped hyena, wolf, gaur, sambar, barking deer and chital. More than 170 species of birds have been recorded. Lower vertebrates and invertebrates have not been studied at all. People 65. Three villages (pop. 630, BSFD 1990) are found in the core zone; most of these people are Scheduled Tribes of Oraon, Kherwar, Korwa, Munda and Brijia. According to 1991 census data, 30,795 people, in 102 villages, are located within legally excluded enclaves in the sanctuary buffer area. Another 89 villages within a 5-km radius of the sanctuary have been selected to participate in ecodevelopment activities, to give a total population of 75,000 targeted for this project. While exact demographic figures are not available, 1991 census data for the larger surrounding population of 99,907 indicate that 56% belong to Scheduled Tribes and 15% to Scheduled Castes. In addition to those already mentioned, Scheduled Tribes in the area include Chero, Parahia and Birhor. The target population includes 27 villages in and around the western portion of the sanctuary which will be submerged and whose people will be resettled if the Kutku dam is built as planned. 66. Since forestry operations have been cut back, forest dwellers have become increasingly dependent on agriculture and other forms of wage labor made available by PA authorities. As with many similar settlements in India, security of tenure depends on administrative decision-making by the Forest Department, which usually allows limited access to grazing, fuelwood and small timber. Villages in the sanctuary are legally excluded from the core zone but retain rights, subject to permission from the Forest Staff Appraisal Report 92 Annex 6 Department, to grazing, fuelwood, small timber, some NTFP and the production of lac and tussar on the payment of royalties. The primary occupation of villagers in the sanctuary is crop and livestock production, with some supplemental income from PA management activities. 67. Agriculture is also the main occupation of the population residing in revenue villages in the remaining project area. Similar access to forest resources is permitted, and additional benefits have been made available by the management of new protected forests. 68. Tourism is currently restricted to the northern portion of the reserve. There are plans to extend it, however, into part of the intended national park and current sanctuary. The reserve had approximately 35,000 visitors in 1992, with October being the most popular month. The extent of local participation in tourism is not known, but is unlikely to extend beyond the provision of vehicles and occasional employment as guides. Biodiversity Values 69. The most important and characteristic value this PA has to offer is its highly-diverse large predator/prey animal community, which includes a large population of elephants. The fairly extensive and not severely-disturbed sal that covers most of the southern parts is among the best forest in the state of Bihar. Several plants used in traditional medicine grow here. Biodiversity Pressures 70. Annual census estimates of larger mammals indicate that many species have increased in number since 1987, while none have declined. Agriculture and subsistence gathering by nearly 630 tribal people, however, and grazing by their nearly 700 head of cattle, strain the resources of the core zone. 71. Timber-smuggling and the ongoing extraction of bamboo and non-timber forest products are a major source of disturbance and degradation in the buffer zone. 180 villages in and around the buffer zone, with a cattle population of about 85,000, place heavy demands on fuelwood, timber and fodder. Farmers resent crop and livestock losses due to predation. Humans often cause forest fires, which destroy some 1.3% of the PA every year, degrading natural forests and hampering regeneration in degraded areas. 72. The Kutku Dam of the North Koel Multipurpose Hydroelectric Project, which would flood 15 villages (of which 5 are within the tiger reserve), and affect access to another 12 villages (of which 8 are within the tiger reserve), could indirectly threaten Palamau. A ten-point action plan regarding relocation resulting from the Kutku Dam would, according to PA officials and NGOs, prevent encroachment on the PA, but has yet to be implemented. The Water Resources Department has not yet met the conditions in the action plan. If nevertheless the dam proceeds, the Forest Department is concerned that displaced villagers will seriously encroach on the reserve. Another possible area to be submerged, the Auranga Reservoir in the western part of the reserve, also raises problems of resettlement, but is currently only in an exploratory stage. Staff Appraisal Report 93 Annex 6 Social Considerations 73. No information is available on sites of cultural significance in the project area. However, tribal groups are likely to have strong cultural associations with forest ecosystems, which supply key aspects of local indigenous belief systems. 74. In 1984 a relocation plan for the three forest villages located in the core zone was prepared and potential sites selected by villagers. Currently the PA has no plans for relocation. Pench Tiger Reserve Location 75. Located in the Seoni and Chindwara districts of Madhya Pradesh, Pench Tiger Reserve covers an area of 757 sq. km, with a core zone (intended national park) of 293 sq. krn, a tourism zone (intended national park) of 55 sq. km., a wildlife sanctuary of 118 sq. km and 308 sq. km of reserve and protected forests. 76. The PA covers the southem lower ranges of the Satpura Hills and forms the catchment for the Pench River, which runs through the center of the reserve. Rolling terrain includes hills up to 650 m. Annual rainfall, mostly from the southwest monsoon, is about 120 cm; temperatures range from 2.7°C in winter to 47.6°C in summer. Most streams and rivers are seasonal; the main source of water during dry months is the Totladoh Reservoir, in the south central part of the PA, formed as part of the Pench Hydel Project in 1990. 77. As part of the Deccan Peninsula biogeographic zone, the reserve has extensive stands of the dry deciduous teak and mixed forests typical of the central Indian highlands, though much of the teak has been drowned. The area has been worked and subjected to shifting cultivation in the past. 78. The more open woodlands and savanna-type habitat support many herbivores and their predators. Nearly 40 species of mammals and 168 species of birds have been recorded. Lower vertebrates and invertebrates have not been studied. People 79. The 1981 census counted 50,000 people in the intended project area (99 revenue villages), of whom Scheduled Tribes, primarily Gonds and their sub-divisions, comprise 46% and Scheduled Castes, 8%. Other social groups found in the area are Patels (usually land-owners), Kirars and Ahirs (a Scheduled Caste). There are no villages within the intended national park boundaries. Findings from the PRA carried out in over 10 villages around the national park suggest that 80% of families suffer from varying degrees of poverty, and that most of these families belong to Scheduled Tribes. 80. For villagers living in and around the PA, agriculture and livestock production are the primary occupation, with wheat, soybean and maize as the major crops and vegetable production. Since many are marginal cultivators, and 45% of the employable workforce does not have access to land, employment in forestry operations, wage labor, NTFP Staff Appraisal Report 94 Annex 6 collection (for food and supplemental income, see Table 1) and fishing are also important sources of income. Villages on the south-eastern border (Seoni district) tend to be more dependent on forest resources for both food and income. Scheduled Tribes and other forest-fringe dwellers also have nistar rights, which subsidize access to forest resources (primarily fuelwood). 81. At present, visitors are allowed in a tourism zone in the eastern section of the intended park, but future plans include another entry point in the southwest. Visits to the reserve dropped dramatically from approximately 3,000 to 1,000 in 1992-93, when entry was restricted to petrol vehicles. The limited accommodation available helps keep visitor numbers low. Opportunities for local participation are restricted to occasional employment as guides for visitors, a policy which the Forest Department hopes to promote further. Biodiversity Values 82. Although endemism and species richness per se are low (as is typical of Central Indian highland regions), the PA maintains regional connectivity that is critical to the large predator/prey system, by providing access to Kanha National Park through Rukhad forests. Biodiversity Pressures 83. Extensive harvesting of teak through the early 1900s drastically altered the original vegetation in most of the forest. Grazing and fuelwood collection continue to degrade large areas in the buffer zone. The core zone has been free of such impacts for many decades, allowing restoration. 84. There are no villages in the national park area, but with one in the sanctuary and a large population on the periphery, human pressures continue to have a major impa;t on biodiversity: (a) Forest fires, at a rate of about 5 sq. km per year, degrade forests and prevent regeneration. (b) Overgrazed areas have been invaded by weeds. (c) Crop depredation by chital, nilgai and wild boar is a major source of conflict between villagers and forest managers. 85. Many issues center around limits on access to forest resources brought about by the establishment of the national park (grazing is still allowed in parts of the sanctuary): NTFP collection, especially the extensive collection of tendu patta for cheroot production; antler collection; fisheries prograrn in the reservoir and restrictions on fishing (and poaching in response to outside-agency control of irfigation tanks and fisheries); declining employment opportunities in forestry operations. Water shortage is a problem. Social Considerations- 86. Ecodevelopment efforts funded by Project Tiger currently extend to seven villages and include irrigation improvements, pasture development and the provision of drinking water. 87. Relocation of villages inside the proposed National Park was completed in 1994, with the relocation of 27 households from Chhedia. Under the terms agreed, each Staff Appraisal Report 95 Annex 6 household received 2.5 ha of unirrigated revenue land, housing, access to forest resources plus employment opportunities in forestry operations. Forest Department officials estimated that the process incurred expenses of Rs 49,000 per family. Forest Department officials continue to support earlier relocated villages, providing employment opportunities in forestry activities and general infrastructure. 88. Key social issues in Pench include finding appropriate mechanisms for the active participation of marginal social groups, such as women, landless and Scheduled Tribes, in the microplanning process. The absence of NGOs able to participate in microplanning and larger-scale monitoring activities is a concern. As access to forest resources and employment decreases, successful alternative-income generating strategies will have to adequately address the economic needs of those concerned without undermining their cultural heritage. More information is required on local indigenous knowledge and cultural associations with the PA. 89. Data on cultural associations with the reserve is very limited, although information on Gonds exists on a more general level for the state. Local people consider the Pench River an important site for performing birth and death rites, and local tribal groups celebrate several festivals in the PA. Periyar Tiger Reserve Location 90. The Periyar Tiger Reserve, located in the Idukki district of Kerala, covers an area of 777 sq. kmi, of which 350 sq. km is the core zone (intended national park), 377 sq. km is sanctuary buffer zone and 50 sq. km is a sanctuary tourism zone. 91. In the southern half of the Western Ghat mountain range, the PA encompasses one of India's 18 'biodiversity hot spots'. Situated at a general elevation of about 1,000 m (the highest peak is 2,119 m), the hilly terrain gives rise to perennial and seasonal streams and rivers and collects water for power generation in the Periyar reservoir. The area receives an annual rainfall of about 250-3 50 cm, from the southwest and northeast monsoons; temperatures. 92. Typical of the Western Ghat biogeographic province to which it belongs, the vegetation consists mostly of closed forest, dominated by tropical wet evergreen and moist deciduous forests and often including large areas of bamboo brakes. Montane grasslands take over above 1500 m. The wet evergreen forests are most important in terms of biodiversity; the more open moist deciduous forests host a large predator/prey system. People 93. PA authorities and national consultants (IIPA) identified a population of 225,000 (1981 census) within 2-km of the reserve for inclusion in the project. However, given the limited duration of the current phase of the project, project planners need to reduce the target population to a more manageable size. A revised target population of 58,144 would select villages within the 2-km radius. Of these, 25% belong to Scheduled Castes and 4% to Scheduled Tribes. Staff Appraisal Report 96 Annex 6 94. At present there are four settlements, total population 3,856, in the reserve. Three (pop. 2,036) are tribal settlements of Mannans, Paijyans, Uralis and MalaArayans, resettled from the core zone in the 1950s. The fourth settlement (pop. 1,820) is of landless families given land in 1962 under the "Grow More Food Scheme". There are no plans to relocate these groups who resettled just 30-40 years ago. 95. Tribals living within the reserve pursue a variety of livelihood strategies. In the case of Mannans, incomes often fluctuate dramatically, with 60% of the population being seasonally poor. Fishing provides their primary source of income, supplemented by cultivating pepper, collecting honey and resin and working for wages at nearby estates. 96. Paliyan tribals sell fuelwood and honey and work in forestry operations, in addition to farming. Urali tribals grow cash crops such as cardamon, oranges and coffee, in addition to staple foods. Similarly, MalaArayans are agriculturists growing cash crops of rubber, coffee and pepper as well as collecting NTFP (see Table 1). None of the resettled tribal groups have title to the land they occupy and cultivate. 97. Outside the reserve, in addition to working individual agricultural holdings, local people earn wages at tea, coffee, cardamom and rubber estates. Households are not clustered in traditional villages or hamlets but scattered throughout the landscape. Land is cultivated intensively, producing both staple foods and cash crops. Some encroachment has occurred on the northern boundary of the buffer zone. 98. Periyar Tiger Reserve is a very popular destination for tourists and pilgrims. During 1992-1993 an estimated 350,000 tourists and 30 million (from Forest Department Plan; IIPA estimates 10 million) pilgrims visited parts of the reserve. The negative effects of such huge numbers intensify as they cluster around river trips, popular driving routes and the Sabarimala Shrine. 99. Local people earn more from tourism as they establish tea-shops and lodges on the periphery to serve visitors. Pilgrims also provide local economic opportunities, mostly as a market for fuelwood rustled from the reserve. 100. The temple dedicated to Lord Ayyappa at Sabarimala and, to a lesser extent, the Mangaladevi temple, are important religious sites attracting large numbers of pilgrims from the region and elsewhere. Tribal groups, particularly those residing on the fringes of the reserve, also have strong cultural associations with forest areas, with forest resources forming key components of indigenous belief systems. Biodiversity Values 101. About 5,000 of India's 15,000 species of flowering plants are found in Periyar's expanse of wet evergreen forests (often called 'rainforests'). More than 150 new species and 15 new genera have been described in the last 30 years (Nair & Daniel, 1986). About 60 genera, mostly monotypic, and 2,100 species are endemic to Western Ghats. Species richness is especially high among bryophytes, pteridophytes, orchids and some select families. 102. The wet evergreen forests also harbor a rich and endemic fauna., particularly among lower vertebrates. Of 205 species of amphibians reported in India, some 120 are from the Western Ghats and 85 are endemic. Large proportions of whole groups of amphibians are Staff Appraisal Report 97 Annex 6 endemic; for example, 14 out of India's 17 species of limbless amphibians (Caesilians). Some groups of reptiles, such as lizards, show similar propensities. Al 33 species of burrowing uropeltid snakes in India are from the Westem Ghats. Among fishes, nearly 60 species are endemic to the Western Ghats. 103. Species richness among birds and mammals isalso high with most of the species in the peninsula represented. Endemism is largely confined to smaller mammals such as the lion-tailed macaque, Nilgiri langur and the stripenecked mongoose. About 15 of 560 species of birds are endemic. 104. Available information on invertebrates indicates great species richness and endemism, much of which remains to be documented. Western Ghats forests exhibit great richness and endemism among butterflies (nearly 350 species) and moths (nearly 700 species) -the second highest count in India. 105. Apart from supporting a rich and endemic flora and fauna, the Periyar Tiger Reserve also supports large populations of many species found elsewhere in India. The large predator/prey system is complex. There is a large population of elephants. The small camivore community is also well-represented, with 15 species. 106. Periyar's forests connect with others outside its boundaries, especially to the south and southeast. Although the Westem Ghats region has one of the best systems of protected areas in India (Rodgers & Panwar, 1985), the forests are highly fragmented. Periyar plays a key role in maintaining the regional connectivity that ensures seasonal migration, dispersal, and genetic flow of large- and medium-sized mammals, and birds. 107. The area is the source of well-known and widely-used spices such as cardamom, black pepper and cinnamon. Other plants are used in traditional and modem medicine, and in industry. Biodiversity Pressures 108. Critical environmental issues for PA authorities concern the impacts of large numbers of visitors and of commercial forestry within the reserve. Past investments in a 26-sq. km reservoir and in 55-sq. km of eucalyptus plantations are a significant presence. Very few humans are in residence. Wildlife monitoring during the past few years shows no reduction in numbers of large carnivores and ungulates. There are localized problems associated with crop depredation by wild animals and demand for natural resources, particularly grazing and fuelwood. Finally, PA authorities face a range of illicit activities such as timber- smuggling, animal-poaching, NTFP collection and marijuana cultivation within the project area. 109. Threats to biodiversity include: (a) Pilgrimage: millions enter the reserve every year between November and June to visit the Sabarimala Temple. Tree-cutting for fuelwood and minor construction needs, accumulation of solid wastes, accidental fires and disturbance to wildlife are serious problems. (b) Tourism: in the absence of altemative energy sources, fuelwood needs for large numbers of tourists are mostly being met from within the PA. Staff Appraisal Report 98 Annex 6 (c) Hindustan Newsprints Ltd: the very existence of 55-sq. km of eucalyptus plantation has a negative impact on the PA, since monocultures support only a fraction of the native biodiversity. Felling operations disturb animals and often lead to poaching. (d) Ganja cultivation is a major threat, because forests are often clear-felled for this purpose and cultivators often engage in poaching. It is also a serious law-and- order problem. (e) NTFP: a wide variety of non-timber forest products such as cinnamon, danimar and honey are collected indiscriminately. Some of these activities have direct impact; harvesting cinnamon bark often kills the tree. Indirect impacts include accidental and intentional fires. (f) Fire: dry-season (December to May), forest fires are often man-made. They affect mostly grasslands and the drier, often degraded, forests, hampering regeneration. Social Considerations 110. Key social issues in Periyar concern the difficulties faced by tribal groups and the management of cultural sites. Mannan tribals experience seasonal poverty due to an inability to manage large amounts of cash influxes from cash crop sales. Coordinated efforts are clearly required to address this problem and help integration into the larger economy. Given increasing restrictions on access to forest resources, alternative livelihoods for traditional forest-dwellers will need to be both culturally sensitive and economically feasible. There is also a need to manage cultural sites and visitors in the PA in a manner which would minimize negative environmental impacts and increase support for biodiversity conservation. Ranthambhore Tiger Reserve Location 111. Located in the Sawai Madhopur district in southeastern Rajasthan, the Ranthambhore Tiger Reserve covers an area of 1334.6 sq. km, consisting of a national park of 392.5 sq. kin, (274.5 core zone and 118 sq. km buffer zone) the Sawai Man Singh Sanctuary (127.6 sq. km), Keladevi Sanctuary (674 sq. km), Kawalji Game Reserve (7.6 sq. km) and some reserved and protected forests (132.9 sq. km). 112. The Aravallis and Vindhyan mountain ranges meet in this area, presenting two different geological formations. Altitude ranges from 215 m to 507 m, temperatures range between 40 and 470 C, and the annual rainfall is about 80 cm. There are six lakes and three perennial streams within the PA. 113. Classified as being in the semi-arid biogeographic zone, Gujrat-Rajwara province, the dominant vegetation in the reserve is tropical dry deciduous and dry mixed deciduous forest. Human impact in many areas has reduced the original vegetation to dry deciduous scrub and Staff Appraisal Report 99 Annex 6 grasslands, the latter presently having important wildlife values. The vegetation in the plateau is grassland and open woodland, dominated by drought-resistant species such as Anogeissus pendula, Acacia catechu and Boswellia serrata. 114. The rich assemblage of large predators/prey includes tiger, leopard, striped hyena, chital, sambar, nilgai and Indian gazelle. Other species of interest are caracal, ruddy mongoose, several water birds and marsh crocodile. Nothing is known about the lower vertebrates and invertebrates. People 115. National consultants identified 211,695 people within 10 km of the reserve to be included in the project. Considering limits on time and facilities for the current phase of the project, this number has been reduced to 64,000. 116. WWF-India (1994) identified 85,000 people, in 85 villages, for possible inclusion in ecodevelopment activities. Four more villages, with a population of 1,210, are on or very close to national park boundaries; another 3,067 people live in Kailadevi and Sawai Mansingh sanctuaries. Project activities would need to address major urban settlements near reserve boundaries, such as Sawai Madhopur, Khandar and Karauli (combined population, 82,000). Data on the reduced target population indicate that 13% are Berwas (a Scheduled Caste) and 32% Meenas, the dominant Scheduled Tribe. Other groups include Gujjars (25%) and Malis (15%). (Khan, 1994) 117. Most area villagers live on crop and livestock production, supplemented by some income from NTFP (see Table 1). Agricultural villages occupy revenue land and have variable access to communally-held forest land and various types of state forests. Primarily pastoralist communities of Gujjars keep buffaloes and cattle, and depend economically on the sale of milk products. The reserve, and particularly the outlying sanctuaries, lie on the migratory routes of nomadic sheep herders. Tourism is becoming an increasingly important activity for urban settlements, especially Sawai Madophur, although it is unclear whether local residents capture much of the tourist expenditure. 118. Approximately 29,000 tourists and 180,000 pilgrims visited the reserve during 1992-93. Most tourists base their visits in Sawai Madhopur, where a number of private and state hotels and guest-houses are run mostly by out-of-town entrepreneurs. PA authorities have made efforts to increase local participation by training guides, whose employment represents only a small part of tourist expenditure. Other opportunities for local people appear to be limited to employment in hotels and guest houses. 119. Ranthambhore Tiger Reserve protects a significant cultural heritage in addition to wildlife. Like the Kailadevi and Ganesh temples, which attract large numbers of pilgrims, Ranthambhore Fort (built in 994 AD) has come to define the landscape around it. Resettled villagers continue to visit places of religious significance associated with their original village location. 120. Twelve villages were resettled from the national park between 1976 and 1979. Terms agreed at the time have gradually materialized; e.g., legal title to land and facilities such as schools. There are proposals for relocation of four more villages, inhabited mainly by Gujiars, from close to the park boundary. Two villages, Padra and Kuthkuli, have Staff Appraisal Report 100 Annex 6 expressed some interest. As elsewhere, those without cultivable land appear to be more willing to relocate than those with access to land. The other two villages, Indala and Mohdungri have also reported some interest in moving if they receive land of their choice. Biodiversity Values 121. In undisturbed semi-arid areas, palatable grass and shrubs support one of the highest- biomass livestock populations, although species diversity and endemism per se are low. Ranthambhore, with its complex grazing system and rich assemblage of large predators/prey, typifies its biogeographic zone. Pure stands of Anogeissuspendula, characteristic of the Aravilli Hill ranges, has almost disappeared from most of its range except the Ranthambhore Tiger Reserve. As a forested hill tract, the reserve plays an important role in soil and water conservation. Biodiversity Pressures 122. Not extensively worked in the past, the core zone remains free of the heavy human pressure suffered by the rest of the PA in the present. Villagers and urban residents place intense demand on natural resources in other zones, particularly for grazing and fuelwood, which at present cannot be satisfied outside the reserve. As fuelwood requirements for numerous villages and a few large towns are gathered from the PA, large areas are severely degraded, affecting plant and animal commnunities. 123. Nearly 250,000 head of cattle are seasonally dependent on resources in the PA, mostly outside the core zone, firther degrading large areas. Wildlife and livestock end up in direct competition; native vegetation lacks time to regenerate; weeds invade. Meanwhile, some villagers on the periphery report losing up to 30% of their crops to wild animals. 124. Although poaching, often by the Moghia tribe, had been chronic to this area, in recent years there has been a reported increase that especially threatens PA tigers. 125. The increasing numbers of visitors to the reserve pose problems of PA management, since tourists concentrate in the core zone, and pilgrims at temple sites. Social Considerations 126. Ranthambhore has a history of hostile relationships between local people and PA authorities, problems of coordination among NGOs and PA authorities, delays in terms and processes of resettlement, and increasing pressures on resources from growing urban and rural populations. Outsider encroachment on village common lands removes that land from use for fuelwood and fodder plantations. Indigenous and local knowledge can make important contributions toward ecological restoration in the buffer zone and relieving the pressures on the PA. StaffAppraisal Report 101 Annex 7 Annex 7: Improved PA Management': Overview 1 Improved PA management would use specialist advice, studies, workshops, associated travel costs, training, and staff to: (a) Improve PA planning processes and building capacity to (i) improve PA management plans (ii) incorporate PA concerns into regional planning and regulation (b) Protect and manage ecosystems and habitats within the PA to: (i) restore ecosystems and habitats (ii) control fire, poaching, and animals (iii) manage enterprise and visitor enclaves and (c) Upgrade PA amenities for field staff. Improving PA Planning Processes Strengthening PA Management Plans 2. Context. Management plans exist for all seven project protected areas (PAs). They usually cover a 5 to 10 year implementation period. However, most of these plans have expired or will need updating in the next few years (see Annex 2). These plans are also not as comprehensive as they ought to be; in particular they do not take fully into account the links between PAs and the local people who depend on the resources contained within them. In addition, PA plans are not adequately integrated into the broader ecological, socioeconomic and regional sphere. Forest department staff have largely managed as PA islands set aside from development 3. Additions. Revision of PA plans would include, in addition to normal updating, specific consideration of: (a) More complete incorporation of ecological considerations in PA management (b) Broadening participation and cooperation of local people and outside groups (c) Incorporation of initiatives supported under other project components. 4. Incorporation of Ecological Considerations. Management of ecological systems within PAs requires an understanding and appreciation of ecological principles and processes operating in and around the PA and the acceptance of the concept that PA Guidelines subject to revision to reflect experience in practice. Revision will be documented through exchanges of letters and comprehensive updating as needed. Staff Appraisal Report 102 Annex 7 management is a specialized form of land use. The context of the project PAs gives scope for improving ecological planning and management. Some specific issues for consideration in PA planning are: (a) Rationalization of PA boundaries. Most PA boundaries and the demarcation of core, buffer, tourism, and other use zones are largely defined on administrative or legal bases. They often do not reflect protection requirements for the full range of ecosystems or species in the area. Ecological considerations include the protection of representative samples of ecologically important habitats and migratory routes of far ranging species, and the adequacy of the shape and size of PAs needed to cover the entire range of botanical, ecological, and geomorphological features. Ecological boundaries used as the basis for defining PA limits and zoning may also increase the potential for maintaining and establishing links or corridors between isolated wildlife populations whose members have been fragmented by human interference and physical barriers. Rationalization would also take into account the tenure rights of local people (including customary tenure rights of tribals) living within the protected areas. Currently there is very little information available for each PA to provide a sufficient basis for an ecological approach to PA management. The project would therefore support the preparation of baseline ecosystems maps for each PA. These maps would include information on the distribution and diversity of ecosystems within and adjacent to the PAs. They would also include other information such as geomorphological features, distribution of communication systems, regional development features, location of villages, land use, and so forth. They would be used for making decisions as to the management and zoning of land within and outside the PAs. Boundary changes, if any, resulting from the rationalization analysis would be envisaged as a one-time decision; because continuing boundary changes could undermine regulatory effectiveness. (b) Management of forests and other lands surrounding PAs. A crucial element in conservation strategies is the protection of biodiversity outside the PAs as well as inside. Reliance on PAs alone risks creating a siege mentality rigorously protective of species and communities inside the boundaries, while exposing those outside to practices that promote their exploitation or destruction. Most of the project PAs are bordered by reserve forests managed for timber, bamboo, and non-forest products, with little or no consideration for the conservation of biodiversity. The project would consider mutually enhancing ways to promote conservation in both PAs and their surrounding areas. This would enable PA plans to recommend improvements to operations in surrounding areas that would enhance biological diversity and ecological conditions in buffer and fringe zones. The plans would include workshops and technical support for the review, development, and coordination of ecologically friendly guidelines Staff Appraisal Report 103 Annex 7 to be incorporated into forest working plans and other land use operations and mechanisms. PA authorities should coordinate with the territorial and production arms of their respective forestry departments and other land development agencies in developing and implementing the new guidelines. (c) Protection of ecosystems and habitats. More often than not, PAs are managed with an emphasis on the conservation of the larger, charismatic species found within the PA (tiger, elephant, leopard, lion, etc.). These species are the more important, and often the most threatened species in the PAs. However, specific strategies and management interventions are necessary not only to protect the individual species, but to also preserve the larger ecosystems in which they live, and to meet India's obligations under international conventions (e.g., Ramsar). PA planning updates should therefore emphasize an ecological approach with a view to managing the totality of botanical and zoological species and ecosystems in the area, including boundaries and linkages between ecosystems such as riparian fringes, floodplains, and other similar habitats. 5. Broadening Participation and Cooperation of Local People and Outside Groups. Since ecodevelopment is considered to encompass all interactions between people and PAs, the full range of options available to PA managers to enhance the inter- relationships should be taken into consideration in PA planning. (a) Processes for stakeholder participation in decision making through direct consultation, representation on committees, participation in planning workshops, etc. People living in and around PAs are dependent on PA resources and are the most affected by the establishment of a PA, but are rarely invited to participate in decisions regarding its management. This has often alienated PA neighbors. Similarly PAs have lost support and face increased outside threats from other agencies and stakeholders who have been left out of PA planning. PA planners would provide an opportunity for these groups, including NGOs, to take part in the updating of PA plans. Planning workshops and informal village-level meetings would identify ways of involving local groups more directly in PA management.. (b) Mitigation (within the PA boundaries) of negative impacts of PAs on people. Damage to crops and livestock caused by wildlife in areas surrounding PAs is a major cause of hostility towards PAs. Such hostility will block effective village ecodevelopment programs if relations between PAs and local people are not improved through measures to reduce the impact of crop damage. The problems of crop damage would be discussed as a supplement to the participatory microplanning of village ecodevelopment. Measures for their mitigation could include research on animal behavior, and the location of site-specific solutions to problems within the PA boundaries in consultation with the affected people. (c) Winning cooperation of local people by sharing PA byproducts and employment opportunities. Past experience has shown that PA relations Staff Appraisal Report 104 Annex 7 with local inhabitants can be enhanced when people see the PA as providing them with direct benefits and have a long-term stake in sustaining resources. Such opportunities exist. An interpretation of the Wildlife Protection Act allows the chief wildlife warden of each state to restore habitats within the PA to improve conditions for wildlife. If properly structured and implemented, this provides for generous benefit sharing arrangements of PA byproducts such as teak removal, employment, cutting grass from firelines, sustainable NTFP collection, etc. These benefits would be of mutual benefit to both the PA and local people and forge cooperation. Similarly tribal villagers with intimate knowledge of the PA can be given preference for employment as PA staff. Employment opportunities also exist in infrastructure construction, road maintenance, anti-poaching programs, community protection groups, etc. (d) Developing cost and benefit sharing arrangements for PA enterprises. New strategies for tourism and visitor management in PAs could also provide direct benefits to local people and scope for broadening local participation in management and benefit-sharing. Such opportunities could include enterprise operation and ownership of tourism facilities, provision of guide services, handicrafts, catering, etc. Revenue could be captured and shared by designating a portion of entry fees, licenses, concessions, royalties, commercial use of indigenous knowledge, and so forth to local participants. Of particular importance to the project would be studies aimed at ensuring financial sustainability of PAs beyond the life of the project and at developing participatory ecotourism strategies. (e) Developing inter-agency linkages in support of PAs.. Alliances would be forged through formal (state or PA-level coordinating committees, planning workshops, etc.) and informal mechanisms. Such linkages have several purposes. (i) Leveraging financial and political support. Agencies whose work depends on the benefits derived from the protection of natural areas can be supportive of the PA authority even when they are not directly involved. Examples are links between the irrigation sector that depends on the watershed value of the PA to support downstream water development works, or the public and private tourism development agencies that depend on PA resources for attracting visitors. In some of the project PAs there are opportunities for direct cooperation with these agencies to generate resources and benefits for local people and thereby win support for the PA. In Nagarhole, PA authorities and the Taj Group of Hotels have a common interest in maintaining the health of the PA and should work together to ensure the reduction of threats to the PA and the protection of its resources (ii) Disseminating PA plans Political support is needed for adequate funding. PA management plans would be widely circulated in a Staff Appraisal Report 105 Annex 7 form and content that is easily understood by local people who tend to see PAs as chunks of productive land that are legally inaccessible.. Specific awareness and publicity programs should be launched in each PA to gain support for conservation. (iii) Debating critical PA issues. Such issues are usually complex and sociopolitical and can have such wide ranging repercussions, that a resolution may lie beyond the scope of the PA manager. The project establishes channels for ensuring wider discussion of these issues that include PA planning workshops, inter-agency coordination fora, special studies, etc. In resolving interagency land-use conflicts and overlaps in planning, it is suggested that PA management authorities strive to establish such a relationship within the overall framework of the state-level coordinating committees. PA management authorities should have at their disposal sufficient resources to bring technical support for examining the conflicts and defining mutually beneficial resolution of them based on scientific study and analysis. (iv) Integrating implementation with efforts by different local agencies and specialized groups. Channels of coordination, collaboration, and information sharing would be created under the project with research, education, and planning programs and NGO networks to help harmonize activities. PA management authorities should take the initiative in using these channels to ensure complementarity of activities and a more effective deployment of financial and manpower resources. For example, hydrological investments could include the protection of reservoirs or catchment areas that would cover a portion of the PA management costs. Another possible result would be the modification of timber harvest patterns in PA surroundings to reduce damage to the environment or wildlife. 6. Financial Sustainability Strategy. The project would support a state-level strategy study on financial sustainability. For most states, it would not be politically feasible to expect to adopt this strategy within the first two years of the project, so the PA management plan would reflect the current status of the strategy. Terms of reference for the strategy study, are included at the end of this annex. 7. Incorporation of Initiatives Supported Under Other Project Components. The revised PA plans would also incorporate project initiatives such as the integration of PA concerns into regional plans (described below), the operation of village ecodevelopment activities (Annex 8), environmental education and visitor management (Annex 9), monitoring and research (Annex 10), project management(Annex 11), environmental review (Annex 17) social assessment (Annex 18), and people in the PAs (Annex 20). Staff Appraisal Report 106 Annex 7 8. Steps to Improve PA Management Plans. In order to address current inadequacies and bring in new considerations for improving PA plans, the Wildlife Institute of India (WII) would be contracted to review existing PA plans, develop draft guidelines for plan update, organize a national workshop to consider the draft guidelines, and provide training to PA staff for preparation of revised plans, (see terms of reference in Annex 11). The project would also support interdisciplinary planning teams, PA-level workshops, publicity for management plans, and arrangements for plan updating on a continuing basis. The process would include the following steps (a) Establishing Broad Operational Framework. WII would review the existing PA plans of the seven project areas to determine how far they meet the considerations described above. A national workshop, including representatives from the seven project PAs, would formulate guidelines for updating PA plans. The strategy would incorporate procedures for updating the plans, would identify technical and scientific support needed, and define a schedule for preparing the plans. (b) Agreement on PA-Level Framework. The broad national strategy would provide the basis for adjustment to meet site-specific needs. Workshops at the PA level would identify key issues and define approaches for identifying and integrating regional and local concerns. Regional development agencies and other stakeholder groups, NGOs, local community representatives, etc. would be consulted and participate in these workshops. (c) Special studies to address PA concerns. As part of the plan revision process, the project would support specific studies for each PA. Studies would include, for example, development education and awareness strategies, assessment of environmental impacts of specific regional development programs on PAs (e.g. impact of the North Koel hydropower project on Palamau in Bihar, impact of fisheries development in Pench in Madhya Pradesh, etc.). Strategies to be supported under the project would include ecotourism development strategies for Periyar in Kerala, Pench in Madhya Pradesh, and Ranthambhore in Rajasthan; a strategy for management of the Sabrimala Temple enclave in Periyar (Kerala), etc. Since baseline maps of the PAs are not comprehensive or do not exist, the project would provide support for the preparation of these maps. The recommendations of the studies would be incorporated into the respective PA plans. (d) Form Planning Team. Previous PA plans have been prepared by a single individual or a small group of forest department staff However, the updates require new components, such as regional and policy evaluations, that, would need the services of an inter-disciplinary team. The necessary mix of skills in planning, ecology, sociology, regional development, etc. is not available within the PA staff. These services would, therefore, have to be drawn from outside agencies, NGOs, and planning institutions so the project would provide financial resources for PA update, including the Staff Appraisal Report 107 Annex 7 hiring of specific technical services, as and when required. PA managers would select a planning officer for each PA who would coordinate and guide the revision of the plan. The planning officer would either be the PA manager himself (if he has the time) or another officer, working in close collaboration with him. These officers would be provided training at the WII in plan preparation. (e) Gather basic background information and prepare the plan. To be done after the PA-level workshops and concurrently with the special policy and technical studies in support of PA planning. This will consist of review of all materials available, enabling legislation, socioeconomic and cultural information; field inventory and collection of new and additional data; review of potential effects of regional development activities and special requirements of adjacent inhabitants; and compilation of the plan This process is expected to take about 8 to 12 months and would include regular consultations with technical specialists, regional development agencies, NGOs, local communities, etc. (f) Finalize and publicize plan. Before finalization, all stakeholder groups, regional, local, and national, as well as the Bank would have the opportunity to review the plan and to comment on its recommendations in order to better ensure consensus and understanding. An environmental impact review by a national institution contracted for the purpose, would ensure that plan recommendations are in keeping with the objectives of conservation of biodiversity and beneficial to the environment. This is recommended to give more legitimacy to PA plans, since they currently have no legal status or approval process. PA managers would ensure publicity for finalized plans, to broaden understanding, awareness, and acceptance among regional agencies, community groups, and politicians. (g) Establish arrangements for plan updating on a continuing basis in the future. Incorporating PA Concerns into Regional Planning and Regulation 9. Context.. Local and regional activities in the vicinity of PAs, including the programs of other development agencies, may threaten the integrity of PAs or the implementation of the ecodevelopment strategy.. Examples of possible threats in the seven project PAs include the North Koel multipurpose hydroelectric project in Palamau, the potential reservoir and irrigation conveyance project in Buxa, and fisheries development in the reservoir in Pench (for more information and other examples see Annex 6). PAs can be successful in realizing their long-term conservation goals only to the extent that their priorities can become integrated into large scale land use planning initiatives and regulations at the local and regional levels. To attain this, PA managers need to identify and assess at an early stage, activities with the potential for harming PAs. 10. Project Covenant on Regional Impacts. On a more specific level, project investments would be cost effective only to the extent to which activities outside the scope Staff Appraisal Report 108 Annex 7 of the project do not undermine the project objectives and strategy. To address this concern, assurances were obtained at negotiations that the state and national governments would take steps acceptable to the Bank to ensure that activities outside the scope of the project would not undermine biodiversity conservation within the PAs, and would not undermine the implementation of the ecodevelopment strategy in and around the PAs. To accomplish this, the government would apply its own environmental assessment regulations and would also incorporate additional standards described below. If the government proceeded with an activity that undermined conservation or the ecodevelopment strategy according to the criteria listed below, the project would cease to provide financing to that PA. 11. Criteria to Assess Adverse Impacts. Regional activities would undermine biodiversity conservation in a project PA or undermine the ecodevelopment strategy if they cause: (a) A probable increase in the level of encroachment into the PA that is not adequately mitigated. This would include displacement of people by submergence from a dam in the vicinity of a PA without an effective resettlement and rehabilitation program to mitigate PA encroachment. Bank experience has demonstrated that careful consultation with affected people and restoration of the incomes would be essential in this situation. (b) Probable disruption of migrations of ecologically important species---for example, net loss of wildlife corridors. (c) Fragmentation, or other change in legal status of any part of the PA that would materially and adversely affect the viability of ecologically important ecosystems and species (d) Fragmentation, or other change in legal status of any part of the PA that would materially and adversely affect the ecodevelopment strategy of decreasing negative interactions and increasing collaboration between local people and government managers. To be consistent with the ecodevelopment strategy, conversion, fragmentation, or changes in legal status would need to comply with the Bank's Operational Directive 4.20 on Indigenous People, which is described in Annex 20. This would include recognizing and resolving the customary tenure rights of indigenous people. (e) Displacement of people in and around the PAs in ways that would materially and adversely affect the project strategy of decreasing negative interactions and increasing collaboration between local people and government managers. As in the case of (a) above, Bank experience has demonstrated that that careful consultation with affected people and restoration of the incomes would be essential. 12. Application of Criteria. Project support for regional planning and regulation would provide the mechanism for the project staff to ensure compliance with the project covenant on regional impacts. During the first year of the project there would be an initial Staff Appraisal Report 109 Annex 7 inventory and preliminary assessment of existing and proposed activities that would include advice on extent of adverse impact and need for environmental assessment or other follow-up actions (see terms of reference in Annex I 1). This exercise would result in one of the four possible outcomes: (a) The CCF (Wildlife) may be able to immediately certify that the activities would have no adverse impacts. (b) Situations where impacts are minimal and do not require full assessment may, instead of a full environmental assessment, require interagency discussions and adjustment to meet PA and wildlife interests as represented by the CCF (Wildlife). (c) The CCF (Wildlife) may be able to immediately recognize that the likely impact of the activities would be adverse according to the above criteria, would not be possible to mitigate, and therefore should not proceed. (d) PA authorities may decide that the activities need a full environmental assessment and/or resettlement plan including scoping/baseline survey, consultation, management plans, and monitoring plans. MOEF would then review this environmental assessment and/or resettlement plan, making use of existing environmental protection regulations and the project guidance on resettlement best practise. MOEF would then require that the proposed development program include adequate funds to implement, manage and monitor the environmental management and/or resettlement plan. During the review, MOEF may conclude that the likely impact of the activities would be adverse according to the above criteria, would not be possible to mitigate, and therefore should not proceed. In addition to monitoring by the sponsoring agency, the CCF, Wildlife, with support of contracted specialists as necessary, would independently monitor the implementation of the environmental mangement and/or resettlement plan on behalf of MOEF. 13. Conflict Resolution. Conflicts raised by stakeholders, NGOs, and others over the application of criteria that cannot be resolved by the state CCF, Wildlife or by MOEF officials responsible for environmental assessment compliance, would be refered to the Project Steering Committee, which would include NGOs and other contracted specialists involved with the project at the national level. The Bank would be kept informed of these conflicts and their resolution. The project also provides monitoring and independent NGO studies which may identify potential conflicts and suggest possible resolutions. The Bank review would focus on whether the Government is complying with the agreed guidelines and procedures. The Bank would also retain the authority to interpret and apply the regional impacts covenant as necessary. 14. Capacity Building. Project support would not focus solely on enforcement of the legal covenant. The project would help PA authorities to develop appropriate mechanisms that would provide the continuous and sustainable detection and monitoring of outside activities. Under a project contract, an expert instititution would develop guidelines for the integration of PA concerns into regional planning and regulation, including detection, Staff Appraisal Report 110 Annex 7 assessment, and monitoring (see Annex 11 for terms of reference). The contracted institution would investigate the application of the Environmental Protection Act (EPA) in the PA context. In particular the contractor would identify the nature and scope of actions to be prescribed, describe the permissible limits of applicability of the law, and recommend the next steps to strengthen appropriate monitoring, regulation, and enforcement mechanisms. The contractor would also identify adjustments required for investment proposals that have already received environmental clearnance based on earlier, less comprehensive standards. Where necessary, contractor would obtain assistance from other specialists (e.g., resettlement specialists, anthropologists and tribal representatives). The project would help PA authorities to acquire the minimum skills needed to recognize the major potential impacts of surrounding developments. The project would also fund technical expertise to analyze conflicts and develop appropriate strategies for mitigation and avoidance. 15. Environmental Site Review. When used wisely and early in the planning phase, site review associated with environmental assessments (EA) can be an important regulatory control for protection of PA resources. Wherever possible, PA authorities should attempt to persuade agencies concerned to consider alternative sites or routes outside the PAs, or to take adequate precautions to avoid or reduce adverse impacts on the PA. For large-scale proposed investment proposals in the vicinity of the PAs, the project would make use of existing environmental protection regulations that give special notified status to the areas surrounding PAs. The project would also include provision to analyze smaller-scale activities in the vicinity of the PA at the local level, as well as project-related investments themselves. Each PA would obtain the services of an ecologist and sociologist on contract to assist the PA authorities address the environmental and social concerns of both project and non-project activities. The project would also include guidance and specialized support for continuing environmental review and social assessment of proposed project investments. 16. Resettlement Caused by Non-Project Activities. Non-project activities causing resettlement could affect the project either by contributing to encroachment into fragile parts of the PA or by undermining the spirit of collaboration being established through the ecodevelopment strategy. To prevent these negative impacts, resettlement and rehabilitation for these activities would need to incorporate best practice, including (a) an accurate and current baseline survey, (b) careful and comprehensive consultation with local people and host communities, (c) restoration of living standard of local people, (d) fill compensation for land and other assets including those of indigenous people held under customary tenure, (e) support acceptable to affected persons during transitional phase, and (f) an explicit strategy and plan for sustainable encroachment control. The detailed plan documentation would confirm consistency with these best practices. Subject to decisions to be taken during microplanning, village ecodevelopment investments in and around the PAs may help to restore the living standards of local people. Subject to the additional consultation, the special voluntary relocation program of the Ecodevelopment Project might also provide additional financing for people living within the PAs. However, such financing by the Ecodevelopment Project would be incidental, and would be directed toward ecodevelopment objectives, not the needs of non-project investments. Agencies Staff Appraisal Report III Annex 7 initiating the non-project activities (e.g. irrigation department, electicity board), not the state forest departments, would be responsible for the full costs of resettlement and rehabilitation associated with their investments. 17. Liaison. The project would also support the incorporation of PA considerations into regional planning on a more general and comprehensive level. Assessment and mitigation of regional impacts and integration of PA concerns into regional development plans requires good working relationships with local and regional planning and management authorities and with local communities. These relationships can be based on a clear formulation of local conservation needs and objectives that can in themselves usefully contribute to the development of regional plans Such plans should attempt to set goals and standards for the development and conservation of natural resources since these will help to guarantee that the output of multiple land-use systems can be sustained without foreclosing options for future use. Ecosytem Protection and Habitats 18. Protecting and Managing Ecosystems and Habitats. During project preparation, the PA authorities developed an indicative list of activities based on existing plans and available information. The scope and nature of these activities differ from PA to PA and in most cases would be very site specific. The broad categories of activities are: (a) Ecosystem and habitat restoration (b) Improving fire, poaching, and animal control (c) Managing enterprise and visitor enclaves. The updated PA management plans described above, once completed, would determine the specific content of investments in this subcomponent. For each PA, the states would submit the updated PA management plans for approval by the Bank prior to implementation of the plan. However, investments in ecosystem protection and management would be required prior to the likely completion of the PA management plan updating.. Initial Investments 19. Eligibility Criteria of Initial Investments. To ensure the environmental soundness of such interim activities, PA officials would have to demonstrate first that the activities would: (a) Conserve biodiversity (b) Be urgently needed (c) Not foreclose options being considered for the updated PA management plans (d) Be consistent with existing PA management plans (e) Be technically feasible (f) Not erode customary tenure rights of tribals and Staff Appraisal Report 112 Annex 7 (g) Be environmentally sustainable. 20. Planning and Clearance Process for Early Investments in Protecting and Managing Ecosystems. To accomplish the above, PA managers would follow the steps listed below: (a) Preparation of annual operational work plan and endorsement of work plan by PA Coordinating Committee (b) Review of annual work plans by PA director in collaboration with contracted organizations to ensure activities meet the eligibility criteria outlined above (although subject to further environmental and social review) (c) Preparation of site plans, engineering specifications, layouts, etc. for each activity, including a review of their environmental and social impact; and review and approval of site plans and designs by the World Bank, as appropriate (d) Implementation of activities according to workplan (e) Monitoring of progress, performance, and impact of PA management activities in collaboration with contracted organizations (f) Incorporation of monitoring findings and interim status reports on PA management plan updating into subsequent annual work plans. Types of Investments 21. Ecosystem and Habitat Restoration. The project would aim to restore and maintain biodiversity in the PAs through well targeted and researched restoration works and associated staff supervision aimed at improving the viability of habitats and populations in the PAs and immediate surroundings. Although restoration technologies cannot quickly restore the diversity that existed prior to degradation, they can break the cycle of resource degradation and re-establish a community of indigenous organisms. In the project PAs, existing restoration plans include eradication of weeds, improving conditions for natural regeneration of food and fodder species, stabilizing and improving conditions in areas prone to extensive soil erosion; and special control structures such as electric fencing and stone walls to reduce grazing pressure on fragile areas from domestic animals. Additional programs in indicative plans include the water conservation works in areas where there is a serious shortage of water for endangered animals during the dry seasons. The location and extent of the ecosystem and habitat restoration works would evolve from the project-initiated PA management planning process. These interventions would be site-specific and based on a careful consideration of alternatives and the need to maintain or enhance ecosystem integrity of the PA. 22. Fire, Poaching, and Animal Control. Effective conservation of PAs can only be achieved by restricting or controlling activities that might have a detrimental impact on PA resources. Investments would include communications equipment, a limited number of vehicles and boats, minor access track improvements, fire watch towers, sign boards, and boundary markers. Enhanced training on fire management would also be supported. The Staff Appraisal Report 113 Annex 7 project would also encourage and support programs for enlisting the support of PA neighbors in PA management related activities, including employment as guards and watchers, anti-poaching squads, community protection groups, etc. Special animal control measures including structures such as electric fencing and stone walls would help prevent elephant straying out into the wider areas of human habitation surrounding Buxa, Palarnau and Nagarhole. Site-specific animal damage control structures directed at villages in the immediate periphery would also be supported under the ecodevelopment component of the project. Upgrading Amenities for PA Staff 23. The selection of the seven PAs was premised in part on the fact that these PAs already had good facilities and would not require extensive infrastructure improvements. Nevertheless, some upgrading of the amenities for field staff would be required and would comprise limited staff quarters for the lowest ranked PA staff, patrol camps, and drinking water and electricity supplies for some locations. In addition, career development training and field kits for staff would be supported under the project. Technical Assistance Draft Terms of Reference for Mapping of the PA and Surrounding Areas Reports to: PA Field Director Objectives Produce a baseline map of the PA and surrounding areas consisting of features relevant to PA management and ecodevelopment activities. Such a map would also form a basis for monitoring changes in subsequent years. Responsibilities: Review and catalogue the availability of satellite imageries, mans, and other documents relevant to the production of a baseline map of the PA and surrounding areas; Produce geocoded baseline maps of the PA and surrounding areas consisting of classified vegetation, topographical and drainage features, location of villages and towns, water bodies, major infrastructure facilities, etc. on an appropriate scale, using existing maps, digital analysis, satellite imagery, and ground truthing; Provide a document for interpretation of the map, consisting of extent, status, and species composition of various vegetation types, etc.; and Provide a set of guidelines for periodic updating of the maps. Duration: One year Qualifications: Qualifications and experience in the interpretation of satellite and photo imageries, particularly relating to natural vegetation and land use. Experience in the preparation of baseline land use maps. Draft Terms of Reference for PA Ecologist Reports to: PA Field Director Staff Appraisal Report 114 Annex 7 Objectives To update PA management plans to ensure improved incorporation of ecological considerations; the effective involvement of local communities and other stakeholder groups; to integrate PA concerns into regional planning and regulation; to undertake environmental review of PA management and village ecodevelopment investments; and to develop and strengthen policy and management framework for improved PA management planning. Responsibilities: To assist PA authorities to: - coordinate PA management planning updating processes, including incorporation of ecological considerations and conduct of planning workshops; liaise with outside agencies, NGOs, research institutions and universities during the planning exercise; and provide support for plan preparation. - prepare action plans for ecosystem protection investments prior to updated management plans, arrange appropriate review of investment proposals to ensure that they meet eligibility criteria for financing, and document review process and conclusions; - conduct environmental review including developing documentation of PA management and village ecodevelopment investments; and - training PA staff to perform environmental review functions. Duration: Five years. Qualifications: Master's or higher degree in wildlife conservation, resource management or related subject. Five or more years of field management or research experience in natural forests, wetlands or other terrestrial ecosystems. Draft Terms of Reference for PA-Level Financial Sustainability Study Reports to: Secretary, State Forest Department Responsibilities: Analyze existing funding sources and financing mechanisms used for the PA and for similar entities in the state. Analyze the opportunities for recovering costs of selected services. Analyze the range of potential funding sources and financing mechanisms suggested in the overseas examples identified by the national-level study. This analysis would include consideration of entrance fees, transport rental fees, camera/video rental fees, guide fees, guesthouse fees, concession fees, royalties, donations from the public and from the private sector. In consultation with the PA Field Director, make rough projections for the post- project budget required to maintain and further restore biodiversity in the PA. In consultation with the support teams facilitating the village ecodevelopment activities, make rough projections for the post-project budget required to maintain and further implement reciprocal agreements. Consider options of PA versus state-wide sources and mechanisms. Identify and meet with key stakeholders who could proactively promote the adoption of new funding sources and mechanisms. Recommend strategy on how the PA and the associated village ecodevelopment program can achieve financial sustainability. Staff Appraisal Report 115 Annex 7 If appropriate, draft formal proposals and/or government orders required for the recommended sources and mechanisms. Present draft report (in English and in the official state language) covering the above to a workshop of key decision makers, and produce a final report which responds to comments made during the workshop Duration: Two to six months, depending on the state, over a two year period. Qualifications: Financial and Legal expertise. Would have qualifications and experience that commands high degree of professional respect and prominence. Strong writing skills. Training 24. A major training program would be supported under the project to build capacity within the PAs for improved management of the PA system. Each State has developed a training plan for PA planning and management. As listed in the indicative training plan presented below, this will include participation in training courses, workshops, study tours and seminars at both national and intemational levels. In particular, higher level staff (range officer grades and above) would be trained in wildlife management at the WII, participate in specialized workshops in various national and international institutions, and undertake study tours. 25. Guards and foresters who are the most important, but often most ignored, unit in the PAs would be specifically incorporated into the project training programs. In-service training programs would be developed particularly for these personnel within the State. Specially tailored study tours would be organized on a regular basis for these personnel to visit PAs within the state or neighboring states, so that they would be exposed to new management activities. En Indicative Training Plan - PA Management Course Topic Type of course Participants per Objectives Re| urce Agencies Duration Frequency _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ~~course _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Wildlife management diploma DCF and ACF Management strategies, planning and WII, Dehradun 9 months Average of 2 per techniques for management of wildlife and PA for life of project : protected areas. l p-i Certificate in Wildlife certificate RO Practical aspects of wildlife management WII, Dehradun 4 months 2 -5 per PA for life r Management and field techniques and application. of project Specialized topics training CF, DCF, ACF, Training in specialized aspects of PA Wll and others I to 3 weeks Average of 2 per RO management, including chemical year for each PA immobilization and translocation, census methods, interpretation, disease management, data management, animal control, etc. Specialized workshop/ CF, DCF, ACF Interaction/dissemination on specialized Various institutions 3 to 5 days 3 -8 per PA for life CN Management topics seminar RO topics such as PA planning and in-country of project management, interpretation, ornithology, captive breeding, data management, etc. Wildlife Orientation training course Guards, Introduction to wildlife management within State 2 to 4 weeks Average of 2 Foresters courses per year for each PA (30-40 trained per year for l _________________ each PA) Wildlife and study tour Guards, Exposure to PA and wildlife management within state and I week 1-2 study tours per Protected Area Foresters approaches neighboring states year for each PA Management (10-20 participants per year for each l _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ P A ) > Specialized topics international CCF, CF, DCF, Specialized topics such as natural resource Various countries, 1 to 6 weeks 1-2 per year for each seminar and ACF management, park interpretation, habitat in particular Asia PA X study tour management, biodiversity assessment, p resource economics, park management, l ___________________ ________________ ________ r mote_sensing,_toremote sensing, tourism development, etc. Staff Appraisal Report 117 Annex 8 Annex 8: Village Ecodevelopment A. Overview 1. Village ecodevelopment would reduce negative interactions of local people on biodiversity and increase collaboration of local people in conservation. Under this component the project would: (a) Conduct participatory microplanning and provide implementation support, using contracted local NGOs, expert advisors, workshops, materials, training (of government officials, NGOs, and local people), PA staff, and associated travel (b) Implement reciprocal commitments that foster alternative livelihoods and resource uses to be financed by a village ecodevelopment program and that specify measurable actions by local people to improve conservation (c) Conduct special programs to: (i) support additional joint forest management in reserve forests in the immediate vicinity (ii) develop the voluntary relocation option for people in the PAs in ways that are consistent with project objectives and Bank policies (See Annex 20) and (iii) provide other supplemental investments through a discretionary reserve for PA managers to allocate to areas with special needs. B. Participatory Microplanning and Implementation Processes 2. Microplanning support teams composed of PA personnel, collaborating NGOs and villagers (each team with at least one woman and with members able to easily communicate with tribals) would assist village communities to develop and implement site-specific reciprocal plans on a continuing basis throughout the project period. In order to ensure that these plans meet project objectives and embody the active commitment and participation of local people, focused guidelines, clearly determined investment criteria, supportive training programs and carefully scheduled planning would be critical. Since this form of rolling, participatory planning represents a radical departure from current project practices, it would require sustained support throughout project implementation. Methodology 3. Key Elements. The project would develop and employ methodologies best suited to village ecodevelopment through: Guidelines subject to revision to reflect experience in practice. Revision will be documented through exchanges of letters and comprehensive updating as needed. Staff Appraisal Report 118 Annex 8 (a) active participation of all segments of society in plan formulation and decision-making through a community institutional framework that elicits the widest possible consensus. (b) participatory rural appraisal (PRA) focused on the mutual interactions and reciprocal arrangements between the PA and people; (c) simplified microplan format allowing the village group to be the author of the plans jointly with the PA authorities, directly incorporating the results of the focused PRA exercises, and summarizing the mutually approved investments, objectives, inputs, mutual obligations, schedule, and monitoring indicators that together form the reciprocal commitments; (d) arrangements for cost and benefit sharing within all reciprocal commitments, (e) assessments of proposals to determine whether they meet eligibility and feasibility criteria for project investment, and to incorporate lessons from ongoing monitoring; (f) administrative arrangements to simplify and speed fund allocations and community-led implementation (g) community and support team capacity built through on-going training and study tours. 4. Further Development of Methodology. Many elements of this methodology have already been developed during the preparation process. A national level NGO would be contracted to further refine these elements to meet project needs. This refinement would be done in collaboration with local NGOs, project staff, and trainers, and would also produce guidelines for local adaptation and use in the field and for incorporation into training programs. Village Institutions and Marginal Sub-groups 5. Group Size and Composition. The project would operate at the level of a single village or hamlet constituted into an ecodevelopment committee (EDC), except where existing forest protection committees have already been established for joint forest management (JFM). This design reflects well-documented lessons from participatory .forestry programs in India (such as JFM) and elsewhere identifying appropriate village institutions as the best units for microplanning and as the basis for community action. In general, the best results have been obtained from relatively small and homogeneous villages, hamlets, and user groups (i.e., 30-60 households) in which all households are represented in the decision-making body by both men and women members of the 2 household . Frequently, informal groups that are smaller than the revenue village and 2 In several cases, in the interest of minimizing administrative complications, forestry officials have included projections for larger groups when compiling cost estimates for the project. However, the project review would include close monitoring on the extent of marginal peoples' participation in these groups and group size would be reduced if necessary. Staff Appraisal Report 119 Annex 8 separate, though inclusive of, the political panchayat bodies have proven the most effective and sustainable units for joint forest management and community based rural development. The formation of groups should reduce herogenity within, thus enabling the representative to speak for the entire group, while encouraging heterogenity between groups negotiation and conflict resolution to take place between groups. However, equity considerations require that ecodevelopment committees are composed of all members of the village/hamlet and include women representatives from each household as well as men. 6. Inclusion of Marginal Sub-groups. Many villages contain sub-groups that differentiate resource use and income strategies by both social and economic status and by gender. Participatory rural appraisal (PRA) microplanning exercises will need to make special efforts to ensure that less vocal and powerful sub-groups fully participate. Course reference material collected by Wildlife Institute of India (WII), documents one of the most effective means of ensuring this participation. This is to hold separate exercises with each identified sub-group and then discuss the results in a general assembly meeting. This ensures that discussions with different ethnic and social groups are conducted in ways that are sensitive to their cultural norms. Government Orders 7. Relation to Joint Forest Management. New government orders (GOs) would be required to establish the EDCs and enable them to implement village ecodevelopment activities and share in project benefits, including forest resources. Many, but not all, of the states have issued GOs allowing joint forest management (JFM) on reserve and protected forests. These specify membership, rights and responsibilities, and benefit sharing arrangements for various products such as grass, non-timber forest products (NTFP), poles and timber. Where these arrangements are in place, they would automatically apply to JFM activities in peripheral reserve forest areas. JFM activities are widely expected to be the most effective ecodevelopment investment available to the project. Where GOs are not yet issued, it is critical that they be so, to allow JFM to be instituted around PAs.. 8. EDC Government Orders. The project has stressed the need for the states to develop GO to establish ecodevelopment committees and define their rights and responsibilities. While initial village ecodevelopment investments can proceed without a formal legal framework, for large-scale implementation of the village ecodevelopment states will need to have an appropriate GO consistent with project design. The orders would need to address the strategy of mitigating negative impacts on vulnerable groups, by providing for such measures as resource-sharing from operations. Such operations would include habitat manipulation; other such sources would be tourist entry fees, confiscated produce etc. 9. Status of Government Orders. All participating states have drafted GOs on establishing EDCs.. Assurances would be sought that states would issue these GOs by September 30, 1998. Although the specification of benefit sharing from PA areas is severely constrained by existing legislation, most PA managers are of the opinion that it is possible to come to specific agreements with EDCs regarding distribution of benefits from PA operations. Staff Appraisal Report 120 Annex 8 10. Minimum Required Contents of Government Orders. These orders would follow the pattern of GOs for JFM committees, with suitable modifications to comply with the laws governing national parks and sanctuaries. At the very least they must) specify the following: (a) Composition of the EDC in each village would comprise all eligible households including those headed by women, all scheduled castes(SCs), and all scheduled tribes (STs). Women would have equal rights with male household members. Women and STs/SCs would be included on the executive committee; a mechanism for registering members with the forest department would be established and a bank account, to be jointly operated, would be authorized (b) Rights and responsibilities of the EDC members and the forest department to protect the PA and carry out ecodevelopment activities would be established (c) Provisions would be made for sharing of revenues or produce from specified operations such as habitat manipulation (e.g. fire line grass and brush cutting, elimination of undesirable species, etc.), tourism revenues, confiscated produce, and so forth (d) Provisions would be made for conflict resolution and revocation of agreement. Protected Area Mutual Interactions Assessment 11. Focused Assessment. Sustained focus on PA relationships is necessary if PRA exercises are to lead to reciprocal commitments that meet project objectives rather than leading off into general rural development. This would require the use of what the Aga Khan Rural Support Program calls a "Topical PRA", which is centered on the analysis of interaction between the PA and local people. Such a PRA could be termed a protected area mutual interactions assessment (PAMIA). Its constant object would be to mediate disagreements and find mutually agreed solutions, either by directly decreasing the source of disagreement or by finding compensatory mechanisms. (See Box I for a list of possible PRA tools to carry out this planning.) The strength of a PRA comes in part from its holistic analysis of problems, needs, and opportunities and their inter-linkages. But both PA authorities and village communities must agree that any proposed investment or action will result in measurable improvement to sustainable biodiversity conservation. Other issues in community development are only relevant if they contribute to project objectives; they can be eliminated from PRA and microplanning exercises unless identified by the community as their highest priority for helping to conserve the PA. This focused approach reduces the amount of time and resources required to extend PRA based microplanning to each of the proposed EDCs as well as increasing the potential for sustained mutual cooperation. Staff Appraisal Report 121 Annex 8 Box 1: PAMIA: Protected Area Mutual Interaction Assessment Considerations for a Topical Ecodevelopment PRA Topic Possible Tools Mutual Interaction Identification Project objectives & constraints flip chart for discussion of objectives, benefits, conditions, and constraints PA resource use map of resource use (grass, NTFP, roads, temples, etc.) (by people) seasonality chart ranking of resource importance (dependency) by sub-group changes in use vis-a-vis PA Establishment ranking of impacts of PA restrictions on income by group sustainability of resources Private resource use map of crop depredation (by PA wildlife) seasonality chart ranking of impact by species, crop and affected households map of livestock depredation areas existing protection and compensation measures Other interactions ranking existing sources of PA employment by sub-group Venn diagram of PA-people interactions ranking of positive and negative interactions Identification of Possible Solutions PA resource use potential for limited PA resource use e.g. fire line grass, etc. Community resource use map of potential JFM in peripheral forests within village area/farm resource creation potential PA wildlife damage control identification and ranking of potential protection measures Other interactions methods for targeting future FD employment methods for improving human interactions identification of alternate income sources associated with PA Other priorities community investment priorities ranking of existing government sponsored development schemes of interest to community identifying and ranking alternative individual income schemes Proposed Reciprocal Commitments Proposed activities ranking of potential investments and activities by project criteria: conservation potential; willingness to cost-share; equity; incrementality; and social, financial, technical and environmental feasibility Staff Appraisal Report 122 Annex 8 12. Assessment Process. Following the establishment of EDCs, team training, and the collection of background materials and maps, the microplanning teams would conduct PAMIAs through a series of village meetings. At the outset of the microplanning process, the teams would need to make a clear presentation of the project conditions for ecodevelopment investment proposals. These would include the fixed amount determined by the number of households; the necessity for village contributions and procedures for making them; the nature of the reciprocal commitment that is the microplanning outcome, and the feasibility criteria that all eligible investments must meet. Clear and widespread understanding of the objectives, benefits and constraints of project investments will help focus PAMIA discussions and ensure that they lead to reciprocal commitments of mutual benefit. Eligibility Criteria for Investments 13. To be eligible for inclusion in the reciprocal commitments, village ecodevelopment investments would have to follow specific eligibility criteria listed below:c (a) Conserve biodiversity either directly or indirectly by creating sufficient incentives for a consensus to commit local people to specific, measurable, actions that improve conservation (b) Provide equitable share of benefits to and mitigate negative impacts on tribals, women, and poor disadvantaged groups who are currently most dependent on the PA (c) Add supplemental resources, Le, alternative sources of funding and support are not available (d) Be socially and institutionally feasible, ensuring that, e.g., associated activities are culturally acceptable and that local institutional capacity is adequate to organize rotating forest protection, distribute benefits from common resources, provide physical maintenance, keep accounts, meet contribution requirements, etc. (e) Be financially feasible, e.g. , costs are within norms or cleared by PA manager; returns are sufficient to compensate for PA resources foregone, and, for all investments intended to produce cash revenue or benefits that can be monetized, market linkages are adequate, cash flow requirements are viable, and returns compare favorably with alternative investment options (f) Be technically feasible, e.g., inputs and technical advice are adequate; physical conditions are suitable; activity is technically sound (g) Be environmental sustainable: confirm that, e.g., adverse environmental impact of exotic species, agro-chemicals, construction activity, can be ameliorated or avoided (h) Be selected and owned by EDCs; ensured through by budget constraint mechanism and contribution requirement. Staff Appraisal Report 123 Annex 8 14. Eligibility Review. Local EDCs and PA project managers would both be responsible for applying eligibility criteria to proposed ecodevelopment investments. Local people would assess these criteria using their fund of indigenous knowledge and local experience, but would have access to expert advice where necessary. Project managers and microplanning teams would also supplement their existing knowledge with expert assessments and the results of ongoing monitoring and research. The project managers would then be responsible for ensuring that the microplan proposals forwarded to them meet these criteria before authorizing their implementation by completing a reciprocal ecodevelopment agreement with each village community. It would be impractical and exorbitantly expensive to have outside experts assess each microplan- Therefore, consultant experts in each technical, economic, and social subject likely to be at issue would be engaged to examine the range of potential investments and create specific guidelines for the appraisal of microplan investment. In many cases, such information is already available with specialized government departments, universities, and NGOs and need only be duplicated and summarized for use of project authorities. However, many special cases are likely to arise during the course of the project that may require some on- going expert input. In addition, project managers would be responsible for regularly disseminating the results of ongoing monitoring and research to all PA staff and ecodevelopment committees for discussion and incorporation into their planning and implementation activities. 15. Actions that Improve Conservation. EDCs would specify their commitment in advance of the investment, but the commitment could be for actions that would usually begin upon the completion of the investment. Examples of specific measurable actions include avoidance of grazing or fuelwood collection or NTFP collection in a specified area, operation of a regular village patrol, arrangements to assist in poaching control, etc. It would be important for the commitments to be realistic and to be based on a full consensus of the EDC. 16. Feasibility Considerations. Project preparation included the development of generic cross-sectoral feasibility guidelines and examples of sector-specific guidelines. Both the project preparation facility (PPF) and the project include support for development of additional sector-specific guidelines and ongoing revision of existing guidelines based on project experience. Ecodevelopment investments would be restricted to types of investments that were already covered by sector-specific feasibility guidelines acceptable to IDA. Part C of this Annex lists questions directed to the EDCs on generic considerations for all investments, and Part D provides an example of sector-specific questions. 17. Acceptability of Investment Costs. Proposed investment costs for all projects selected by EDCs would be required to fit within state norms unless granted a waiver by the PA director. EDCs would select investments within a pre-established budget and with implicit consideration of relative costs. 18. Budget Constraints: Level and Phasing. The total costs of the ecodevelopment investments would not exceed Rs. 10,000 (US $285) in constant 1996 prices per family, plus Rs. 500 (US$14) per family at preinvestment (i.e., during initial microplanning) to establish credibility. The funding would usually be spread out over a three year period, with one third of the total resources available each year. The budget constraint per EDC Staff Appraisal Report 124 Annex 8 would be calculated on a per household basis, multiplied by the total number of households. For example, a forty-family hamlet would make decisions within a binding budget constraint of Rs. 133,333 (US$3.800) for the first year, or Rs. 400,000 (US$11,400) over the three years. 19. Basis for Determining Budget Constraints. The participatory rural appraisal exercises during project preparation provided the basis for determining an appropriate level for the budget constraint. First, this level would provide sufficient incentive for local people to commit to reciprocal commitments. Second, it would require that local people use the budget constraint to help determine their investment priorities and ensure financial and economic viability. Budget data on unit costs of possible investments would provide useful information for local communities, allowing them to be fully aware of relative costs in determining their priority investments in relation to the budget constraint. 20. Use of Budget Constraint. Evidence that the community has allocated investment funds on the basis of a budget constraint would include data on: (a) The number of households, (b) The standard budget constraint multiplier (including adjustment for inflation) (c) The standard budget constraint for the EDC (d) The provision of additional funds from the discretionary reserve and justification (description of special needs) of this supplemental allocation (see paragraph 67 below) (e) The total value of all desirable investments, which presumably would exceed the budget constraint, and the unit costs and quantities used to calculate this total value (f) The list with quanitities, unit costs, and value of the proposed investments (of which the total would not exceed "c" plus "d"). It would also include a brief description of the decision making process (e.g., how many meetings? who participated?) and the important factors (e.g., unit cost of investment option relative to size of projected benefit?, total number of beneficiaries affected by investment option?, extent of forest dependence of beneficiaries?) that the community used to decide how to reduce the list of investments to fit within the constraint. Contributions of Local People 21. Overview. The project design specifies that local people contribute at least 25 percent of the total village ecodevelopment investment in cash, kind, or labor, and that payment for the market value of contributions be made available to the local people for additional community investments 22. Contributions Required Only for Regular Village Ecodevelopment Investments. The requirement for local people to contribute to investment costs applies only to the regular village ecodevelopment investments. It does not apply to improved PA management activities, planning and implementation support for the village ecodevelopment program, research/impact monitoring and environmental education Staff Appraisal Report 125 Annex 8 activities, project preparation, nor to the project management activities. The requirement would not necessarily apply to the special programs for the periphery, although some of these programs (e.g. participatory forestry) also involve arrangements for local contributions. 23. Reasons for Requirement. One of the most important eligibility criteria of village ecodevelopment investments in the main program is that they "conserve biodiversity by .... creating sufficient incentives for a consensus that commits people to specific, measurable actions that improve conservation." The local people will need to believe that they will directly benefit from and own the investment to be willing to commit to such actions. The history of rural and urban development investments has shown that where the objective of an investment is to benefit local people (including the poorest of the poor), it is essential to require some form of cost sharing. Without cost sharing, such investments are highly likely to fail. If the village ecodevelopment investments fail, local people will not continue to commit to the actions that improve conservation. 24. Contribution Requirements. Accordingly contribution requirements would be as follows: (a) Local people would provide a minimum of 25 percent of the total investment costs for all regular village ecodevelopment investments, including community oriented activities (b) For investments that benefit individuals, local people would provide a minimum of 25 percent of the investment costs or the established state government norms for that type of investment, whichever is higher; (c) For investments that take place over several years (e.g.. joint forest management) the minimum cost sharing in any one yeai would be at least 15 percent of that year's investment costs, with arrangements to ensure 25 percent cost sharing over the total investment period (d) Local cost sharing would consist of direct contributions of cash, labor, or physical resources; arrangements for the Forest Department to provide a cash advance or credit would not fulfill cost sharing requirement (e) The total investment cost would be calculated as the sum of all resources, cash and non-cash; the value of labor and other in-kind contributions would be calculated on the basis of local market value (f) In order to ensure that cost sharing influences the choice of the specific investment, such sharing would be based on directly related investment costs. Implied labor costs of local people participating in microplanning, and opportunity costs of resources that have been foregone due to the establishment of the PA would not be eligible). 25. Simplified Calculations. The above specifications are designed to minimize administrative complexities. Therefore, a formula that changes over time or costs of items whose value is difficult to measure are not included. 26. Reinvestment of Contribution. The project funds would provide the value of the 25 percent contribution through a community investment fund of the village Staff Appraisal Report 126 Annex 8 ecodevelopment committee. This fund would be used for community investments in accordance with participatory microplanning procedures, incorporating the agreed reciprocal commitments needed to meet project objectives. This arrangement would thus help to extend the incentive mechanism beyond the period of the initial project investment. An illustrative example is presented below: Cash expenditures for Value of volunteer labor EDC Total direct contract civil contributed by local people community works for direct contract civil investment fund _______ ______ ______w orks_ _ _ _ _ _ _ _ Cost of 75,000 25,000 100,000 investment in 3 plantation Cost of well for 25,000 25,000 domestic water 4 supply Total value 75,000 25,000 25,000 125,0 PRA Record Keeping and Microplan Proposals/Ecodevelopment Agreements 27. Documentation of Background Analysis. The results of PRA exercises need to be transferred to paper and ample copies provided to the EDC and the officials concerned with project implementation, These officials would include forest guards, foresters, range officers, and those involved in project management. The documents---whether in the form of maps, lists, diagrams, or discussion minutes (including answers to feasibility questions)- --can serve as the background information to the microplan proposals. They can also substitute for the lengthy data collection exercises sometimes required at present. They would be written in a language that is readily understood by the local people. As the direct product of village deliberations, they are "owned" by the village. They can also serve as a powerful tool for participatory monitoring of project progress. 28. Format. The format of the microplan proposal itself can be relatively simple. Once approved by signature of PA authorities and all members of the EDC, this proposal can become the ecodevelopment agreement that is the basis for activity implementation. Box 2 outlines the elements of such a microplan: 3 Statement of expenditures information for withdrawal application (in format specified in Annex 14): JFM Investment: Civil Works: Direct contracting = 100,000, Total = 100,000. 4 Not included in total project costs. No withdrawal application submitted. Staff Appraisal Report 127 Annex 8 Box 2: Microplan Contents Project Description, including location, agreed activities, and direct participants (villages & households) Objectives, including biodiversity (stop grazing in certain areas, reduce incidence of fire by 50 percent, reduce green fuelwood collection by 90 percent, etc.), socioeconomic (10 percent increased income from milk sales for 20 households, 25 percent reduction in crop depredation by wild boars, better relations between people and forest department staff, etc.) Indicators of success (e.g. increased herbivore population in PA, increased regeneration of species that are not fire-tolerant, increased yields from fields subject to crop depredation, increased milk production, more positive park staff - people interactions, etc.) agreed assessment measures (may be based on group observations and reporting rather than scientific) Inputs and activities to be provided by project and village group, including cost sharing and project financing requirements (which inter alia, demonstrate that investments fit within budget constraint, applicable cost norms, and meet contribution requirements); Benefit distribution & access to resources, including how expected benefits will be distributed and the resource using rights and concessions of participants (e.g., grass collection and distribution arrangements, access to NTFP products, water distribution arrangements, etc.) Other mutual obligations and responsibilities, including on-going decision making (e.g., responsibility to stop grazing or green fuelwood collection, responsibility for organizing community protection, responsibility to pay prompt livestock compensation, responsibility to prevent outsider timber smuggling, responsibility to allow EDC to deal with minor offenses, mechanism to deal with conflicts and plan revisions, etc.); Community organizations and individuals responsible for implementation would be clearly identified; Individuals within the organization with responsibility for management of funds would also be specified, Work schedule, including schedule for delivery of inputs and implementation, schedule for review meetings, etc., Public dissemination activity, including intervillage study tours, etc. Conflict resolution procedures to be followed in the case of conflicts within EDCs, between EDCs, or between EDC and PA authorities. Planning and Processing Steps 29. Steps. The agreed steps for undertaking participatory village ecodevelopment investments and activities include the following: Staff Appraisal Report 128 Annex 8 (a) Establish and train microplanning teams, including through contractual arrangements with NGOs and other contracted staff (e.g., sociologist) (b) Establish and train implementing team, including through contractual arrangements with NGOs and other specialized technical experts (c) Constitute EDC or existing forest protection committee (FPC) and register all members in accordance with state GO (d) Collect and assess background information for planning, including maps and any baseline or previous PRA data (e) Conduct PAMIA (ecodevelopment PRA), to identify potential investments and activities (f) Assist EDCs to establish bank accounts dedicated to agreed ecodevelopment activities, with signatories as decided during the ecodevelopment planning (g) Review feasibility of identified village ecodevelopment investments by planning team and experts according to the agreed criteria (conservation of biodiversity, equity, incrementality, social and institutional feasibility, financial and technical feasibility, and environmental sustainability) (h) Review by PA director and allocation of funding level for finalization of plans in microplanning according to the number of households in the microplanning unit (at Rs. 3,325 per household per year, including the villager contribution, for three years) (i) Complete site specific (EDC) microplan agreement for village ecodevelopment activities, including project description, objectives, monitoring indicators, inputs and activities, benefit distribution and access to resources, mutual obligations and responsibilities, work schedule, public dissemination activity, and conflict resolution mechanism (j) Prepare microplan estimates and get approval by disbursing officer according to delegation of powers; to reduce administrative delays the state level committee would delegate authority to the PA director to approve and make payments for eligible ecodevelopment activities (k) Collaborate with EDC to implement agreed ecodevelopment activities according to the workplan with support of any other community organization that has been mutually identified with payments charged to a specially created accounting sub-head (1) Monitor progress, performance, and impact of ecodevelopment activities in collaboration with contracted organizations and EDCs (m) Ensure annual audits of all fund accounts, including EDC accounts, and inspect EDC accounts when required (n) Conduct annual microplan review meetings with EDC and update plan for future years as required. Staff Appraisal Report 129 Annex 8 Organizational and Planning Needs 30. Logistic Complexities. Orchestrating personnel and resource needs for carrying out the extensive microplanning and village ecodevelopment investment program will be a complex endeavor. The average PA is planning to target approximately 60,000 people consisting of an average of about 10,000 households in villages varying in size from less than 30 households to more than 200. At full project development, microplanning activities will often be going on in at least 20 - 40 villages and, simultaneously in each PA, implementation support in 50 - 200 villages. Two to four microplanning and implementation support teams per PA in addition to forestry staff assigned to each EDC will be required to carry out project activities. Extensive personnel planning and training of these staff has been built into the project. This is designed to ensure that there will be enough time and resources to nurture true participation and avoid the temptation to group separate villages into larger and more diverse units for ease of administration. To do this would probably defeat the purpose of this part of the project by discouraging participation. 31. Support Teams. Composition of planning and implementation support teams will vary by PA. In general, a senior PA officer (e.g., ecodevelopment officer, deputy director, attached officer) will provide overall guidance and supervision with the assistance of the contracted sociologist and ecologist. Two to four teams composed of assigned range officers and contracted NGOs will conduct microplanning and form microplanning teams for each EDC with the addition of the locally assigned forester and forest guard as well as some members of the EDC selected by the village. In general, PAs plan to form separate implementation support teams with PA personnel and NGOs, although there will probably be overlap between these two sets of teams. during both microplanning and implementation, provision has been made to enlist additional specialized technical expertise from local government departments and private firms. 32. NGO Support. Through contractual arrangements with each state's project authorities, NGOs would provide personnel and expertise in participatory approaches to support the microplanning and implementation teams (see section G below for terms of reference). C. Generic Feasibility and Eligibility Considerations for All Investments Biodiversity Conservation 33. The following list of questions would be used by EDCs and by those responsible for reviewing reciprocal commitments for compliance with the eligibility criteria and the village ecodevelopment investment for feasibility: 34. Direct or Indirect Linkage (a) Does the proposed activity directly lead to increased biodiversity conservation? If the biodiversity of the region were to be seriously degraded, would the proposed enterprise fail? (b) If linkage to conservation is not direct, does investment provide adequate incentives for changes to specific behaviors that threaten the biodiversity of Staff Appraisal Report 130 Annex 8 the adjacent PA? Is there widespread agreement on specific measures to increase conservation as a result of indirect benefits 35. Agreement. (a) What measurable improvements in interactions with the PA will result from this activity or investment? (b) How will this agreement be monitored? (c) What would be the sanctions for non-compliance and the rewards for compliance with this agreement? Impacts on Vulnerable Groups and Benefit Distribution 36. Overview. (a) Based on the PAMIA, who will benefit the most and who will suffer the most from the proposed (or already instituted) changes in traditional PA resource use? (b) How have population currently dependent on the PA, especially tribals, women, and other disadvantaged people participated in discussions and the decision making process? (c) What provisions would ensure that the concerns of marginal groups such as tribals, women, and other disadvantaged groups are specifically addressed? (d) How would these provisions be monitored? 37. Tribal Population. (a) Based on social assessment, what special measures are included to ensure benefits for tribals and to mitigate negative impacts on tribals? (b) How will these measures be monitored? 38. Women. (a) Based on social assessment, what special measures are included to ensure benefits for women and to mitigate negative impacts on women? (b) How will these measures be monitored? Additionality 39. Existing Program Options. What existing schemes and programs from government agencies and private programs might potentially support the proposed activity? 40. Access. How could the ecodevelopment support team help with access these programs as either an alternative or supplement to funding from the Ecodevelopment Project? Are there specific constraints to accessing these programs. Staff Appraisal Report 131 Annex 8 Institutional and Social Feasibility 41. Cultural Acceptability. (a) Are the proposed investment and associated activities socially and culturally acceptable to all participants? 42. Local Institutional Capacity. (a) Who are the individuals who would be involved in managing the enterprise? Do they have prior experience in operating an enterprise of this type? (b) If there are no members of the community who have experience in this type of enterprise, who would provide the short-term expertise and training? What steps are needed to provide the essential support? (c) Can the group organize essential activities and provide physical maintenance (e.g., rotating responsibilities for forest protection, maintaining small scale irrigation or check dam)? What are the proposed arrangements? (d) What are the arrangements for financial administration? Who would keep group accounts? Are there appropriate procedures and accounting systems for handling funds, including payments for the market value of contributions that may be made available for additional community investments? (e) What are the arrangements for monitoring and reporting on implementation progress? 43. Enterprise Participants (a) Who are the individuals who would be either employed by the operation or supplying raw materials to the operation? (b) Who would have ownership of the enterprise? Who would make the decisions? What form would this ownership take? (c) What are the arrangements to distribute benefits from common resources? 44. Contribution Requirement (a) Based on perceptions of th (b) e potential likely benefits from the investment, can at least the minimum required local contribution be provided? (See paragraphs 18-20 above for specific guidelines on requirements.) (c) What are the arrangements for distributing the allocation of local contribution responsibilities? Staff Appraisal Report 132 Annex 8 Financial Feasibility 45. Village groups would consider the full range of financial feasibility issues for all those investments intended to produce cash revenue or to produce subsistence benefits with a value that can be converted to a monetary equivalent. For investments that would not produce quantifiable benefits, village groups would consider financial issues related to the basic overview, costs, funding, and conclusions but would not consider market opportunity, competition, and profit/loss. 46. Basic Overview of Investment. (a) What is the specific product or service to be offered? (b) How would the product or service be produced? 47. Market Opportunity (a) Who would be the intended customers? (b) What is the history of the intended market? (c) Why would customers buy this product or service? What gap(s) in the marketplace would it fill? Does the opportunity exist because there is excess demand and insufficient supply? Could it be sold at lower cost than others? Would it be of higher quality than that offered by others? (d) How much of the product or service would customers buy? (e) What prices would intended customers be willing to pay? How were the estimated prices determined? 48. Competition (a) Is there any competition for this product or service? Who are these competitors? Are they selling the same product, or a close substitute? (b) What advantage would this enterprise have over the competition? Why? (c) Would the advantage be sustainable over the long term? 6 49. Variable Costs (a) What items (e.g., labor, materials, energy) contribute to the variable cost? How much for each item? (b) What would be the total variable cost of the good or service offered? For example, alternative fuel sources and village water supplies can produce benefits that can be converted to a monetary equivalent by calculating the income women could potentially earn in the time they save by having fuel or water nearby. Such benefits may vary throughout the year depending on the seasonal demand for labor. Investments to prevent crop and livestock depredation would have benefits calculated by the value of crop or livestock multiplied by the reduction in risk resulting from the investment. 6 Costs that vary directly and proportionately with volume. Staff Appraisal Report 133 Annex 8 7 50. Fixed Costs (a) What are the types and amounts of investment required at the start of the program? (b) Does the investment cost fit within the state norms? If not, has the PA director granted a waiver? (c) What are the administration costs of the enterprise? (d) What are the costs of enterprise facilities (e.g., land, office space, etc.)? 8 (e) What are the annual replacement costs of equipment and vehicles? 51. Profit/Loss Projections and Cash Flow (a) Develop a worksheet that shows combined cash and non-cash profits and losses of the business over five years (b) Develop a worksheet that shows expected cash receipts and expenditures over five years (c) Analyze the distribution of costs and benefits to the individuals participating in the enterprise. 52. Funding (a) What are the sources of funds? (b) How will the community provide funds and manage operation and maintenance after the investment phase has been completed? (c) Will the project create cash-flow problems for participants during the investment period, before revenues are generated (a particular problem with forest plantations)? 53. Conclusions (a) Is the proposed investment financially viable? (b) Will it provide sufficient returns to ensure local commitment to ecodevelopment agreement? (c) Are there alternative investments that would have a greater impact on the local community? Costs that do not vary directly with volume (e.g., administration and management costs, communications costs, marketing costs, equipment). Calculated by taking the initial value of the equipment and dividing by the expected number of years of use. Staff Appraisal Report 134 Annex 8 Technical Feasibility 54. Is proposed activity technically feasible? Does it use the best (e.g., cost effective, locally suitable, etc.) technical alternative available? 55. Are there existing government or private schemes that can provide the technical assistance and inputs needed? Environmental Feasibility 56. Are there adverse environmental impacts? If so, what are the options and costs of mitigation? 9 D. Sector Specific Feasibility (selected examples for illustration only) 57. PPF and project financing would support development of comprehensive checklists for a greater range of investments. These lists would cover additional considerations for soil conservation, small irrigation, water supply, fuelwood alternatives, livestock improvement, ecotourism, and crop and livestock protection structures. Joint Forest Management. 58. Government Resolution. (a) Has the state government issued a resolution detailing the institutional arrangement for JFM and established guidelines for the sharing of responsibilities and benefits between people and government agencies? (b) Has a plan been prepared to bring the peripheral forest areas under JFM, giving the area to be covered and benefits expected from the efforts? 59. Stock Map. Has a stock map of your proposed 1FM area and surroundings been prepared, demarcating the following sections: (a) Area outside core PA of dense forest with overhead canopy exceeding 40 percent canopy closure (b) Area outside core PA of degraded forest with 10-40 percent canopy cover and/or live stumps of overhead species of at least 250 per ha (c) Area outside core PA of blank areas, i.e., the areas with less than 10 percent cover and/or less than 250 live stumps of the overhead species (d) PA areas in the vicinity of village and JFM area where harvesting and other resource use is prohibited or restricted. 60. Dense Forest Area. (a) Is a uniform system, a selection system, or a coppice system planned? (b) How will the proposed system parameters minimize 9 PPF and project financing would support development of comprehensive checklists for a greater range of investments. Staff Appraisal Report 135 Annex 8 (i) felling damage (deterioration of residual crop and forest floor), (ii) road construction (iii) transportation of forest products? (c) What are the plans for fire watching and protection against vandalism and theft? (d) What are the plans for rotational grazing to allow time for the felled area to regenerate? (e) What are the plans to survey regeneration at regular intervals to monitor progress? What are the plans to provide sample plots to measure the growth statistics? What provisions are there to modify the treatment and harvesting plan if desired regeneration does not materialize? (f) What are the plans to maintain proper forest hygiene, e.g., climber cutting, removal of dead and dying and pest-affected trees? (g) Are NTFP harvest methods and levels sustainable? How do they take into account requirements of pollination, regeneration, seed dispersers, seed predators, and plant health? How will NTFP collection be regulated to ensure that it remains sustainable? 61. Degraded Area (a) What are the plans to naturally regenerate these areas? Are the species present coppicable? (b) What are the plans to close the area initially for a specific period to collection of forest products and grazing? (c) What are the plans for fire prevention fire and protection against vandalism and theft? (d) What are the plans for removing dead and dying trees and stumps and thin stools? (e) What are the plans for introducing (i) grass cutting, controlled grazing, collection of non-timber forest products, fuelwood thinning (ii) light thinning for poles and plough pieces? (f) Are NTFP harvest methods and levels sustainable? How do they take into account requirements of pollination, regeneration, seed dispersers, seed predators, and plant health? How will NTFP collection be regulated to ensure that it remains sustainable? (g) Is the soil eroding into gullies? If so, are there plans for vegetative gully control? Staff Appraisal Report 136 Annex 8 62. Blank Areas. (a) When selecting species, has appropriate vegetation in the successional scale been selected, keeping in view the altered micro climate of the degraded area? (For afforestation areas, a common mistake is to select those species for planting that occur in the contiguous undegraded dense areas. Degraded areas, however may only be suitable for vegetation that preceded the current ones in the successional scale. For example, in an area with sal as a crop in the dense section, the contiguous afforestation sites may have to be planted with semul, sissoo, etc. instead of sal.) (b) Have exotics have been proved to be environmentally benign before planting? (c) What are the arrangements for avoiding monoculture and preserving existing biodiversity values? (d) What are the plans for collecting seeds from good phenotypes? (Afforestation work should not be started unless good seeds are assured). (e) What are the plans for soil and moisture conservation, (e.g., contour planting of shrubs and/or preparing contour V ditches and planting in ditches)? (f) In areas that are sources of perennial streams, does the plantation model include an adequate amount of ground flora (shrubs and grasses) to reduce soil erosion without significantly reducing the lean period stream flow? (g) Are there plans for production of intermediate products and intercropping of shrubs, grasses, and/or bamboo? If so, have tree densities been set accordingly? (The tree density in such areas should not exceed 300 trees/ha) (h) What are the plans for weeding, fire watching, and controlled grazing for the first three years? 63. PA Area. Has the annual loss of harvests foregone by community members been quantified? (The only harvesting allowed in core areas of PAs is that which would improve the biodiversity status of these areas.) What measures have been taken to ensure there is no collection of NTFP in core conservation areas within the PA? Feasibility Worksheet. Total JFM Outputs Resource Use in PAs Compensatory Impact of Community views on Foregone JFM Activities acceptability of JFM (items and quantity) (items and quantity) (comparison between plan columns 1 and 2) Staff Appraisal Report 137 Annex 8 Farm Forestry. 64. Planting system. (a) Will the planting be peripheral (in lines around the agricultural field), block (solid tree planting in agricultural waste or fallow land), or alley cropping (growing agricultural crops between shrubs or trees)? 65. Peripheral Planting (a) Do selected species have deeper root systems, lighter crowns, and relatively low water demand? (These features minimize loss of agricultural production brought about by peripheral plants through their shade effect and use of surface soil water. The cultivation of such trees does not significantly affect the water table). Has traditional knowledge available within the community been consulted as to species selection that would address the local water situation? (b) Are the selected species relatively fast-growing so that they can be harvested quickly? Is there a good market for the smaller timber sizes of the selected trees. (If trees can only be sold in large timber size, the tree will have to grown over a longer period and the tree shade and root system will cover a larger space, which would negatively impact agricultural production). (c) Has monoculture been avoided by the planting of more than one species? (This would reduce the chances of tree pest attack.) 66. Block Planting (a) Has at least a two-tier species mix been selected, with both the higher and lower layers having market or subsistence value? (b) Do plans for planting density vary according to the planned final products? 67. Alley Cropping (a) Have places where there is drought stress been avoided? (b) Have you focused on leguminous or other nitrogen-fixing species? (c) Does the tree/shrub and agricultural crop mixture have a complementary physiological relationship? (d) What are the plans to prune the woody crop at interval to keep its shade effect to a minimum? 68. Nurseries (a) Is there a good source of high quality seeds or seedlings? Have an adequate number of nurseries to supply the seedlings of desired species to the farmers been planned at a reasonable distance from the planting sites? (b) Are there plans for training local people, particularly women and other disadvantaged groups, in nursery work? Staff Appraisal Report 138 Annex 8 69. Other Considerations (a) What is the planting objective (e.g., cash income from tree products)? If objective is cash income, are existing marketing arrangements adequate? Is policy reform required to remove transport restrictions and other market distortions? (b) How do the selected tree system and species take into account resource usufruct rights and land capability?; (c) Is fertilizer organic? (d) If land is sloping, do you plan to plant along contours? (e) Is grazing control needed? If so, what arrangements have been made? E. Implementation Plan for Microplanning Initiation d Microplanning 1 I Nagarhole | i - Rantham- Gir revenue Gir forest forest Nagarhole Palamau Pench Perlyar bhore Total _ Buxa EDCs villages village Gir Nes sestttenrnt villages EDCs_ EDCs EDCS EDCS Project PPF 0 5 0 0 0 5 _ 8 6 0 5 29 96/97 10 5 2 7 5 8 16 8 5 5 71 97/98 7.5 12.5 4.5 17 14 20.5 35 18.5 15 12 156.5 98/99 15 16.5 5 20 18 5 25 38 22 30 30 220 99/00 75 9 2 5 10 9.5 25 38 23 30 30 184 5 00/01 0 0 0 0 0 12.5 37.5 16.5 25 30 121.5 01/02 0 0 0 0 0 0 18.5 5 0 23.5 Total Groups 40 48 14 54 47 96 191 99 105 112 806 Average HH/Group 150 225 54 B 35 120 65 85 80 95 TotalHH 6000 10800 756 432 1645 11520 12415 8415 B400 1 10640 71023 Total Pop/PA 36000 71928 78990 74490 50490 50400 ! 63840 426138 l l l | Nagarhole | l l | | Rantham. l |Gir revenuel Gir forest | | fornst Nagerhole Palamsu Pench Persyar bhore |________ _ rya EDCr villages |village | Gir Nas8se |sttll entl | villages EDCs EDCe EDC Er3C8 Total HH lmplemen,taon Penod 3 3 3 4 3 3 3 3 4 3 Lag ste rinitel miren 1 1 1 1 1 0 1 1 1 PPF 0 m~~~~~~~~~~~~~~_____ 00 260 96/97 750 0 0 0 0 0 1300 255 0 950 3255 97/98 1875 562.5 0 56 175 600 2275 935 400 1140 80185 98/99 2250 1687 5 108 136 490 960 2470 1572.5 1200 2850 13724 99J00 1125 2812.5 243 160 647.5 2460 2470 1870 2400 2850 - 17038 00101 1 0 3712 5 270 80 332.5 3000 12437.5 1955 2400 2850 17037 5 01412 0 2025 135 0 30DO 12025 1402.5 4000 0 117651 Total HH - 6000 10800 756 432 1645 10020 12415 7990 10400 10640 71098 Total PopulsborVPA I36000 71926 69990 74490 47940- 62400 I 63840 426588 F. Special Programs for the Periphery 70. Additional Joint Forest Management. These investments would follow the regular village ecodevelopment procedures, except that they would not be subject to the household-based budget constraint. They would follow applicable state procedures and government orders for joint forest management, and where possible, be planned within a per hectare budget constraint, with a contingency reserve for more expensive treatments that address site-specific considerations. 71. Voluntary Relocation. Annex 20 outlines the guidelines for these activities. Staff Appraisal Report 139 Annex 8 72. Supplemental Investment. The project includes discretionary funds for PA managers to supplement regular ecodevelopment funding above the budget constraint to buffer areas with special needs (e.g., special watershed management priorities in buffer areas above the PAs, communities that are especially dependent on forest resources, or village ecodevelopment investment opportunities with economies of scale). For each PA, the discretionary fund investments would not exceed 18 percent of the regular village ecodevelopment investments. PA managers would allocate the funds in accordance with site-specific needs, which generally would result in an uneven allocation of the fund across EDCs. All discretionary fund investments would be subject to approval by the affected EDC, but could reflect PA rather than EDC priorities. When the discretionary fuind investments reflect PA rather than EDC priorities, the investments would not subject to 10 the contribution requirements or the budget constraint , and the PA manager would provide a clear explanation of how the investment would directly benefit the PA. Frequently such investments would not produce benefits that could be easily converted into a monetary equivalent. In all other regards, discretionary reserve investments would be subject to the agreed eligibility criteria and feasibility considerations. G. Terms of Reference Draft Terms of Reference for Participatory Microplanning and Implementation Support (Usually Local NGOs) Reports to:: Sr. Executive Field Officer in PA in charge of Village Ecodevelopment Responsibilities: provide qualified personnel to participate in microplanning, including establishment of EDCs, carrying out of PAMIA, and drawing up of reciprocal commitments; provide any required training in microplanning techniques for team members and EDCs; provide personnel to conduct feasibility analysis of proposed village ecodevelopment investments; provide technical and managerial assistance to EDCs during implementation of activities; participate in monitoring of village ecodevelopment activities and assist EDCs in conducting participatory monitoring; participate in annual review of village ecodevelopment activities; provide periodic financial and progress reports to PA authorities as mutually agreed; and promote good relations between PA authorities and EDCs and help in prevention and resolution of conflicts. Duration: Five years. In some cases initiated during PPF period. Qualifications: Organization with long-term field experience in facilitation of participatory microplanning and implementation support for small scale community-based natural resource management investments. Fluency in local languages. 10 Although the per PA limit to 18% of regular ecodevelopment investments would apply. Staff Appraisal Report 140 Annex 8 Draft Terms of Reference for PA Social Scientist Reports to: Sr. Executive Field Officer in PA in charge of Village Ecodevelopment Responsibilities: To conduct village microplanning as part of core planning team and in conjunction with local-level FD staff, NGOs and local people To assess feasibility of village ecodevelopment investments with emphasis on socioeconomic criteria and report findings to FD and villagers To identify socioeconomic related training needs and sources for village ecodevelopment activities To monitor socioeconomic aspects of village ecodevelopment investments as part of overall monitoring plan for project area To prepare annual reviews of socioeconomic aspects of village ecodevelopment activities including microplanning Duration: It is anticipated that this sociologist would be hired during the PPF period and the contract extended pending a review for project duration. Qualifications: Professional experience in rural development at village level with interest in natural resource management issues, especially PA management, experience with indigenous people, women ,and other marginalized groups, and working in multidisciplinary teams; at minimum Bachelor's degree in relevant subject e.g., sociology, anthropology; relevant Master's degree desirable. H. Training Requirements 73. Scope. In addition to the direct in-situ training provided by this on-going technical assistance, NGO skills would be mobilized to provide specialized training courses in participatory methods and areas of technical competence. Since many smaller local NGOs may also lack these skills, training courses will also need to include their personnel. Guidelines will be developed by national NGO consultants to provide a basis for this training and further refine the roles and responsibilities of the microplanning team. 74. Indicative Training Plan. Each State has developed a training plan for microplanning and implementation support personnel as well as EDC members. As listed in the sample training plan in the table below this will likely include: microplanning team training by qualified NGOs and training institutes, intensive training of senior PA personnel at the Wildlife Institute of India's ecodevelopment course, management and technical training for inexperienced local NGOs, and study tours for PA field staff and EDC members to other ecodevelopment areas. Such study tours for the teams and village ecodevelopment leaders have proven an effective tool for introducing new ideas and building confidence in achieving results in participatory settings. In addition to the training courses listed in the indicative training program, the village ecodevelopment investment funds themselves would used to provide training to EDC participants wherever required. Indicative Training Plan: Village Ecodevelopment Component Course Methodology Participants per Objectives Resource Agencies Duration Frequency Course _ Microplanning team course with PA staff, NGOs Learn microplanning methodologies, Regional NGOs & 1-2 weeks 2-4 per year in training practical including PRA, group dynamics, technical Training Institutes Years 1-3 training options o_ -0 NGO training short course local NGOs NGO management skills, including Regional NGOs & 2 weeks 1-2 per year in It rt accounting, administration & technical Consultants Years 1-2 exposure Ecodevelopment intensive short Ecodevelopment Impart skills in PRA techniques, WIT Dehradun 4 months I per year in Years course Officer/ACF preparation of microplans, and I to 4 implementation of ecodevelopment programs _ EDC study tours study tour EDC members, Exposure to approaches in Other PAs in 2 weeks 2-4 per year in RO & FG ecodevelopment, EDC operations, country Years I to 5 biodiversity conservation Seminars/ workshops workshop PA personnel, biodiversity conservation, ecodevelopment, Various institutions 1-2 days 2 per year NGOs & EDCs participatory monitoring Staff study tours study tour ACF, RO, FGs Exposure to park management, Other PAs in 1-2 weeks 2 per year in Years ecodevelopment, interpretation, tourism country 1-4 development, revenue generation x Staff Appraisal Report 142 Annex 8 Staff Appraisal Report 143 Annex 9 Annex 9: Environmental Education and Visitor Management Background I . The theoretical possibility of conserving resources within a forest or protected area (PA) by closing it to all external disturbances and threats by force is remote. Such an approach might succeed in those few PAs located in remote and low-population density areas, but in reality most PAs (particularly those in India) are located in close proximity to dense human settlements. Their survival therefore depends heavily on the attitudes of the local people, and the public and political support for the PA at local, state, and national levels. An important part of the PA authorities responsibility is therefore to justify the existence of the PA and the management policies chosen and implemented in it to politicians, bureaucrats, and the wider public. 2. In India, decisions for establishing PAs were largely made by government administrators. Although there has been political support for the establishment of the PAs, it is questionable whether politicians and the public will continue to accept the status quo, as pressures for land and resources increase. PAs, therefore, are unlikely to survive in the future unless the real benefits they confer are appreciated by the whole community. 3. Visiting PAs can help build appreciation, but but without good management, visitors can also adversely affect the bioidversity. All the project areas contain a variety of visitor facilities in and around the PAs that tend to put a strain on environmental resources. In some cases these facilities are based around such established infrastructure as hunting lodges, forest rest houses, forest roads. In others new facilities have been developed in the past 20 to 30 years to meet visitor demand. The pressure is most acute in Periyar, which annually receives 10 million pilgrims and 350,000 tourists and Ranthambhore which receives 30,000 tourists and 20,000 pilgrims. In Periyar, the negative effects of such large numbers of visitors is particularly intense as they cluster around river trips, popular driving routes, and the Sabrimala shrine. Local people and other entrepreneurs establish lodges and tea-shops along the route to the temple and remove firewood to supply the lodges and tea-shops from the PA. 4. The village ecodevelopment component would include significant support for environmental education and participtory ecotourism programs integrated into the overall microplanning support activities. To avoid overlapping categories, the environmental education activities would be aimed at audiences outside the target villages of the village ecodevelopment component and the visitor activities would be aimed at the broader management framework. Design of the Environmental Education and Awareness Strategy and Plan 5. Each PA would develop its own environmental education and awareness (EEA) strategy and plan. It would include identification of the different issues and target groups to be covered by the program, the nature and types of activities for each target group; the programs to link PA interpretation centers with extension and education; linkages with other EEA programs of NGOs, universities, and schools; and institutional, informational, research, training, manpower, financial, and organizational needs for its design and implementation. Staff Appraisal Report 144 Annex 9 6. Professional educators, communicators, scientists, sociologists, NGOs, school teachers and PA staff would collaborate in a workshop to reach consensus on the broad concepts of the EEA strategy and the technical and specialist services needed for its preparation. Preparation of the plan could be contracted out to a nodal organization or NGO, like the Center for Environmental Education (Ahmadabad), Wildlife Institute of India, etc. Visitor Information and Interpretation Services 7. Interpretation centers would be developed to educate the visitor on the PA, the objectives of the PA, and the policies that govern its management. A properly designed PA interpretation program would serve to awaken public awareness of the park purposes and policies and develop a concern for its protection. It would also educate the visitor to appreciate the importance of the PA to the region and the nation and thereby create a constituency in support of the PA. This group can become an important ally in lobbying for political support for conservation. 8. There are a number of techniques available to communicate information about the PA. All have particular uses and it is usually advisable to use several methods to get maximum impact. The following are widely used methods for communicating with visitors: brochures and leaflets, specialized guides and checklists, nature camps, self- guided and guided trails and tours, audio-visual presentations, field demonstrations and exhibits, etc. These are not discussed further as a number of reference manuals are available for developing them. However it must be recognized that for maximum effectiveness, these programs must be simple, easy to interpret and understand, in the local language, directly related to the local situation, with low technology inputs and costs, and easy to maintain. 9. PA authorities will contract the services of an architectural consultant or firm to design the interpretation center to fit, as far as practical, with the local architecture, landscape, and environment of the area. The design and installation of the interpretation program and materials would also be contracted out to a suitable NGO or institution. The programs implemented through the interpretation centers would be designed around the languages, customs, and lifestyles of the local people, keeping in mind the particular local relationship between people and PA. Education Programs for School Children 10. Educating school children in PA neighborhoods on the values and importance of PAs is an effective strategy for getting broad-based long-term support for conservation. School children and youth can be brought to the PA to provide them with an experience and understanding of its role and importance; or the conservation message can be taken to the classrooms (through lectures and talks, audio-visual presentations, etc.). The former could use day visits to the PAs and nature camps; or it could involve groups (particularly of higher grade students) in short assignments to get them involved in PA activities (such as setting up nature trails, animal surveys and census, establishing botanical collections or study topics of interest, etc.). These programs would require simple and inexpensive accommodation facilities such as dormitories or tents. Staff Appraisal Report 145 Annex 9 IL. A major component of the environment education program for children would be provided through training workshops for school teachers. There are many tools available in India (WWF Biodiversity Conservation Teaching Manual), but they are in English and not in local languages. The EEA therefore, must try to produce a teacher's sourcebook or adapt nationally-available materials to the local situation and language to help the teacher in his or her presentation of the PA's special features and values and on general environmental issues relevant to the area. Providing the teachers with these materials would free PA staff time for other critical work. Mass Media Campaigns for Creating Public Awareness 12. The use of mass media in developing countries has shown phenomenal growth in recent years. India's rapid advance in opening up its markets and liberalizing its economy, is likely to increase enormously the use of radio, television, print media, and other communication media. The mass media can and should be used for urban receivers. At this level, schools and universities, policy makers, and bureaucrats can all be successfully reached through distance education and general programs; the wide reach of mass media gives it enormous potential for disseminating and educating the general public and national and state level decision-makers of the country. At the rural level, however, being tailored to local-specific issues, it has less flexibility in providing education and awareness. Alternate Methods for Creating Environmental Awareness in PA Surroundings 13. India and the region as a whole has many examples of alternate methods for education in the rural sector that would be easily adapted to this project. Examples include street or village theater a powerful tool for communicating socially meaningful messages; street plays, processions and protest marches to bring awareness on scientific and environmental matters; slide shows, posters, leaflets, exhibitions, street corner discussions, and magazines; video linked with other media (example: discussions, lectures, visits, etc.); local extension radio giving advice and hearing complaints on issues relevant to the locality; puppetry to make people aware of their rights; and folk media such as folk epics and ballads, folk songs and dances, and folk tales. 14. These alternate methods would persuade rural audiences to support conservation of PAs and nature in general. They provide an opportunity to gain a better understanding of people's needs and ti establish confidence through dialogue. They also permit a very flexible approach to communication and can emphasize personal communication and local traditions in ways that may be more easily accepted by local people. 15. Involving children in these programs is important for two reasons. First, many children in the remote rural areas of India do not attend school so an alternative environment education program outside the school is necessary to reach them. Second, children's concerts and activities always evoke greater participation on the part of local politicians, mothers, and, gradually, fathers also. Children can also be trained as communicators and made to talk to rural folk in their villages and at organized local meetings. Staff Appraisal Report 146 Annex 9 16. Environment education must not only focus on conservation issues. It must also reconsider the importance of human economic needs and cultural traditions in developing ideas on conservation. In developing the communication strategy, the following points must be kept in mind: (i) communication should not be in isolation; (ii) a multi-media approach is more effective; (iii) the content of the program is important; (iv) there should be sharing of ideas; (v) and there should be continuation. To determine the right kind of medium and message for a particular audience both should be pre-tested and re-cast as and when required on the strength of feedback from the audience. This would require some monitoring and frequent evaluation of the program. The design and implementation of the outreach education and awareness programs for the PAs would be largely managed through NGOs in the area. Some of the NGOs would have experience working with tribals. The project provides resources for contracting NGOs, for education vehicles, equipment and materials. Visitor Management and Participatory Ecotourism Strategy 17. To minimize the threat to the environment from visitors, and maximize benefits to local communities in ways that increase their stakes in long-term conservation, each PA would prepare a management and participatory ecotourism strategy that would address the following questions. (a) Is the scale of development appropriate for the local community and for the capacity of the environment to support the facility? (b) What zoning measures are needed to reduce the threat to the environment? (c) Are roads and any trails placed to minimize intrusion on the environment? (d) What measures need to be taken during construction to minimize negative effects on the environment? (e) Does the design for the facility make use of indigenous cultural building forms and materials found in the surrounding areas? (f) Are energy sources environmentally sound and sustainable? (g) Are appropriate technologies employed for the treatment of organic and other wastes? (h) What measures have been taken to prevent erosion? (i) How far do modifications and/or additions divert existing visitor pressures on the PA? (j) How far were local people actively involved in planning and construction? (k) How far are local people involved in current operations? (1) In existing facilities, is the number of resident employees within the enclaves necessary or is there scope for reduction? Terms of reference for this study are included at the end of this annex. Staff Appraisal Report 147 Annex 9 Managing Enterprise and Visitor Enclaves 18. The project would support investments associated with implementing the ecotourism and visitor strategies and with improving the management of public and private infrastructure and facilities within enclaves or adjacent to the PAs. In some PAs existing facilities have a large residential population of staff and laborers or attract large numbers of visitors, which results in disturbance to wildlife and depletion of forest resources to meet fuelwood, grazing, and food needs of the residents and visitors Where appropriate the project would support investments of civil works, equipment, and materials, that the visitor management and ecotourism strategies recommend in order to better manage energy, water and timber, solid waste disposal, and access needs of these facilities, as well as the number of resident employees. The project would also help to support proposed investments arising from research on the impacts of these installations on wildlife and biodiversity. Draft Terms of Reference: PA Environmental Education and Awareness Strategy and Action Plan Reports to: PA Field Director Objectives: To develop a strategy and action plan that communicates reasons for the existence of the PA and associated PA management policies. Responsibilities: Identify and evaluate existing programs of environmental education and awareness of PA authorities, NGOs, and other groups in and around the PA. Identify and evaluate the existing capacity and capabilities of local and regional institutions fForest departments, NGOs, educational institutions, etc.) for planning and conducting education and awareness programs around the PA. Identify the different target audiences (local communities, visitors, politicians and decision makers, school children and youth, PA staff, other regional development agencies, etc.) that should be covered in a PA education and awareness program, and review their education status and perceptions about the PA. Identify key issues that need to be covered in an education and awareness program in the PA. Define the range or types of tools and programs that need to be aimed to the different target groups. Based on the above, define an education and awareness strategy for the PA. This strategy should provide broad guidance on the focus of PA interpretation programs; linkages between education programs of other agencies and NGOs; institutional, informational, research, training, manpower, financial, and organizational aspects of education. Develop an action plan for implementation of the strategy, including activities for visitor information and interpretation; education activities for school children, specific programs for local communities and linkage with the village ecodevelopment activities; mass media campaigns and programs; programs of alternative media for creation of awareness among rural audiences, etc. This plan should include institutional arrangements, training, and research needs and costs for implementation. Staff Appraisal Report 148 Annex 9 In the preparation of the above strategy and action plan, conduct participatory meetings, seminars, and workshops in order to solicit views and comments of the full range of stakeholders and potential target audiences. Duration: Approximately four months. Qualifications: An organization or NGO with experience in design and implementation of environmental education and awareness programs for over five years. Preference would be given to organizations or NGOs that have prepared or implemented education and awareness programs on PA conservation, wildlife, or related subjects, and demonstrated sensitivity to tribals and other disadvantaged groups. Draft Terms of Reference: Design/installation of Interpretation Center and Program Reports to: PA Field Director Objectives: To design the interpretation center building and equipment supported under the project that meets the objectives of the PA's environmental education program. Responsibilities: Consult with the PA authorities to ascertain the objectives, scope, and extent of the PA interpretation and education program that needs to be implemented in the PA, and how it fits within the broader environmental education and awareness strategy (see preceding TOR). Identify an appropriate location for the construction of the interpretation center, keeping in mind issues of visitor access and numbers and availability of utilities. Prepare a lay out plan for the interpretation facility and its immediate surroundings. Design the center, taking into consideration the location, objectives and content of the interpretation program, visitor numbers, local environmental conditions, landscape and local architecture. Provide supervisory support to the PA authorities during the construction of the building and development of its surroundings. Design and install the interpretation equipment and materials within the center, keeping in mind the need to provide an interactive education experience on the objectives and value of the PA and the resources contained therein, create an awareness of the linkage between conservation of the PA and the village ecodevelopment program, and provide an overall education experience to PA visitors and neighbors. Duration: Approximately two years Qualifications: A firm or individual with architectural and education qualifications. Experience in the design of public use buildings and in education and awareness equipment and materials. Draft Terms of Reference: Environmental Education Implementation Reports to: PA Field Director Objectives: To implement a broad based education and awareness program (based on agreed Staff Appraisal Report 149 Annex 9 strategy and action plan) for the PA, including education programs in schools, villages, and rural audiences. . Responsibilities: Conduct lectures, talks, and audio-visual presentations in schools. OrgarLize nature camps, demonstrations, and short field exercises for school children and youth. Establish and/or promote school nurseries, small environmental projects, and other innovative education programs. Plan and conduct alternative media programs for rural audiences, including street theater, marches, slide shows, folk dances, etc. Provide education and extension support to the village ecodevelopment program. Implement other activities identified in the environmental education and awareness strategy and action plan. Duration: Five years Qualifications: Local NGO with experience in the conduct of environmental education and awareness programs at the local level for at least five years, and with the capacity to implement a five year program. Draft Terms of Reference for PA-Level Visitor Management and Participatory Ecotourism Strategy Reports to: PA Field Director. Responsibilities: Overall, to develop a participatory ecotourism strategy that would include necessary elements of local participation, sound environmental design, visitor management, marketing, conservation education, training, financial sustainability and monitoring and evaluation. More specifically, to assess current: - tourism situation and potential; to determine a desirable tourism situation and identify steps to reach this situation; to prepare a Participatory Ecotourism Strategy for the project area. The development of the strategy should be participatory actively involving stakeholders through workshops, meetings, etc. The strategy should also address the following necessary elements: - potential PA attributes relevant for ecotourism, identification of sites for ecotourism activities, development of mechanisms to monitor ecological impact of tourism; - visitation information and levels, identify marketing opportunities for ecotourism; development of guidelines for visitor and staff behavior in PAs, identification of educational requirements for visitors and staff e.g. visitor center, brochures, development of mechanisms to collect and monitor visitation data for marketing and management purposes; - infrastructure, development of plan for future modification if required, development of guidelines for environmentally sound and culturally appropriate designs, - appropriate PA staffing levels for tourism, identification of future requirements and training needs and sources for PA and other stakeholders; Staff Appraisal Report 150 Annex 9 participation in tourism; identify appropriate organizational structure for managing ecotourism; identify mechanisms to increase long-term local participation in both benefit-sharing and decision-making, identify local training needs, development of monitoring and evaluation plans to assess local participation and benefit-sharing; - linkages with regional infrastructure and attractions, identify areas for modification and development, identify relevant government and private sector parties; - legal framework for tourism activities, establish administrative and legal requirements for any proposed changes e.g. zoning, entry-fees, revenue-sharing with local communities, identify policy considerations for ecotourism strategies, assessment of current financial provisions for tourism management, identify activities for modification or introduction of practices to improve financial sustainability; - private-public sector linkages related to tourism, identify opportunities for future collaboration, develop guidelines for collaborations; - and required skills and possible individuals and organizations required to carry out above activities plus time schedules, budgetary requirements and possible funding sources for above elements; Duration: six to nine months. Qualifications: Organization with experience in ecotourism management and participatory planning. Expertise in project analysis and preparation; consensus building and training skills. . Staff Appraisal Report 151 Annex 10 Annex 10: Impact Monitoring and Research on Issues Relevant to PA Management and Ecodevelopment A. Introduction I. Monitoring (of project impacts, institutions and processes) and research are two related, but different and equally important activities of the project. Through repetitive data collection, monitoring assesses the ecological and socioeconomic impacts of the project to determine whether these are in agreement with those anticipated. Monitoring would also assess the effectiveness of project institutions and processes in meeting project objectives. In contrast, research would meet the critical information needs for PA management and village ecodevelopment activities. While research discovers useful guidelines for management, rationalization of PA boundaries, and zonation, monitoring uses scientific and other evidences to assess whether a particular management action had the desired results. 2. Monitoring and research are, however, parallel activities with continuous feed backs. A comprehensive monitoring strategy for PA management is being developed for the first time in India. Considerable research input is necessary therefore to design a monitoring system, that will identify indicators, sampling and analytical methods, and feed backs. Similarly, monitoring would generate research questions on cause-and-effect relationships that need to be answered in order to make recommendations for project adjustment. B. Monitoring Strategy 3. Conceptual Framework. The monitoring of ecological and socioeconomic impacts of this project would be based on a conceptual framework that would address the objectives of the project. The framework would embrace PA values, anticipated changes, indicators, sampling methods, analytical methods, mechanisms of feedback and project adjustment, roles and responsibilities for monitoring, and other considerations. More specifically, the conceptual framework for the monitoring would address the following questions: (a) What is the purpose of the monitoring and who are the clients? (b) What key questions require answers? (c) What indicators, methods of measurement and analysis would be used (and what criteria were used to determine their selection)? (d) What would be the roles and responsibilities of state forest development (SFD) staff and cooperating institutions, (including of local communities) in participatory monitoring? (e) What would be the mechanisms for incorporating information into projects already in progress? Staff Appraisal Report 152 Annex 10 4. Objectives of monitoring. Monitoring through a consistent set of measures would periodically do the following: (a) Provide an integrated view of the present status of biodiversity in the PA (b) Provide an integrated view of the socioeconomic conditions and interactions between PAs and people inside and immediately around the PA that are relevant to the project (c) Assess their trends in conditions and interactions (d) Evaluate whether the project activities, institutions, and process have had the desired and anticipated effects (e) Identify project components, the absence, inadequacy or ineffectiveness of which cause non-compliance with expected values (f) Provide guidelines for project adjustment in the light of evaluation. 5. PA values. The PAs coming under the project have important biodiversity values which are of regional, national, and international significance. The progressive erosion of these values is of concern and their restoration is the objective of the PA management and of this project. These values range from habitats of single species (e.g., lion in Gir), large prey-predator systems (e.g., Pench and Ranthambhore), to ecosystems with very high species richness and endemism (Periyar and Buxa). Other values relate to PA-people interactions such as traditional knowledge systems (e.g., ethnobotany), tourism, watershed etc. One or more measurable indicators that together describe the values would form the basis for evaluation. 6. Anticipated changes. A statement of anticipated changes on the status of biodiversity in the PA, disturbance factors, and relevant socioeconomic attributes would form a set of predetermined standards, or template. Against this template, the findings from monitoring would be compared and evaluated. Such statements would address the current status (e.g., pristine, sustainable, and degraded use areas) and expected trajectories. In the case of project activities, institutions, and processes, the statement would reflect what is expected from project plan. Indicators 7. Ecosystems in the PAs and the mutual impact of their interaction with people are so complex that an assessment of their status and trends would be based on a set of indicators. In order to develop a conceptual framework and guide their selection, measurement, and evaluation, indicators, would be placed in several categories. These categories reflect the values for which the PA is being managed, the control and mitigation of threats to the project, and project institutions and processes. 8. Response Indicators. Response indicators closely and clearly relate to the biodiversity values of the PA and of PA-people interactions, in a practical context. Response indicators include ecosystem structure, function, and processes. They must be sensitive to disturbance but stable under natural conditions so that changes due to disturbance and management can be detected. Assemblages of several species often found Staff Appraisal Report 153 Annex 10 together have considerable conservation value in indicating endemism, rarity, regional characteristics, etc. Typical examples would be herpetofauna in the rain forests of the western Ghats (Periyar) and the large prey-predator and associated floral community in central India (e.g., Pench). Such characteristic faunal and floral assemblages would be used as key indicators to detect and measure change. This approach would be preferable to the past practices of using a few indicator species or an inventory of all the species. Indicators of ecosystem processes would include productivity, regeneration etc. 9. Habitat Indicators. These would be used to estimate the expected range of ecological conditions and to identify the likely causes of changes in response indicators. These indicators would include physical structure of the habitat (e.g., soil types, habitat complexity), or processes (e.g., siltation, erosion, water flow). 10. Stress or Disturbance Indicators. These measure the activities (often human) and other processes (natural) that are the sources of disturbance, and cause changes in the response indicators. Typical examples would include grazing, fuel wood removal, and tourism 11. Socioeconomic Indicators. These reflect attributes of human populations in and around the PA that are of relevance to PA management and this project because of mutual interactions and impacts between them and the PA. Particular attention should be paid to impacts on vulnerable groups, especially tribals and women. 12. Reciprocal Commitment Indicators. Indicators of reciprocal commitments pinpoint activities that are expected to affect both the socioeconomic and disturbance indicators and thus to have positive effects on the response indicators. 13. PA Management Indicators. These indicators would measure the effect of PA management activities proposed in the project. 14. Institutions and Processes. These indicators would assess the impacts and effectiveness of the new institutions and processes of each project component and the project as a whole. 15. Selection Criteria for Indicators. The following considerations would be used on the selectopm of indicators: (a) Would closely and clearly relate to the predetermined benchmarks (b) Possibility of integrating over time and space to enable comparisons (c) Availability of historical data for retrospective monitoring (d) Applicability to a wide variety of areas to enable consistency across PAs (e) Cost-effectiveness: maximum information with minimum sampling time and effort. (f) Amenable to sampling by non-specialists; e.g.,. quantification should be simple (g) Detectability of trends Staff Appraisal Report 154 Annex 10 (h) Ability to distinguish between succession, cycles, random changes, disturbance, and mitigation (i) Wide dissemination of knowledge about indicators () Simplicity and elegance without over simplification. Sampling 16. The sampling design would address methods, intensity and interval, precision, interobserver reliability, personnel and logistic needs, and data storage and retrieval. Once the indicators have been selected there is often a wide range of methods available to measure them. The overall sampling area for each PA would be estimated from remote sensing and/or field surveys. Vegetation status would be determined by remote sensing, transects, or quadrants. Animal presence/absence or absolute/relative abundance would be assessed from quadrants or line transects (either through direct sightings or indirect evidences such as pellets and scats); invertebrates by soil samples, light traps, butterfly nets, etc. The sampling locations could be temporary or random. Socioeconomic sampling would be field based, interview based, or both; interviews would be closed- or open- ended. 17. The time interval between sampling could be annual, biannual (dry and wet periods), seasonal, or monthly. Since for most living organisms a year forms a natural cycle, yearly monitoring would be sufficient in most cases. However, many indicators of processes (e.g., productivity, grazing) are seasonal in nature, and thus would require biannual or even seasonal sampling. The sampling design would also address requirements for personnel and their expertise and the scope for participatory monitoring, especially of socioeconomics and disturbance indicators. Generally, the sampling design would: (a) Be sensitive to the nature and extent of change anticipated (b) Allow relocation of sampling points (c) Allow objective and verifiable recording (d) Have recording procedures within the capability of the local management (e) Ensire that significant but unforeseen changes do not go unnoticed (f) Use optimal sampling precision is optimal in relation to sampling intensity (g) Use sampling interval that reflects seasonal cycles. Development Process: 18. Analytical Framework for Analysis and Decision Making. The analysis and interpretation of indicator and other data would be in the context of ecosystem theory, known threats, and project activities. The results would be integrated into information useful to decision makers and other interest groups. The analytical framework would consist of the following: (a) A conceptual model of the mutual interactions and relationships among the various sets of indicators Staff Appraisal Report 155 Annex 10 (b) A statistical model for testing trends in response indicators in relation to changes in other indicators. More specifically, (i) determine whether the nature and extent of changes on PA values reflected in the response indicators correspond to (ii) quantitatively associate such changes with other specific indicators (c) An appropriate set of summaries and aggregations of indicators and derived indices that facilitate easy perception of trends and changes in PA values and the impacts of specific project components. (d) Clearly stated subjectivity in the selection, monitoring, and interpretation of indicators and derived indices (e) Guidelines on reporting intervals and formats. 19. Mechanisms for Project Adjustment. Mechanisms for feed back into project and PA management would ensure project adjustment in response to findings from monitoring. Active participation of PA management personnel and local people would ensure that there is an ongoing interaction between monitoring and management. More over, periodic reports and guidelines from the monitoring organization would also ensure changes to substantive project design. 20. Development of Monitoring System. The impact monitoring system would consist of (a) Conceptual framework addressing the above issues (b) A potential set of indicators for each PA (c) Sampling design, to meet personnel, logistic, and training needs (d) Participatory monitoring (e) A framework for analysis and decision making (f) Mechanisms for feedback and project adjustment The conceptual framework would be developed into a monitoring system through consultations with other scientists, PA management, local people, and NGOs; through pilot studies on some PAs to assess sampling precision, resource needs, etc.; and through peer review 21. Operation of Monitoring System. Once an impact monitoring system has been designed to cover all PAs, monitoring would be carried out by the research coordinating organization in each PA. The first step in the process would be the adoption of the national monitoring system design to local conditions through a consultative process. This is the first time that India is developing a comprehensive monitoring system, and the initial stages would be a learning exercise requiring the total attention of a dedicated team of scientists interacting closely with PA managers and other interested groups. The coordinating organization would oversee the following: Staff Appraisal Report 156 Annex 10 (a) Estimation of the current status, extent, and trends in response indicators, and associated human threats (b) Measuring the response, habitat, and disturbance indicators, and indicators of project activities, institutions, and process (c) Providing periodic reports on impacts and effectiveness of project activities, and guidelines on project adjustment. (d) Periodic review of monitoring design to incorporate new information. 22. Other Design Considerations. The following are the other considerations in the impact monitoring design: (a) Monitoring is a long term activity that needs organization, long term funding, and commitment. Simplicity at every stage of monitoring, especially in data collection and analysis, would minimize personnel, expertise and financial requirements for long term monitoring. Moreover, the association of local research organization in monitoring would ensure the availability of local expertise if needed (b) The monitoring system adopted at the beginning of the project would be updated based on the experience gained as the project progresses (c) Quality control at every stage of monitoring would be enhanced by training, standardization of data collection procedures, and peer review (d) Developing a comprehensive monitoring program for complex terrestrial ecosystems with many pathways of impact is a challenging task. Since a comprehensive monitoring system is being developed in India for the first time, the conceptual model and its elaboration into a monitoring system initially would depend largely on experiences elsewhere in the world, supported with only limited field tests. This monitoring system would be constantly upgraded (ensuring continuity) through feedbacks from research (e) In order to create awareness among the public on the status of biodiversity in the PA and about project impacts, the findings from monitoring would be made available to a wider audience other than the PA management and project personnel. The environmental awareness program of the project, project newsletters, periodic review meetings, and scientific meetings and publications would be used as media for this. Participatory monitoring would also ensure that the local people, NGOs, etc., are aware of the project impacts. The monitoring data would be made available to those not associated with the project, for further analysis and peer review. The organization that designs the monitoring system would elaborate on the mechanisms for dissemination of findings from monitoring. 23. Performance Monitoring Indicators. After the impact monitoring system is designed, a summary of its key feaatures will need to be integrated into the Performance Monitoring Indicators Matrix (Annex 16). Impact Monitoring Matrix PA values/Project Indicators Sampling tools Sampling Assessment criteria activities interval PA VALUES 1.1 I Regional Landscape ax Physical habitat & Land cover types, vegetation status, Remote sensing, GIS, ground, Retrospective, Changes in ecosystem x ecosystem richness & isolation and fragmentation, spp surveys, spp inventories, baseline, annual richness & diversity, extent o complexity, Collective spp richness, percentage of endemic and vegetation studies and end point of degradation, changes in n richness and endemism, rare spp, status of corridors for presence of spp or spp Regional connectivity animal movement assemblages of significance, regional connectivity Watershed values Water flow in streams, rivers, Meteorological data, water flow Retrospective, changes on water tables ground water level etc. measurements seasonal 1.2 Ecosystem/community Lni Types and extent, Ecosystem types and area, Remote sensing, GIS, ground Baseline, Changes in area, < continuity, spp richness, fragmentation, vegetation status spp surveys of vegetation structure biennial, end fragmentation and rarity, and endemism, composition, richness, diversity, and composition, faunal point, and degradation, species ecosystem integrity abundance, percentage, rarity & abundance studies, biomass seasonal composition, productivity, endemism, exotics, weeds, estimation, visual damage nutrient cycling, productivity, nutrient cycling, survey regeneration, weed coverage regeneration. spp=species Note: This matrix lists possible options. Specific indicators and tools would be selected from this list on the basis of maximizing the cost-effectiveness of monitoring expenditures. rD x PA values/Project Indicators Sampling tools Sampling Assessment criteria x activities interval 1.3 Species/populations > '0 Endangered spp, prey- Abundance, life history, population Presence/absence & abundance Annual, Changes in population 1o predator system, key-stone growth rate, distribution, effective estimates, age/sex composition seasonal, & abundance, age/sex spp population size, dispersal, prey-base, studies, mortality & natality continuous composition, predation predation pattern estimation, scat & kill analysis, pattern, demography, prey- radio-telemetry base (D 1.4 PA-people interactions o Traditional knowledge Oral & visual knowledge Ethnographic records, Baseline, end Changes in traditional t systems Direction of information flow community survey, informant point knowledge systems interview Resource management Traditional land tenure laws, Change in resource use systems individual land holdings, local management. resource extraction, gender roles in resource use, local regulation in resource use 2 DISTURBANCE INDICATORS 2.1 Landcover changes Human land use pattern in and Remote sensing, GIS, ground Baseline, Changes in land use pattern around PA surveys annual, end around & and inside PA point 2.2 Human resource needs, Human & live stock density, gazing Ground surveys, vegetation Baseline, annual Changes in grazing and grazing, fuel wood intensity, biomass loss due to studies, interviews. and seasonal removal of fuel wood and removal, NTFP removal. grazing and fuel wood removal, NTFP, persons involved, weed incidence, NTFP removal, changes in vegetation status spatial variation, temporal variation. 2.3 Fire damage Incidence of fire, area affected, Annual ground surveys, official Baseline, annual Changes in the incidence of critical ecosystems or habitat records, local information fire, extent of area affected, affected status of affected habitats. 2.4 Regional impacts Nature and types of regional Regional plans, ground surveys annual Impacts on project objectives > activities, impacts on PA ecosystem area, connectivity, species etc. Note: This matrix lists possible options. Specific indicators and tools would be selected from this list on the basis of maximizing the cost-effectiveness of monitoring expenditures. PA values/Project Indicators Sampling tools Sampling Assessment criteria activities interval 3 SOCIOECONOMICS 3.1 Cultural diversity and Ethnic groups, composition, Census, admninistrative records, Baseline, Changes in socioeconomic M Impacts demography, socioeconomic and special studies, PAMIA (PRA) annual; ongoing status cultural dynamics, and impacts studies a 3.2 Resource use pattern Occupation, consumption pattern, Census, administrative records, Baseline, annual Changes in land tenure, land tenure, access to PAs for interviews, field studies resource use pattern, access x resource, gender roles to PAs o 3.3 Social infrastructure Housing, nutrition, education, Interviews, administrative Baseline, annual Changes in social marketing, recreation, records infrastructure transportation, customary laws 3.4 PA impacts crop damage nature and extent, Interviews, field measurements Retrospective, Changes in the incidence and compensation, livestock loss, lost of crop damage, claims for baseline, annual, intensity of crop and grazing opportunity, other lost compensation seasonal livestock loss, compensation resources 4 PA MANAGEMENT v 4.1 PA boundaries and Changes in management plans, PA Administrative records and Baseline, annual Changes in ecological zonation boundaries, zonation maps boundaries of PA and zonation within PA, percentage of critical areas protected 4.2 Infrastructure Infra-stuctural development Administrative records, physical Baseline, annual development (physical), functional indicators verification 4.3 Animal damage control Erection of animal damage control Administrative records, physical Retrospective, Changes in the extent of crop structures, nature and extent of verification, estimation of crop annual, seasonal damage due to wild animals animal damage damage 4.4 Fire control measures Erection of fire control structures, Administrative records, Retrospective, Changes in the incidence and incidence of fire, extent of fire verification, field estimation of annual, seasonal intensity of fire, and habitat damage incidence of fire, retrospective improvement data 4.5 Habitat enrichment Area of habitat enrichment, animal Administrative records, Annual, seasonal Changes in animal use of m measures use of those areas verification, field studies on manipulated habitats X animal use of the area o Note: This matrix lists possible options. Specific indicators and tools would be selected from this list on the basis of maximizing the cost-effectiveness of monitoring expenditures. PA values/Project Indicators Sampling tools Sampling Assessment criteria rt activities interval 5 PROJECT PROCESSES 5.1 Community role in Devolution of authority to Local records, minutes of Baseline, annual Changes in community roles managing PA communities meetings, interviews in PA management 5.2 Community enforcing PA Evidence of community role in PA Local records, minutes of Baseline, annual Changes in community roles 5 protection protection meetings, interviews in protection 0 5.3 Community role in Participation in microplanning Local records, minutes of Annual o rt microplanning meetings, interviews 5.4 Community participation in Participation in monitoring Local records, minutes of Annual monitoring impacts meetings, interviews 6 PROJECT INSITIUTIONS 6.1 Regulatory responsibilities Regulations enforced, compliance Executive orders, inspection Baseline, annual Changes in regulatory monitored, records, administrative records responsibilities and 0 functioning C) 6.2 National coordinating body Issues coordinated, training Agendas, meetings, minutes Baseline, annual Issues resolved organized 6.3 Staffing Changes in staffing Budgets, staffing records Annual Adequacy of staff 6.4 Infra-structure Equipment and other facilities Equipment inventories Annual Adequacy of equipment 6.5 Financial resources Changes in financial resources Budget requests, annual reports, Annual Meeting targets financial reviews Note: This matrix lists possible options. Specific indicators and tools would be selected from this list on the basis of maximizing the cost-effectiveness of monitoring expenditures. x Staff Appraisal Report 161 Annex 10 C. Research Research Strategy 24. In order to achieve the objectives of better PA management and ecodevelopment for conservation of biodiversity, a better understanding of the relevant issues is necessary. An almost total paucity of information on the ecological and socioeconomic issues in five of the seven PAs (in Gir and Periyar some research has been carried out), makes necessary a strenuous effort to generate the critical information through research. Such research should also address long term information needs of the PAs 25. In view of the constraints described in Annex 2, research for generating critical information needs of this project requires a novel and strategic approach. This approach should address the foliowing: (a) The consultative processes and mechanisms necessary to ensure that research addresses information needs that are critical to this project and to the long term management of the PA (b) The need to develop research interest and expertise in local institutions around the PAs so that information needs of the PAs are met locally in the long run (c) Mechanisms to ensure that project PAs support and attract sustained research that would meet their information needs (d) Mechanisms to ensure that research findings guide PA management and ecodevelopment activities on a sustained basis (e) Mechanisms for coordination of research both at the national and PA levels. 26. The strategic approach to identify critical information needs of the PAs would include (a) a national level framework that would identify information needs common to all PAs; and (b) PA level research planning to adapt the national level framework to PA level so as to include site specific information needs. This planning would not be done by professional researchers in isolation, but rather through a consultative process involving PA management, local stake holders, and other interest groups. 27. Although critical information needs might vary among PAs to some extent, most information needs are common to them.These needs relate to: (a) PA-people interactions; these are: (i) impacts of legal or customary human uses such as grazing and NTFP collection (ii) illegal human activities: encroachment, poaching (iii) human, livestock and crop depredation (b) PA management, which comprises: (i) impacts of PA management Staff Appraisal Report 162 Annex 10 (ii) zonation and PA boundary with reference to the types and extent of various ecosystems, and animal ranges (iii) impacts and control of forest fire (iv) fragile ecosystems or habitats (v) key species requiring attention (vi) connectivity with surrounding areas (vii) population relocation initiatives (viii) tourism (c) Village ecodevelopment, including: (i) structure and dynamics of local communities; cultural heritage and institutions; traditional knowledge systems (ii) socioeconomics: tenure rights, participatory processes in traditional organizations, access to, use and management of resources (iii) income generation opportunities: subsistence employment opportunities Table 2 provides examples of research questions related to these topics. Table 2: Research & Monitoring Approach (A) "PRESSURE" POINTS FOR MANAGEMENT l PA PRIORITIES RESEARCH QUESTIONS NOTES& (1) Human Impacts due to What is the sustainable yield of Livestock Grazing, Fodder Rights & Leases in PA (e.g., products or carrying capacity of uses Extraction, Fuelwood grazing, NTFP collection) under traditional rights and leases? Collection, Timber What are acceptable mechanisms or Extraction, Non-Timber incentives to mitigate, offset or control Forest Products (NTFP) excessive pressures on PA? Collection, Government Uses, Thoroughfares, Tourism, Plantations (2) Illegal Activities in PA What motivates illegal activities in PA? Occupation and Use, (e.g., poaching, What mechanisms or incentives can be Encroachment (e.g. encroachment) employed for its prevention, mitigation, Agriculture, Ganja or off-set? Cultivation), Poaching Offenses (e.g. Elephants, Ungulates, Teak) (3) Habitat Degradation and What causes habitat degradation and Exotic Weeds and Pests, Exotic Infestations in PA exotic infestations in PA? What Erosion, Quarrying mechanisms or incentives can be employed for its arrest, reversal, or control? (4) Human or Livestock What causes human and/or livestock Tigers, Lions Depredation by Carnivores depredation by large carnivores outside outside PA PA? What mechanisms can be used for l________________________ its prevention, mitigation, or control? Staff Appraisal Report 163 Annex 10 PA PRIORITIES: RESEARCH QUESTIONS NOTES (5) Crop Damage outside PA What causes crop damage outside PA Elephants, Wild Boar, by Large & Small by herbivores or detritivores? What Langur, Neelgai, Peafowl Herbivores & Detritivores mechanisms can be used for its prevention, mitigation, or control? (6) Management Practices of What are the effects of PA management Fuelwood and Fodder PA practices on biodiversity conservation, Plantations, Population if any? What mechanisms can be used Relocation, Compensations, to minimize adverse effects? Tourism Control, Public Awareness, Extension (7) Watershed or Land Use What is the nature and magnitude of Fires, Floods, Droughts, Effects on PA land use and watershed environmental Water Pollution, Frosts and effects on PA and biodiversity Storms, Epidemics conservation? What policies or mechanisms can be used to prevent, I mitigate or off-set these effects? (B) VILLAGE ECODEVELOPMENT IN & AROUND THE P.A. PA PRIORITIES: RESEARCH QUESTIONS NOTES (8) Forest Communities How dependent is the livelihood of Tribal or Non-tribal Using PA and Village forest communities on PA? What hamlets or villages Ecodevelopment development incentives could help reduce this dependency while conserving biodiversity? (9) Socioeconomics of What are the socioeconomic features Tenure and Rights, Community for Village governing the livelihood of local Participatory Process, Ecodevelopment communities? How can these be used Access to Resources, synergetically to enhance their Cultural Heritage, sustainable livelihood through Traditional Resource ecodevelopment? Management Systems (10) Scarce Employment What is the cause for low productivity Improved agricultural Opportunities for and income from traditional activities "seeds", Cash Crops, Indigenous Peoples supporting forest communities? What Village Industries opportunities allow for their improvement through value-added and employment? (11) Public Use of PA for What is the nature of these public uses Temple Pilgrimages, Village Enterprises and of PA? What policies and incentives Tourism, Thoroughfares Employment would encourage local community enterprises and income-generation in these public uses? NOTES: KEY SPECIES: Dominant or Unique Producers (trees, shrubs, grasses, weeds), Consumers (vertebrate herbivores and carnivores, pests, parasites), Decomposers (termites), Pollinators (bees, thrips), Vectors (seed dispersal) ECOSYSTEM TYPES: Major, Unique, Threatened or Degraded Habitats, and Ecosystems Staff Appraisal Report 164 Annex 10 Research Coordination 28. Since attempts at research by the PA Management have often been unsuccessful, research is best entrusted to research organisations, universities, and independent researchers. However, the capacity for research is lirmited at both the national and local levels, and research planning, therefore, should address these constraints and consider the capacity that could be developed during the project. National research institutions have national level mandates and have to shift their research focus topically and geographically when required. It is, therefore, inevitable that much of the research must be carried out by local institutions located near the PA and individual researchers working in the area. This would also build up research interest and expertise around the PA and support infornal groups of scientists who are working in a particular PA With adequate financial support PAs would then have a sustainable source of information for PA management. Only very few PAs have local institutions (Kerala Forestry Research Institute (KFRI) for Periyar and State Forestry Research Institute (SFRI) for Pench) and have informal groups of scientists (Nagarhole and Ranthambhore) that can independently conduct socioeconomic and ecological research. Some human capacity development is necessary for local institutions and individual researchers, for example through trainirg and collaborative projects with national institutions. A preliminary list of potential local institutions for conducting research in the PAs is given below. The research strategy would include an expansion of this list and an additional inventory of the availability and capabilities of individual researchers. 29. Given the limited capacity at national and local levels to conduct research in the short term, research activities in the project should be phased so that the national and local researchers can absorb the work load and develop their capacity to meet further requirements. 30. Effective coordination of research both at the national and PA levels is necessary in order to ensure (a) that research addresses issues of immediate and long term relevance to PA management and ecodevelopment; (b) that these issues are identified through a consultative process; (c) efficient funding; (d) adequate training for the research staff, (e) smooth conduct of field studies; (f) timely compilation, evaluation, and dissemination of results; (g) ongoing interaction among the researchers, PA management, and other interest groups that facilitate incorporation of research findings in PA management and ecodevelopment activities. 31. To free PA management from responsibility for administering research funds on a day to day basis, the entire research funds for a PA may be entrusted with one coordinating institution. This institution should have the expertise to conduct and coordinate research, and have adequate financial and administrative flexibility to contract, administer, and subcontract the research finds if needed. Research coordination in each PA is perhaps best entrusted to a local research institution, with whom the PA management could interact on a day-to-day basis. It would be the responsibility of the coordinating research institution to (a) contract research from PA, (b) subcontract research projects to other individuals and organisations if needed and to administer the funds; (c) produce periodic and final reports of the research projects; (d) arrange for periodic independent review of the projects; (e) arrange for short term studies when requested by the PA management; (f) interact with PA management to facilitate incorporation of research findings into management. Staff Appraisal Report 165 Annex 10 32. Although some PAs have local institutions with the capability to coordinate research (e.g. KFRI for Periyar and SFRI for Pench), others do not have such institutions that are readily identifiable. An assessment of the capabilities of the local institutions to coordinate research is thus necessary. In the absence of capable local institutions, research coordination in some PAs may have to be done by a national institute. Research Projects 33. The research requirements are best organized into distinct projects, although these would not necessarily be mutually exclusive. Some of these would be long-term projects (2-4 years), while others would be of short duration (up to 18 months). The former would often address long-term information needs of the PA, the latter would often address immediate information needs. Short duration projects would also cover information needs that are identified on a contingent basis as the project progresses. It should be the responsibility of individuals and organizations contracting individual research projects to hire research staff (e.g., research fellows) and procure equipment etc., as and when required. A few potential research projects, that combine several information needs, are given below. The current limits on capacity for conducting research, mean that onlv about 4 to 8 major research projects (including ecology and socioeconomics) can be taken up in each PA during the next five years without substantial reduction in quality. Similarly, only up to a maximum of about 10 short term projects can be taken up. 34. The following steps are suggested in the implementation of research in each PA: (a) Identification of information needs in consultation with PAs, NGOs, national and local research institutions, and local people (b) Review of existing information to identify gaps (c) Formulation of distinct research projects (d) Contracting of all research projects to one institution identified as the coordinating institute (e) Continuing interaction between the PA management, researchers, and coordinating institutions to facilitate the conduct of research and to ensure that research addresses issues of relevance to management and that PA management and ecodevelopment activities are guided by research findings (f) Periodic compilation, evaluation and dissemination of research findings to the PA management, scientists, and the public. 3 5. Individual research projects are estimated to cost about Rs. 900,000 for long-term projects (2-4 years) and Rs. 250,000 for short-term projects. The cost of individual projects is, however, expected to vary by about 20 percent. These costs include equipment needed specifically for the project, fuel and hiring of vehicle, fellowships, travel and per diem, etc, and a contracting fee at a specified percentage. Research Facilities 36. None of the PAs have basic facilities for research and these would be provided by the PA management. These would include (a) a research building with accommodation for Staff Appraisal Report 166 Annex 10 field researchers; (b) a vehicle for research, the use of which would be moderated by the research coordinating institution; and (c) basic equipment such as a refiigerator, oven, etc. that would be shared by researchers in the field. Equipment required for specific projects would be acquired as part of the project. Some PAs would also provide one or two field stations, for short camping trips away from the main base. D. Terms of Reference Terms of Reference for Local Research and Impact Monitoring Coordinating Organization Reports to: PA Field Director Objectives: To (a) identify and formulate research projects; (b) call for, evaluate, and subcontract research proposals; (c)facilitate research and impact monitoring, and produce periodic reports and reviews; and (d) interact with PA management so as to incorporate findings into PA management and ecodevelopment. The PA management would follow the guidelines developed by the national research coordinator while selecting and contracting the local level research coordinator. Responsibilities: Contract the entire research funds from the PA and administer them effectively; this includes subcontracting to other organizations and individuals if needed; Identify research issues in consultation with PA management, national research coordinating institution, and other interest groups; Formulate research topics and terms of reference, call for, evaluate, and select research proposals on the identified topics; Provide training to the research staff so as to develop their capacity to conduct research; Facilitate the conduct of research in the field by interacting with local research advisory committee, PA management, and researchers to ensure availability of funds, accommodation, vehicle, and basic laboratory equipment provided by the PA management; Produce periodic compilation of reports from all the projects, and other reports as required by the PA management; Arrange for periodic review and evaluation of research projects; Interact with PA management and local level research advisory committee to facilitate incorporation of research findings into PA management and ecodevelopment activities; Provide expertise to forest department on other matters related to information needs. SFD Obligations: The PA management would provide (a) funds for research at appropriate intervals; (b) a contracting fee at a specified percentage of the research funds; (c) base accommodation and laboratory consisting of basic equipment, including a computer; (d) one vehicle the use of which would be moderated by the coordinating organization. Duration: Five years Qualifications: As specified by national coordinator for research. Staff Appraisal Report 167 Annex 10 Preliminary List of Potential Institutions that Qualify For Research in PAs. (Potential institutions for coordination of research are marked with *) 1. Buxa Tiger Reserve Calcutta University, Calcutta Burdwan University North Bengal University, Siliguri, West Bengal * Regional Remote Sensing Agency, Kharagpur, West Bengal Centre for Social Studies, Calcutta National Education and Wildlife Service, Calcutta. WWF-Calcutta Ramakrishna Mission, Calcutta Lok Shiksha Parishad, Calcutta Jadavpur University 2. Gir National Park Saurashtra University, Rajkot, Gujarat M. S. University, Baroda, Gujarat Bombay Natural History Society, Bombay Gujarat Agricultural University, Junagarh Campus 3. Nagarhole National Park Centre for Ecological Sciences, Bangalore * Mangalore University, Mangalore * Salim Ali Centre for Ornithology and Natural History, Coimbatore * Centre for Wildlife Studies, Mysore * Mysore University, Mysore MYRADA, Bangalore 4. Palamau Tiger Reserve Ranchi University, Ranchi Nature Conservation Society, Daltonganj 5. Pench Tiger Reserve State Forest Research Institute, Bhopal * Tribal Research Institute, Bhopal Tropical Forest Research Institute, Jabalpur Indian Institute of Forest Management, Bhopal National Environmental Engineering Research Institute, Nagpur Sagar University MAPCOST, Bhopal 6. Periyar Tiger Reserve Kerala Forest Research Institute, Trissur, Kerala * Staff Appraisal Report 168 Annex 10 Kerala University, Tiruvananthapuram, Kerala Gandhi University, Kottayam, Kerala Calicut University, Calicut, Kerala Salim Ali Centre for Ornithology and Natural History, Coimbatore* Centre for Earth Sciences, Tiruvananthapuram, Kerala Tropical Botanical Garden, Tiruvananthapuram, Kerala 7. Ranthambhore Tiger Reserve Department of Environment, J.N.V University Rajasthan University, Jaipur Rajasthan Agricultural University, Bikaneer Central Arid Zone Research Institute, Jodhpur Jawaharlal Nehru University, New Delhi * Examples of Potential Research Projects 37. Although the information needs vary among the PAs, much would be common and basic, since very little research has been carried out in most PAs. The potential for research depends on: (a) The ecological complexity of the PA; a PA with greater biological diversity at ecosystem or species levels (e.g., Periyar) has greater research potential; (b) Complexity of management; a large predator-prey system (e.g., in Ranthambhore) when confined to a small PA would require greater information for effective management (c) Complexity of human interactions; a PA with a large human population interacting with it in diverse ways would also require a greater information input for effective management 38. The potential for research is also dictated by the capability of local and other research institutions to conduct research. 39. Landscape/Ecosystem level studies. Of fundamental importance to PA management is information on regional landscape (consisting of the PA and surrounds) and extent and status of communities/ecosystems contained within. This information is necessary for (a) Setting ecological boundaries of the PA (b) Zonation of the park into core, buffer, and tourism zones (c) Identifying degraded and fragile ecosystems (d) Identifying critical animal movement corridors within the PA and in adjacent areas 40. (e) A proper understanding of the role of the PA in regional conservation. Staff Appraisal Report 169 Annex 10 41. This baseline data, however, is not available for any of the PAs in a form that is of practical value to the management. This information would also be helpful as a major element in setting up the monitoring program 42. The questions addressed could include: (a) Types, distribution, extent, fragmentation and linkages at landscape and ecosystems levels (b) Major disturbance regimes at landscape and ecosystem levels; (c) land use pattern trends (c) Fragile ecosystems or habitats (d) Size and proportion of ecosystem types protected etc 43. Research methods would include analysis of satellite images and aerial photographs with ground truthing, and ground studies on vegetation composition and status, and disturbance types. 44. Outputs would include maps showing topography, major land features, water bodies, classified vegetation, major disturbance regimes, trends in land use changes, important animal movement corridors etc. 45. Species/population level studies. Faunal and floral distribution and abundance with reference to the landscape and ecosystems are critical to PA management for many reasons: (a) Rationalization of PA boundaries and zonation with reference to animal distribution and movement (b) Identification of habitat features (e.g., fodder distribution, water holes) or management measures (e.g., tourism management, roads) that are critical to animal distribution (c) Identifying seasonal movement pattern of animals, especially large mammals and its implications for PA management (e.g., crop damage, water hole management) (d) Monitoring the status and management requirements of species or species assemblages or communities that need particular management attention. 46. The questions addressed could include: (a) The distribution and abundance pattern of species or species groups with reference to ecosystems or communities and seasonal trends (b) Relation of patterns to habitat features and management activities (c) The extent of fragmentation of population of species of concern and management implications (d) The life history and demographic characteristics of keystone or threatened species (e) The dietary and other habitat requirements of important species. Staff Appraisal Report 170 Annex 10 47. The methods employed could include studies on species composition in various ecosystems on a seasonal basis, population density or other abundance estimates, estimation of age/sex composition and birth and mortality rates, analysis of habitat features, etc. 48. The outputs could include an overlay of animal and plant distribution on the ecosystem maps, identification of habitat features critical to animal distribution, population projections of threatened species, etc. 49. Crop and livestock depredation: Crop damage by wild ungulates and cattle lifting by large carnivores is a major management problem in many of the PAs. Many of the PAs have already taken management measures, often on an ad hoc basis, to contain these problems. These measures include payment of compensation, erection of wildlife control structures such as electric fencing and stone walls and trenching. However, a comprehensive assessment of the nature and extent of damage in terms of spatial and temporal distribution and economic loss to villagers has not been done in any PA. This would thus form a typical short term project. 50. Long-term biological research studies. Even though the major focus of research would be on issues of immediate concern to PA management and village ecodevelopment, research during the project period would also begin to address issues of long-term concern. these would include grazing impacts under different management arrangements, the role of fire in maintaining critical habitats, and long-term studies on critically endangered species. The phasing of these studies would, however, depend on the capacity available to undertake research. 51. PA/People Interactions. Effective PA management will require a better understanding of relationships between PA resources and human populations. This information will be essential for assessing the social and economic impacts of PA establishment and ecodevelopment activities, providing opportunities for local participation in PA management, improving and contributing knowledge on PA resources for management purposes, and examining the impact of indigenous and traditional practices. Generally, the level of research activity on PA/people interactions across the eight sites is low, if not absent. Some research has been carried out in Gir, Ranthambhore and Periyar. The scope of research into PA/people interactions is extensive. Potentially useful projects could include investigations into the following areas. 52. Indigenous knowledge systems. Indigenous knowledge systems used by human populations, especially tribal groups, and their contribution to biodiversity conservation are important. Studies would investigate: (a) Cultural aspects of relationships between natural resources in PAs and people, especially tribal groups (b) The management of natural resources through traditional systems of organization and implications for PA objectives (c) The economics of livelihood strategies based on forest resources with specific foci on women, tribal groups, and other marginal communities. Staff Appraisal Report 171 Annex 10 Studies of this nature are likely to be long-term efforts, although some could be broken down into short-term research projects. A typical short-term project could investigate the cultural aspects of collection of a particular non-timber forest product, providing information within a larger project investigating cultural and ecological aspects of the activity. 53. Social organization and participation studies. The village ecodevelopment component of the project relies on a high level of local participation in the proposed activities. For this and other similar projects it will be important to investigate the process and outcomes of participation in ecodevelopment activities. The information will be critical in refining the microplanning process, developing monitoring plans, and improving relations between PA authorities, NGOs, and local people. Again, the scope of investigations in this area is extensive. Potentially useful studies could include the following: (a) The nature and extent of participation in village ecodevelopment activities (b) Relationships between the social organization of local communities and participation in ecodevelopment activities (c) Nature of decision-making in local communities and implications for microplanning and implementation of reciprocal commitments (d) Conflict resolution mechanisms in local communities. 54. Socioeconomic impacts of PA establishment. It will be important to have more information on the impact of PA establishment on the socioeconomic status of resident populations and coping strategies adopted. This research would help policy makers to better understand the dynamics of PA establishment and to evaluate the level of appropriate compensatory assistance for groups negatively affected, and to evaluate the minimum level of incentives required. Staff Appraisal Report 172 Ammei 10 Staff Appraisal Report 173 Annex 11 Annex 11: Project Management Component A. Overview I. The project would continue development of the project implementation strategy and guidelines initiated with Project Preparation Facility financing. All national-level support for implementation and capacity development, publicity and dissemination contracts, implementation reviews and policy and strategy studies, guidelines, and training programs, is included in the project management component. 2. National-level Implementation Support and Capacity Development. Specific tasks would include: (a) PA management planning: guidelines and training (b) Regional planning and regulation: capacity development (c) Environmental review: guidelines and initial scoping, (d) Participatory microplanning and development of training program, (e) Social assessment review: guidelines and initial scoping (f) Village ecodevelopment investments: feasibility and eligibility guidelines (g) Environmental education and awareness: guidelines and capacity development (h) Impact monitoring: guidelines (i) Research/impact monitoring: strategy and national-level interchange (j) Project performance review: guidelines and format (k) Broad project management issues: multi-state learning and dissemination. 3. Publicity and Dissemination Contracts. The project would include contractual support for translation of the entire staff appraisal report and selected portions into Hindi and into native languages of local NGOs and for the public dissemination of the staff appraisal report, the indicative plan, other relevant project documents, and a semiannual newsletter; it would also support production of a video on project activities. 4. Implementation Reviews. The project would support a series of national level implementation reviews some of which would have a specific focus. In many cases the project imp]ementation reviews would build upon the initial assessments and guidelines developed with Project Preparation Facility support, and take a facilitative approach. However, the project also includes support for independent assessments by specialists not otherwise involved in the project, in order to ensure transparency and accountability. Specific task would include: (a) Intensive project performance review (b) Project expenditure and procurement review (c) Annual independent review. Staff Appraisal Report 174 Annex 11 5. Policy and Strategy Studies. In the cases of financial sustainability and the ecotourism strategy, states would conduct their own studies which would be followed by a national study on each topic that would summarize and integrate the state-level findings, and address national-level issues. The policy and strategy studies on issues affecting the long-term institutional arrangements for ecodevelopment would include: (a) Financial sustainability (b) Ecotourism and visitor strategy. (c) Ecodevelopment incentives and income impacts study 6. Administrative Support. Government staff would be responsible for most of the direct and routine PA and national-level project administration, in accordance with staff plans outlined in Annex 15. They would receive contractual support for project administration and contract management. B. National-level Implementation Support and Capacity Development Draft Terms of Reference: Project Implementation Support on PA Management Planning Guidelines and Training Reports to: Director, Project Tiger Office and PA Field Directors Objectives To prepare guidelines for PA management planning and facilitate the implementation of the the PA management planning subcomponent Responsibilities: Review Annex 7 and develop workplan to develop guidelines that would address issues raised regarding the strengthening of PA management plans. Prepare guidelines and help PAs to identify stakeholders in the PA, assess current level of participation of local people and other stakeholders in PA management and planning process, and suggest mechanisms to improve it, if necessary Prepare guidelines and help PAs to examine current boundaries of the PAs to determine if any biologically significant ecosystems have been left under- represented in the PA. Examine the current/proposed focus of ecodevelopment around the PAs and suggest changes if necessary, to focus it on more demanding (biologically more important) parts of the PA; Prepare guidelines and help PAs to examine current or proposed management/working plans dealing with the buffer zones (designated or not), identify prescriptions/proposals conflicting with the objectives or methods of PA management (if any), and suggest ameliorative and/or alternative approaches to make management of PA and surrounding lands fully compatible with each other Prepare recommendations for approaches, tools, and formats for addressing other items in the project PA management planning subcomponent; Visit PA sites, and hold discussions and collect field information. State/PA authorities would make all necessary documentation available and facilitate field work and interaction Facilitate national level workshop to review recommendations for plan updates Prepare and submit a consolidated report outlining strategies and approaches for updating PA plans and submit site specific reports for each PA Staff Appraisal Report 175 Annex 11 Provide training to selected officers from each PA in PA management plan preparation, and Provide guidance to States during the updating of individual PA management plans, if necessary. Duration: Two years Qualifications: Extensive experience in preparation and implementation of PA management plans, training and/or research in PAs in the country. Knowledge of natural resource management issues and environmental assessment site review. Experience in facilitation of training, workshops, and meetings. Draft Terms of Reference: Regional Planning and Regulation: Capacity Development Reports to: Director, Project Tiger Objectives To facilitate the provision of basic information for managing land surrounding PA in manner compatible with conservation and for integrating PA concerns into large scale land-use planning initiatives and regulations at local and regional levels. To facilitate the identification and assessment of activities outside the PA that might potentially undermine conservation within the PA and to seek new approaches to deal with these threats, using criteria and procedures outlined in Annex 7. Responsibilities: Review Annex 7 and develop workplan to develop guidelines that would address issues raised regarding the incorporation of PA concerns into regional planning and regulation. Help PAs to identify existing or proposed development plans of agencies (irrigation, power, agriculture, tribal development, district development, five-year plans, forestry, livestock development and others) in and around the PA. Examine the current procedures and guidelines for the preparation of district development plans (5-year or annual), discuss and propose ways for integrating ecodevelopment concerns of PAs into the district development plans With reference to the criteria and procedures outlined in Annex 7, help PAs to determine if these plans contain investments that have the potential to directly or indirectly impact the PA and its long-term viability, and to the extent to which such plans include or require studies and assessments to address these impacts. Focus on (a) potenital increase in the level of encroachment into the PA that is not adequately mitigated, (b) potential disruption of migrations of ecologically important species---for example, net loss of wildlife corridors, (c) potential conversion of existing or proposed "core" areas of PAs as defined in PA management plans, and (d) conversion, fragmentation, or change in legal status of any part of the PA that would materially and adversely affect the viability of ecologically important ecosystems and species. With reference to the criteria and procedures outlined in Annex 7, help PAs to determine if these plans contain investments that have the potential to materially and adversely affect the ecodevelopment strategy of decreasing negative interactions and increasing collaboration between local people and PA managers, and the extent to which such plans include or require studies and assessments to address these impacts. Focus on (a) potential conversion, fragmentation,, or Staff Appraisal Report 176 Annex 11 change in legal status of any part of the PA (especially that affecting customary rights of indigenous people), and (b) on potential displacement of people and the extent to which resettlement plans include (i) accurate baseline studies, (ii) careful consultation, (iii) restoration of living standards, (iv) full compensation for land and other assets including customary rights of indigenous people, and (v) a strategy for sustainable encroachment control. Analyze the extent of dialogue, communication and consultation between key development agencies and PA authorities, and the extent of public consultation on these issues and the channels available for this purpose. Suggest mechanisms to improve these activities and the decision-making associated with MOEF and forest department review processes. Propose mechanisms for ensuring coordination of regional activities with PA management programs. Analyze MOEF procedures and practices and suggest improvements. Monitor the incorporation into the updated PA management plans of improved processes that address regional issues. Monitor compliance with the project covenant on regional activities. Monitor performance of regional planning and assessment activities for the project duration. Facilitate improvements. Duration: Project duration Qualifications: Over five years experience and expertise in regional planning and development. Understanding of ecological processes and interactions. Experience in participatory mechanisms and environmental analysis. Familiarity with resettlement and indigenous people's development planning, including guidelines, and access to additional expertise in these areas as necessary. Draft Terms of Reference: Environmental Review Guidelines and Initial Scoping Reports to: Director, Project Tiger Responsibilities: Review Annex 17 and develop workplan to develop guidelines that would address issues raised regarding environmental review. Further consider site-specific environmental impacts of activities proposed for PA management improvements and in village ecodevelopment microplans, complementing the preliminary environmental analysis carried out during project preparation and summarized in Annex 17. Recommend measures for strengthening environmental management and monitoring procedures during implementation of the project, including recommendations for the cost-effective conduct of site-specific assessments of project investments prior to execution. Recommend guidelines for environmental review work of PA ecologist and for Intensive Project Performance Review Team. Duration: One year Qualifications: Professional competence and extensive experience in the conduct of environmental assessments related to biological resources. Expertise in biological assessments and surveys and PA management activities. Staff Appraisal Report 177 Annex 11 Draft Terms of Reference: Development of Participatory Microplanning and Development of Training Programs Reports to: Director, Project Tiger Responsibilities: Review Annex 8 and to continue to develop and modify, as necessary for Indian conditions, (a) guidelines for participatory microplanning, and (b) guidelines for training programs to implement the above. The contractor would build upon the guidelines outlined in the staff appraisal report. Particular emphasis will need to be paid to: * Strategies for mitigating negative impacts on especially vulnerable stakeholders of tribal groups, women, and the poor * Increasing effective participation by stakeholders in project activities, with emphases on ecodevelopment activities and decision-making in project management * Strengthening and developing mechanisms for conflict resolution between the various stakeholders * Establishing a system for periodically reviewing the effectiveness of social monitoring in improving ongoing planning and implementation, incorporating the recommendations of the Social Assessment Review (see below). Specific areas to be covered will include: - Providing practical advice on how carry out participatory microplanning - Developing guidelines for appropriate training programs. To develop the training programs the specialist would: - Review currently available training programs in microplanning techniques - Identify training needs for local and national NGOs involved in participatory village ecodevelopment microplanning - Propose training programs for NGOs and other groups appropriate to local conditions - of various duration * Prepare handbooks in appropriate languages for those conducting microplanning * Coordinate microplanning training programs across project areas * Conduct monitoring of training programs and prepare recommendations for future training needs Duration: Project cycle including PPF Qualifications: Organization with professional experience in facilitating participatory microplanning for indigenous people, women, and other marginalized groups, social impact assessment, and training. Organization with long-term capability to develop training programs; proven track-record in developing and implementing training programs. Prior experience of protected area and natural resource management desirable.. Staff Appraisal Report 178 Annex 11 Draft Terms of Reference: Social Assessment Review Guidelines and Initial Scoping Qualifications: Professional competence and extensive experience in the conduct of environrmental assessments related to social resources. Expertise in social assessments and surveys and PA management activities. Reports to: Director, Project Tiger Responsibilities: Review Annex 18 and further consider site-specific social impacts of activities proposed for PA management improvements and in village ecodevelopment microplans, complementing the preliminary social assessment analysis carried out during project preparation. Continue to develop and modify, as necessary for Indian conditions the participatory framework of social assessment analysis that was developed during project preparation and appraisal and mechanisms to ensure that social monitoring findings are used to mitigate negative impacts in ongoing implementation Particular attention would be paid to: * Predicting the social consequences of project activities and alternative courses of action on stakeholders, identifying unanticipated options, identifying adverse impacts on ongoing projects. Areas of concern include social organizational structures and decision-making processes, sociocultural issues, distributional impacts, land tenure arrangements, access to and management of natural resources - Identifying strategies to mitigate or minimize negative impacts prior to and during implementation i Incorporating findings from impact monitoring and project performance review of effects through the social assessment framework, providing feedback to change project components, increase institutional learning and build trust among project stakeholder Recommend measures for strengthening management and monitoring procedures during implementation of the project, including recommendations for the cost- effective conduct of site-specific assessments of project investments prior to execution. Recommend guidelines for social assessment review work of PA sociologists and for Intensive Project Performance Review Team. Duration: One year Qualifications: Professional competence and extensive experience in the conduct of social assessments related to natural resource management. Expertise in social assessments. Draft Terms of Reference: Review and Revision of Feasibility and Eligibility Guidelines for Village Ecodevelopment Activities Reports to: Director, Project Tiger Objectives: Strengthen existing guidelines and review selected site-specific issues to ensure that microplans meet project objectives, fulfill eligibility criteria, and are feasible. Responsibilities: Review Annex 8 and other project documentation. Obtain a clear understanding of Staff Appraisal Report 179 Annex 11 the concepts, objectives, planning and implementation arrangements for the village ecodevelopment activities and the potential range of possible investments through review of project documents and discussion with national and state government staff, NGOs and others. Review the existing feasibility and eligibility guidelines developed for ecodevelopment investments and identify gaps and areas that require strengthening, with a specific focus on sector specific issues. Make field visits where necessary. Review technical, environmental, social, institutional, and financial guidelines for comparable types of investments used by government agencies, commercial banks, NGOs, and donors. Recommend revisions and additions, building on experience of others, and produce an expanded list of sector-specific feasibility considerations and a separate list of annotated references. Field test the revised and expanded list of feasibility considerations to ensure their applicability. Recommend measures, including arrangements of staffing, inter-agency coordination and training needed to implement the guidelines. Duration: Five year retainer contract. Initial support included in PPF. Qualifications: Firm, institution, or NGO with extensive experience in the planning, research, and implementation of community-based investments, especially those related to natural resource management. Must have capacity and experience in inter- disciplinary work, particularly in social, environmental, and institutional aspects, and access to highly qualified technical experts. Draft Terms of Reference: Environmental Education and Awareness: Guidelines and Capacity Development Reports to: Director, Project Tiger Objectives: To develop a strategy for implementation of an environmental education and awareness programs that would be directed at all audiences: policy makers, politicians, visitors, local communities, school children, etc., that would provide the basis and guidance for the later development of environmental education and awareness program at each project PA. Responsibilities: Review Annex 9. Review and assess the range of education and awareness programs being implemented for PAs and biodiversity conservation in general and an understanding of the effectiveness of these programs and the institutions carrying out these programs. Examine the range of education and awareness methods and tools being used in the project PAs and assess the effectiveness of these methods on the target audiences. Assess the capacity and capability of the institutions carrying out these education and awareness program and the effectiveness of programs being carried out by forest departments in the respective project PAs. Identify existing constraints to improving education and awareness programs in Staff Appraisal Report 180 Annex 11 PAs and define measures to address same. Based on the above analysis, propose a strategy to improve education and awareness programs in PAs and specifically to promote a better understanding and acceptance of the concepts and objectives of the Ecodevelopment Project. The strategy should provide guidance on the nature and scope of methods to be employed to reach the different target groups, including outreach programs; training, technical assistance, and institutional needs for implementation of the strategy; and propose next steps or procedures for preparation and implementation of education and awareness action plans in the individual PAs. Conduct a series of workshops at the national level, with state-level participation, to review the study's analysis and proposals, and to reach consensus on a final strategy, and to review implementation experience. Provide additional guidance to state forest department staff and NGO staff contracted by the states who are implementing the environmental education and awareness programs Duration: Project duration. Qualifications: Experience and prominence at the national level in environmental education and awareness program formulation. Willingness and ability to work as a coordinator and facilitator of local environmental education institutions. Draft Terms of Reference: Impact Monitoring Guidelines Reports to:: Director, Project Tiger Objective To provide guidelines to (a) identify project activities, institutions and processes which are associated with biodiversity changes in the PAs, and socioeconomic changes in and around the PAs; (b) measure the nature and extent of such changes; (c) assess whether these are in compliance with those expected; and (d) suggest guidelines for project adjustment if needed. This monitoring system should be consistent across the project PAs, but can be adapted to meet ecological and social conditions in each PA. The monitoring system would consist of a conceptual framework that would then be elaborated into a monitoring system, through consultation, field studies, and peer review. Once designed and field tested, the monitoring system would be adapted to each PA and implemented. Responsibilities: Review Annex 10 and (a) further develop a conceptual framework for designing a monitoring system for the project, and (b) based on consultations, test studies and peer review elaborate the framework into a monitoring system. The framework would include: * The biodiversity and other values for which the project PAs are being managed, major threats, anticipated project impacts, and objectives of monitoring * A tentative selection of indicators of PA values, threats, socioeconomic conditions of relevance, and protect activities, institutions and processes * The logic and criteria behind the selection of indicators * Preliminary selection of sampling methods, intervals, and intensity. * Preliminary assessment of resource and logistic requirements for monitoring Staff Appraisal Report 181 Annex 11 * A preliminary analytical framework, including possible summaries, aggregations and indices, and reporting format and intervals * Mechanisms for feedback and project adjustment * Mechanisms to ensure flexibility in the design for adoption in other areas, and for inclusion of other indicators The above conceptual framework would be elaborated into a monitoring system on the basis of consultations, test studies and peer review. Ensuring maximum consistency across the PAs, the monitoring system would consist of: * Clear statements on the biodiversity and other values (e.g. PA people interactions) of the project PAs * Clear statements on the major PA-people mutual impacts and threats to PA values * A selection of appropriate indicators which closely and clearly reflect the PA values, PA-people interactions and threats to PA values, and the criteria for - their selection (including those field tested) * A set of indicators that reflect important project activities (PA management and village ecodevelopment), institutions and processes - A conceptual model and statement of anticipated project impacts on PA values and threats to them from associated project activities * A sampling design for the measurement of indicators, covering sampling methods, interval, intensity, and precision * Assessment of resource (expertise, personnel, funds, and time) and logistic requirements * Scope and mechanisms for participatory monitoring * Analytical framework consisting of a statistical model for analysis of data to detect changes and trends in order to meet monitoring objectives, including an appropriate set of summaries and aggregations for easy perception of trends and changes in PA values in relation to disturbance indicators, and project activities, institutions and processes * Clearly stated subjectivity in the selection, monitoring and interpretation of indicators and derived indices * Reporting format and intervals * Mechanisms for public dissemination of findings from monitoring * Guidelines on reporting intervals and formats * Mechanisms for ongoing feedback from monitoring to PA management and for project adjustment * Mechanisms for quality control at all levels, including training needs, and peer reviews * An assessment of institutional capability to undertake monitoring. Duration: Eight Months. Qualifications: Extensive experience in the design and conduct of multi-disciplinary monitoring programs, in particular, those that include biological and socioeconomic aspects. Staff Appraisal Report 182 Annex 11 Demonstrated capacity to work with other professional agencies and institutions. Draft Terms of Reference: National Level Implementation Support on Research/limpact Monitoring Strategy and National-level Interchange Reports to:: PA field directors Responsibilities: Review Annex 10. During the initial phase the consultant would: * Identify critical pressures for PA management and ecodevelopment at each of the seven sites, and the ecological and socioeconomic constraints for their understanding * Identify discrete multidisciplinary projects for generating the information required involving ecological (e.g. livestock predation, crop damage, canopy dynamics), biological (e.g. wildlife population and vegetation dynamics, endemism), ethnobiological (e.g. indigenous resource management systems for NTFP), sociocultural (e.g. group organization and participation in NRM), economic, and policy (e.g. impact of agricultural policies on PAs) studies on issues pertaining to human impacts, wildlife impacts, and the livelihood of local people - Identify of a network of research institutions and individual researchers for participation in the research and impact monitoring programs and providing information at the local level * Identify approaches for conducting the studies at each site, including the hiring of contract staff and the provision of research fellowships to graduate students for 1-3 years * Identify criteria for selecting research staff and fellows to conduct research and contractual impact monitoring * Identify training in research/impact monitoring methodology and multidisciplinary teamwork * Identify equipment and facilities required for undertaking the required studies * Evaluate the merits of existing state-level research advisory committees for project PAs, where relevant, and recommendations for the establishment of a research advisory committee where none exists now (comprising representatives from PA management, relevant specialized institutions, relevant government agencies, and NGOs) to advise on research projects, and research fellows * Identify procedures and guidelines for inviting and evaluating research proposals * Formulate cost estimates for specific research and contractual impact monitoring activities including overheads * Conduct workshops and expert consultations for the above purposes * Formulation of research strategies for each of the PAs. In addition, the consultant would continue to provide oversight, guidance and advice to the PAs on their research and impact monitoring activities throughout Staff Appraisal Report 183 Annex 11 the life of the project. Specifically, the consultant would: * Provide guidance to the PAs in the implementation of their respective research programs, including assistance in setting priorities for research, identifying research institutions, etc. • Conduct regular national-level seminars to discuss research and impact monitoring results and disseminate information among the PAs staff and others * Evaluate the research and impact monitoring programs on a regular basis to ascertain its effectiveness and its impact on management, and recommend changes to the programs, if necessary, to meet program goals. Duration: five years Qualifications: Experience in formulating research projects. Expertise in biological, social science, policy research and multidisciplinary research. Experience in monitoring and evaluation. Draft Terms of Reference: Project Performance Review: Guidelines and Format Reports to: Director, Project Tiger Objectives: To establish a progress reporting system that provides information needed for project management decisions and that provides accountability to project financiers Responsibilities: Review Annex 16 and further refine benchmarks for project performance, incorporating (a) measures of project impacts to the extent they are available from the impact monitoring system, (b) measures of the extent to which the project meets design specifications (e.g. participatory processes, etc.), (c) measures of project outputs, (d) measures of project financial performance, and (e) measures of project inputs. Establish a standard format for semi-annual progress reports on project performance that incorporates the benchmarks and other requirements (see Annex 16), keeping the system simple and cost-effective with an orientation on providing useful information for project management decisions, and providing accountability to project financiers (domestic and external). Facilitate the installation and use of the project reporting system in each PA, including hands-on training where needed. Duration: one year Qualifications: Experience in project reporting systems. Experience with World Bank financed projects especially desirable. Conceptual ability to identify benchmarks that measure extent to which project is meeting project objectives and fulfilling project design specifications. Draft Terms of Reference: Multi-state Learning and Communication on Broad Project Management Issues Reports to: Director, Project Tiger Staff Appraisal Report 184 Annex 11 Objectives: To provide a national forum for NGOs, indigenous peoples' organizations and others to exchange experience and views on the project as a whole, building upon the consultation and transparency established during project preparation... Responsibilities: Review current project documentation and conduct periodic workshops and consultations to discuss project experiences, either in general or on specific topics not otherwise handled in other national-level contracts. Conduct or arrange for special studies on project issues not otherwise handled in other national-level contracts. Facilitate cross-sectoral communication linkages between interested NGOs, indigenous people's organizations and other stakeholder institutions at both the national and local levels. Duration: Project duration Qualifications: Experience in conducting workshops, consultations, and studies on natural resource management projects. Ability to work with a wide range of NGOs, indigenous people's organizations and other interested stakeholders. Strong communication skills. C. Publicity and Dissemination Contracts The project would include contractual support at the national and local levels for: (a) Translation of the entire staff appraisal report into Hindi (with wording that is readily understood) (b) Translating selected portions of the staff appraisal report into native languages of local NGOs who would be working on the participatory microplanning (with wording that is readily understood) (c) Publication of the staff appraisal report, the indicative plan, and other relevant project documents for public dissemination (d) Publication of a semiannual newsletter for public dissemination reporting on project developments, and (e) Production of a video on project activities. D. Implementation Reviews Draft Terms of Reference: Intensive Project Performance Review Reports to: Director, Project Tiger Objectives: To provide continuing implementation review to the Project Tiger Office Responsibilities: Undertake field visits to project sites and provide guidance and advice in matters relating to environmental, socioeconomic, management, and technical issues. Provide feedback to change project components, increase institutional learning and build trust among project stakeholders. Provide advice and technical support for planning, coordinating, and implementing project activities when required. Staff Appraisal Report 185 Annex 11 Provide advice and support in the preparation of project progress and completion reports. Provide guidance and advice in review of project documents and plans. Recommend measures for strengthening environmental management and monitoring procedures and programs during implementation of the project, including recommendations for the cost-effective conduct of site-specific assessments of project investments prior to execution. Provide oversight and specialist series required to facilitate the implementation of these measures. Use the environmental assessment framework to assess environmental impacts in ongoing implementation. Use the social assessment framework to (a) assess the social impacts of project activities on stakeholders and (b) the effectiveness of responses to the impact monitoring in mitigating negative impacts in ongoing implementation. Use project design and preparation work to assess effectiveness of project administration arrangements. Suggest improvements where needed. Participate in project technical workshops, review meetings, and coordinating committees, and provide resource personnel when required. Participate in meetings, discussions, and supervision missions involving the Bank as and when required. Provide other relevant technical support and advice when required. The Project Tiger Office would provide a minimum of six portable computers and auxiliary equipment on a full-time basis to the review team. Duration: Five years. Quaulflcatioms: Three full time senior specialists and three full time junior specialists in ecology, social science, and project administration/institutional development. Ecologists would have professional competence and extensive experience in protected area management, biological assessments and surveys, and the conduct of environmental assessments related to biological resources. Social scientist would have experiences in social impact assessment, monitoring and evaluation, and facilitating planning for indigenous people, women, and other marginalized groups. The administration/institutional development specialists should have strong project management skills. Additional short-term technical experts would also be provided on retainer. All individuals should have demonstrated ability to work with national and state level governments, and national and local NGOs. They should have strong analytical and writing skills, and ability to communicate effectively with senior government officials. They should be willing to operate in field in self-contained fashion without secretariat support. Assignment involves extensive travel. Individuals would be contracted through an institution experienced in recruiting qualified specialists for projects, and would operate as "adjunct" staff to the Project Tiger Office. Draft Termn of Reference: Project Expenditure and Procurement Review Repor to: Director, Project Tiger Objectives: To provide incentives, accountability, and transparency that ensure that project expenditures conform with the project objectives and design, and that project procurement meets requirements for economy, efficiency, fairness, and Staff Appraisal Report 186 Annex 11 transparency Responsibilities: To randomly check whether specific project expenditures on goods and works have conformed with project objectives and design. This would include checking whether the planning and implementation have met project guidelines. For example the consultant would review whether village ecodevelopment investments (a) were selected in accordance with participatory microplanning process outlined in staff appraisal report, (b) met eligibility criteria, (c) were designed to address relevant feasibility considerations, (d) met beneficiary contribution requirements, complied with budget constraint. The consultant would also review the documentation of forest department travel expenditures used for participatory microplanning. The consultant would review whether the ecosystem protection and management investments have met eligibility criteria. To review whether project procurement of goods and works have met requirements of economy and efficiency, taking into consideration both the unit cost of items, the full transaction costs of procurement process, and technical, quality, capacity, and community participation considerations. For village ecodevelopment investments, check compliance with requirement that costs fit within state norms unless granted a waiver by the PA director. To review whether (a) the procurement provided an opportunity for providers of goods, and works to compete or (b) project officials provided strong justification for direct contracting or sole sourcing. To review whether the procurement process was transparent. To write semi-annual reports that summarize findings, recommend corrective actions, and suggest improvements in project procurement and expenditure procedures. The random check would cover about 10% of all project expenditures on goods and works. In order to limit the scope of work, to maximize the comparative advantage of a national firm, and to not duplicate routine internal reviews and audits, the consultant would not be responsible for reviewing compliance with specific state government procurement and accounting procedures. Duration: Five years. Qualifications: A highly reputable, major accounting firm with experience in procurement post- review. Draft Terms of Reference: Independent Implementation Review Reports to: Chairperson, Project Steering Committee Objectives: To provide independent review of project performance to ensure accountability and transparency. Responsibilities: To review project performance reports, make field visits, and report findings to Project Steering Committee. Duration: Three weeks per year Qualifications: Highly qualified and respected specialists in ecology, social science, and project administration, who are not otherwise contractually associated with the project. Staff Appraisal Report 187 Annex 11 E. Policy and Strategic Framework Studies and Workshops Draft Terms of Reference: National-Level Financial Sustainability Study Reports to: Assistant IG, Wildlife and Ecodevelopment Project Steering Committee Responsibilities: Analyze a wide range of potential funding sources and financing mechanisms used in a variety of overseas parks (except for endowments, which would be covered in a separate study). This analysis would include consideration of entrance fees, transport rental fees, camera/video rental fees, guide fees, guesthouse fees, concession fees, royalties, donations from the public and from the private sector. Programs analyzed should be from a wide range of countries. Provide this analysis to the state-level study teams. Make rough projections for the post-project budget required to maintain and further restore biodiversity in the PAs throughout India. Make rough projections for the post-project budget required to maintain and further implement reciprocal commitments in PAs throughout India. Analyze existing funding sources and financing mechanisms used for the PAs throughout India, incorporating the analysis provided by the state study teams (see Annex 7). Incorporate analysis of financing mechanisms and sources from national-level ecotourism strategy study. Identify and analyze potential sources of national and international-level donor support. Incorporate conclusions of national-level study of endowment feasibility. Identify and analyze potential changes in national policies that could create and/or facilitate improved funding sources and mechanisms. If appropriate, draft formal proposals and/or government orders required for the recommended sources and mechanisms. Identify and meet with key national-level stakeholders who could proactively promote the adoption of new funding sources and mechanisms. Recommend strategy on how the PAs and the associated village ecodevelopment program could achieve financial sustainability. Present draft report (in English and in the official state language) covering the above to a workshop of key decision makers, and produce a final report which responds to comments made during the workshop Duration: Six months, spread over an 18 month period. Qualifications: Financial and Legal expertise. Would have qualifications and experience that commands high degree of professional respect and prominence. Draft Terms of Reference: National-Level Ecotourism and Visitor Strategy Reports to: Assistant IG, Wildlife and Ecodevelopment Project Steering Committee Responsibilities: Overall, to articulate a national-level Participatory Ecotourism Strategy which would include necessary elements of local participation, sound environmental Staff Appraisal Report 188 Annex 11 design, visitor management, marketing, conservation education, training, financial sustainability and monitoring and evaluation. More specifically, for PAs throughout India, to assess current: - Tourism situation and potential; to determine a desirable tourism situation and identify steps to reach this situation; to a generic participatory ecotourism strategy for PAs that incorporates the best practice of the PA-Level strategies (see Annex 9). The strategy should also address the following necessary elements - Generally assess current and potential PA attributes relevant for ecotourism, identify site selection criteria and processes for ecotourism activities, develop mechanisms to monitor ecological impact of tourism - Recommend procedures to calculate visitation information and levels, to identify marketing opportunities for ecotourism; to develop guidelines for visitor and staff behavior in PAs, to identify educational requirements for visitors and staff e.g. visitor center, brochures, to develop mechanisms to collect and monitor visitation data for marketing and management purposes - Develop generic guidelines for environmentally sound and culturally appropriate designs - Establish guidelines on PA staffing levels for tourism, identify training needs and sources for PA and other stakeholders - Identify appropriate organizational structures for participatory management of ecotourism; identify mechanisms to increase long-term local participation in both benefit-sharing and decision-making, develop monitoring and evaluation plans to assess local participation and benefit-sharing - Identify relevant government and private sector stakeholders - Develop national-level legal framework for tourism activities, identify national- level policy considerations for ecotourism strategies, assess current national-level financial provisions for tourism management, identify activities for modification or introduction of practices to improve financial sustainability - Identify potential private-public sector linkages related to tourism, identify opportunities for future collaboration, develop guidelines for collaborations - Recommend an action program for follow-up, discuss at national-level workshop, and revise final report in response to comments. Duration: Six to nine months. Qualifications: Experience in ecotourism management and participatory planning. Strong writing skills, oral communication skills, and training skills. Staff Appraisal Report 189 Annex 11 Economic Analysis of Reciprocal Commitments and Associated Investments. The project design set the budget constraint for village ecodevelopment investments at Rs 10,000 per family. This was based on two things. First on implicit contingent valuation derived from the participatory rural appraisal exercises undertaken during project preparation; second on budgets used to pay for protection by local people under comparable joint forest management programs. During the project, and prior to implementation of a follow-on project, a study would further analyze the impacts of the village ecodevelopment commitments and investments on family incomes and the adequacy of the village ecodevelopment investments as incentives to permanently curtail unsustainable use of PA resources. The budget for transitional support for voluntary relocation is based on Bank experience with involuntary resettlement in India. The study would also review the extent to which the regular village ecodevelopment investment both by itself and in combination with transitional support for voluntary relocation compensate for losses due to the original establishment of the PAs. Draft Terms of Reference: Ecodevelopment Incentives and Income Impacts Study Reports to: Assistant IG, Wildlife, and Ecodevelopment Project Steering Committee Objectives Evaluate the impacts of the village ecodevelopment commitments and investments on family incomes and the adequacy of the village ecodevelopment investments as incentives to permanently curtail unsustainable use of PA resources. Responsibilities: Part I. On the basis of a desk study, develop conceptual framework, quantify assumptions Analyze with and without PA situations (i.e., PA impact) * Estimate the cash and subsistence income foregone per family due to the creation of a PA. Use data from the Joint Forest Management Incentives Study and other readily available and relevant sources to estimate the value of fuelwood foregone, grazing foregone, non-timber forest products foregone, and daily wage labor from logging foregone. Indicate both the medium per family and medium and range among groups that win or lose (e.g., specialized resource using groups such as headloaders and graziers; people living inside the PA, on the PA periphery, and in communities affecting the PA that do not participate in the project; and within group gender and tribal differences). Note seasonal dimmensions of income, patterns of time allocation, and occupational structure. * Analyze the extent to which the village ecodevelopment investments compensate for incomes that are foregone due to the creation of the PAs. Using the assumption that the village ecodevelopment investments would yield an income (cash and subsistence) stream that would yield at least a 10 % internal rate of return (IRR), compare the net present value (NPV) of the stream of income with estimated NPV of income foregone due to the creation of the PA. For groups living within the PA, also compare the combined total of income from the combination of regular village ecodevelopment investments and the transitional support associated with voluntary relocation, using the same 100 IRR assumption. Note seasonal dimmensions of income, patterns of time allocation, and occupational structure. Analyze with and without reciprocal commitments and village investments Staff Appraisal Report 190 Annex 11 situations (i.e., Project Impact) * Estimate the cash and subsistence income per family that comes from PAs in spite of current enforcement efforts. Analyze the potential impact of village commitments to curtail future unsustainable use of PA resources on family incomes. Indicate both the medium per family and medium and range among key groups (e.g., specialized resource using groups such as headloaders and graziers; people living inside the PA, on the PA periphery, and in communities that do not participate in the project; and within group gender and tribal differences) of the potential income foregone. Note seasonal dimmensions of income, patterns of time allocation, and occupational structure. * Analyze the adequacy of the village ecodevelopment investments as incentives for village commitments to curtail unsustainable use of PA resources. Using the assumption that the village ecodevelopment investments would yield at least a 10 % IRR, compare the NPV of the stream of income with the estimated NPV of income potentially foregone due to commitments. * Analyze the impact of village ecodevelopment investments on overall family incomes, using the 10% IRR assumption. Indicate both the medium per family and medium and range among key groups (e.g., specialized resource using groups such as headloaders and graziers; people living inside the PA, on the PA periphery, and in communities that do not participate in the project; and within group gender and tribal differences) of the potential net income due to investments. * Analyze incremental impact of the combination of per family of potential income foregone due to the commitments and the potential income due to the investments. * Analyze structural impacts such as changes in patterns of time allocation or occupational structure. Identify completed and ongoing studies that potentially might provide detailed field data on resource use in PAs (e.g., studies on NTFP use funded by Ford Foundation). Design a study using field data to test the assumptions on project impact on all local people in three villages in the light of project experience. In one village, also analyze the extent of compensatory support for participants in voluntary relocation. Present draft report (in English) covering the conceptual framework, methodology, quantified assumptions, and field study design to a workshop that includes MOEF staff, PA staff, NGOs, and consultants working on monitoring, feasibility analysis, social assessment, and preparation of the Second Ecodevelopment Project, and revise the report in response to comments. Report must be written in language that is easily understood by non-economist decision-makers. Part II. Field Study and Program Design Recommendations Implement the field study that tests assumptions in three villages Apply the results of the field study, develop recommendations for future ecodevelopment programs, (e.g., size of village ecodevelopment investment budget per family). Staff Appraisal Report 191 Annex 11 Present draft report (in English) on the field study results and ecodevelopment program design recommendations to a workshop that includes MOEF staff, PA staff, NGOs, and consultants working on monitoring, feasibility analysis, social assessment, and preparation of the Second Ecodevelopment Project, and revise the teport in response to comments made during the workshop. Report must be written in language that is easily understood by non-economist decision-makers. Duration: Three months initial desk study and workshop, followed by field study of 6 months spaced over 15 months in years two and three of the project, and 2 months for policy report and. workshop in year three. Qualifications: Economist experienced in project analysis and field studies. Strong writing skills and demonstrated experience in drafting reports that are easily understood by non- economist decision makers. F. PA and National-level Administration Draft Terms of Reference: Project Administration Support and Contract Management Overhead Reports to: Director, Project Tiger Objectives: To provide ongoing implementation review to the Project Tiger Office Responsibilities: Provide advice and technical support in procurement and contract management, financial administration, information technology, and coordination. In close consultation with Director, Project Tiger, arrange recruitment of the individuals who would work on the intensive project performance review contract. Provide other relevant admninistrative support and advice when required. Duration: Five years on retainer basis. Qualifications: Institution that has experience and capacity in project administration and contract management. En Indicative PA-Level Training Plan: Project Manage ent D Course Methodology Participants No/ Objectives Resource Agencies Duration Frequency r per course course _ __ Project Management short course Sr. Executive 2 Impart skills in management Management Training 2 weeks 1997 and U) Field Staff techniques Institution 1999 (ACF - CCF) __ Financial short course Sr. Executive 2 Impart skills in financial Management Training I week 1996 and o Management Field Staff . management Institute 1998 C Monitoring and short course ACF, DCF 2 Impart skills in project performance Management Training 2 weeks 1996 evaluation monitoring and evaluation Institute Computer short course Office staff 3 hands on training in applications Computer training 2 weeks 1996, applications software institute 1997, 1998 :J, CD Staff Appraisal Report 193 Annex 12 Annex 12: Preparation of Future Biodiversity Projects Overview 1. The Ecodevelopment Project would provide a framework and financing to prepare large future projects listed as priorities in India's Environmental Action Program. Experience shows that larger biodiversity projects usually take three to five years to prepare and appraise; if the government uses the period of the Ecodevelopment Project to initiate future projects they could be implemented four to ten years from the time preparation begins. The concepts behind the proposed projects would reflect lessons learned during the implementation of relevant smaller scale, more immediate projects currently being financed by the UNDP, other international agencies, bilateral agencies, or NGOs, (including any projects receiving GEF support channeled through UNDP). The Ecodevelopment Project support for preparing later proposals would help develop a pipeline of large-scale biodiversity projects potentially eligible for future consideration by larger financiers such as IDA or by combinations of cofinanciers (including GEF). 2. The project concepts outlined below were developed largely through consultations with a wide variety of interested stakeholder institutions and individuals. The project files include more extensive descriptions and include lists of those consulted. Ecodevelopment Project 11 3. Background. MOEF's original proposal for India's first biodiversity project with GEF was for a more extensive undertaking, and MOEF has repeatedly expressed interest in such a project for the future. Potential sites include additional biosphere reserves, virgin forest areas, a wide range of areas currently protected under Project Elephant and Project Tiger and other protected areas with special botanical significance. Possible sites might also include those nine currently receiving technical assistance and training support under a UNDP/FAO financed project being implemented by the Wildlife Institute of India (WII). Preparation would develop indicative plans and preliminary social assessments for specific proposed project areas. It would explore the use of an endowment or trust mechanism, using experienced financial, legal, and institutional experts. It would also reflect lessons learned from the first ecodevelopment project. 4. Objectives. The second ecodevelopment project---Ecodevelopment Project II--- would extend the ecodevelopment strategy to additional PAs, establish a national ecodevelopment program and test the ecodevelopment strategy on a pilot basis in selected multiple use areas (MUAS). As in the first ecodevelopment project, the main objectives would be to: (a) Improve the capacity of PA management to protect and conserve biodiversity; increase opportunities for local participation in PA management activities, decisions (b) Reduce negative impacts of local people on biodiversity and vice versa; increase collaboration of local people in conservation efforts Staff Appraisal Report 194 Annex 12 (c) Establish a national capacity to prepare, appraise, fund, and supervise a centrally sponsored program of state-level ecodevelopment projects; provide environmental education, impact monitoring, and research support (d) Test the ecodevelopment strategy on multiple use areas (e) Ensure effective management. 5. Summary of Project Content. The components that correspond to the objectives listed above comprise: (a) Extend Ecodevelopment Strategy to Selected PAs, i.e., to continue the program begun under Ecodevelopment Project I (current proposal) to PAs identified during the preparation of Ecodevelopment Project II through: (i) Improved PA management by: * improving PA planning processes * protecting and managing ecosystems within the PA ? upgrading PA amenities for field staff (ii) Village ecodevelopment that reduces negative interactions of local people on biodiversity and increases support of local people for conservation by * conducting participatory micro-planning and providing implementation support 3 implementing reciprocal commitments that foster alternative livelihoods and resource uses to be financed by a village ecodevelopment program * special programs in joint forest management, participatory voluntary relocation, and discretionary reserves for supplemental investments (b) Develop a national ecodevelopment program that would promote and fund state-level ecodevelopment activities throughout India through: (i) a project formulation and supervision cell that would work with GOSs to identify, prepare, appraise, fund, and supervise state ecodevelopment projects; (ii) a national ecodevelopment trust, the annual income from which would fund ecodevelopment reciprocal investments in state ecodevelopment projects; (iii) national funding for state programs that develop more effective and extensive biodiversity conservation by: * promoting public support for conservation through state environmental education and awareness campaigns; Staff Appraisal Report 195 Annex 12 * monitoring and research to improve understanding of issues and solutions relevant to PA management and interactions between PAs and people * integration of experience and strengthening the framework for future ecodevelopment activities. (c) Test ecodevelopment strategy in multiple use areas to bring the benefits of ecodevelopment to areas that are outside the PA system (d) Overall project management. Biodiversity Information Project 6. Project Objectives. The Biodiversity Information Project would organize a demand- driven system for biodiversity information that would: (a) Strengthen systems for gathering, organizing, and storing useful information (b) Strengthen distributed system for providing access to information (c) Enhance analysis and application of information for decision-making (d) Enhance effective project preparation and management 7. Project Content. More specifically, the Biodiversity Information Project would: (a) Strengthen systems for gathering, organizing, and storing useful information by: (i) establishing a demand-driven ranking of needed information (ii) strengthening surveys for collecting specimen-based information in prion'ty areas (iii) stimulating coUlection of new data on Indian biodiversity (iv) designing structures for information fields as follows: * organize local fields for source institutions * organize shared fields for all users (v) establishing protocols for quality control of information collected (vi) establishing computerized systems for the capture and management of specimen-based data (vii) enhancing taxonomic, ecological, ethnobiological, and specimen curation capacity to intemational standards (viii) expanding existing databases to: * record disappearing information * link with old and established information repositories * strengthen systems for identifying and monitoring threatened species and ecosystems Staff Appraisal Report 196 Annex 12 * authenticate species of significant economic or medical importance * prospect for species or taxa of commnercial value. (b) Strengthen the distiibuted system for providing access to information by: (i) expanding and modernizing the electronic network to link information centers, information users, and conservation decision makers (ii) establishing a mapping system on information available and lacking (iii) establishing a management system for responding to clients and users (iv) enhancing the technical capacity for maintaining an up-to-date and functioning system. (c) Enhance analysis and application of information for decision making by: (i) promoting better utilization of information available by users for their needs (ii) strengthening the development of information applications by users for decisionmaking (iii) promoting the generation of new information from available data for decisionmnaking (iv) enhancing the capacity for information analysis and application for decisionmaking. (d) Enhance effective project management by: (i) coordinating work plans, budgets, flow of funds, withdrawal applications, accounting, audits, and related financial administration for project activities (ii) facilitating contracting of goods and services (ini) coordinating progress review and reporting and other project related communication. 8. Suppliers. A wide range of institutions of different shapes and sizes supply and use biodiversity information at different points in the research and development (R&D) or knowledge spectrum, ranging from the generation of basic scientific information to the application of infornation for commercial and management purposes. At the upstream end of the spectrum, institutions such as the following collect and supply biodiversity information mostly for their own use: the Botanical Survey of India (BSI), the Zoological Survey of India (ZSI), the Bombay Natural History Society (BNHS), the Salim Ali Centre for Ornithology and Natural History (SACON), Indian Council for Forestry Research and Education (ICFRE), the National Bureau of Plant Genetic Resources (NBPGR), the National Bureau of Animal Genetic Resources (NBAGR) and the National Bureau of Fish Genetics (NBFG) of the Indian Council of Agricultural Research (ICAR), the National Botanical Research Institute (NBRI) and the Central Drug Research Institute (CDRI) of the Council of Scientific and Industrial Research (CSIR), and other academic and basic research institutions. Staff Appraisal Report 197 Annex 12 9. Users. The Central Institute for Medicinal and Aromatic Plants (CIMAP) and the Central Drug Research Institute (CDRI) of the Council of Scientific and Industrial Research (CSIR), the Indian Council of Agricultural Research (ICAR) and the Ministry of Agriculture, the Foundation for Revitalization of Local Health Traditions (FRLHT), the All India Medical Research Council (AIMRC), the Ministry of Environment and Forests (MOEF), and agro- based and pharmaceutical industries use biodiversity information for commercial or management purposes. Most of these institutions lie at the downstream end of the R&D or knowledge spectrum. 10. Existing Networks and Information Systems. An Environmental Inforration System (ENVIS) has been established, and is operational under the Ministry of Environment and Forests (MOEF) with 20 centers that are potential sources and users of environmental information. Two of these centers, the Botanical Survey of India (BSI) and the Zoological Survey of India (ZSI) are dedicated nodes for the supply of biodiversity inforrnation. India has other information systems in place such as district level information nodes through the National Informatics Centre (NIC). The Foundation for Revitalization of Local Health Traditions (FRLHT) in Bangalore is a non-governmental organization that has established a network of distributed databases called INMEDPLAN, The Indian Medicinal Plants Distributed Databases Network, this links 10 nodal agencies concerned with the collection, preservation, propagation, and uses of medicinal plants in India, which cover more than 8,000 plant specimens and a chain of 48 in situ and ex situ conservation parks. The Indira Gandhi Conservation Monitoring Centre (IGCMC) of the World Wide Fund for Nature (India) (WWF-D) is a non-governmental institution dedicated to organizing, maintaining and disseminating biodiversity conservation infornation, especially in relation to the management of land, water, forests, and protected areas (PAs). Ex-Situ Genetic Resources Conservation 11. Long-term Goals. The ex situ Genetic Resources Conservation Project would over the long-term undertake to: (a) salvage selected species and genetic variability that would otherwise be lost if left in situ within protected or multiple use areas (b) Increase access to these genetic materials through their replication, manipulation and exchange for priority uses (c) Manage these genetic materials safely, reliably, and efficiently (d) Promote public awareness and education of ex situ genetic resources conservation. 12. Project Objectives. The ex situ Genetic Resources Conservation Project would undertake a nationally-coordinated and user-oriented effort to: (a) Expand the stock of ex situ genetic resources (b) Strengthen the capacity to replicate, manipulate, and exchange genetic resources (c) Improve safety, reliability, and efficiency of genetic resources management (d) Develop and establish a legal framework for ex situ conservation Staff Appraisal Report 198 Annex 12 (e) Promote public awareness and education of ex situ genetic resources conservation 13. Project Content. Specifically, the ex situ Genetic Resources Conservation Project would undertake to: (a) expand the stock of ex situ genetic resources: (i) collect and document germplasm * from priority biogeographic zones where habitats outside the in situ protected areas system are threatened by agricultural or urban-industrial transformations * of important species and genetic resources especially threatened by extinction * of poorly covered taxa including oceanic, invertebrate, and microbial species and varieties * from cultivated or husbanded areas - from captive or experimental breeding programs. (ii) use standardized protocols for systematic exploration, collection, and documentation of germplasm collected (iii) strengthen management-oriented research to provide sound technical services for germplasm exploration and collection (iv) provide technical field training for effective field exploration, collection, and documentation (b) strengthen the capacity to replicate, manipulate, and exchange ex situ germplasm collections: (i) in terms of their: * characterization and evaluation * linkage to in situ conservation areas; * storage especially over the long terrn under normal, reduced, and suspended growing conditions * storage in established gene banks with operating standards and with a range of facilities * propagation and quality assurance or genetic integrity after storage (ii) enable participating institutions to acquire as necessary the technological sophistication for genetic characterization, evaluation, and enhancement such as for DNA fingerprinting and in recombinant DNA technology Staff Appraisal Report 199 Annex 12 (iii) develop analytical and management methodologies for genetic characterization and evaluation, storage, propagation, and quality assurance or genetic integrity (iv) strengthen management-oriented R&D to provide sound scientific and technical services (v) provide technical training in all aspects of ex situ germplasm replication, manipulation and exchange, and research and management methodology for effective conservation (vi) strengthen the information collection, storage, and retrieval system using a national database, and information analysis and use by researchers, entrepreneurs, and policy-makers. (c) Improve safety, reliability, and efficiency of genetic resources management by: (i) introducing and exchanging germplasm for research purposes (ii) examining and quarantining germplasm exchanged for the inadvertent transmission of pests and pathogens (iii) strengthening management-oriented R&D to provide a technically sound quarantine services (iv) providing technical training in quarantine methods (d) Develop and establish a legal framework by: (i) including: * all critical aspects of ex situ conservation, both in vim and in vitro * domesticated as well as wild species and varieties * patents and all forms of intellectual property rights (IPR) (ii) strengthening management-oriented research to provide technically sound legal services (iui) providing technical training in legal aspects of ex situ conservation; (e) Promote public awareness and education on ex situ genetic resources conservation (f) Ensure effective management of the project by: (i) coordinating work plans, budgets, flow of funds, withdrawal applications, accounting, audits, and related financial administration for project activities (ii) facilitating contracting of goods and services (iii) coordinating progress review and reporting, and other project related communication. Staff Appraisal Report 200 Annex 12 14. Suppliers and Users. A wide range of institutions with different objectives supply and/or use genetic resources conserved ex situ at different points in the R&D or knowledge spectrum. On the one hand, academic and basic research institutions supply genetic information to, on the other, agriculture-based and pharmaceutical and health-based industries applying genetic technologies for commercial and industrial purposes. Major institutions supplying and using genetic materials from ex situ conservation include the National Bureau of Plant Genetic Resources (NBPGR), the National Bureau of Animal Genetic Resources (NBAGR) and the National Bureau of Fish Genetic Resources (NBFGR) of the Indian Council of Agricultural Research (ICAR), Ministry of Agriculture; the Central Institute for Medicinal and Aromatic Plants (CIMAP), the National Botanical Research Institute (NBRI) and the Central Drug Research Institute (CDRI) of the Council of Scientific and Industrial Research (CSIR), and the Department of Biotechnology (DBT), Ministry of Science and Technology, and the All-India Council of Medical Sciences (AICMS), Ministry of Health. Genetic prospecting and commercial gene trading by private entrepreneurs would need to be developed for India, and could be promoted by hybrid public-private sector institutions like the Biotech Consortium of India Limited (BCIL). 15. Existing Arrangements. A number of different networks exist for ex situ genetic conservation in India. For example, the Indian Council of Agricultural Research (ICAR) coordinates in vivo and in vitro conservation of primarily domesticated species of agricultural importance. The Central Zoo Authority of India (CZAI), Ministry of Environment and Forests (MOEF) coordinates in vivo conservation of wild fauna, mainly endangered species. The Conservation Division of the Ministry of Environment and Forests (MOEF) coordinates in vivo conservation of wild flora in botanic gardens and arboreta. The Department of Biotechnology (DBT), Ministry of Science and Technology coordinates in vitro conservation of microbial organisms. In spite of these arrangements for the ex situ conservation, there is a need for a user-oriented coordination of in vivo and in vitro genetic resources conservation at the national and state levels. Preparation Activities for All Projects 16. The preparation activities for the above are still being identified but would involve the following: (a) Consensus building (b) Expert advice on applying state-of-the-art experience from other countries to the Indian situation; on-the-job trairing (c) Training needed during the preparation phase, prior to project implementation (d) Estimating project costs in accordance with the project objectives (e) Arranging project financing (f) Compilation of background information including: (i) government policies on biodiversity and project focus (e.g., biodiversity information (ii) existing institutional responsibilities, capacity, and coordination (iii) lessons from other projects Staff Appraisal Report 201 Annex 12 (iv) strategy for project focus (e.g., biodiversity information) (v) Rationale for donor financing. (g) Addressing Project Management Considerations including (i) allocation of implementation responsibilities, staff plans, plans for contractual support, and coordination mechanisms for specific project activities; (ii) development of the implementation schedule, (iii) arrangements to ensure the flow of funds; (iv) arrangements to * meet other financial administration requirements, * facilitate procurement and contracts for goods and services; * coordinate progress reviews and reports; * promote communication on project status and impacts * e.valuate and audit the project. (h) Justification and analysis of project impacts including descriptions of the project benefits, environmental and social impacts, sustainability, and risks. Initial Documentation 17. Initial documentation describing the project preparation activities of the Second Ecodevelopment Project, the Biodiversity Information Project, and the Ex-Situ Genetic Resources Conservation Project would include the (a) Initial project concept paper covering the title, justification, objectives, and estimated scope of the proposed project (b) List of stakeholders who will be involved in project preparation consultations; (c) Schedule of preparation tasks currently anticipated (d) Draft terms of reference for consultants (including NGOs and autonomous agencies) and government agencies to undertake specific preparation tasks during the next 18 months (e) Description of how project preparation activities relate to ongoing work in programs supported by other donors (such as the Sustainable Development Network of UNDP and the ODA support to IGCMC; in the case of the Biodiversity Information Project) To the extent that the GEF is being considered as a possible source of financing, it would be important to include as part of the preparation an explanation of the project's global significance, its role in addressing priority GEF concerns, and its compliance with the incremental financing requirement (which is likely to involve the analysis of costs of a hypothetical project that would exclude globally significant activities financed by GEF). Staff Appraisal Report 202 Annex 12 (f) Processes of planning, administenrng, and monitoring the preparation work, and communicating/consulting with project stakeholders who are not directly responsible for carrying out project preparation tasks (g) Estimated costs of project preparation work. The above documentation would reflect the consensus developed during the initial consultations on project design. Second Ecodevelopment Project Preparation Draft Terms of Reference for National-Level Trust Feasibility Study Reports to: Assistant IG, Wildlife and Ecodevelopment Project Steering Committee Responsibilities: Review findings of financial sustainability study (see Annex 11). Review other options besides endowments that could be legally constructed as a trust and may not already have been used in parks. Assess relative advantages of using an endowment rather than, say. a sinking fund, a revolving fund, a social fund, or a venture capital fund. Consider what justifies the use of a trust versus classic investment assistance. Determine the most appropriate mecanism in terms of (a) conservation issues to be addressed, (b) mecanisims to address these issues that are most appropriate for India, (c) justification for locking up capital and incurring transaction costs of designing and operating such a mecanism. Review available information on overseas endowments and study programs for management of trusts in India. Give special consideration to nature and composition of government boards, professional staff, financial management arrangements, funding criteria, decisionmaking processes, disclosure and dissemination policies, involvement of stakeholders (including NGOs), fund- raising processes, and funding sources Identifv stakeholders including NGOs and any others who should be involved in designing, creating, and managing a trust Identify funds and potential sources of funds; identify and analyze scope within national policy or potential changes in national policies that would allow the creation of a trust for ecodevelopment, identify and meet with key national-level stakeholders interested in an endowment for ecodevelopment. Recommend strategy on the creation of a trust, including a process that would promote broad consensus-building. If appropriate, draft formal proposals and/or government orders. Present draft report (in English) covering the above to a workshop of key stakeholders and decision makers, and produce a final report that responds to comments made during the workshop. Duration: Six months, spread over an 18 month period. Qualifications: Financial, Legal, and Institutional Development expertise. Would have qualifications and experience that will facilitate broad consensus-building. International experience helpful. . Annex 13: Summary Project Cost Tables India ( Eco-Development Project Expenditure Accounts by Components - Totals Including Contingencies P (0 (USS rnaj Develop Effective ard5 rr Exteneive Sup= or Ecodevelbpment ViAage Ecodevelopment Improve Improved PA Management Participory Invetments Canduct Impact Ecosystem Mlcro.PlPnning to Envronm ntai MonBOring Prepare Protetilon Amenties and impemerit Education and and Fulure Planning and for ield impenertion Reciprocal Special Awarenee Reeearch Project W iodiersiny Procesae Mangmnt Staff Support CoCmn mernt Programs Campaigns Systems Management Projects PPF Totas Invesent CoXs & Ciliwrks 5,7868 1,2295 - - - 1574 2578 - - 74315 ILvshuiclas - 359.5 - 1186 - 1352 1053 31.9 - - 750.6 C. FunStirs id Equipmel Fald - 497.9 - - - - - 10 7 - - - 508 7 Otafe 967 - - - - - 184 - - - 1151 sJ L ara - - - - - - 41 7 - - - 41 7 0 IronakTeciemgy 1149 - - - - 68.4 821 1804 445s M r 23.5 - 3517 4 28 7 - 1 4 803.8 Subkota 23.5 709 6 - 351 7 - - 497.1 153 0 180 4 - -1.915 2 D.Viuagsnutsveaopees pinum 2632 24,459.8 5,7484 - - - - 30,471 4 E ConeuNm. talhohg mid cnrt_a _vices 1. Trdlnbg Grrenwttd tials 379.1 35.5 - 1422 - - - 20.5 847 - - 6620 Fed5*s 1016 - - - - 76 8 - 178 5 Tons 31.0 - - 1058 - - - - 133.2 269 8 Subtl 511.7 355 2478 - - - 973 2179 - 1,110.2 2 Speat servike NGOsrvc - - - 1,271 2 - 1794 187 1 - - - 1,637t8 NbNul 489.6 116.9 - 5567 638 1620 5486 2,879.8 - - 4,8173 Subtl 4896 1169 - 1,t27.9 - 243 2 349 1 548 6 2,879 8 - 6,455 0 S Pannk workhps 104.1 - - 333 1 - 213 1491 - - 607 6 4.Speial studba - 310 - - - - 1,4576 1649 1,6535 11,Monflrlng expufeits - - 962 4 1,333 5 - -2,295.9 Subtot" 1,105.4 1833 2,4089 243.2 3704 3.2150 4,596.1 - 12,1223 F. TravelforprojeItIupevln - 190.3 - 4415 - - - - 381 - - 6699 G. Fund for nw projects - - - - - - - - - 2,581 4 - 2,581 4 H. Reimburmeetof - - - - - - - - - - 2,000.0 2,0000 Total investent Coetb 1,1288 7,2296 1,2295 3.5839 24,459 8 5,9916 1,1601 3,7310 4,8464 2,5814 2,0000 57,9421 It Recurrent Cot > A Salwrb 90 2,6196 - 1,8886 - - 25 295 728.0 - 5,2772 S. Operatlon and makntenance Bu4drgs and - 2,657 3 - - - - - - - - - 2,6573 X Vehcles 410 - 161 9 96 0 80 9 22 9 - - 402 6 Equipment 388 2 - - 59 86 7 - - 534 3 Subtotal 3.0865 - 1619 960 140 4 1095 - -3,5942 L C. Periodicals - 30 - - - - - 34 6 148 8 - - 1884 Total Recurrent Cost 90 5,7091 - 2,050 4 - - 985 204 5 986.4 - - 9,057 9 Tota PROJECTCOSTS 1.1378 12,9387 1,2295 5,6343 24,4598 5,9916 1,2587 3,9355 5.8328 2.5814 2,0000 67.0000 Taxes 23 7123 615 1015 - - 775 572 584 - . 10707 Foregn Exchrange 3 6 1.579 3 126 0 382 2 12721 298 9 248 7 227 7 208 0 796 4 120 0 5,262 9 rt India r It-h Eco-Oevelopment Project Expenditure Accounts by Components - Totals Including Contingencies > Bihar (US$ '000) Develop Effective and Extensive Supportfor 0 Ecodevelopment Village Ecodevelpment Improve PO Improved PAM anagenit Participatory Inve tments Conduct Impact , Ecosystem Micro-Planing to Environental Monitoring 0 Protectlon Amenites and Implement Education and and rIl Planning and for Field Imlemenntation Reciprocal Special Awareness Research Project Processes Management Staff Support Comnbnents Prograrm Campaigns Systems Management Total I. hIvestnient Costs A. CIvil works - 1,128.4 145.2 - - - 260 193 - 1,318.8 BE Vehicles 56.1 11.2 19.3 112 97.8 C. Furniture and Equlpnmnt Fidd - 761 - - - - - 18 - 78.0 Office - 12.3 - - - - - 3.1 - 15.3 Laboratory - - 3.1 - 31 Informabon Techndogy - 16.2 - - - - 12.4 12.2 - 40.8 Matenals 31 - - 30.2 - - 66.0 - - 994 - Subttal 3.1 104.6 30.2 - - 785 20.2 - 2365 D. Viage ecodevelopment program - - - - 3,852 7 693.5 - - 4,546.2 E. Consultad, trairdng and contractual services 1. Traiding Government cificials 43.7 29.5 - 6 2 - - - 2 9 11.8 94.2 Tours - - 22 4 - - - - - 22.4 Subtotal 43.7 29.5 - 286 - - - 2.9 11.8 116.6 2. Specalist services NGO services - - - 187.5 - - 32.8 - - 220.3 Nationalexperts 107.1 116.9 - 60.7 - - 25.9 52.9 18.7 382.2 Subtobl 107.1 116.9 - 248.2 - - 58.7 52.9 18.7 602.5 3. Plarning workshops 153 - - 48.4 - - 3.0 20.2 - 87.0 4. Specialstudies - - - 172.3 15.6 1878 5 Aonltoringexpertise - - - - 141.1 9.4 1505 Subtabl 166.1 146.4 - 325.2 - - 61.8 389.4 55.5 1,1444 F. Travel for project supervision - 38.1 - 40.6 - - - - - 78.6 Total nvestment Costs 169.2 1,4735 145.2 407.3 3,852.7 693.5 1855 4401 55.5 7,4224 N. Recurrent Costs A. Salaries - 347.4 - 2544 - - - - 182.0 783.8 BI Operaton and miaintenance Buildings and labortories - 466.9 - - - - - - - 466.9 Vehicles - - - 27.9 - - 13 9 80 - 498 Equipment - 574 - - - - - 7 6 - 650 X Subtoal - 524.3 - 27.9 - - 13.9 15.6 - 581.7 C. Periodicals - - - 4.5 - 4.5 Total RecurrentCosts - 871.7 - 282.3 - - 13.9 20.1 182.0 1,370.0 otaolPROJECTCOSTS 169.2 2,345.2 145.2 6896 3,852.7 6935 199.3 460.2 237.5 8,792.4 En India Eco-Development Project Expenditure Accounts by Components - Totals Including Contingencies Gujarat (USS '000) Develop Ettective and En Exten siva SupportWor Ecodvelopnent Village Ecodevelopment Impprove Improved PA Menageent Pripatory Investmients Conduct Im act Ecosystem Micro-Planing to Environm Monitoring Protection AmenItis nd Implnt Education and ad ,_ Plannhg nd for Fld Impemen ion Reciprocal Spedal Avwaenss Reserch Projd Processes St supr Comnttment ogrffs s nystw IAne Total L Investnt Costs A. Cvi vrlks - 5638 1922 - - - 61.5 - 8175 Vehiles - 30.3 - 289 - - 193 112 - 897 C. Furniwe aid Equipment Fidd 501 - - 501 Ofce - 123 - - - - - 6.1 - 184 Larty - - - - - - - 21.4 - 21 4 lutIdnrTech y - 16.2 - - - - 93 10.4 - 35.8 MierIal 31 - - 598 - - 592 - - 122.1 subtotal 31 785 - 598 - - 685 379 - 247.9 D V_t c dop pro - - - - 3,407.0 6145 - - - 4,021.5 E. CoA, trrg and alo ser ies 1 Trinbg Gotmerrnwt dfics 65.3 - - 141 - - - 2.9 21.8 104.1 Tours - - - 10 4 - - - - - 10 4 Subote 653 - - 246 - - - 29 21.8 1146 Z SpecaIt servies NGO services - - - 1709 - - 32.8 - - 203 7 NAxietprSt 527 - - 1041 - 160 144 80.7 3568 6246 ubtotl 52 7 - - 275 0 - 160 47.2 80.7 356 8 828 4 & Plnnhig vwshops 6 1 - - 60 2 - - 30 37 3 - 106 7 4.Specil studies - - - - - - - 1881 31 0 2191 5 bMnltorlngg exp-tse - - - - 141.1 - 1411 Subtotl 1241 - - 359 8 - 16.0 50.3 450.2 409 5 1,409 8 F. Travlforproject saprvlson 381 - 62.7 - - - 1007 Tflhnvebaunt Costs 127.2 7107 1922 511.2 3,407f0 6304 1380 5607 4095 6,6871 IL Recurrent Costs A. Sabrwis - 254.5 - 400.2 - - 2 5 29 5 69 2 7559 B. Opeiton and ma rerune > Buikings and latorataes - 285 0 - - - 285 0 Vehcls - - - 27 9 - - 13 9 8 0 49.8 Equpnt - 50 4 - - - - - 76 - 58.0 X Subtoa - 335 3 - 27 9 - - 139 15 6 - 392 i7" C. Perodicis - - - - - - - 150 - 15 0 w Tota Recurrnit Costs - 5898 - 4281 - - 16 4 60 2 69 2 1,163 7 Tot PROJECTCOSTS 1272 1,3006 1922 9393 3,4070 6304 1545 6209 4787 7,8507 U, India 02 Eco-Development Project Expenditure Accounts by Components - Totals Including Contingencies Karnataka (USS '000) Develop Effecdve and Extensive SupportWor lb Ecodevelopment l- Viage Ecodevelopment Improve >c Improved PA Management Participatory hIvestnts Conduct impact m Ecosystem Micro-Plannhig to Environmental Monitorlng o Protecon Amenkies and Impiewmnt Education and and ' Planning and for Field Implementation Reciprocal Special Awareness Resarch ProJect Processes Management Staff Support Comnitments Programs Campaigns Systerm Management Total 1. nvesnt Costs A. Chvil works - 641.7 167.6 25.8 41.9 - 877.0 EL Vhickts - 510 225 19.3 11.2 - 104.0 C. Fumlure and Equipment Field - 71.1 - - 1.8 - 73.0 Office - 123 - - - 12.3 Laboatory - 31 - lnfornatio Technology - 162 - 9.4 15.0 - 405 Matenals 3a1i- - 64.5 - - 7864 - - 146 0 O Subtotal 31 996 64.5 - - 87.8 19.9 - 2748 a D. Vlage ecodevelopment program - - - 4,274 3 8995 - - - 5,173.8 E. Consultant, training and contractual services 1. Traling Garemment officials 83.9 16.9 - - - 2.9 2.3 106.1 Tours 149 - 149 Subtotal 839 31.8 - - 29 23 1210 2. Specialist services NGO services - 265.2 821 24.6 - - 371.9 Natioaleperts 67.1 48.2 160 16.1 69.5 2983 5151 Subtotal 67.1 313.4 98 0 40 7 69.5 298.3 886.9 3. Planning workshops 18.6 59.2 - 3 0 12.4 - 93 3 4. Special studies - - - 2004 310 2314 5. Monitoring expertise - -- 1284 390 1674 Subtotal 169.6 - 404.4 980 437 4136 3706 1,5000 F. Travel for project supervision - 38.1 96.6 - - - 1347 Totalnvesbslent Costs 172.7 830.4 167.6 588.0 4,274.3 997.5 176.6 486.5 370.6 8,064.3 H. Recurmnt Costs A. Salaries - 341.8 - 154.3 - - - - 62 5022 B. Operation and mantenance Buildings and laboratories - 343.4 - - - - - - - 343.4 Vehicles - - - 35.2 - - 139 167 - 658 Equipment - 574 - - - - 76 - 650 Subytotal - 4007 - 35.2 - - 139 244 - 474.1 C. Periodicals - - - 3,0 - Fo TotalfRecurrentCosts - 742.5 - 189.4 - - 13.9 27.4 62 9794 Total PROJECT COSTS 172.7 1,572.9 167.6 777.5 4,2743 997.5 190.4 513.9 376.8 9,043.6 U, rt India Eco-Development Project Expenditure Accounts by Components - Totals Including Contingencies Kerala (US$ '000) 0 Devdop Effective and 1 ~~~~~~in* ~~~~~~~~~~~~~~~~~U) Exbnsive SuppJorht\fr Ecodavelopmant I Viliqe Ecodveloprnent Improve Improved PA _iagumut Pa tcpatory Investmwit Conduct Inact (D Ecosystem Micro-Planning to Environntal m Monitoring 0 Protection Annun -nd Imnnt Educ.on mid and Planning mid for Field Irnp_lnentation Recprocal Spedal Awenvs Resrch Projdec Procsses t StS Suppot Convnihbnt Progw Co gns *st Mnag Tol L Investmuit Costs A. Clv6 vmd 604.2 210.7 - - - 26.1 64 4 - 905.4 a Vdi - 86.4 11.2 - - 19.3 191 - 135.9 C. Furnir mud Equiprmnt Fild - 84.5 - - - - - 1 5 - 86 0 Ofce - 21.5 - - - - 31 - 24 5 a y - - - - - - - 31 - 3.1 IrturniTactioicl - 16.2 - - - - 9.5 10 4 - 36 0 M aaW 6.3 - - 75 5 - - 47.2 - - 1289 N C) _1a 6.3 1221 - 75 5 - - 56.6 18 0 - 278 5 D.rVi d _tprogmn - - - - 3,556.4 6402 - - - 4,1966 E Caulmi, tadng mud contractual svks 1. Trubig Garmert ctffcis 79.2 - - 291 - - - 29 11.9 1232 ToLn 133 - - 20 7 - - - - - 34 0 Subl 92.5 - - 498 - - - 29 11.9 1571 t SpcaMt srices NGO serces - 228 0 - - 16.4 - - 244 4 Nfik rers 73.5 - - 101 1 - - 55 5 82 7 497 5 810 2 Subtol 73.5 - - 3291 - - 71 9 82 7 497 5 1,0546 1 Plbnning _kshops 16.8 - - 57 8 - - 3.0 20 2 - 97 8 4. Spedcl stude - 31 0 - - - - - 299 2 - 330 2 ILMonitarlggexpeise - - - - - - - 141 1 371 1783 Subtal 1828 31 0 - 436 7 - - 74.9 546 2 546.5 1,8181 F Trave for prqect supervsicn - - - 82 6 - - - - - 82 6 TOdl htvflint Costs 1890 843 7 210 7 606.0 3,556.4 640 2 176.9 647 8 546 5 7,417 1 IL Rcurrnt Costs A. Samries 9.0 630.5 - 541.5 - - - - 202 3 1,383.3 B. Opmwlon mid nuirltnance Buiklngswadlabotories - 3128 - - - - - - - 312.8 Vehicles - 410 - 10 - - 13 9 13 7 - 69 6 Equpment - 69 2 - - - - - 15 2 - 84 5 Subtotal ' 423 0 - 1 0 13 9 28 9 - 466 9 C. Periodicals - - 45 w45 TAitaRecurantCosts 90 1,0535 - 5426 - - 13.9 335 202.3 1,8547 LA ToblPROJECTCOSTS 1980 1,897.2 2107 1,1485 3.5564 6402 1908 6812 7488 9,2718 r-t India 0 Eco-Development Project Expenditure Accounts by Components - Totals Including Contingencies > Madya Pradesh (US$ '000) 9' Develop Effective and tn Extensive Support%for 9' Ecodevelopment Village Ecodevelopment Ifprove Improved PA Management Participatory Investments Conduct Impact (D Ecosystem Micro-Planning to Environmental MonitorIng 0 Protection Amenities and knplement Education and and Planring and for Field Implementation Reciprocal Special Awareness Research Project Processes Slnagem Staff Support Comnitrnents Programs Campaigns Systems Management Total 1. Investmwnt Costa A. Clvi works 929.4 - - - - 26.1 161 - 971.5 R. Vehkles 487 - 11.2 - - 19.3 11.2 - 90.4 C. Fniture and Equipment Feld 531 - - 1.8 - 549 Offie - 15.3 - - - - - 3.1 - 184 Ltabwy - - - - - - - 4.9 - 49 Infomaton Techrology - 162 - 78 104 - 34.3 Maeriels 3.2 - 46.7 - - 55 1 - - 105.0 O Subtdota 3.2 84.6 - 46.7 - - 62.8 202 - 217.5 00 D. Vlllgeecodevelopfent program - - - - 2,224.3 9408 - - - 3,165.1 E. Corsuntr trinhig and contactual services 1. Training Govemrnerttdficis 36.2 - - 263 - - - - 11 9 74.5 Felkbships 31.6 - - - - - - 76S8 - 108.4 Tours - - - 104 - - - - - 104 Subttal 67.9 - - 36.8 - - - 768 11 9 193.4 2. Specialet services NGOseces - - - 133.6 - - 246 - - 158.2 NaKmal eperts 56.2 - - 86.2 - - 259 65.1 142.6 376.0 Subtotal 56.2 - - 219.8 - - 505 651 142.6 534.2 3. Plningworkshops 19.1 - - 44.0 - - 30 218 - 87.9 4.Specialstudies - - - - - - - 1106 31.0 141.6 5M Monitorog experUse - - - - - - - 1284 14.8 143.2 Subotal 143.2 - - 300.6 - - 536 402.7 200.3 1,100.2 F. Travel for project supervision - 38.1 - 233 - - - - - 61.4 TotallnvestntCosts 146.3 1,1007 - 381.8 2,2243 940.8 161.7 4501 20D.3 5,606.1 II. Recurrent Costs A. Salwies - 110.1 - 202.0 - - 37.6 349.7 B. Operadion nd inuktennce > Buidings and laxralies - 344.0 - - - - - 344.0 0 Vehicles - - - 21.8 - - 1329 8 0 - 43.6 1 Equpmert - 50.5 - 6.2 - 56.7 X Subtotal - 394.5 - 21.8 - - 139 14.1 - 444.3 C. Periodkals - 30 - - - - - 30 - 60 TotalRecurrentCosts - 5076 - 223.8 - - 139 17.2 376 8000 Total PROJECT COSTS 146.3 1,6083 - 605.6 2,224.3 940.8 175.6 467.3 2379 6.406.1 cn India r Eco-Developrent Project Expenditure Accounts by Components - Totals Including Contingencies > Rajasthan (USS '000) Develop Effectve and 9 Extensive SupportWor C Ecodevelopmunt F VNlage Ecodevelopmmnt Inprove Inproved PA Management Participatory Investrents Conduct Impact (D Ecosystem Mlcro-Plainnig to Environmental MonItoring '0 Protection Amrnittes and Implemfnt Education and and ° Planring and for Field Irplefnntation Reciprocal Special Awareness Research Project Processes Managenmnt Staff Support Cominaments Programs Campaigns Sysarks Management Total I. Investnunt Costs A Civil wos - 4191 277.2 - - - 25.8 321 - 754 3 Vehkles - 304 - 223 - - 193 112 - 832 C. Fwnlture and Eqdpmnent Field - 714 - - - - - 18 - 73 2 Offre - 108 - - - - - - - 10 8 Labe atwry - - - - - - - 31 - 3.1 IrfamabonTechrndgy - 162 - - - - 124 134 - 420 Mials 31 - - 514 - - 692 - - 1237 7 Subfltal 31 98 3 - 51 4 - - 81 6 18 3 - 252 8 '.0 D.VFlageecodevelopnepntprgm - - - - 4,345 2 849 9 - - - 5,195.0 E. Consulta trainhig and contactsl swrvices 1. Trhahng Goenmment dfficdas 40 7 6.0 - 24 9 - - - 29 - 74 5 Fellbships 39.3 - - - - - - - - 39.3 Toairs - - - 8 9 - - - - - 8 9 Subtoal 79 9 60 - 33 8 - - - 2 9 - 122 6 2. pecaliests ervices NGO sevces - - - 219.0 - 65 0 32 8 - - 316.8 NaM experts 7327 - - 106 5 - 15 9 9.6 6329 270 8 540 4 Subtobtl 73.7 - - 325 5 - 80 9 42 4 63 9 270 8 857 2 3. Pbnnhigworkshops 91 - - 429 - - 30 186 - 737 4. Spewbstudis - - - - - - - 2440 156 259.6 5. Moltorlngexpertise - - - - 141 1 94 1505 Subtotal 162.8 6 0 - 402 2 - 80 9 45 5 470 6 295 8 1,463 6 F Travelor project supervislon - - - 88.3 - - - - 38 1 126 4 Total lnveslnuntCosts 1659 5538 2772 5643 4,3452 9307 1721 5323 3338 7.8753 U. Recurmfnt Costs A. Sdaes - 289.8 - 2251 - - - - - 514 9 B Operation and mnubtnance Buildings and laborqtores - 2628 - - -2628> Vehicles - - - 166 - - 13 9 80 - 38 5 : Equipment - 56 7 - - - - - 76 - 64 3 (D Subtotal - 3195 - 166 - - 139 156 - 365.5 C Prlodicals 0- - 30 30 TotalRecurrentCosts - 6093 - 241.7 - - 139 186 - 883.4 TotalPROJECTCOSTS 1659 1,163.1 277.2 8060 4,3452 9307 1860 5509 3338 8,7587 India Eco-Development Project Expenditure Accounts by Components - Totals Including Contingencies West Bengal (US$ '000) Develop Effective and Extensive Support%for Ecodeveloprrent Village Ecodeveloprment Improve , Improved PA Management Participatory Investments Conduct Impact C Ecosystem Micro-Planning to Environmental Monitoring ' Protection Amenities and Implement Education and and t Planning and for Field Implementation Reciprocal Special Awareness Research Project Processes Management Staff Support Commitments Programs Campaigns Systems Management Total 1. Investnrnt Costs A. Civil works - 1,500.2 236.7 - - - 27.7 22.5 - 1,787 1 B. Vehicles - 56.6 - 11.2 - - 19.6 30 3 - 117 7 C. Fnmitwe and Equipmnent Fid - 91.6 - - - - - 1.8 - 935 Office 12.3 - - - - - 3.1 - 154 Labcratcry - - - - - - - 31 - 3.1 InfarmtiontTechnology - 180 - - - - 7.7 10.4 - 36.1 Materials 16 - - 235 - - 537 - - 76 8 Subtotal 1.6 121 9 - 235 - - 61.4 184 - 226.8 D. Vlageecodevelopmeatprogram - - - - 2299.8 1,1101 - - - 3,409.9 E. Consulltit trainig and contractual services 1. Training GoAnrnmentofficials 30.0 - - 24.6 - - - 5.8 101 706 Fetoeships 30.7 - - - - - - - - 30.7 Tours 17.7 - - 17.9 - - - - - 35.6 Subtotal 785 - - 42.5 - - - 5.8 10.1 137.0 2. Spedalist services NGO sevices - - - 67.0 - 324 23.0 - - 122.4 Nationalexperts 59.4 - - 50.0 - 160 146 1337 1433 417.0 Subtotal 59.4 - - 116.9 - 484 37.6 1337 1433 539.4 3. Pbnningworkshops 19.0 - - 20.5 - - 3.0 186 - 61.2 4. Speclalstudies - - - - - - - 2430 408 283.9 5 .Monitoringexpertise - - - - - - - 141.1 147 155.9 Subtotal 156.9 - - 179.9 - 484 40.7 542.3 209.0 1,177 2 F. Travel for project supervision - 38 1 - 47.3 - - - - - 85.4 TotallnvestmentCosts 1584 1,7167 236.7 262.1 2,299.8 1,158.5 149.4 6136 209.0 6,8042 II. Recurnet Costs A Saliues - 645.5 - 111.1 - - - - 2.9 759.6 > BE Operation and maintenance : Buidings and laboratries - 642.5 - - - - - - - 642.5 (D Vehicles - - - 31.5 - - 127 185 - 62.7 Equipment - 46.6 - - - - - 7.6 - 54.2 Subtotal - 6891 - 31.5 - - 127 261 - 759.4 L C. Pwloicals - - - - - - - 15 - 1.5 Total Recurnt Costs - 1,334.7 - 142.6 - - 12.7 27.6 2.9 1,520.5 TotalPROJECTCOSTS 1584 3,051.4 236.7 404.7 2,299.8 1,158.5 1621 641.2 211.9 8,324.6 Staff Appraisal Report 211 Annex 14 Annex 14: Procurement and Disbursement National shopping 1. National shopping procedures would be used to procure vehicles, information technology, field, office and laboratory equipment, construction materials in individual contracts not to exceed US $20,000. Rate contracts of the Directorate General of Supplies and Disposal (DGS&D), New Delhi, would only be acceptable as a substitute for procurement under national shopping. State rate contracts would not be acceptable. 2. The essential elements of national shopping are (i) clear description and quantity of the item(s) as well as a specified date of delivery; (ii) price quotations obtained from several suppliers, usually at least three to assure competitive prices; (iii) evaluation of quotations to follow sound public/private sector practices of the purchaser; and (iv) the purchase order placed with the lowest evaluated supplier by suitably incorporating the terms of the accepted offer. Further negotiations are not permitted after the lowest qualifying quotation has been evaluated. 3. All documents associated with the purchase of goods under national shopping procedures would be subject to selective post-review by visiting missions. Such reviews would concentrate on the competitiveness of prices paid and physical inspections of the relevant items. 4. The schedule of critical steps for national shopping suggests that about 10 weeks would normally be required from the preparation of the initial specifications to the delvery date. Accordingly, to ensure that required equipment and goods are on hand to start the work program for a fiscal year that begins on April 1, procurement activities should normally begin by the preceding January 15. Categorization of Consultants, Training, and Contractual Services 5. The consultants, training, and contractual services would be used for the following purposes: (a) Policy and project preparation: US$2.7 million (b) Capacity building: US$3.9 million, and (c) Implementation support: US$8.1 million. Criteria for the Selection of Non-Govemment Organizations (NGOs) 6. The project would seek NGO participation in village ecodevelopment support teams, research activities (especially of social science aspects and project monitoring), environmental education, project preparation, and training for the full range of project components. The state project entities responsible for implementation and MOEF would invite from interested NGOs detailed proposals for collaboration for work in and around the PAs and at the national level respectively. The state entities and MOEF would be responsible for reviewing the proposals and agreeing on appropriate mechanisms to involve NGOs in the project. Staff Appraisal Report 212 Annex 14 7. The selection of NGOs would be guided by the following criteria: (a) As part of the legal requirements, the NGO should be a registered body under the relevant State Law. It should regularly maintain its accounting records and have properly audited annual statements of income and expenditure. (b) It is essential that the NGO have a proven track record in the proposed activity. To avoid creating any biases and misconceptions in the minds of the people, the NGO should have secular operations (i.e. development activities of religious NGOs would not be associated with proselytizing) and should not be affiliated with any political organization. (c) For project activities requiring field activities over many sites (e.g., village ecodevelopment support, socioeconomic research, project monitoring, environmental education), NGOs should have adequate numbers of field level staff conversant with the local dialect and customs, and have a clear understanding of the socioeconomic and political situation of the area or areas in which they would operate. They should also possess excellent communication skills and good rapport with the community so as to involve them in the project activities. (d) A prior understanding of the concept of ecodevelopment would be desirable. Owing to the nature and extent of the physical coverage of the program, NGOs participating in the project would be part of a larger effort involving other NGOs, government officials, professional and academic institutions, and others. Hence, the NGO should be able to interact smoothly with, and be part of, a team. (e) Finally, the NGO should have internal stability so as to assure long-term support to the project. Contractual Arrangements for Consulting Services (large NGOs, autonomous govemment agencies, and private firms) 8. Consultancy services estimated at US$6.0 million with consulting firms-mainly large NGOs-for management support, implementation assistance, and special studies would be contracted on terms and condition in accordance with IDA guidelines for the use of consultants, which are set forth in Guidelines: Use of Consultants by World Bank Borrowers and by the World Bank as Executing Agency (August 1981). Consultancy contracts could include up 100% for overhead charges including computing equipment hardware and software. 9. Abbreviations used in the description of the steps include: (a) TOR - terms of reference; (b) LOI - letter of invitation; (c) NOL - IDA's no objection letter after required prior reviews of documentation throughout the procurement process. 10. Prior review by IDA is required for: Staff Appraisal Report 213 Annex 14 (a) Draft LOI package including the draft letter of invitation, terms of reference, formats for submission of technical and financial proposals, draf contract under which services will be performed before it is issued to the selected consultants (b) Evaluation of technical proposals before opening the financial proposals (c) Draft negotiated contract with agreed description of services before signing of the contract and (d) Conformed signed copy of the contract before authorizing disbursement against the contract. 11. Using the average amounts of time taken for each step in most projects, the schedule of critical steps suggests that about 44 weeks would normally be required between the preparation of the draft LOI package and the team leader being in post. Accordingly, procurement activities should usually begin in early July to ensure that the team leader is in post by the following 1 April. However, the actual number of weeks required can be shortened significantly if project authorities quickly prepare draft documents and review proposals promptly. Contractual Arrangements for Consulting Services (small NGOs) 12. Consultancy services with small NGOs in contracts less than US$20,000 up to an aggregate of US$1.6 million for participatory planning and implementation assistance with the Village Ecodevelopment component, and design of monitoring and evaluation procedures would be contracted in accordance with IDA guidelines for the use of consultants. With respect to review, (i) the model documents for inviting proposals, (ii) terms of reference, (iii) all single source contracts (not applicable to contracts for individuals), (iv) all contracts for assignments of a critical nature (regardless of value), and (v) all contracts (original or amendments) valued at more than US $20,000 would be subject to prior review by IDA. 13. The schedule of critical steps for employment of small NGOs suggest that about 14 weeks would be required from the preparation of the initial terms of reference (TORs) until the team leader is in post. Accordingly, in order to ensure that required services are on hand to start the work program for a fiscal year that begins on April 1, procurement activities should begin by the preceding December 15. Contractual Arrangements for Consulting Services (Individuals) 14. Procedures for employment of individuals-estimated at US$4.2 million-are usually less formal. IDA only requires prior approval of terms of reference and the qualifications and conditions of employment before an agreement (or contract) is negotiated and signed. In such cases, the major concern will be that the individual is suitably experienced and capable. However, where three or more individuals are to be employed and coordination, Guidelines: Use of consultant by World Bank Borrowers and by the World Bank as Executing Agency. August 1981. Staff Appraisal Report 214 Annex 14 administration, and collective responsibility can become difficult, IDA would normally advise that a consulting firm be employed. Ecodevelopment Reciprocal Investments 15. Investments expenditures associated with reciprocal commitments would not to exceed Rs. 10,000 (US $285) per family including local contributions over a three-year period, and would finance small works and village development activities over 2,000 widely scattered EDC locations over the five-year project period. Civil works required for these investments would be procured in accordance with procedures acceptable to IDA: (i) under community participation by direct contracting with non-governmental organizations or village communities; or (ii) by soliciting quotations from at least three qualified contractors; or (iii) through force account. Annex 8 contains a full description of how community participation would function. Construction materials for these works, aggregating to about US $13.0 million, would be procured following national shopping procedures acceptable to IDA. Small equipment and goods required for these investments would be procured through national shopping procedures acceptable to IDA. Livestock, including breeding stock, young animals, fertile eggs for hatching, bees and silk worms, estimated to cost about US $800,000 would be obtained under direct contracting procedures acceptable to IDA. For each investment a list would be kept showing the purpose, location, total cost, and breakdown of costs into the various forms of procurement, which would be the basis of SOEs submitted with withdrawal requests. Documentation describing each investment and the associated purchases would be available for selective post- review by visiting missions. The focus of such reviews would be on the competitiveness of prices received and the quality of work completed. rt Procurement Procedures Annex 14 ID Task Name Duration Qtr3 Qtr4 Qtr1 Qtr2 Otr3 I Standard Equipt NCB 33.7w 4/1 2 Preparation of Specification & Bidding 4w 39 /6 En 3 IDA's NOL 4w 1014 F- 4 Pbaceinvitation to bid in newpapers X (D 0 5 Submission of Bids 41/10 rt 6 Bid Opening ld 7 Evaluation of Bids 6w 12/25 8 IDA's NOL 3w 1/15 9 Award & Sign Cotacts 4w 12 10 IDA's NOL 1w 11 Shipment & delNer ow 12 Equipnenta availblew m India: Ecodevelopment Project x rt Procurement Procedures Annex 14 ID Task Narne Duration 1st Quarter I 2nd Quarter 3rd Quarter 4th Quarter [ 1st Quarter l 2nd Quarter 3rd Quarter- > I Procure by National Shopping 10.2w _ 4/11 2 Prepare specifications 4w 3 Invite Quotations Od 2/19 F- 4 Submission of Quotations 2w 0 5 Evaluation of Quotations 2w 6 Shipment & delivery 2w 7 Delivery 1 d 41 India: Ecodevelopment Project X cj rt Procurement Procedures Annex 14 ID Task Name Duration Qr2 Qtr3 Qtr 4 Qtr I Qtr 2 I Consulting services 43.7w 2 Prepare TOR, Shortlist & LOI 4wn 3 IDA's NOL of TOR, Shortist & LOI 3wF- 4 IssueLOLI Od 7/31 0 '-1 6 Ree proposals 45d 6 Open technical proposals Ow 7 Evakgte technial pposas ow11/10 I IDA's NOL of evalion 2w11/24 _ Open financW prposal Id 10 Negotiate conbtact ow 11 IDA's NOL o draft conrbt 3w 12 Sign Contact 2w 13 IDA's NOL of final cntact 3 14 Mobiltin 4w1 15 Team Leader in Post Od 41 x India: Ecodevelopment Project Procurement Procedures Annex 14 ID Task Name Duration Qtr 4 Qtr Qtr 2 Qtr3 Qtr 4 I Proposed procedure for small NGOs 14.2w _- _ _ _ _ _ _ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~411 2 Prepar TOR, justification SS and LOI 2w 3 IDA's NOL of TOR, SS and LOI 1w 4 Issue LOI Id 5 Receive proposals 3w 6 Open technical proposals Ow 7 Evaluate technical proposals 1w 8 Open financial proposal ow 9 Negotiate contract 1 w 10 Sign Contract 1w jo 11 IDAs NOL of final contract 1w 12 Mobilization 4w 13 Team Leader in Post Od4 India: Ecodevelopment Project Staff Appraisal Report 219 Annex 14 Project Disbursement (USs 'GaO) Intemational Global Developmnent Association Environmental Trust Disbursement Per Semester Cumulative % Per Semester Cumulative % Profile % 1997 1 - - 0 - - 0 0 2 560.0 560.0 2 - - 0 3 1998 1 840.0 1,400.0 5 400.0 400.0 2 6 2 1,680.0 3,080.0 11 1,400.0 1,800.0 9 10 1999 1 2,240.0 5,320.0 19 1,800.0 3,600.0 18 1 4 2 3,080.0 8,400.0 30 2,200.0 5,800.0 29 22 2000 1 3,920.0 12,320.0 44 2,400.0 8,200.0 41 26 2 4,200.0 16,520.0 59 2,800.0 11,000.0 55 34 2001 1 3,640.0 20,160.0 72 3,000.0 14,000.0 70 42 2 3,080.0 23,240.0 83 2,800.0 16,800.0 84 50 2002 1 3,360.0 26,600.0 95 1,800.0 18,600.0 93 62 2 1,400.0 28,000.0 100 1,400.0 20,000.0 100 70 2003 1 - - 100 - - 100 78 2 - - 100 - - 100 86 2004 1 - - 100 - - 100 94 2 - - 100 - - 100 100 Model Statement of Expenditure (SOE) Withdrawal Application for Village Ecodevelopment Investment (Rupees) Civil Works Force Direct Quotations from Small Livestock Total Name of PA and account contracting qualified equipment State contractors and goods EDC Namel Investment # I Investment #2 EDC Name2 Investment #1 Investment #2 EDC Name3 Investment #1 Investment #2 = _ T otal _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Staff Appraisal Report 220 Annex 14 Staff Appraisal Report 221 Annex 15 Annex 15: Project Administration Shared Implementation Responsibilities 1. Overview. State governments, through their existing PA authorities within the state forest departments (SFDs) or through newly-created autonomous implementing bodies, would be responsible for field level execution. For many project activities, the PA authorities or implementing bodies would develop partnerships with or delegate to NGOs and village groups. They would also contract tasks to individual specialists, professional research and training institutions, and other groups as needed. The degree of responsibility of PA staff, contracted experts, and local people in implementing the different project components varies. PA officials would have the lead implementation responsibility for improved PA management activities and hire local people to undertake some of the works. Village ecodevelopment would involve a full partnership of local NGOs, PA staff, and local residents in the initial negotiation of reciprocal commitments. Although the implementation of the reciprocal commitments would also be shared, local people would be likely to have the highest work load. Environmental education would involve extensive use of contracted experts. A combination of PA staff and contracted experts would conduct the monitoring and also involve local people in monitoring where possible. Outside experts would both conduct and coordinate research, but with the mandate to meet the needs of PA managers. Outside experts and facilitators would conduct the financial sustainability and ecotourism strategies that are part of the long-term framework component. 2. PA-Level Third-Party Support. For each state forest department (SFD), domestic third-party (contractual) implementation support would include: (a) Direct administrative support and services (for the initial period of project start- up and implementation) (b) Full-time specialists in ecology and in social science and, in some cases, in management information system operation (c) Specialists for visitor and ecotourism and financial sustainability studies. (d) Specialists (including NGOs) in participatory planning to be members of village ecodevelopment microplanning support teams (e) Research and monitoring specialists working on biological, social, technical, financial, and institutional aspects (f) Trainers. jjzs paop ol s2iliunyoddo 'pafold siqlu jo (aSJfaAal pa;u aouoy puB) aBs pws APA!12,eIa oQl pug 'wals4s onetaneanq u8rpul aq jo pcauoo aql ui!m saumiu ipiS b anSSI SP 4 SassaJppe IMP JuIuZACoa seaol aql quxm aoue!ldtuoo amsua °l alqel aAoqe oqip« Suilupdn ijnuut apnpaui pinoM maraaz asueuuojad parojd slaqunu .iTql uo juaw4ovoU aua ou uaaq seq aiaql wtrq gu!Moqs 'gasolui Jo olqvis ulwAJ ( posp3!re!) alsus almlu aQtl loj UaAIS SO.IaU UuJtels Iuowumdop lsaoio aql 'asso lqaea ul -pols!l sVd 1,Bnp!A!pui uoAas oaq joj umoqs suoilisod poalgjo ioqwnu aqt ol saseanui sr olqui otl uo .zdde slu2Wuvdap WS3JOJ LS gqlJo SSUIM QJ!lpl!M aql Ui sOIJIAflas laafold ol sljosutul 'aN soiliAQio loofold -UOU UO gUtJom jjvS UOAij suO3Jo Jiqwunu JI9IOAO oql aolldop lou op sluzuWjvd9p iSoIOj olB,S UilIM sljsu-eJl WoIJjlsU Vd ol sassaflui imp salsisuouip I olqsjL 9ldood 1oo qlIM uo!iseoqelloo posiaaui aql pue 'iuowdolawap oaanosai uuunq poaoddns-mfoid ol anp sljps pQAoJdwT 'sluuoiu pue nuowdinbo ol ssaoe poAoJdun 'guuoiuowu pue suuld 1AJM p3rOld o1 anp Ampq Jo lB9 '(S.z BUBW )UWUXfAOa iUOum pUB aidood imol Buotue uloq) aoid oqqnd pmaiss3ut M!aqo o; anp 'aAt npoJd atow tpnwu uuouoq plnomjels lua.un '>lofd o p .dlpufl sooN XurUiw 'suwmnsuoajo Suipel3 uoo A!suaixo uo sopi pSo.od 3uj. 's3!oflDt uo!iAlvi u0oo iofojd-uou '8uio2uo iaujojo 8uqjmsjo Aenbope aqp poj AsJApe lou plnom sueid SuUJis Plood *ji8XS uopiAjsasuo3 .i;qjo uo sduld ZL6 ZL6 ' ZŁ6 , 6Z6 , asJgJ a.muH - UDy;sv ... ................................... ....................... ............................................................. ......... OZOI q.. O I . S16 O ... ajo.. 3.4i)U - D ....Y 18 . 18 18 81. .8L XlpU99 ........................ ...... Ill...................... Ł08 '.ŁS08 ,ŁS08 .ŁS08 '. aJojs aJJJug - .DIiag .............. 60..... i ; .................. fl6 .1 OZ6 S96 S S a aDlu X(JIDUID ~~~~~~~~~~~~~~~~~~~~~~~~~~~~............................. ..-''- S91 S91 S91 Zol Ioalqe .................... .................................... .................................. .................................. ............................................................................................................................. ......... 0690 * 6Z0[ . 6Z0[ 069 069 ŁLD9 awig a-x - JwvU nD 6ZI I6( PO ~~~~~~~~~~~~~~~~~~~.............................. 861L6 L6/96 96/l6 96/t6 (suo!;Isod pll!! jo JeqwnN) BU!M aIIlplUM - JilS GAifnleX3 Pl!i : olqejL Sueld JJS ST xauuv aloda; Irs!mlddV jjwS Staff Appraisal Report 223 Annex 15 incentives are limited. The project does provide improved amenities for junior level field staff, and extensive training opportunities. The project design also acknowledges that lack of incentives prevents the recruitment of qualified permanent research staff; and therefore relies on contracted research. PA Committees 5. Committee Structure. Each PA is making its own arrangements to manage and coordinate the project activities in accordance with local conventions. The main innovation would be an explicit effort to expand their composition beyond govermnent employees and to include representatives from a range of outside specialists and stakeholders. Although their names and functions vary among the states, PA committees or task forces typically would include a project steering committee, a district and/or regional coordination committee, a PA coordination/implementation task force, and an impact monitoring and research coordination working group, an environmental education coordination working group, and numerous ecodevelopment committees (EDCs). National Level Coordination and Staffing 6. National-Level Organizations. MOEF would expand existing offices to handle the project work. MOEF would in turn be assisted by NGOs, autonomous agencies, and consultant firms and individuals employed under contractual arrangements with MOEF. Through these contracts, the offices would acquire substantial flexibility with respect to appointment of temporary staff and consultants, including levels of remuneration. 7. Project Tiger Office. The Project Tiger Office (PTO) would coordinate the project at the national level. The PTO would expand to comprise two wings, each headed by a Joint Director. One wing would consist of existing staff positions and continue to handle the Project Tiger activities. The second wing would focus on the Ecodevelopment Project. The ecodevelopment wing of the PTO would: (a) Promptly release funds to states in three installments (b) Promptly process and submit withdrawal applications for national-level expenditures to the DEA's Controller of Aid Accounts and monitor the progress of withdrawal applications prepared by the state governments (c) Compile project accounts and arrange required audits (d) Facilitate procurement of goods and contracting of services in a timely manner and in accordance with Bank and government requirements (e) Produce semi-annual progress reports that include information on the above items, as well as other information on national-level project activities and an overall summary of project progress (f) Provide training and communication outlining financial and administrative procedures for the project (g) Provide additional clarification and communication on project issues as needed between implementing states, national policy makers, donors; other national stakeholders, and the general public Staff Appraisal Report 224 Annex 15 (h) Make arrangements to hire and supervise contractual specialists who would provide implementation services and review at the national level. Table 2: Project Tiger Office Position Existing New Ecodevelopment Estimated Unit Cost Wing1 ~~~(in '95 Ri.)) Dietr 1-150,000 ......................................... .................................. ....... .................. ..................................................... ;...................... ,,...................................... .... Joint Director 1 1 120,000 Tehnical Officer 1100,000 ............................ ................................................ .. .... .. ........ .... ... ...... ..... ...... .. .. ............... ........ ..... .... .... . Accounts Officer 1* 96,000 ...... ................................................. ......................... ......................................................I.............................................................. SectionOfficer 1 1* 96,000 Assistant 1 2* , 54 000 . .. . . . .. . . . .. . . . . . . . . . . . . .. .. . . . . . .. ...... ......................... ..................................................... .. . . ... . ... . . . .. . . . .. . .. .. . . . .. . . . UpperDivison Clrk I C)138,000 ....... ......................... .....Q .. ............ ......................... ........................................................................................................... Lower Division Clerk (LDC) 2 32o000 Ste ....r... cr 1i 446,000 Personal Assistants 2 1* 46 000 .............................................................................. ......................... .... ................................................ ....................................... Peon 2 29,000 Dispatch Rider and Driver . 2 50,000 * indicates staff needed for PPF Implementation. 8. Preparation of Second Ecodevelopment Project. The staff of the new unit in the Wildlife Division would make arrangements to hire and supervise contractual specialists to: (a) Undertake policy studies and workshops on financial sustainabitity of ecodevelopment, legal frameworks for ecodevelopment, and other poticy issues affecting the long-term institutional arrangements for ecodevelopment, including Ecodevelopment Project II (b) Provide preparation guidance for Ecodevelopment Project II (c) Prepare proposals for specific project areas of Ecodevelopment Project II (d) Appraise proposals for Ecodevelopment Project II. 9. The International Division (ID) of MOEF would take responsibility for initial concept papers of the Biodiversity Information and Genetic/Ex-situ Conservation Projects. The concept paper and subsequent consultations would then determine longer-term arrangements for sustained project preparation. National Committees 10. The Ecodevelopment Project Steering Committee would facilitate center-state coordination and provide policy guidance on project activities and work plans. The committee would ensure compliance with the project legal covenant that requires that I Position essential during FY95/96 Staff Appraisal Report 225 Annex 15 regional activities outside the scope of the project not undermine the biodiversity conservation of the project protected areas. It would meet semi-annually and be chaired by the MOEF secretary, with the inspector general of forests as vice chair. Members would include the Chief Conservator of Forests(CCF) - Wildlife of the state implementing the ecodevelopment project and the Forest Research Education and Extension Project (FREEP) ecodevelopment program, Inspector General of Forests (IGF) - Wildlife, financial advisor, MOEF, director WII, and representatives of NGOs contracted to provide national-level technical support. The director of the Project Tiger Office (PTO) would be member secretary. The member secretary may invite forest secretaries of participating states as required. The committee would: (a) review state submissions of annual work plans (including staffing plans, management arrangements, contractual services, training, implementation schedule, and associated budgets) (b) recommend changes in norms for new activities that emerge over the course of implementation (c) review the proposals for and findings of any regional assessment studies financed by the project (d) review project progress on a semi-annual basis; (e) provide advice and recommendations to the Ecodevelopment Project Implementation Board (see below) and the PTO. 11. The Ecodevelopment Project Implementation Board (EPIB) would be an empowered body assigned full financial and administrative powers to implement the ecodevelopment program of both the Ecodevelopment Project and the Forest Research Education and Extension Project(FREEP). The EPIB would be chaired ex officio by the Inspector General of Forests (IGF) with the additional IG - Wildlife as vice chair. Members would also comprise financial advisor - MOEF, advisor of the planning commission, and controller of aid accounts of the Department of Economic Affairs (DEA), or their nominees. The director of the PTO would be member secretary of the EPIB. The EPIB would meet quarterly and as requested by the member - secretary. 12. The composition of the EPIB would empower it to exercise all financial and administrative powers necessary for program planning and implementation and to ensure that the necessary governmental approvals are processed expediently within the MOEF. In the exercise of its powers, the EPIIB would carefully consider the recommendations of the Ecodevelopment Project Steering Committee and the National Overview Committee for Ecodevelopment. 13. Project Governance Arrangement. During the PPF or early period of the project, in response to NGO suggestions, MOEF intends to contract a study to consider further strengthening arrangements for NGO partnerships in the project governance. Flow of Funds 14. Release of Funds. As a centrally sponsored scheme, all funds to the PAs would flow through MOEF to the states. Release of funds to the states, with immediate forwarding to PAs, would occur three times annually. The first installment for two months' expenditures would be made by May 15 and the second installment for the next Staff Appraisal Report 226 Annex 15 three months' expenditures would be made by June 30; each of these would be based on final work plans and budgets. Neither the first nor the second installment would require utilization certificates for the prior project (or PPF) year. 15. The third installment of seven month's expenditure would be made by August 31 and would be based on: (a) a careful review of project progress reports from the preceding fiscal year with a focus on consistency with project objectives and timely submission of withdrawal applications (b) submission by states of "utilization certificates" that provide evidence that previously released funds for the prior project (or PPF) fiscal year have been spent (due from the states to PTO by June 15) (c) budget outstanding adjusted to reflect project performance and unspent balances. The end of this annex includes charts outlining the flow of funds structure and the schedule of annual planning, budgeting, sanctioning, and fund flow. Work Plan and Progress Report Schedule 16. Work Plan Deadlines. (a) preliminary work plan to IDA by September 30 (b) final work plan proposal to IDA by January 31 17. Progress Report Deadlines (a) Report covering prior fiscal year to IDA by June 30. (b) Report covering first half of current fiscal year to IDA by December 31. Budgeting and Flow of Funds Structure Budget Sanction rt lanning Commission nistry of Finance w Department of Economic Bu_. ..g I_ua rs (DEA) > Budge request MOEF Fnsar DA Original and san ct.on. (n Original & revised budget requests . revised ...d.d ... P Copy of state withdrawal application requests P'O a Budget D Certificates of utilization B s W --.0 _ _ ~~Budget sanction Withdrawal sanction -° Progress Reports ndfunds . application &funds Government |Governrnent Govermnient Govermnment Govemment of overnment Govermment af Bihar |of Gujarat of Karnataka f Kerala dhya Pradesh f Rajasthan f West Bengal ihar Forest tate Forest tate Forest State Forest State Forest State Forest State Forest elopment Dut ent epartmnent Department Department Department gency CF, Wildlife CF, Wildlife CCF, Wildlife CCF, Wildlife CCF, Wildlife CCF, Wildlife CF, Wildlife I T I T I T I T I T I s Palamau Gir National Nagarhole eryar ench anthambhore Buxa Tiger Reserve Park & Sanc. National Park Tiger Reserve iger Reserve Tiger Reserve Tiger Reserve Field Director Field Director Field Director Field Director ield Director Field Director Field Director Statements expenditure > Sr. Executive r. Executive r. Executive r. Executive r. Executive Sr. Executive Sr. Executive | . Field with ield with ield with ield with ield with Field with |Fieldwith Expenditure xpenditure penditure xpenditure xpenditure Expenditure Expenditure Authoty uthority uthority uthority uthonty Authority uthority Flow of Funds Schedule Annex 15 ID TaskName A 0 SN D J |F M [ A M J |J| A S 0 1 Proposed annual planning, budgeting and sanctioning process . . I r 2 PT tentatively allocates budgets to tiger reserves 817 3 States prepare APO 4 Park Director prepared APO 5 Park Director submits APO to CCF En15 . 6 CCF reviews and approves APO for park 322 7 CCF submits APO to state FS I1/23 a FS reviews in consultation with CCF and finance department 9 FS subtnits APO to PT 10 Project TEsr prepares budget estimate refecting state proposals 11 Draft work program/budget for IDA comments 12 Project Tiger submits estimate to MOEF plan coordination division .g 13 PCD prepares MOEF budget estimate 14 MOEF submit budget estimate to PC 15 PC review budgets of central ministries 122 16 MOEF/PC budget review discussions 1;23 17 PC coomunicates approval of MOEF annual budget 2,13 18 PCD informs PT of approved budget estimate 2 19 PT adjusts state budgets 2/26 20 PT rquests states to adjust work programs and submit APOs (0 Task Summary Rolled Up Progress Date 7/25t96 Progress Rolled Up Task un Milestone Rolled Up Milestone X India: Ecodevelopment Project Flow of Funds Schedule Annex 15 ID Task Name A S 0 N D J F M A M IJ | J I A I S 0 ° 21 PT examirtes and recommends APOs from states to IFD D. cjn 22 IFD examines and informs PT of CA approval 23 PT receives sanction for first 2 rnths budget 17 24 PT sanctions for 2 months' budget to state govemments 4 ' 26 State government issues sanctions to CCF/Park directors 26 PA Director start works, purchases and contracts 27 PT receives sanction for additional budget '. 29 PT sancton additioral 3 months budget to state governments MIS7 29 States prepare for release of renaining 7 monffis' funds 30 Review of project progress for the preceding fiscal year 5630 31 Prepaon ofCUs CU7 32 CU docu osenUoPT : to PT 33 PT duss db to. pc pw pr(m e and ur spert bal 34 PT iaues acion for final 7 mnohs fux to stda goverments a.3 1 36 Flw of Fnds Caoplt *1131 Task Summary Rolled Up Progress x Projec:__ _ _ _ _ __H Date: 7/2516 Progress Rolled Up Task n Milestone Roiled Up Milstone K) India: Ecodevelopment Project Staff Appraisal Report 230 Annex 15 Staff Appraisal Report 231 Annex 16 Annex 16: Project Performance Review and Implementation Schedule' Strategy I . Use of Project Performance Information. Use of implementation review and progress reports on biological, socioeconomic, financial, institutional, and other factors would be integral to project management, providing feedback and accountability to assist in problem-solving and adjustment. The adaptive management approach would quickly incorporate lessons learned from monitoring feedback. This review would provide information on which to take corrective actions and/or further refine the project design. 2. Purpose and Composition of Project Performance Indicators and Benchmarks. The project implementation benchmarks outlined below would provide an explicit estimate of performance expectations and a basis on which to measure whether the project is performance in these initial expectations. The project performance review would compare actual experience with the benchmarks. While the indicators would incorporate findings about project impacts to the extent they are available from the monitoring component (see Annex 10), there would be a need for more immediate measures of project performance. Therefore, the project performance review would focus on measures of project implementation (inputs. procedures and outputs) that would indicate whether the project is following key elements of its design. These implementation indicators would serve as interim proxies for measuring project impacts, on the assumption that the project design would result in the desired impact. Tables 1-5 list the indicators and benchmarks. 3. Objectives of Semi-Annual Progress Reporting. The semi-annual progress reports would compile a selection of information that has been acquired and used for internal management purposes, to meet the needs of outside audiences. The regular reporting channel to the GOI, external financing agencies and project stakeholders of project performance would: (a) provide summary information on project implementation status that addresses key concerns of financiers and stakeholders (b) help make project management accountable and measure the effectiveness of project management procedures (c) provide the tangible evidence of project benefits needed to sustain budgetary and political support, (d) identify issues which require GOI or Bank intervention. 4. Content of Semi-Annual Progress Reports. The PA field directors, MOEF officials, and contracted specialists would be responsible for ensuring that the reports (a) efficiently provide the information required to meet the above objectives, (b) are timely, Guidelines subject to revision to reflect experience in practice. Revision will be documented through exchanges of letters and comprehensive updating as needed. Staff Appraisal Report 232 Annex 16 and (c) do not become a burdensome bureaucratic exercise. Field directors of each PA would submit semi-annual progress reports to their respective state forest departments and the PTO. These progress reports would incorporate measurement of project implementation for all project components. They would not be limited to measuring physical inputs and outputs -- compliance with procedural guidelines would also be important. In addition to the implementation indicators the reports would also include data on other aspects of project implementation status such as staffing, technical assistance, studies, training, budget, procurement, expenditures and coordination mechanisms. The reports would include comments on current issues and problem-solving strategies. 5. Completion Report. The primary objective of the Project Completion Report would be to describe and analyze the state of the project at, or shortly after, its completion, to compare the costs and currently expected benefits with those expected at project inception and thereby contribute to an assessment of the effectiveness of the project and the implementing agency. It would reinforce self-evaluation, would draw lessons from experience and would serve as a mechanism to disseminate these lessons. It would include an assessment of the original project objectives and design and of the methods used and decisions taken in the course of project implementation. Topics covered would include project identification and preparation, implementation, operating performance, financial performance, institutional performance and development, and reevaluation of project impact and benefits. Implementation Review Table 1: Implementation Indicators and Benchmarks - Improving PA Management Project Activity Implementation Indicators Benchmarks for Each PA Strengthen PA Detailed guidelines for PA management Completed by mid-PYl. management plans and plan updates agreed and completed the capacity to Updated comprehensive PA management Meet guidelines and completed implement the plans plans which include: in PY 2 through specialist advice, studies, * PA management work program for PY Compliance (at least 4) workshops, associated 3-5 travel costs, training, and staff . Ecological considerations (1-5 scale) * Participation arrangements (1-5 scale) . Incorporates initiatives from other project components (1-5 scale) Financial Strategy Study Meet guidelines and completed by end PY3 Skills Development: • Number of senior staff undergoing As specified in annual work training per year. plans . Number of junior staff undergoing training per year Staff Appraisal Report 233 Annex 16 Table 1: Implementation Indicators and Benchmarks - Improving PA Management (continued) Project Activity Implementation Indicators Benchmarks for Each PA Incorporate PA concerns Inventory and assessment of proposed and Inventory and plans for further into regional planning ongoing activities outside scope of project assessment available by end PY and regulation through that potentially could undermine PA 1 and updated yearly provision of specialist conservation or ecodevelopment strategy advice, studies, Decisions that address findings of above Evidence of meetings, other workshops, associated assessment conmnunication, and decisions travel costs, training, and staff Replicable model for integrating PA Existence of new guidelines or concerns into regional planning and practices in PY I and evidence regulation (1-5 scale) of implementation in PY 2-5 Protect and manage Composition of Investments Meets criteria for urgent ecosystems and habitats investments or arises from through eocsystem and updated PA management plan habitat restoration, No. of restoration investments As specified in annual work improvements in fire, plans poaching and animal control, and Specialist Capacity Environmental specialist hired improvements in and functioning by mid-PYl environmental Change in amount of poaching per year No increase management of enterprise and visitor Fire detection and control Significant percentage increase enclaves in response time above pre- project levels Improved environmental quality of Evidence of improvements enclaves: Upgrade PA amenities Investments As specified in annual work for field staff through plans investments in Staff Attitude Survey in PY 1 and PY 5 Statistically significant accommodatons and improvement facilities I I Ieen Staff Appraisal Report 234 Annex 16 Table 2: Implementation Indicators and Benchmarks - Village Ecodevelopment Project Activity Implementation Indicators Benchmarks for Each PA Conduct microplanning Capacity to prepare microplans meeting As specified in annual work and implementation project specifications plans support through .pro .o c * Specialist Capacity Social Scientist hired and provision of contracted ficinn ymdP NGOs, expert advisors, functioning by mid PY 1 workshops, materials, * NGO Services Contracted Contracting keeps pace with training, PA staff, and growing workload associated travel * Number of Support Teams Mobilized As specified in annual work and Trained plan * No. of SFA field staff, NGO staff, and At least 75% of each villagers trained and/or participated in stakeholder group in support study tours teams, and at least 75% of EDC Executive Committee members, including women. * Government Order Meets project specifications and approved by end PY I Content and Coverage of Microplans * Microplanning follows agreed steps At least 4 and standards (1-5 scale) * Number of EDCs (and people covered Cumulative totals of plans in that have initiated microplanning Annex 8 * Number of completed and approved microplans (and people covered) that specify reciprocal agreements and meet eligibility criteria * Percent disadvantaged groups' At least equivalent to percent in representatives in EDC executive EDC committee * Number of EDC meetings held per At least four year Availability of technical assistance from At least 4 government agencies, NGOs, or others (1-5 scale) Corrective action in response to monitoring Examples of problems results identified and corrective action beginning in PY2 Staff Appraisal Report 235 Annex 16 Table 2: Implementation Indicators and Benchmarks - Village Ecodevelopment (continued) Project Activity Implementation Indicators Benchmarks for Each PA Implement reciprocal Reciprocal Commitments commitments and . Follows record keeping guidelines At least 4 associated investments (using 1-5 scale) through (a) specific measurable actions by . Meets expenditure requirements of: local people to improve (a) beneficiary contribution All investments conservation and (b) investments that foster (b) budget constraint, state norms, or alternative livelihoods granted waiver and resource uses, and anrso e, a . Compliance with commitments (e.g. at least 75% timning of release of funds/inputs, use of PA resources, etc.) Beneficiaries . Total number of beneficiaries Equal to number of forest- dependent households * Number of tribals receiving benefits Greater than % in EDC * Number of other disadvantaged people Greater than % in EDC receiving benefits * Number of women receiving benefits At least 50% of all beneficiaries Community empowerment * Non-ecodevelopment funded development initiatives undertaken by EDCs and communities Cite specific examples * Independent conservation initiatives Cite specific examples Development of EDC implementation Cite specific examples capacity Additional Joint Forest Land area (ha) Annual work plans Management Voluntary Relocation Number of People Consulted All potential participants Extent to which relocation plans meet Actual relocation based only on eligibility requirements plans that fully meet eligibility requirements Supplemental Level of Expenditures Less than 18% of PA's total Investments investments associated with reciprocal agreements Special needs (see Annex 8 para. 72) Special need explained for each .___ ___ _I_ investment Staff Appraisal Report 236 Annex 16 Table 3: Implementation Indicators and Benchmarks - Developing More Effective and Extensive Support Project Activity Implementation Indicators Benchmarks for Each PA Develop environmental PA-specific strategies for environmental Meets guidelines and education and improve education and visitor management! completed in PY 2 visitor management ecotourism through provision of local NGO support, Number of days of activity As specified in annual work workshops, physical plans consistent with strategy facilities, equipment, and Number of people contacted education materials Understanding of issues by participants Increase in understanding by measured by annual survey participants Number of independent local conservation List efforts efforts Impact monitoring and Impact Monitoring Strategy Consistent with conceptual research through framework, meets guidelines on contracted content, and completed in PY 1 implementation support Operation of Monitoring System from institutions and individuals, expert * Timing of reports meet deadlines Reports meet deadlines advice, studies, facilities, equipment, trauining, * Use of monitoring information Evidence of adjustment in workshops, transpon, project operation and/or design and materials Research Strategy Meets guidelines and completed in PY 2 Operation of Research Program * Number of projects As specified in annual work plans consistent with research strategy * Mix of disciplines Includes at least 40% socio- economic research * Design quality as judged by external At least 4 reviewers (scale of 1 to 5 Contractual monitoring and research capacity * Number of institutions contracted As specified in annual work plans * Number of individuals contracted __ Staff Appraisal Report 237 Annex 16 Table 4: Implementation Indicators and Benchmarks - Overall Project Management Project Activity Implementation Indicators Benchmarks PA-level and national- Staff plan filled PYI level administration Sr. staff transfers do not exceed 25% in any Compliance through provision of onS sear direct administrative Y services provided by staff No decrease in number of non-PA state SAR Annex 15 Table I and contractual support wildlife staff Non GEF & IDA expenditures for Data in Annex 2 taables biodiversity do not decrease in rreal terms at national state and PA levels Timeliness of work plans, progress reports, Meet deadlines in Annexes 14 flow of funds, procurement and consultant & 15 contracting, and withdrawal applications Disbursement rates compared with SAR At leasn 75% of projections projections Integration of strategies, guidelines, At least 4 implementation review findings and adaptive management decisions into work plans and progress reports (1-5 scale) Improve multi-state SAR in Hindi, and relevant portions in learning and other first languages of local NGOs: dissemination through * Number of pages translated translation, publicity, and dissemination * Completion Completed PYI servicesCopedPY Project Documents Readily and pulically Accessible: timeliness of response to inquiries Not to exceed two weeks Newsletter * Number of issues/year At least semi-annually * Size of distribution Video Production * Completion Completed by end PY 3 * Number of showings National-level Performance of each contract evaluated At least 4 implementation against TOR (1-5 scale semi-annually) guidelines and capacity building through contacted experts, workshops, training, and associated travel Staff Appraisal Report 238 Annex 16 National-level Performance of each contract evaluated At least 4 implementation review against TOR (1-5 scale semi-annually) through contracted experts, workshops, Use of performance review in adaptve Evidence of adjustment in training, and associated management project operation and/or design travel Policy and strategic Performance of each contract evaluated At least 4 framework studies against TOR (1-5 scale semi-annually) Table 5: Implementation Indicators and Benchmarks - Project Preparation Component Project Activity Implementation Indicators Benchmarks Prepare Second Proposal containing processes and contents As specified in annual work Ecodevelopment Project outlined in SAR Annex 12 plans Prepare Biodiversity Proposal containing processes and contents As specified in annual work Information Project outlined in SAR Annex 12 plans Prepare Ex-situ Genetic Proposal containing processes and contents As specified in annual work Resource Conservation outlined in SAR Annex 12 plans Project _ Project Performance Monitoring Indicators ProRct Obk tive | Expected Proect hnpnt I Meas of hIpact Evaluaion Prokd Inpuits h I menttlon ntons ProRct Riskt Develop _nt Objectve 1: hnproved Protected Area (PA) Management - To improve capacity of PA mnagement to conserve blodiveruity and Increase opportunties for local partcipation w in PA nsanseenativites an decsio naldn _ Strengthen PA managemft plan Broadened focus in PA plamn To be detnmined s part of Specialist advice, studies, Updated comprehensive PA Some Government staffmay and the capacity to implement the to more comprehensively Impact Monitoring and workhops, associated travel, nunagemnent plans meod not be committed to local plans cover ecological Research Compont - see training guidelines and are completed in participatory decision- 0 conderations, PA.related SAR Anex 10 PY2 naking. concerns of local people, and strategies for relevant The project may not be able proEranB (e.g., reardi to adequately handle the cuaoe ntal ecisioat and different perspectives and envimmductio, agendas of biologists and social sientists Incorporate PA concern into Capliance with prect Specalist advice, sudies, Inventory and assesnsent of Pressures of popultion regional planig nd iaaon covenant that ctivities workshops assocated travel, proposed and ongoing activities growth, poverty and outside scope ofthe pqoject tai outside scope of project are commercial inerests may would not undemine available by end PY I and undermine project efforts biodiverity consrvation and updated yearly ecodevelopenIt , and creation of a replicable model for other PAs to reg onal mpads Protect and manage ecosysnm Restored ecosystem and Restoration and control works, Composition of investments The project and financiers and habitats habitats, improved fire associated supervision, meets criteria for urgent may be associated with and control, byproduct sharing communications equipment, investments or anses from blamed for negative trends and increased employrnent vehicles, access track updated PA management plan and unmet needs that do not for local people improvements, fire watch stem from the project towers, sign boards, and boundary markers Upgrade PA amenities for field Improved staff morale and Limited quarters for PA staff, Investments as specified in staff increased time of staff in field patrol camps, drinking water project cost estimates and and electricity supplies, career adjusted in approved annual development training, and field work plans kits. (D x H, Project Objective Expected Project Impact I Means of Im act Evaluation I Project Inputs Implementation Indicators Project Risks Development Objective 2: Village Ecodevelopment - - To reduce negative impacts of local people on biodiversity, reduce negative impacts of PAs on local people, and increase collaboration of - local people in conservation efforts Conduct microplanning and Conflict resolution, increased To be determined as part of Contracted local NGOs, expert Number of support teams Some Government staff may In implementation support capacity of local people to Impact Monitoring and advisors, workshops, materials, mobilized as specified in annual not be committed to obtain support services and to Research Component -- see training of government staff, work plans and are sufficient to participatory decision- negotiate with outsiders, SAR Annex 10 NGOs, and local people, PA cover microplan and people making preservation and application staff, and associated travel benchmarks (see below) - of traditional knowledge, and Some local communities, 0 increased role of local people disadvantaged groups, and rt in helping PA protection Number of completed and NGOs may not trust the approved microplans (and initiatives of project people covered) that specify reciprocal agreements and meet Some project staff may not eligibility criteria correspond to develop the operational skills cumulative totals in Annex 8 needed to implement process- Section E oriented project design Implement reciprocal Reduction in unstainable Actions by local people to More than 75% of the reciprocal The project and financiers commitments comprising resource uses by local people, improve conservation and commitments comply with may be associated with and measuable actions to improve partial offsetting of negative investments that foster project guidelines (e.g. release blamed for negative trends conservation and associated economic and cultunl alternative livelihoods and of funds/inputs timing, use of and umnet needs that do not invesments that foster altemative inpacts of PAs on local resource uses (e.g., biomass PA resources, etc.) stem from the project resource uses and livelihoods people, and increased substitutions, biomass capacity of local people to generation and forestry, Percentage benefits going to The project may not be able sustainably meet basic needs ecotourism, agriculture tribals exceeds the percentage of to adequately handle the including watershed tribal members in EDCs different perspectives and management, small irnigation, Percentage of benefits going to agendas of biologists and of beefit goig to social scientists livestock, agro-processng and women exceeds 50% artisanry) Implement special programs in Increased forest protection JFM microplanning and Actual relocation based only on The project and financier joint forest management, and production in two PAs, forestry works, contracted plans that fully meet project may be associated with and voluntary relocation, and creation of a model to local NGOs, expert advisors, criteria and procedures blamed for negative trends discretionary funds for special respond to people's wishes workshops, materials, and and unmet needs that do not needs and to reduce population associated travel, transitional stem from project activities pressure through incentives, support funds, cultural and increased capacity of PA investments, and additional manages to respond to funding for village special site-specific needs ecodevelopment investments _ XD rtj Project Objective Expected Project Impact I Means of Impact Evaluation Proect Input |Implementation Indicsttor project Rish > Development Objective 3: Education & Awareness and Impact Monitortng and Research -- To develop more effective and extensive aupport for conservation and ecodevelopment Develop environmental education Expansion of public To be determined as part of Local NGOs, expert advisors, Strategies meet guidelines and For visitor management and H and awareness, improve visitor understanding, support, and Impact Monitoring and training, workshops, physical are completed on schedule. ecotourism, commercial or tO management, and develop incentives for conservation, Research Component -- see facilities, equipment, and other vested interests may ecotourism and reduced adverse impact SAR Annex 10 educational and other Number of people contacted undermine project efforts of visitor materials consistent with annual work (D plans and consistent with O C strategies I-t impact monitoring and research Provision of information Contracted institutions and Impact monitoring reports meet Project may not have access needed to assess project individuals, including local deadlines specified in agreed to adequate technical impacts and to improve people, facility improvements, strategy expertise, guidelines, policies and training worksops, transport Some project managers may strategies for PA and materials Sm rjcmngr a maaement mad village Number of research projects not be able to process and maaeorvnopent advlgemeet plans specified in research finalize contracts and ecodevelopment strategy administer fund flow efficiently and effectively N Development Objective 4: Overall Project Macment - To csure effective management of the project PA-level and national-level Integraition, timeliness, To be determined as part of Administrative, financial, Timeliness of work plans, Project may not be able to management dissemination, quality, Impact Monitoring and communication, technical, and progress reports, and flow of develop sufficient operational control, accountability, and Research Component - see review services from staff and funds complies with deadlines skills to implement process- adaptability by project SAR Annex 10 contracted experts including specified in Annex 15 oriented project design rnanagers. NGOs. Some project managers may not be able to process and fmnalize contracts, admiinister fund flow, and handle performance review .____________ .______ __________________ ._______ _._____________________________ efficiently and effectively Development Objective 5: Preparation of Future Biodiversity pr to i e future bio_ _ _ Project Plreparation Biod:versity proposals To be detemined as pan of Experts including NGOs, Proposal containing processes Some project manag s> eligible for GEF, IDA. and Impact Monitoring and studies, and workshops and contents outlined in SAR not be able to process a: other donor consideration Rescarch Component -- see Annex 12 as specified in annual finalize contracts and SAR Annex 10 work plans and completed by administer find flmo ______________________ _ . . end of PY5_ efficientlv and effectively jD Staff Appraisal Report 242 Annex 16 Semi-Annual Progress Report: Preliminary Draft Outline of Contents 1. Status of Performance Monitoring Indicators: Matrix (Table 6) presenting results for each PA and overall project. Tables 1-5 specifying implementation indicators and benchmarks for each PA and overall project would be included as attachments at end of progress report. 2. Project Impacts And Dynamics: Summary text describing impact monitoring findings, if any. 3. Problem solving. (a) What are the main constraints to implementation during the last six months? (b) What actions are required to address these constraints? Who would be responsible for these actions? (c) What constraints are anticipated during the next six months? (d) What preventive actions would address these constraints? Who would be responsible for these actions? (e) What are the results of the action recommendations from the previous progress report? 4. Stafing. (a) PA staffing: Number of senior and junior staff compared with staff plan (b) Wildlife wing staffing: Number of total staff throughout state in wildlife wing compared to pre-project (c) Comments on impact of project on the capacity for non project wildlife problems 5. Works And Goods Contracts And Physical Progress. (a) Local Shopping and Contract Awards (excluding village ecodevelopment investments and (b) Physical Progress by Contract Compared to Contract Timetable 6. Consultant (Including NGOs And Autonomous Agencies) Recruitment And Work Progress. For each contract indicating status of (a) Terms of Reference (b) Short lists or sole source justifications (c) Requests for proposals (d) Evaluation of proposal (e) Contract Signing (f) Consultant Activity Progress and (g) Consultant Reports Staff Appraisal Report 243 Annex 16 7. Project Costs and Inputs: Project Expenditures by Project Objective (compared with budget, in matrix format for each fiscal year consistent with format of cost tables in Annex 13) 8. Financial Management. (a) Status of Project Accounting Systems and Procedures (b) Government Budget Provision (c) Status of Fund Advances (d) Disbursement Claims (i) Expenditure (ii) Amount due for reimbursement (iii) Amount claimed (iv) Amount received (v) Balance outstanding (vi) Documented or SOEs and (e) Status of Financial Statements, Audits, and Expenditure/Procurement Review 9. Biodiversity Expenditures (a) Non Project Budget/Expenditures of State Wildlife Wing with notes explaining decreases in real terms, if any, from pre-project levels (b) Non Project Budgets/Expenditures of the overall MOEF plan budget affecting biodiversity with notes explaining any decreases in real terms, if any, from pre-project levels 10. Status of Project Legal Covenants (in standard Bank format) Staff Appraisal Report 244 Anne 16 Project Implementation Schedule Annex 16 ID Task Name 96 96 97 98 99 00 01 T 02 I Bank Processing _ _i 2 Yellow Cover /1 3 Invitation to Negotiate 7/16 7118 4 Negotiation 7/30 _ 6 Board Presentation 9111 ''111 B Grant/Credit Signing 1 7 Effectiveness 12/1 12131 - Completion X = . 12/31 12/31 9 Closing 7/1 7/ 10 Bank Supervision 11 PPF Review Mission 1 | 18 12 Supervision - Prior to Mid-term Review 13 First 2/21 14 Second 4j 4/24 16 Third th211 /21 111/10 16 Fourth 4116 61S 17 Fifth 10/1 10/21 18 Mid-term Review 2/6 19 Supervision - After Mid-term Review 26 Completion Review 10/31 27 PPF - Pre-effectivenes Activities 28 PPF EFC Clearance 11/2 ao 29 Completion of Pre-Negotiation Steps 0 7 6 30 National Level 37 PA Level 38 Project Start-up Planning - 2/ 6 12/31 39 Microplanning 12/31 40 Implementation of Reciprocal Agreements 12/31 41 Special programs 12/31 42 Project Activities - Post-Effectiveness 43 Improve PA Managemnent 44 Strengthen PA Managerent Plans India: Ecodevelopment Project Staff Appraisal Report 245 Annex 16 Project Implementation Schedule Annex 16 ID Task Narme 95 so 97 I 98 I 99 00 01 | 02 45 Initial Update 4S Ongoing Revision 12/ 47 Regional Planning and Regulation 48 Financial Sustainability Study 49 Protecting and Managing Ecosystems 50 Investments Prior to Updated PA Plans 51 Implementation of PA Management Plans 12/ 12/26 62 Village Ecodevelopment 53 Participatory Microplanning 111 6126 54 Implementating Reciprocal Agreements 1/1 12125 55 Special Fringe Area Programs 56 Additional Joint Forest Management 111 12126 67 Voluntary Relocation Planning 11 in i /29 58 Voluntary Relocation Implementation 12125 59 Env. Ed/Visitor Man. and Mon/Research 60 Environmental Education & Visitor Manage 61 Strategies 1/1 _ 62 Implementation of Strategies 10/1 12/25 63 Monitoring of Impacts and Status 64 Development of site-specific plan 1/1 66 Data Collection 7 12/25 66 Research 67 Site-specific Strategy 1 61 Studies and Implementation of Stratgy 7 12125 69 Project management 1/1 12/26 70 Prepardtion of Other Biodiversity Projects 71 Bbodiversity Information 11 12128 . . .~~~~122 72 Ex-situ Conservation 12128 73 Second Ecodevelopment Project 74 Development of Preparation Guidelines 1/1 * /6 75 Prepare specific proposals 6/4 76 GOI appraise submitted proposals 6 11/2 India: Ecodevelopment Project Staff Appraisal Report 246 Annex 16 Staff Appraisal Report 247 Annex 17 Annex 17: Environmental Analysis 1. The India Ecodevelopment Project is classified as a "B" category project according to the Bank's Operational Directive 4.01 (Environmental Assessment), because it is not likely to have major adverse environmental impacts. However, in order to ensure that project investments meet the objectives of protecting the environment, a preliminary environmental analysis was initiated during the project preparatory phase. 2. The purpose of the environmental analysis of the India Ecodevelopment Project is to: (a) Assess the potential environmental impact, if any, of activities proposed in the indicative plans, (b) Assess the degree to which environmental safeguards are incorporated into existing project designs and operations (c) Recommend appropriate measures for strengthening environmental management within the Project. The environmental analysis is confined to the discussion of the environmental and not the social aspects of the Project. (The Social Assessment is outlined in Annex 18). 3. The Indira Gandhi Conservation Monitoring Center (IGCMC) of the Worldwide Fund for Nature - India and the Wildlife Institute of India (WII) were responsible for studying project proposals and other relevant materials and providing a preliminary analysis of the environmental issues related to the project. Their analyses constitute an initial discussion of environmental impacts relevant to the project. They also provide a framework for incorporating site specific analysis on an ongoing basis during project implementation. This Annex summarizes the analyses. Project Activities 4. The activities supported under the India Ecodevelopment Project comprise: (a) Improved Protected Area Management (b) Village Ecodevelopment (c) Education, Impact Monitoring and Research (d) Overall Project Management (e) Preparation of Future Biodiversity Projects. 5. The analysis was confined to the broad range of activities falling under categories (a) and (b) above, because these are the field development activities. Category (c) was excluded because it represents a set of supportive activities (education, research, etc.) that does not have potential to cause direct environmental impacts. Category (d) involves staffing and temporary office facilities for the duration of the project. Proposed activities under category (e) are still to be defined and are not to be implemented under the current project. An environmental analysis of the project concepts would be done during their design. Staff Appraisal Report 248 Annex 17 Potential Environmental Impact 6. The preliminary environmental analysis included examination of the potential effects of a wide range of activities on the environment, the safeguards or mitigation measures provided under existing operational procedures, and the existing capability for sound implementation (see Tables I and 2). Preliminary analysis indicates that project activities would produce beneficial environmental impacts, by improving productivity of forest and non-forest resources and reducing existing pressures on protected area resources. Most of the proposed project activities identified in the indicative plans are small-scale and localized. The potential of these activities for adverse impact is therefore, limited in scope and significance. Most activities are also expected to be labor-intensive and involve little mechanization and construction work. 7. The initial environmental analyses confirms that the specifics of project activities would conform to environmental protection objectives. However, it also includes preliminary recommendations for improving environmental considerations in the design and operations, and for improving skills and training to implement them, where these are inadequate. Protected Area Management 8. In this component a range of management and protection activities will evolve from a participatory PA planning process. The type of technologies generally applied in PAs, the likely scale of operations, and local environmental conditions make it unlikely that the potential for impact will be significant in scope It should be easily manageable within current operational procedures and guidelines. Nevertheless,, management investments will be monitored by further site-specific reviews to ensure that threats to biodiversity and environmental conditions do not develop later. The PA management investments can be grouped into the following categories: (a) Eradication of weeds and assisted regeneration of native species (b) Small soil and water conservation works, including check and stop dams, bunds, ponds, desilting, gully plugging, etc. (c) Construction of communication towers, fire lines and watch towers, improvements of existing roads, sign boards, boundary markers, etc. (d) Animal control structures, such as electric fences and stone walls;small- scale administrative, staff and research buildings (e) Small solid waste disposal infrastructure works Village Ecodevelopment 9. In this component the scope and nature of a range of development activities, would be determined and implemented by local conmmunities on a village by village basis according to local environmental conditions and needs. Using participatory rural appraisal surveys in sample communities in and around the PAs, the project preparation teams have identified an indicative list of possible ecodevelopment investments. These investments can be grouped into the following categories: (a) Construction of crop protection structures such as stone walls, trenches, and energized fences Staff Appraisal Report 249 Annex 17 (b) Establishment of fuelwood, fodder, and agroforestry plantations (c) Construction of village-level irrigation facilities, most probably tube wells, stop dams, and micro-irrigation schemes (d) Promotion of small scale crop and agricultural development activities such as sericulture, mushroom, and sisal cultivation (e) Development of small scale farm- and non-farm-based alternative income generation operations such as poultry rearing, bee keeping, lac production, handicrafts, tailoring (f) Promotion of improved energy saving devices such as biogas plants, solar cookers, and improved chulas. 10. These investment ideas will require monitoring in site-specific review to judge whether they meet eligibility criteria. Not all investments would necessarily be adopted; others may be identified during more detailed planning. 11 All ecodevelopment activities established under the project would go through a rigorous process of participatory microplanning at the local level to ensure that proposed activities are consistent with the environmental and social objectives of the project. PA staff and local NGOs would meet, as appropriately trained support teams, with the targeted communities to help them develop their plans in detail. The teams would also conduct feasibility analyses for social and environmental soundness of proposed ecodevelopment investments and ascertain whether the proposed investments would meet the eligibility criteria. Only activities meeting all of the above criteria would be financed under the project. Annex 8 explains the eligibility criteria and microplanning process. Future Action Proposed 12. As a follow-up to the preliminary work of the Wildlife Institute of India (WII), and Worldwide Fund for Nature - India (WWF), a contracted national-level organization would review plans for initial improvements in PA management and initial microplans, and develop further guidelines as needed to address specific issues. Thereafter, PA ecologists would carry out site-specific environmental analysis of selected project interventions. Only activities that are environmentally sound according to the above analysis would be eligible for financing under the project. The PA performance review and the national level review teams would monitor compliance with this environmental eligibility criteria. Staff Appraisal Report 250 Annex 17 Table 1: Protected Area Management: Indicative Activities and Their Probable Environmental Effects Activities Size and Scope Environmental Safeguards & Mitigation Effects Ecorestoration of Works generally of small-scale Limited soil Areas for restoration are usually degraded involving only a few hectares at disturbance and highly degraded. Activity small habitats. each site. Would consist of exposure of soil and widely dispersed. Vegetative uprooting noxious weeds, for short periods. soil conservation works applied. surface ploughing and seeding No use of agro-chemicals and of variety of local vegetation. pesticides applied within the PAs. No introduction of exotic Very limited adverse species. environmental impact potential. Works will improve wildlife habitat and diversify the availability of wildlife feeding points. Soil and water Usually small-scale soil Some disturbance Basic designs specified in forest conservation conservation and water- to streamflows, department documents and works. harvesting structures to improve accelerated stream construction sound. All conditions for natural bank erosion and construction done by hand during regeneration of food and fodder disruption of dry season, thus limiting species and provide water surface runoff construction related environmental supply for wildlife. The water patterns. impacts. Embankments stabilized harvesting structures would be by vegetative measures. Impacts augmented by de-silting of anticipated to be limited and natural streambed hollows and manageable. construction or restoration of stop dams, ponds, bunds, etc. These structures will increase and diversify the availability of wildlife watering points and improve the security of water and food supplies. The soil conservation structures would include gully plugs, gabions, stone walls and other small- scale structures. Construction of Works generally small-scale Some soil Location of structures and access sign boards, fire and dispersed. Sign boards and disturbance should be based on biological and watch towers and boundary markers located in during transport environmental considerations. communication periphery of PAs. and construction. Most activities are small-scale and towers, sign Occupation of fire would be completed in dry season boards, boundary watch towers will reducing potential for soil erosion. markers. be confined to watch towers should be located in limited periods of manner to minimize disturbance to the year. habitats and wildlife. Improved communication and fire control will have a positive impact on PAs. Staff Appraisal Report 251 Annex 17 Activities Size and Scope Environmental Safeguards & Mitigation Effects Road Usually 10 feet wide, unpaved, Soil erosion and Basic design is sound. Some improvements. constructed at grade: road drainage periodic waterlogging of road rehabilitation, mainly confined impairment if surface may occur, but this is a to repair of table drains and design does not minor problem. Collection of soil stream crossings. No new road incorporate good from forest should be avoided. No construction. Existing design construction serious impact anticipated. available with forest paramcters. departments provides for drains Temporary on both sides and dry stone disturbance steam crossing. Staff capacity is during period of adequate. maintenance work due to influx of laborers. Animal control Would include electric fences, Would involve Location of structures should be structures. stone walls, trenches, etc. to some clearing of based on careful scientific study control animals in particular vegetation along and research. Electric fencing elephants from straying into the transect line. should be given preference over habitations and fields. However, most trenching. structures will be constructed along the perimeters of the PA. May involve disruption of wildlife movements to surrounding forests if not _______________ __ properly planned. Construction of Would include small buildings Some vegetation Location of structures to be staff, for guards and rangers, limited clearance and soil carefully planned to minimize administrative research and administrative disturbance impacts on critical habitats and and research facilities and few small field during avoidance of disruption of buildings. research stations. Most construction. migratory routes. However, most buildings would be located Buildings will structures are small-scale and individually and dispersed. require creation of would be completed in dry season Administrative and research access. reducing potential for soil erosion. buildings will be located outside Occupation levels at these or in the periphery of the PAs. buildings would generally be low reducing levels of disturbance to wildlife. Area around facilities will be revegetated. Acceptable building plans exists with the forest departments. Staff Appraisal Report 252 Annex 17 Activities Size and Scope Environmental Safeguards & Mitigation Effects Solid waste Would likely include latrines, Would have a Solid waste disposal systems disposal works. garbage collection structures positive impact in should be suitably located. Care and use of tractors to transport reducing health should be taken in the collection, garbage to outside locations. hazards and transport and disposal of wastes to These would be largely located controlling the avoid further degradation of the in areas presently utilized by spread of environment. pilgrims, e.g. Sabarimala hazardous temple in Periyar and in materials. Ranthambhore. Garbage dumps could attract animals if not appropriately I located. Table 2: Village Ecodevelopment: Indicative Activities and Their Probable Environmental Effects Acthities Size and Scope Environmental Effects Safeguards & Mitigation Crop protection Construction of stone These structures can Needs to be designed and located structures. walls, trenches, energized inhibit wildlife after taking into consideration fences, etc. Usually movements between the wildlife migratory needs. constructed along the PA and habitats outside, if Structures need regular edges between the forest not properly planned and maintenance. Local people must be and villages to keep located. Trenches can involved in planning and wildlife animals away induce erosion unless maintenance of these structures. from crops and regularly maintained. settlements. Energized fences need regular maintenance. May sometimes cause resentment by the local people if they prevent domestic livestock from entering the PA. Staff Appraisal Report 253 Annex 17 Activities Size and Scope Environmental Effects Safetuards & Mitigation Fuclwood, fodder, Small-scale village Positive impact on the Most of these plantations would be agroforestry based plots located PA by reducing current established through joint forest plantations and outside PA boundaries dependencies and approaches involving multipurpose joint forest to provide fodder, fuel improving environmental species on degraded land. No management and other products to conditions by increasing serious environmental issues programs. relieve current vegetation cover on anticipated. dependencies on PA degraded lands. Possible resources. Most of this reduction of biodiversity biomass would be in areas to be planted up raised on already under monoculture degraded land or regimes. through improved protection of degraded forest lands. Monocultures would be avoided and multipurpose local species promoted. Construction of Specific investments Disturbance of Structures are built to a standard water harvesting include tube wells, streamflows, accelerated design. In most cases, may only and irrigation hand pumps and stop steam bank erosion, involve de-silting or bund structures and dams. Micro- disruption of surface renovations, desilting of canals, etc. systems. irrigation schemes runoff patterns. Most are minor-scale works with may also be minimal environmental constructed or consequences. Although, very rehabilitated. Most unlikely to be part of the project, if work would be done large scale works are proposed they by hand or light would be preceded by an equipment in the dry environmental assessment. season to minimize soil loss and erosion. Bunds would be usually vegetated. Irrigation canals would be shallow, small & con-structed I to low gradient. I Staff Appraisal Report 254 Annex 17 Activities Size and Scope Environmental Effects Safeguards & Mitigation Small scale crop Improved extension, Possible increase of The principal agricultural input and agricultural planting stock, fertilizer and chemical would be cow dung. Subsistence development agronomic practices, usage. Pesticide residues farmers presently are, and in the activities. diversification, credit in environment; and future will probably continue to be, and marketing to occupational and health unable to finance purchase of improve productivity problems. Localized artificial fertilizers. The intensity of existing small eutropication of surface of development would be so low subsistence farmer waters. (limited to merely deflecting fields. Little or no existing dependencies on PA expansion of crop resources) that any residues flowing lands has been into the environment would be proposed. small in relation to assimilative capacity and unlikely to register significant adverse impacts. Conversely, the use of increased inputs would generally be desirable in the wider context since it would increase local incomes and reduce pressures on the PA resources. Small scale farm Most activities small- Possible introduction of Most activities are small-scale; and and non-farm based scale, implemented at exotic species, conversion introduced in a highly diversified alternative income the household level, of natural habitats, production set-up, thereby reducing generating and with low external diseases, etc. opportunity for concentration of any activities. inputs. Possible adverse impacts. The proposed activities include bee- programs have potential for keeping, mushroom improving incomes of the local cultivation, people and deflecting pressures on sericulture, lac the forest and environment. production, handicrafts, tailoring, weaving, improved livestock, ecotourism, etc. Biomass Promotion of Positive impacts on the Encouraging less use of forest substitution through improved household environment. resources. energy saving stoves, biogas plants, devices. solar cookers, etc. Staff Appraisal Report 255 Annex 18 Annex 18: Social Assessment Introduction 1. Importance of Interactions. The sustainability of biodiversity conservation in protected areas (PAs) depends above all on the nature of human interactions with PA resources. The design of the Ecodevelopment Project is based on this understanding. The establishment of PAs significantly affects a variety of human population groups; these groups in turn have a significant impact on the PA. Project investments designed to minimize the negative and strengthen positive results of these mutual effects are based on their nature and extent. The innovative participatory approach taken by the project would enable each of these investments to be designed and negotiated by each community backed up by PA authorities addressing specific site and population needs. 2. Sources of Analysis. Each state provided analyses of the social impacts anticipated for their ecodevelopment program and of the strategy they plan to adopt to ensure that vulnerable groups will be full participants in decision-making and benefits under the project. In addition, independent consultants are conducting more detailed social assessments. This document provides a framework for incorporating these state analyses based on data provided during project preparation and appraisal. It starts from an identification of the major stakeholder groups involved, and among these stakeholders, the tribals, women, and poor who are most socially vulnerable. Next, a summary analysis of stakeholder interaction with the PA demonstrates priority areas for project investment on the basis of greatest interaction between land and people, paying special attention to vulnerable groups. The assessment of potential investments that follows is related to the project's objectives for improving the effects of interactions between PAs and people, as outlined in the Indicative Plan. An overview of likely impacts on tribals, poor, and women is presented together with indicative project strategies for addressing these concerns. Finally, other key social issues in determining project success are identified and discussed. Stakeholders in Project Sites 3. Variety. The multiple uses of PA resources and the long history of human habitation in forest areas are reflected in the variety and numbers of stakeholders found in the project sites, and typically in most PAs throughout India (see Table 1). Stakeholders can be found in the form of human settlements within the PA boundaries, government agencies operating in and around the PA, private enterprises using PA resources, local villagers in the periphery of PAs, and tourists and pilgrims visiting the PAs. 4. Settlements. There is a long history of habitation within PA boundaries although some stakeholders whose traditional livelihoods are highly dependent on access to forest resources, have been led by curtailed access to pursue employment outside the PA. Nevertheless, some tribal groups collecting NTFP and graziers such as the Maldharis in Gir remain. Similar long histories of habitation are also found with revenue villages, often comprised of cultivators residing in enclaves that have been legally excluded from national park and sanctuary boundaries (e.g., Palamau). Equally well established in PAs are cultural sites and their support staff who serve large numbers of pilgrims (e.g., Gir and Periyar). Staff Appraisal Report 256 Annex 18 More recent settlements, mainly within this century, are forest villages found in two of the seven sites. Forest villages were created to provide a supply of labor for commercial forest management, but such job opportunities have also declined with the designation of forest areas as PAs. 5. Forest Department. The key government stakeholder continues to be the Forest Department with the Wildlife division primarily responsible for PAs, and the Territorial division operating in much of the periphery. Other government agencies are also important and powerful stakeholders in PAs with interests in mining, hydropower generation, irrigation, fisheries, roads, and tourism. Within this set of interests, agencies concerned with water resources are the most common across PAs. 6. Commercial Interests. Private and public commercial interests are also stakeholders. For example, a monoculture plantation has been established for paper production in Periyar Sanctuary. In the periphery of some PAs, large-scale commercial cash crop enterprises place demands on natural resources for both processing and its labor force (Buxa and Nagarhole), but can provide income sources for PA residents (Periyar and Nagarhole). The ability of government agencies and private interests to act on their commercial interests comes not only from power vested by the state, but also from the support of peripheral PA populations wanting irrigation, transport, employment, etc. and the Wildlife Act (1972), which permits certain extractive processes in sanctuaries. 7. Periphery. Stakeholders on the periphery of PAs, although generally less dependent on PA resources, still derive substantial income from PAs, which also serve as important reserves of resources in times of scarcity. For many peripheral villages, PAs are important sources of grazing, fodder, and fuelwood. These populations also derive significant supplemental income from the collection and sale of NTFP, employment in commercial forestry operations, and small-scale industries such as furniture production and fisheries. However, with the designation of PAs, access to these resources and opportunities is decreasing, resulting in illegal use of PA resources and encroachment. Transitory stakeholders within PAs include migratory pastoralists found in Ranthambhore. 8. Tourists and pilgrims. Although the most transitory of the stakeholders, tourists and pilgrims nonetheless, constitute a large influential group in PAs, with services provided by more permanent stakeholders such as state tourism departments, private hotels, and temple complexes. In all the sites the majority of tourists are Indians. The large numbers of pilgrims reflect the importance of PAs as sites of cultural and religious significance. 9. Researchers. Most of the sites have been or continue to be the subject of various types of research by individuals and groups belonging to both NGOs and government. This group of stakeholders has been characterized by varying degrees of success in influencing policy. The variability is in part a function of the low priority given to wildlife research in the forest departments and the even lower emphasis on socioeconomic topics. Social and economic issues have, however, generated another important group of stakeholders. These are primarily national and local NGOs, with opportunities to initiate activities in and around PAs, and influence PA policies toward participation in management and the welfare of indigenous tribal groups. Table 1: Project Stakeholders by Protected Area _ Stakeholders BUXa GIR NAGarhole PALamau | PE'Tch PERiyar RANthamb Inside PA X People in Forcst 15,600 4,500 7,110 630 3,900 Settlements o 0 Grazier Settlements 2,600 1210 Revenue Enclaves 39,000 12,000 Temple complexes present present present Forest Department preset prsA present present present present Other Govt. Agencies & Ming PWD, Tourism North Koel Fisheries, HEP Tourism, Pulp, Industl Irrigafion - PWD, Elect. HEP I Irrigation _ _n x co En Table I continued - Project Stakeholders by Protected Area Stakeholders BUXa GIR | NAGarhole PALamau PENch PERiyar RANthamb. D Outside PA _ Peripheral Revenue Villages 20,400 65,000 63,000 36,000 36,000 58,000 60,000 Migratory Graziers present 0 Commercial & Industrial Tea Estates, Tea Estates Fisheries rs Wood, NTFP Water Use Agencies Irrigation Irrigation Hydro/irrig. Irrigation Visitors - Tourists present present present present present present resent Visitors - Pilgrims present present present present Smugglers/Poachers present present present present present Ritual Hunters NGOs present present present present present Researchers _present present present present xD OD Staff Appraisal Report 259 Annex 18 Tribals, Women, and Marginalized Groups 10. Population. All seven project sites have populations of Scheduled Tribes and Castes (see Table 2). The accuracy of data on the distribution of these groups is highly variable, reflecting the variety of sources. Available data suggests that approximately 55 percent of the project population in seven sites belongs to Scheduled Castes and Scheduled Tribes. In five of the sites (Buxa, Palamau, Pench, Periyar and Ranthambhore) almost half or over half the project population belong to Scheduled Castes and Tribe. In all sites, except Gir, the percentage of Scheduled Tribes in the project populations is greater than that found across the respective states. This in part reflects the many tribes basing their livelihoods on forest ecosystems. 11. Tribals. A variety of tribal groups reside in and around the project sites; at least 32 Scheduled Tribes have been identified (Table 3). Although they pursue a range of livelihood strategies, tribals in general have cultural, social, and economic systems closely linked to their environments (often forest areas), and consequently have accumulated extensive indigenous knowledge about ecosystems. Unfortunately, within PAs, tribals have received little attention, and there is limited ethnographic information on their history and cultural links with natural environments. 12. PA Residents. Where there is habitation within PA boundaries, the population generally belongs to scheduled tribes. Many of these PA residents have traditionally been forest-dwellers highly dependent on forest resources. In Nagarhole, for example, the tribal groups of Jenu-Kurbas (honey-gatherers), Betta-Kurbas, Hakki-Pikki (bird-trappers) and Yeravas (swamp and paddy cultivators), have a long history of livelihoods based on NTFP collection, hunting, and forest cultivation. Tribals with similar histories are found in Periyar (Mannans and Paliyans). In central India, forest villages are typically inhabited by tribals who have provided labor to forest departments, intercropped forest plantations and collected NTFP and cultivating the land by inter-cropping. With the designation of forest areas as PAs, access to forest resources and the demand for labor have dramatically decreased. Tribals are therefore becoming integrated, with varying degrees of success, into the larger commercial economy as they pursue supplemental and alternate incomes. Some, such as the Mannans in Periyar, have had problems of seasonal poverty because of their inability to manage large influxes of income from the periodic sale of cash crops. There are a number of state and central government schemes to support tribal development including departments of tribal welfare and the Jawahar Rojagar Yogana (JRY). 13. Scheduled Castes. Another key group of vulnerable stakeholders in project sites includes scheduled castes and poor people with limited ability to generate income. It is difficult to generalize about states of poverty among scheduled castes, since there is considerable variation in access to and ownership of resources. Some castes pursue particular livelihoods such as blacksmith, tailor that can provide more than a subsistence income. However, as a group they are socially marginalized, which limits their ability to improve livelihoods without the benefit of the variety of government programs specifically developed to support them. The category of poor people would typically include, in addition to scheduled castes, the landless, sharecroppers, and marginal cultivators for whom wage labor is an important source of income. Daily wages and benefits vary Staff Appraisal Report 260 Annex 18 considerably across the states; the highest was found in Kerala (over Rs 50), while in Madhya Pradesh daily rates were Rs 10-12. Again a variety of government programs exists to assist these groups; The programs are usually coordinated through local district rural development agencies (DRDA). 14. Women. As a group women are, perhaps, the most marginalized and vulnerable of stakeholders in the project sites, particularly those of the scheduled tribes and castes. Women are, for the most part, primary collectors of fuelwood, fodder, and NTFP for both subsistence and supplemental income but are marginal participants in decisions governing the management of these resources. They are significant contributors to the household economy through agricultural wages and off-farm labor particularly in areas where male labor has moved out. Generally, women have less access to education than men, which limits their ability to participate in alternate income generation initiatives. Cultural restrictions, especially in Gir and Ranthambhore in the north and west of the country, further impede full and active participation by women in local economies and civic institutions. Table 2: Distribution of Scheduled Tribes and Castes in Project Areas BUX GIR NAIA PEN IPER IRAN ITotal Scheduled Tribes and Indienous Pastoraullst |Population 15700 2,800 1,0 55,600 23,000 15,500 36,500 166,600 Percentage of 44% 4% 25% 74% 48% 25% 57% 39%) project participalnts % ST in State 7% 19% 3% 9% 28% 1% 15% pop. I I l l_l Scheduled Castes = Population 13,000 7,sooT 70001lO00I 4 000 lS,500 8,300 66,300 Percenitage of 36% 10% - 10% 15% 8% 25% 13% 13% project participants _ _ % SC in State 26% 7% 270/ 15% 15% 11% 18% pop. I I I Scheduled Tribes, Indigenous Pasralists and Scheduled Castes Total ST and 28,700 10,300 24,500 66,600 27,000 31,000 44,800 232,900 SC pop. % of project 79% 14% 35% 89% 54% 50% 70% 55% participants Source: GOI & State Preparation Documents from 1981 & 1991 Census. All figures are estimates. 2 Includes 14,000 indigenous pastoralists in Ranthambhore who are not Scheduled Tribes. Staff Appraisal Report 261 Annex 18 Table 3: Distribution of Tribal Groups across Project Sites Site Tribal Livelihood Strategies Settlement Type Number Number Group inside outside PA PA Buxa Mech Inside PA- Cultivation, forestry Inside PA - Forest Villages, 1,240 works, cattle rearing Fixed demand Holdings Outside PA- Cultivation, cattle Outside PA -Revenue 4,350 rearing Villages Rava Inside PA- Cultivation, forestry 2,620 works, cattle-rearing, NTFP collection, fishing Outside PA- Cultivation, cattle- 2,250 rearing, weaving Garo Inside PA- Cultivation, forestry 280 works, cattle-rearing Outside PA- Cultivation, cattle- 450 rearing, cane & bamboo handicrafts Santal Inside PA- Cultivation, cattle- 450 rearing, forestry works Outside PA- Cultivation, cattle- 1,350 rearing Oraon Inside PA- cultivation, cattle- 680 rearing, forestry works, NTFP collection Outside PA- Cultivation, cattle- 900 rearing Bhutia Inside PA- Cultivation, forestry 1,110 works, orange orchards, cattle- rearing, pig-rearing TOTAL 6,380 9,300 Gir Siddis Inside PA- Cultivation, forestry Forest Village 240 none Maldharis works Inside PA - Cattle rearing, Settlements with grazing 2,540 none cultivation rights Outside PA - Cattle-rearing, Revenue settlements cultivation TOTAL 2,780 Nagar- Jenu Inside PA - Wage labor, NTFP Inside PA - Tribal hole Kurba, collection, cultivation, forestry settlements Betta works Kurba, Hakki- Pikki, Yeravas TOTAL 7,000 10,500 Staff Appraisal Report 262 Annex 18 Site Tribal Livelihood Strategies Settlement Type Number Number Group inside outside PA PA Palamau Oraon, Inside PA- Cultivation, forestry Inside PA- Forest Villages 630 Munda, works, migratory labor, sale of (in intended NP), Revenue Kherwar, firewood enclaves Chero Outside PA-Cultivation, wage Outside PA- Revenue 27,500 24.700 labor villages Korwa, Occupations as above As above 1,480 1,300 Kisan, Lahar, Asur, Birjia, Birhor, Parahiya ._______ TOTAL 29,600 26,000 Pench Gond Inside and Outside PA - Revenue villages 6,000 23,000 Cultivation, cattle-rearing, wage .________ labor, forestry works Periyar Mannan Inside PA - Fishing, cultivation, Inside PA - Tribal 806 NTFP collection, wage labor settlements Palliyan Inside PA - Firewood collection, Outside PA - 379 NTFP collection, cultivation Urali Inside PA - Cash crops, 174 cultivation, firewood collection, wage labor Mala Inside PA - Cash crops, 620 Arayan cultivation, NTFP collection Outside PA - Cultivation, cash Malaipan crops -daram Inside PA - NTFP collection 37 Outside PA - NTFP collection TOTAL 2,016 13,500 Ran- Meena Outside PA - Cultivation Outside PA - Revenue 22,500 tham- Villages bhore Inside/Outside PA - pastoralism, 1,000 13,000 some agriculture ______________TOTAL 1,000 35,500 TOTAL 54,777 117,823 Staff Appraisal Report 263 Annex 18 People - Protected Area Interactions 15. Stakeholder Use of PAs. The major types of interaction between people and parks are identified by PA in Table 4. The first seven interactions deal with stakeholder use of PA resources for grazing, energy, income, cultural, pharmaceutical, food, and cultural purposes. These uses can seriously affect biodiversity conservation; they can reduce food and habitat for wild fauna, reduce plant regeneration, disturb the dynamics of ecosystems, and cause the loss of critical species through over-harvesting, through the introduction of exotic species, and through excess human waste. However, relatively benign and even positive interactions can also exist when the level of resource use is low or well managed; selective grazing, grass cutting, fuelwood harvesting or fires can maintain habitat for herbivores and species requiring open canopy, bushy, or disturbed conditions. 16. Wildlife Damage. The last three areas of interaction identified on Table 4 concern wildlife damage to cultivated crops, domestic livestock, and human life and limb---the impact of the PA's resources on people. People ,in and around most PAs,, are providing wildlife with as much as 35 percent of their food from private plant and animal resources. In Gir National Park, approximately that amount of the Asiatic lion's food has been documented as consisting of domestic cattle. Elsewhere, many villagers complain of a similar percentage of their crop lost to wild herbivores, wild boar, monkeys, porcupines, and other wildlife. An estimated 100 people a year are killed by tiger, elephant, and lion in the project's seven sites, and many more are severely injured. Livestock loss and human injury is partially compensated, but crop loss is generally uncompensated. The most common complaint about PAs is: "You don't allow us to graze our animals on your land, but you allow your animals to eat our fields and livestock." 17. Cultural Resources. PA - people interactions also include cultural resources established within park and sanctuary boundaries. Major temples in some sites are revered and visited by people throughout the nation; smaller temples have regional importance, and small shrines and sacred sites are important to the cultural heritage of local residents. In addition, many tribal communities have retained strong cultural ties to forest-dwelling and the access to specific plants and animals for ritual and social purposes. Appreciation of natural heritage is also assuming increasing cultural importance for domestic and international visitors. Along with the increasing need to manage environmental impacts from these visitors and pilgrims there is also the potential for increasing local financial benefits from their activities (see Working Paper on Ecotourism listed with other working papers in Annex 22). 18. Intensity. As shown in Table 4, the intensity of interaction differs considerably between project sites. Wildlife crop depredation, grazing, and fuelwood collection are the areas of greatest mutual impact throughout all project areas, with some significant exceptions. Among the project sites, Ranthambhore appears to have the greatest intensity of interaction across many different fronts, followed by Gir and Periyar. With over 30 million pilgrims and 250,000 tourists, Periyar is also the site of greatest visitor impact. Staff Appraisal Report 264 Annex 18 19. Prevention of Stakeholder Uses. The establishment of PAs and prevention of traditional stakeholder use can have significant negative impacts on different PA resource users. Those traditionally highly dependent on the resources of the PA for their livelihood have had their previous economic strategies severely disrupted by the new restrictions. As shown in Table 5, these impacts are most significant for current PA residents, particularly the mostly tribal populations without cultivable resources; but are also significant for revenue village dwellers and migrant graziers on the periphery. Landless households and women who depend on PA resources for both subsistence and income supplements are the peripheral residents most affected by PA restrictions. During the project period, the most affected groups within the PAs are more likely to opt for voluntary relocation. 20. Decrease in Employment. In addition to reducing access to resources establishment of the PA has often cut down employment in forestry operations that have been curtailed or stopped. The impact of this reduction is most severe for forest settlements that were established by the Forest Department precisely to provide accessible labor for forestry operations, and for tribal settlements previously relocated within the PA. 21. Quality of Interactions. The quality of interaction between the PA authorities who regulate resource use and the various stakeholders with interests in the resource is an important element in the people-park relationship and a critical variable in project success. As agents of continuing restrictions on resource use, the PA authorities have generally had antagonistic relationships with most stakeholding groups. Changing the quality of this interaction is an important project objective. Staff Appraisal Report 265 Annex 18 Table 4: Interactions by Project Area With Estimated Intensity of Interaction Interaction BUX GIR NAG PAL PEN PER RAN Grazing/lopping livestock use Fuelwood collection & * I * _ sale _ _ _ _ _ _ _ __ _ _ _ Poaching/Timber . Smuggling Visitor use & environ- * . _ _ mental impacts . NTFP use & collection _ * * * U j Industrial land f I I _ or water use Cultural use & ritual .. _ hunting Reduction in forestry employment Wildlife crop depredation Wildlife livestock dam age__ _ _ __ _ _ __ _ _ __ _ ___ _ _ Human injury & - death Bux = Buxa = very low, occasional Gir = Gir Nag = Nagarhole = low, infrequent Pal = Palamau Pen = Pench = medium, fairly frequent Per = Periyar Ran = Ranthambhore = high, frequent = very high, very frequent Table 5: Interactions by Stakeholder Group - Stakeholders Graz- Fuel- Poach Visitor NTFP Indus- | Cul- | Labor Crop Cows Life -D ing wood Smugi | | | trial tural |_ |_loss loss loss Inside PA _ _ _ Forest Settlements - _I U mixed use CD Grazier Settlements n || o Revenue Enclaves _ I P i * P * Temple complexes A P- Forest Department jot - U _ Other Govt. Agencies & Industrial Outside PA _ Landless, non-grazing _ | _ collectors/laborers _ _ ____1 _ 1__ Other People from m U I Peripheral Revenue Villages Migratory Graziers . i J U I_IT*___ Commercial & Industrial _ P_____ I i ______ Water Use Agencies __ * | _ |_ |__ Visitors - Tourists _____ P _ _ * U * Visitors - Pilgrims _ __|_|__ - * Smugglers/Poachers ... | j |__*____ Ritual Hunters _ _ _ _ __ |_ _ __ ______ NGOs _ __|_*_ ______ Researchers Key: x = very low, occasional = low, infrequent 00 * = medium, fairly frequent - = high, frequent = very high, very frequent Staff Appraisal Report 267 Annex 18 Investment Assessment 22. Indicative Investments. The specific village ecodevelopment investments cannot be determined ahead of the ongoing microplanning process in which local communities and PA authorities arrive at agreed annual investment programs. However, on the basis of some participatory rural appraisal (PRA) planning) for each site the indicative planning process has identified the most likely investments to be selected. In Table 6, proposed indicative investments have been categorized according to the type and objectives of mutual interaction they are designed to address. 23. Incentives. The specific objectives are to decrease threats to the PA's biodiversity by providing incentives for alternative behaviors. These incentives include a combination of the following: (a) Direct substitutes for particular PA resources (b) Alternative sources of income for a particular PA resource use (c) Village projects and conservation education to increased understanding and cooperation in biodiversity conservation by generating good will. 24. Each of these sets of proposed investments is related to the goal of conserving biodiversity; but the direct linkage -- especially for (b) and (c)-- will depend on specific agreements on behavior change negotiated during the microplanning process (see Annex 8). 25. Social Impacts. The large menu of indicative investments will have varying degrees of linkage to biodiversity conservation, so the specific social impacts, especially on vulnerable groups, will vary widely by investment and the manner in which it is implemented (see below). Each proposed investment has an accompanying set of issues that will undergo site and community-specific feasibility analysis during the microplanning process (see Annex 8). Table 6, notes some observations on these issues under the heading of "Feasibility Comments". In general, joint forest and PA management are likely to provide the most direct linkage and most positive social impact if carried out through the participatory approach now being developed elsewhere in India. Soil and water conservation structures, unless sought by communities for direct benefits, seldom attract community interest, and thus may not provide strong motivation for behavior change. Alternative income sources, if directly linked to conservation through village agreements and targeted to resource users, can provide long-term solutions to overuse of PA resources. However, many of these income-generating projects require technical expertise and supporting investments with which forest departments have little experience and that are unlikely to be available from existing sources 26. Issues. A wide variety of technical and social issues is associated with each of the possible investments. The project thus embodies a leaming process for all key actors: the forest department, the village communities, and the supporting NGOs. The GOI and NGOs involved on a country-wide basis will promote opportunities for PAs to share knowledge; thus providing for continuous monitoring and helping PAs avoid repeating each others' mistakes. Staff Appraisal Report 268 Annex 18 Table 6: Proposed Indicative Investments Interaction & Objectives Indicative Investments Feasibility Comments Grazing/lopping livestock use -- tree & fodder plantations FD plantations high cost option -- reduce uncontrolled grazing -- pasture regeneration with unproven sustainability. High . . . ~~~~~~~~~~~~~~~potential for PA grass cutting -- provide non-PA fodder sources --joint-forest management argents. Cattle arrangements. Cattle -- promote stall feeding of -- grass & fodder tree nurseries improvement/stall feeding proven improved cattle -- cattle breed improvement strategy, but often available from -- livestock water provision DRD funds. Fuelwood collection & sale -- tree plantations Joint forest management & natural -- reduce uncontrolled collection -- forest regeneration regeneration provide greatest -- provide non-PA fuelwood -- joint forest management efficiency & impact compared to -. poiennPfuwod-onfoetmnFD plantations. Energy sources -- tree nurseries conservation technologies often -- introduce energy conservation -- provide solar cookers, improved available from DRD funds. -- provide alternative income stoves, biogas plants, windmills, crematoria Poaching/Timber Smuggling -- anti-poaching squads Combination of improved PA -- stop/reduce poaching -- community protection enforcement & greater community . . . ~~~~~~~~~~~~cooperation promising if genuine -- stop/reduce timber smuggling -- better roads, vehicles & ..paration mobiized. -- stop illegal drug cultivation communications -- better PA-people relations -- village support (see below) Visitor use & environmental -- waste management Comprehensive, participatory impacts -- visitor infrastructure ecotourism strategies essential -- manage environmental impacts -- conservation education prerequisite for implementing of visitors environmental management & -- increaselocalrevenue-- control thoroughfare use sustainable local revenue -- increase local revenue generation -- ecotourism management generation. strategies & policies (potential -- -- increase public support not currently in plan) -- reduce wildlife disturbance NTFP use & collection -- cultivate selected NTFP outside Need for studies to identify -- reduce unsustainable collection PA feasibility of NTFP cultivation as -- cultivate non-PA sources -- research sustainability of well as potential for continuing provide alternative incomes selected NTFP use some existing collection. -- income generation (see below) Industrial land or water use -- phase out current leases where Problematic issues in Periyar (pulp (bamboo, timber, pulp, dolomite, possible through negotiation plantation), Nagarhole (teak quarrying, dams) -- stop further development plantation), Palamau (Kutku dam) need policy level attention. -- reduce current use levels -- manage continuing uses Cultural use & ritual hunting -- dialogue with temple Considerable potential for seeking -- manage cultural uses complexes and tribals participatory solutions which voluntary cessation of hunting conserve cultural heritage of both temples & tribals. Staff Appraisal Report 269 Annex 18 Table 6: Continued Interaction & Objectives Indicative Investments Feasibility Comments Reduction in forestry employment -- income generation: duckery, Most proposed income generation piggery, ironsmithy, poultry, already available from other -- develop alternative incomes apiculture, fish, mushroom, agencies to limited extent. -- target existing employment to handicraft, diamond cutting, food Relationship to project objective project stakeholders processing, recycling units, sewing, only indirect. Feasibility analysis marketing complicated. Proposed large-scale -_ agriculture improvement & soil investments in soil & water and water conservation: water conservation only indirectly related tanks, bunds, check dams, gully to project objectives & often already plugs, ponds, hoeaiculture available. Targeting contracting could bring immediate benefits. -- target contracting arrangements Wildlife crop depredation -- improve PA habitat Largest PA impact on people. Joint, -- decrease loss -- fencing/trenches participatory investments have high potential of improving PA-people -- improve PA-people relations -- community patrolling relations. Village support programs village support: drinking water, need to be linked to objectives roads, health, & family welfare programs Wildlife livestock damage -- increase natural prey Comparative study of most effective -- decrease loss -- fencing/trenches prevention & compensating mechanisms could improve -- provide compensation -- decrease livestock in PA investment. -- village support (see above) Human injury & death -- decrease humans in PA Most emotive issue in project. . . . ~~~~~~~~~~~Mechanisms for immediate -- decrease incidence -- fencing/trenches cansaton sptede compensation & support needed -- provide compensation -- village support (see above) Impacts on Tribals, Poor, and Women 27. Benefits. By its focus on reducing negative interaction between people and PAs, the project design anticipates benefits from development and support of livelihood strategies less dependent on PA resources. Benefits for tribals, women, and other marginalized groups are likely to derive from employment in a variety of activities, operation of micro-enterprises (poultry, handicrafts, etc.), expenditure reduction through efficient use of natural resources (e.g., energy conservation with improved stoves), and increased crop and livestock production (see Tables 7 & 8). Further benefits may include improved infrastructure and such facilities as drinking water. By addressing areas of greatest friction between PA and stakeholders (see Table 6) the project should also improve relationships between stakeholders, particularly between PA officials and local people. 28. Negative Effects of Village Ecodevelopment. Village ecodevelopment activities are, however, equally likely to generate negative effects on both biodiversity conservation Staff Appraisal Report 270 Annex 18 and the socioeconomic condition of those concerned. Livelihood strategies that reduce dependency on forest resources will inevitably affect the extent and type of indigenous knowledge retained and used by those groups having close cultural links with forest ecosystems. For example, forestry plantations will not provide the equivalent variety of species found in forest areas and widely used for food and for income generation and medicinal purposes by tribals and women (Ranthambhore Foundation, 1994). Similarly, NTFP cultivation may concentrate on a few species of commercial value rather than a variety serving a range of household needs. 29. Effects of Park Management on Marginal Groups. Marginal groups are also likely to be affected by the range of park management activities proposed in the project. Survey and demarcation activities could result in either including or excluding tribal settlements from PA boundaries and generating questions for future relocation policies. Other activities such as the construction of habitat management structures (e.g., watch- towers) may curtail informal access to forest resources as policing becomes more effective. Habitat enrichment activities may similarly restrict access to grazing and NTFP as PA authorities concentrate on managing forest areas for increased biodiversity. 30. Effects of Park Management on Women. Where the sale of firewood has been an important source of income (Periyar, Ranthambhore), especially for women, energy conservation may result in decreased income and some loss of financial independence. Livestock improvement through better breeds and stall-feeding may increase the workload for fodder-collectors, often women, when previously animals were left to graze. Similarly, more intensive crop production such as the cultivation of cash crops may immediately increase workloads for cultivators, who again are likely to be women. Women may also face increased workloads and responsibilities across the range of investments if options are decided without their active participation. 31. Poor Access to Benefits. There are certain categories of investments that are unlikely to produce benefits for some groups. Investments in agricultural improvements (including livestock) and in soil and water conservation have little to offer marginal and other types of cultivators, and even less to offer the landless. Cultivators such as those in forest villages may be unwilling or even unable to invest in land improvement given their uncertain land tenure arrangements (e.g., leases on which credit is unavailable as in Gir, Buxa, Nagarhole, and Periyar). Under such circumstances landowners with larger, secure holdings may accumulate any benefits and force those with less resources into more marginal and subsistence livelihoods. For PA residents, particularly tribals, alternate sources of natural resources (for example, plantations, and NTFP cultivation) are not possible given the terms of the Wildlife Act and the conversion of declared sanctuaries into notified national parks. 32. Local Financial Management Capability. Alternate income generation and increased employment may create problems for groups, such as tribal PA residents who have little education and experience with financial management, as they join the larger commercial economy. Tribals in Periyar experience periods of poverty during the year, despite reasonable annual incomes, due to an inability to manage large cash influxes from cash crops. Current tourism strategies may generate hostile reactions from local people, Staff Appraisal Report 271 Annex 18 since at present they receive little benefit from the increasing numbers of visitors, and would be unlikely to receive significantly more in the future unless policies change. 33. Targeting. Some PA authorities from the project sites have considered how to address specifically the needs and problems of vulnerable groups such as tribals, women, and the poor. On the basis of PRA findings during project preparation, indicative project investments are set to cover particular activities for target groups, general activities more likely to be taken up by vulnerable groups, and subsidies. Examples of the first can be found in Buxa where women have been tentatively targeted for participation in mushroom cultivation (120 women), cottage industries (270) bee-keeping, farm forestry (160 landless and poor women) and intercropping (160). In Palamau, sewing (100) and poultry rearing (250) have specific female target populations, while Nagarhole has identified village forest nurseries (125) for female participation. Tribal populations have been targeted with pig- rearing in Nagarhole and Palamau, NTFP production and sale in Buxa, and fishing in Periyar. In Palamau indicative investments in smithy activities and carpentry are intended to be of direct benefit to scheduled castes. All the indicative ecodevelopment plans have outlined the number of person-days of employment anticipated directly from possible investments, but there is no indication of future employment resulting from activities such as successful micro-enterprises and expanded agricultural production. 34. Self Targeting. General activities more likely to be taken up by vulnerable groups fall under a strategy of self-targeting. Typically, these activities include the generation of wage labor and other employment opportunities that are primarily taken up by the poor and landless. An example of self-targeting would be the collection and processing of low value NTFPs that would be taken up by low income and marginal groups; an example of this would be the collection and preparation of sal-leaf plates, which is primarily carried out by women. 35. Subsidies cover various investment categories. In Buxa saplings are intended to be sold at 50 percent subsidy to village members of forest protection and ecodevelopment committees. Cattle improvement in Palamau incorporates a subsidy of 25 percent when inferior cattle are exchanged for improved animals. In many existing rural development programs, these subsidies are further adjusted according to social and economic status; For example, scheduled castes and tribes and households below the poverty line receive significantly greater subsidies than less vulnerable groups. rt Table 7: Project Impacts on Women Village Expected Benefits Possible Negative Impacts Measures to ensure Monitoring Ecodevelopment benefits & mitigate mechanism Investment negative impacts Forestry Plantations Employment; fuel, fodder, & Decreased income from sale of firewood; Participatory Monitoring plan to intercrops decreased diversity of NTFP available to microplanning include locally- x meet household needs and for sale; loss of including feasibility identified measures 0 indigenous knowledge analyses; JFM of performance and o policies; mixed procedures, NGO plantations participation and EDC/FPC review meetings; research Cattle Improvement Increased income Increased time for fodder collection Microplanning; -do- contact with female FD staff; effective participation in decision-making Energy Conservation Decreased expenditure on fuel- Decreased income from fuelwood sales Alternate income -do- wood; decreased collection time. activities Ecotourism (in present Negligible; some possible Resentment toward government and private Govt. orders on -do- form) employment opportunities. agencies capturing economic benefits; sharing of entry fees; (prostitution in Periyar?) microplanning,; targeting of training and employment NTFP Cultivation Income; employment Capture of benefits by other groups/ Microplanning; -do- (outside PA) entrepreneurs; loss in income due to research decreased diversity products for sale as efforts concentrate on fewer products. > X H4 Table 7 continued: Project Impacts on Women Investment Expected Benefits Possible Negative Impacts Measures Monitoring Alternate Incomes Increased incomes; employment Marginal benefits without culturally Microplanning; -do opportunities appropriate choice of options and training contact with female FD staff, participation in decision-making; training r C Agricultural Increased income; increased food Increased workload due to Microplanning -do- o Improvement supplies intensification/diversification of crops Soil & Water Increased yields; employment Increased workload; options identified by Effective -do- Conservation opportunities groups other than women participation in decision-making Voluntary Relocation Access to irrigated land, housing Terms of relocation not met; loss of income Participatory -do and other facilities; increased and capital resources; decreased access to operational plans; income resources (e.g. forests); loss of indigenous cultural continuity knowledge; cultural isolation; increased activities; transition workload support; NGO participation Reduction in Wildlife Increased yields; increased income; Time spent in patrolling Provision of -do Damage improved relations with Forest equipment; joint Dept.; employment patrols with FD Park Management Investments _ Survey & Demarcation Employment; exclusion of land Loss of cultivable land; decreased access to Govt. orders on -do- from PA forest land resource-sharing Habitat management Employment; resource-sharing Decreased access to forest resources Govt. orders on -do- structures e.g. fire- resource-sharing lines _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Habitat enrichment Employment; resource-sharing Reduction of grazing area (buffer zones) Targeting of -do- x and access to NTFP employment; Govt. X orders co Ft Table 8: Project Impacts on Tribals and Poor e Village Expected Benefits Possible Negative Impacts Measures to ensure Monitoring > Ecodevelopment benefits & mitigate mechanism Investment negative impacts Forestry Plantations Employment; fuel, fodder, & Loss of income; inability to meet household Participatory Monitoring plan to intercrops needs due decreased diversity of products for microplanning include locally- x sale; loss of indigenous knowledge; little benefit including feasibility identified - 0 to PA residents analyses; JFM measures of policies; mixed performance and x plantations procedures, NGO participation and EDC/FPC review meetings Cattle Improvement Increased incomes & yields Little benefit to tribals with no tradition of Microplanning; -do- keeping milk animals; time spent in fodder contact with tribal M'. collection FD staff; effective 4 participation in decision-making Energy Conservation Decreased expenditure on Decreased income from fuelwood sales Alternate income -do- fuelwood activities; JFM-type Govt. Orders on resource sharing; training Ecotourism (in present Employment as guides, otherwise Resentment toward Forest Dept and other Govt. orders on -do- form) negligible agencies who capture benefits sharing of entry fees; microplanning,; targeting of training and employment D NTFP Cultivation Continued source of income & Loss of indigenous knowledge as fewer species Microplanning; -do- (outside PA) employment are grown research x c_o Table 8 continued: Project Impacts on Tribals and Poor Investment Expected Benefits Possible Negative Impacts Measures Monitoring Alternate Incomes Increased income; increased Capture of and subsequent polarization of Microplanning; -do employment benefits by other groups; no long-term contact with tribal I' improvement in livelihoods due to inability to FD staff;- manage cash incomes participation in decision-making; x training o Agricultural Increased income and food Little economic benefit for landless; uncertain Microplanning -do- x Improvemient supplies due to greatcr yields; employment opportunities for landless and increased employment for landless poor; negligible benefit for those unable to and other poor invest due to uncertain tenure arrangements Soil &1 Water Increased income and food Little direct benefit for landless and non- Effective -do- Conservation supplies due to greater yields cultivators; inability of marginal cultivators to participation in invest due uncertain tenure arrangements decision-making Voluntary relocation Access to irrigated land, housing Terms of relocatbon not met; loss of income and Participatory -do U and other facilities; increased capital resources; decreased access to resources operational plans; income (e.g. forests); loss of indigenous knowledge; cultural continuity cultural isolation. activities; transition support; NGO participation Reduction in Wildlife Increased income due to decreased Little benefit for landless and non-cultivators Joint patrols form -do Damage crop and livestock damage; part of reciprocal employment in patrols agreements Park Management Investments Survey & Demarcation Employment; exclusion of land Loss of cultivable land; decreased access to Govt. orders on -do- from PA forest land resource-sharing > Habitat management Employment; resource-sharing Decreased access to forest resources Govt. orders on -do- m structures e.g. fire- resource-sharing x lines co Habitat enrichment Employment; resource-sharing Reduction of grazing area (buffer zones) and Target employment; -do- I__________________ ______________ ____access to NTFP Govt. orders Staff Appraisal Report 276 Annex 18 37. Microplanning. The tools and processes of microplanning designed to alleviate potential negative impacts are discussed in more detail in Annex 8. Feasibility analysis across the range of possibilities for village ecodevelopment investments (Annexes 7 and 8) will be a critical element in the planning process. To ensure that village ecodevelopment is participatory and that agreements between parties are indeed reciprocal, tribal groups, the poor, and women will have to be represented in decision-making structures and assisted by NGOs in making their voices heard. PA staff at all levels will have to be sensitive to the range of social issues likely to influence the process. SFDs have been asked to prepare draft government orders that would address, among other issues, the establishment and responsibilities of village-level ecodevelopment committees (see Annex 8). 38. Role of NGOs. NGOs will have a critical role to play in the microplanning and implementation process. Frequently, NGOs have entered the arena of PA management through activities to alleviate poverty and improve livelihoods of populations in and around PAs (e.g. MYRADA in Nagarhole, Peermade in Periyar, AKRSP in Gir and CEE in Ranthambhore). Their experience and approach will be a necessary addition to the efforts of PA authorities and bring to the project enhanced social skills and sensitivities. Furthermore, as non-government institutions, these organizations will enhance the monitoring and evaluation processes. The project has included funds to contract NGOs and increase their capacity through training to participate effectively in village ecodevelopment activities. 39. Training. Quality training, particularly for vulnerable groups, will be vital to the success of village ecodevelopment investments since the access of these groups to education and exposure to large-scale economic forces are limited. This training should equip such groups with the skills and knowledge needed to operate in new and changing economic environments. With appropriate microplanning and NGO participation it is more likely that options are identified and developed that are culturally appropriate and socially acceptable, and thus more likely to succeed. The project also realizes the value of research in informing policy on the management of interaction between people and PAs and has included support for socioeconomic studies. 40. Employment. There is also considerable opportunity and need to increase numbers of vulnerable groups employed by PA authorities at all levels. In some states, forest departments with sufficient commitment have shown that they can change recruitment policies to ensure that women and tribals are hired as forest guards, rangers, extension agents, etc. In Periyar, for example, park management activities include the hiring of tribals and women as conservation assistants. Particularly where distrust is great, languages different, or gender restrictions high, such recruitment will be critical in bridging the social distances that currently impede the full participation of women, tribals, and the poor. Other Key Social Issues 41. Overview. As with any complex participatory project, additional important social issues will be critical to project success at each site. This includes issues related to community participation and social organization, institutional support for community- Staff Appraisal Report 277 Annex 18 based programs, and any voluntary relocation, land and resource tenure regimes, the policy environment, etc. 42. Community Participation. Indigenous forms of social organization, decision- making and conflict resolution differ substantially between and within different social groups. For example, some groups interviewed during preappraisal indicated that major decisions such as relocation, change in grazing patterns, etc. were only made on a group basis to which every member felt bound. In other cases, households followed more individualistic decision-making strategies. The inclusion of contract sociologists in the project should help sensitize PA authorities and NGOs to these social and cultural realities and assist them in adjusting their PRA and microplanning strategies. Specialized support in social assessment and participatory planning, serving all seven project sites, would provide additional guidance. 43. Voluntary Relocation. In four of the project sites voluntary relocation is likely to take place during the project period and will have significant impacts on those who are relocated (see Table 1). These impacts will have economic, social, and cultural dimensions and will depend heavily on how such relocation is carried out. The project has developed an agreed policy for voluntary relocation (see Annex 20). PA authorities would develop participatory relocation plans in response to the wishes of local people and in accordance with the guidance contained in the Bank's Operational Directive 4.20 and recent GOI guidelines. 44. Tenure Within PAs. A wide array of tenure patterns are also found at each site, particularly for people living within PA boundaries. Some groups of tribal inhabitants (Nagarhole) do not have any tenure rights recognized by the forest department; some have annual leasehold rights to limited cultivation (frequently not renewed) but no rights over forest products (i.e., most forest settlements); some have rights to certain limited non- timber forest products, but no rights to graze (i.e., tribals in Periyar); some have rights to residence and grazing, but no rights to NTFP (i.e., Maldharis in Gir); some have rights to residence, but no rights to any forest produce (i.e., most temple complexes). In many cases where rights are not recognized, customary usage is still tolerated and even explicitly allowed (i.e., grazing in parts of Gir and Ranthambhore). In many cases, these rights and concessions are being progressively diminished as the more flexible sanctuary designations are replaced by national park notification and enforcement increases. 45. Tenure Outside PAs. Outside PA boundaries, tenure issues are also varied. Lands used for community grazing and NTFP collection (especially fuelwood), are variously under the legal authority of the panchayats, the revenue department, the forest department, private corporations (e.g. tea estates), or individual households. Frequently, the usage of these lands and their legal ownership are at variance and overlapping tenure claims common. Even legal ownership is often a subject of dispute between different agencies and users. Temporal variations can also occur when private lands change to common property during fallow seasons of collective grazing. Tenancy and various forms of resource use by landless households provide an additional dimension to the complicated tenure patterns. Staff Appraisal Report 278 Annex 18 46. Security of Tenure. Tenure issues are central to the project since much of its thrust is to negotiate a further reduction---or acceptance of the already instituted reduction---in usage of PA resources . To the extent that the microplanning process is able to build a consensus between each of the stakeholders and tenure claimants, project investments can be carried out with a reasonable degree of tenurial security. However, there will be situations in which measures to increase tenurial security will be needed to maintain the motivation of stakeholders. Such measures would include issuing government orders on resource use rights; transferring forest settlements to revenue village administration; standing guarantee for credit collateral; and negotiating agreements for benefit sharing. To ensure that these tenurial issues are adequately addressed, it will be important to carry out the planned social science research program . 47. Participation and Learning. The extent to which these impacts will be positive will depend on the extent to which the participatory microplanning and implementing process is really participatory (See Annex 8). In addition, positive outcome will depend on the adoption of a continuing learning process, involving all project stakeholders through both formal studies and monitoring; perhaps even more important, it will depend on a willingness to trust local people and their knowledge and to allow them to learn through their own failures. The tools to allow local communities to influence the direction of PA management significantly are built into this project to a far greater degree than normally found in the forestry or environment sector. Ideally, the ultimate outcome will be largely up to local communities. Staff Appraisal Report 279 Annex 19 Annex 19: Indigenous People Compliance with Bank Operational Directive 4.20 Operational Directive 4.20 Analyses in Annexes That Supplement SAR Main Text Prerequisites _ Full consideration of options Annex 7: paragraphs 5, 10, 11,16 preferred by affected indigenous Annex 8 - paragraph 3, 5, 6, 13, 19, 27, 36, 37, Box 2, people Anticipate adverse trends likely to Annex 7: paragraphs 4a, 5b be induced by project and identify Annex 8 - paragraphs 5,6,13b, 36,37 mitigation measures Institutions responsible for Annex 7: paragraphs 5, 14 interaction with indigenous peoples shouldcionv with .epertis Annex 8: paragraphs 2, 31, 32, Section G (TORs) should Involve NGOs with cxpertise,, in matters relating to indigenous Annex 9: paragraph 15, first TOR people Annex 12: TORs relating to microplanning, social assessment, and multi-state learning and communication Annex 18 - Table 8 and paragraphs 26-35, 37 Local patterns of social Annex 6 - sections on "People" and "Social Concerns" for each PA organization, religious beliefs, and Annex 8: paragraphs 13(d), 15, 36-38, 41 resource use should be taken into account Annex 9: paragraphs 15 Annex 10 - paragraphs 10-12, 36-39, 41 Annex 18: paragraphs 25-35, 41, Table 8 Production systems should be well Annex 7: paragraph 5 adapted to the needs and Anex 8 - paragraphs 3,12-14 23 27 28 30-37 41 Boxes I and 2 environment of indigenous people , 2 2 2 3 Annex 18 paragraphs 27-38, Table 8 Avoid dependency and include Annex 8 paragraphs 13-14, 21-26, 36-37, 4244, 74 management skills training Annex 9 paragraphs 9-10, 12-15 Annex I 1: TORs on Microplanning Training Annex 18: paragraphs 36, 38, 39 Adequacy of preparation and Annex 4 follow-up Annex 7: paragraph 8 Annex 8 paragraphs 29, 32, TORs Annex I 1: TORs on Microplanning and Social Assessment Incremental funding Annex 5, paragraph 4-10 Annex 8 paragraphs 13 (c), 39, 40 Staff Appraisal Report 280 Annex 19 Elements | Legal framework Annex 1: paragraphs 7, 15 Annex 2, paragraph 8 Annex 7: paragraph 4 (a), 1 1(d), 13 Annex 8 paragraphs 7-10 Annex 18 paragraphs 30, 39-44 Baseline data Annex 6 in entirety Annex 7 - TOR for Mapping Annex 8: paragraphs 11-12, Box 1 Annex 10: 4, 11-23, 51-54, Tables 1-2 Annex 11: TORs on Social Assessment and Reviews Annex 18 in entirety Land tenure Annex 7: paragraphs 11, 16, 19(f) Annex 18: paragraph 12, 31, 43-45 Annex 20 Local participation strategy Annex 7, paragraph 5, 8(f) Annex 8 in entirety Annex 10: paragraphs 20(d), 22(e) Identification of activities that Annex 8 in entirety draws on indigenous knowledge and Annex 11: TORs on social assessment, microplanning, and qualified technical upport feasibility Annex 18, paragraphs -25-26, Tables 6 and 8 Institutional Capacity Annex 2 in entirety Annex 7, paragraph 12, 23-28 Annex 8 paragraph 42 Annex 18: paragraph 31-22 Implementation Schedule Annex 16: chart Monitoring and Evaluation Annex 10 in entirety Annex 16 in entirety Detailed Cost Estimates and Detailed project cost estimates (working paper) Financing Plan Staff Appraisal Report 281 Annex 20 Annex 20: People in the PAs and Voluntary Relocation 1. Current Situation. All protected areas (PAs) have people living within the PA boundaries (see Annex 6 Table 2). Most live in areas where human settlement is allowed. During the past few decades, the creation of the PAs has sometimes caused people living in the PAs to lose access to resources and precipitated resettlement of tribal people in forest villages in ways that involved little or no participatory decision-making. The project itself would not cause further loss of living standards; rather, it would help to address and ameliorate existing conditions where people have already experienced losses and where, without the project, people would face very limited and bleak options. At the same time, population pressures are adversely affecting PA conservation. To address and ameliorate existing conditions, state forest departments (SFDs) and some PA residents have started discussions on the possibility of participatory, voluntary relocation. The Project Preparation Facility supported some preliminary reviews by NGOs of these discussions. The discussions and NGO reviews indicate a strong demand for relocation from some households, but the number of potential participants is not yet clear. Initial impressions indicate that some 1-4 percent of the 87,000 people living within the PAs would be interested in participating in resettlement. 2. Definition of "Voluntary". The project would provide support on an experimental basis for a participatory process to plan and implement "voluntary relocation". Relocation under the project would be "voluntary" in the sense that it would be driven by the wishes of each local household. Planning would take place in the context of options that would not involve relocation. The project would draw on lessons of best practice that are outlined in Bank's Operational Directives on Involuntary Resettlement and Indigenous People. Voluntary relocation does not require strict scheduling because it is driven by the wishes of local people rather than by an external "event" (which is what drives involuntary resettlement). Voluntary relocation under the project would not be timebound; there was no need to prepare a resettlement plan prior to appraisal. During the project, people may move at different times -- at their own pace. Not all households in a community may move. In some cases, partial and/or gradual relocation may be subject to environmental considerations outlined below in paragraph 6. However, the success of the project does not depend on timebound or complete evacuation of people from PAs. Indeed a major objective is to foster the cooperation of people who would not be moving. Voluntary relocation would be consistent with the legal covenant that the project project would not erode the customary tenure rights of tribals living within the protected areas. 3. Reasons to Avoid Involuntary Resettlement. Involuntary resettlement would: (a) Be unnecessary on ecological grounds, or on other grounds related to protected area management or project activities during the project period (b) Conflict with the project strategy of reducing discord and increasing collaboration between protected areas and local people (c) Risk inadvertent erosion of customary land rights of indigenous people living within the protected areas Staff Appraisal Report 282 Annex 20 (d) Conflict with usual Bank practice not to involuntarily resettle tribals from protected areas. 4. Relocation Strategy. The project's people-driven, participatory approach to relocation would provide win-win solutions to problems faced by local people and PAs and establish a model approach applicable to other PAs throughout India. This strategy would enable the project to meet the demands of local people who are eager to move. Relocation would be to lands on the periphery of the PAs, rather than to distant lands and there would be no involuntary relocation. All relocation planning and implementation associated with PA management or other project objectives, regardless of financing, would be consistent with Bank guidelines, and implementation would require prior Bank approval. The project would help state and national governments to carefully plan and implement relocation activities so that they do not inadvertently cause long-term hardship, impoverishment, and environmental damage. It would provide an incentive-based mechanism to reduce population pressures. The strategy would also support options for people in the PAs not wishing to relocate. 5. Documenting Voluntary Nature of Relocation. The microplanning support teams of PA personnel, collaborating NGOs, and villagers, with the support of relocation specialists, would facilitate the consultation and decision making on relocation. In these cases, microplanning would provide an opportunity for local people to consider the relocation option, and if they wished, to plan the relocation activities. The support teams would carefully document the participatory planning process and content of local people's decisions on relocation. For relocation to proceed, this documentation would need to include unambiguous confirmation that decisions on relocation met the definition of "voluntary" outlined in paragraph 2 above. Both the independent review and the Bank review of relocation plans would give close attention to this documentation. 6. Concerns Involving Gradual and/or Partial Relocation. Forest Departments have several concerns about the potential risks of gradual and/or partial relocation, e.g., enlarged areas of human habitation in the vicinity of the PAs, increased transit of people between old and new communities, sustainability of groups decisions to relocate, etc. The consultation process on voluntary relocation would need to consider and address these concerns wherever they exist. Possible outcomes of such consideration would vary by site and might include: (i) consensus decisions by communities to move together at one time, (ii) reciprocal commitments by existing and/or relocated communities that would address potential adverse impacts on biodiversity (e.g., consolidation of holdings within existing community), (iii) decisions by PA managers to not support relocation because of potential adverse impacts, or (iv) development of a relocation package so desirable that it would have a high likelihood of enticing additional participation in the near future. 7. Support for Relocation. The funds provided for voluntary relocation would be additional to standard GOI and state allocations, and would be used to develop participatory operational plans consistent with GOI and IDA guidelines. They would aid households in the transitional period, provide investment funds for alternative livelihoods, provide implementation support services, and support measures fostering cultural continuity. Because the number of potential participants is not clear, project cost estimates for relocation are extremely tentative. The project costs for relocation would be subject to Staff Appraisal Report 283 Annex 20 major revision at the mid-project review, after consultation with potential participants (consistent with Bank standards) has taken place. 8. Support for Those Electing to Stay During Project Period. The project would include special efforts to identify and provide village ecodevelopment investments for people who do not wish to relocate during the project period. The eligibility criteria for village ecodevelopment investments (see Annex 8) would limit the range of options available to many of the people living within the PAs. Some of the people resident in the PAs are non-cultivating tribals without documented land titles and in these cases land based investments would usually not be possible Examples of possible investments for these people include training and equipment for job and livelihood opportunities related to contractual PA management activities and ecotourism enterprises. People living within the PAs have felt the burden of PA establishment most heavily. It is important to not exclude these people from access to village ecodevelopment support, and to carefully consider their special situation during the negotiation of the reciprocal commitments. Although the value of village ecodevelopment investment provided to people remaining within the PA would be equivalent to those living in the periphery, in terms of project costs it would amount to only a fraction of the support provided to people choosing to relocate. 9. Legal Setting. Most people living within the PAs reside in (a) legally excluded enclaves or (b) forest villages within parts of the PAs that are legally classified as sanctuaries or forest reserves. Section 24 (2) (c) of the Wildlife Act permits "the continuance of any right of any person in or over any land within the limits of the sanctuary", and similar legal provisions allowing the continuation of rights exist for forest reserves. In the Palamau Tiger Reserve, 630 people live in forest villages within a sanctuary, in an area that is an "intended national park". According to Section 35 (4) (a) of the Wildlife Act, after a declaring that it intends to establish a national park in a specific area, the Government would notify the area as a national park after "all claims ..... have been disposed of by the State Government". Hence national park notification depends upon a resolution of rights which is not time-bound. In Palamau, the state government has not decided how it will resolve the claims nor does has it set a deadline for this resolution of claims and the legal notification. According to section 35 (3) and (5) of the Wildlife Act, once a national park has received notification, alteration of boundaries requires a resolution of the state legislature, and no continuance of rights over land within the park is allowed In Nagarhole National Park, 7,100 people live in forest villages within a notified national park and 1,200 people in Ranthambhore Tiger Reserve live "on the boundary" of a notified national park. 10. Government Approach. While legally state governments cannot give permission for people to continue to live within a notified national park, in practice, most state governments have addressed the problem of resident communities pragmatically. They have not enforced the full rigor of the law because it would be socially and politically difficult. During the past decade, state governments with people in intended and notified national parks and core parts of sanctuaries have provided incentives for people to move to the buffer or peripheral areas of the PAs. Incentives have included support for housing, village infrastructure, land and irrigation. However, these past initiatives have not necessarily been "voluntary" according to the definition outlined in paragraph 2 above. Staff Appraisal Report 284 Annex 20 Project preparation involved extensive dialogue on the opportunity the project provides to develop a participatory, voluntary approach. Government officials have agreed to use the project to experiment with this approach. 11. Build on Established Strategy. Recent Bank-financed state forestry projects in India have established a strategy that there would be no involuntary relocation of people in the PA undertaken by SFDs. The project would build upon this strategy and actively develop a program of participatory, voluntary relocation that could serve as a model for other PAs. In addition to developing a model program of voluntary relocation, the project would address issues of people in PAs under a program to strengthen PA management plans, which would consider possible rationalization of PA boundaries (see Annex 7), and under the research program (see Annex 10). For example, some of the people within Nagarhole live on a periphery that might be excluded from the park by redefinition of boundaries, and the PA management planning and research activities would consider the environmental feasibility of this option. 12. The following assurances have been obtained from the GOI and participating states and were reconfirmed during negotiations: that the GOSs would: (a) In pursusing the objectives of the Project, not carry out any involuntary resettlement for any people resident within the PAs (b) Ensure that any proposals for voluntary relocation would be prepared and implemented in accordance with criteria agreed with IDA and after prior approval of IDA (c) For people who opt to remain in the PAs, prepare an indicative list of appropriate village ecodevelopment investments acceptable to the Bank, which meets project criteria, and include these people in the village ecodevelopment program (d) Adopt an explicit strategy and plan for sustainable encroachment control acceptable to IDA before making proposals for programs of voluntary relocation. Non-project activities, including those related to resettlement, would be subject to the regional impacts covenant (see paragraph 17 below). 13. Criteria. The proposals would follow the strategy and guidelines outlined in this Annex, including (a) Consistency with the project interpretation of "voluntary" (b) Consistency with the Bank's Operational Directive 4.20 (Indigenous People) prior to execution (c) Consistency with best practice outlined in the Bank's Operational Directive 4.30 (Involuntary Resettlement) prior to execution (d) Development of participatory operational plans with the assistance of independent NGOs or consultants Staff Appraisal Report 285 Annex 20 (e) Prior to execution, review of plans by the Bank on a case-by-case basis, to ensure consistency with strategy and guidelines outlined in this Annex (f) Prior to execution, correction of any inconsistencies in plans identified by Bank review (g) Inclusion of an independent program to monitor voluntary relocation (h) Correction of problems identified by monitoring (i) Documentation of conformity with the above points by provision of transparent, credible, and verifiable information. Execution of relocation would include proceeding with any land acquisition already underway and the initiation of any new land acquisition. 14. The state governments confirmed during appraisal and again at negotiations that since the November 1994 preappraisal, they have not acquired land from current residents within the project PAs, provided compensation to them, nor built housing for them, or otherwise carried out activities that could be considered implementation of a resettlement plan that has not been reviewed and approved by the Bank. The Bank decision to exclude the Similipal Tiger Reserve from the project demonstrates the importance that the Bank attaches to these assurances. 15. Investment in Support of Voluntary Relocation. In providing supplementary support for voluntary relocation from core to periphery areas the project would enable states to develop model policies in accordance with recent GOI guidelines and Bank ODs for assisting families desiring to move. It is currently anticipated that Buxa, Gir, Nagarhole, and Ranthambhore would use these funds, but Palamau and Periyar could also participate if they wished. These funds, which would be additional to GOI and state allocations, would be used to: (a) Develop participatory operational plans with the help of qualified NGOs or consultants (b) Provide additional funds to support households in maintaining their livelihoods in the transitional period (3 years) through employment, asset creation, and training (c) Support NGO services carrying out voluntary relocation activities (d) Maintain cultural continuity by modest support of such actions as relocation of tribal shrines and community activity centers, cultural events, passing on of indigenous knowledge, etc. (e) Provide consultancy on plan assessment. Staff Appraisal Report 286 Annex 20 Comments on Relocation Discussions Protected Area Comments Buxa. West Bengal One forcst village in rcsenvc (pop. 275) is likely to choosc voluntary rclocation Gir. Gujarat Only limited numbers of pcoplc in ncsscs (population 2540) cxpcctcd to participate in rclocation during project pcriod. Nagarhole. Karnataka Prior to projcct. PA staff prcpared a proposal to relocate 6145 people. With projcct cmphasis on voluntary participation. only a portion of the total numbers arc anticipatcd to participate. PPF included preliminary study. Palamau. Bihar There are three forcst villages in intended NP (pop 630) wvhere rclocation has prev iousl becn discusscd but is not being pursued. PPF included preliminary studv. Pench, Madhva Pradesh No scttlcments in proposcd national park, resettlemcnt completed in carlN 1994. prior to project preappraisal. Periyar. Kcrala No plans to rclocatc anyone. Ranthambhorc. Rajasthan There are 4 villages on boundary of dcclared NP (pop 1210) wNhere rclocation has becn undcr discussion, but only a portion of the total numbcrs are likelN to participate. 16. Government and Private Colonies. Government and private colonies within PAs include major installations such as hydropower, irrigation, and electricity boards, tourism complexes, railway complexes, mines, industries, and places of religious importance. The project design incorporates PA management planning activities to determine impact of such installations on biodiversity and the formulation of policies and agreements to mitigate serious disturbances. In the case of government enclosures, with their large groups of staff and laborers, it will be useful to assess if the numbers resident within the PA boundaries are necessary, and whether there is scope to negotiate with the relevant entities their reduction or relocation. 1 7. Encroachment Control. With or without proposals for voluntary relocation, state governments would take steps to ensure that activities outside the PA would not undermine effective encroachment control. 1 8. Regional Impacts. The project strategy for relocation would not necessarily apply to non project activities (e.g., Kutku irrigation dam in Bihar, see Annex 6). To address this type of situation, assurances were obtained at negotiations that activities outside the scope of the project would not undermine effective biodiversity conservation within the project PAs, and would not undermine the implementation of the ecodevelopment strategy in and around the PAs (see Annex 7). 1 9 Operational Directive on Involuntary Resettlement. The Operational Directive on Involuntary Resettlement (4.30) provides useful guidelines and principles to be followed in any proposals for resettlement, even if this is voluntary. Examples of these O. D. recommendations include, itier alia,: (a) The preparation of a relocation plan that attempts to improve or at least restore living standards, earning capacity and production levels of the displaced people: It should include provision to (i) assist the displaced people in the relocation move and provide support during the transition period in the new site Staff Appraisal Report 287 Annex 20 (ii) assist the displaced people in their efforts to improve their former living standards, income earning capacity, and production levels, or at least to restore them. The project has provided for supplementary support in order to improve their incomes and resources (b) Involving both settlers and hosts in resettlement activities. In designing the relocation plan, special emphasis would be placed on: (i) community participation in planning and implementing it (ii) enabling resettlers to maintain cultural continuity through building on existing social and cultural institutions. The project provides for supplementary measures to assist community in relocating cultural structures and maintaining desired cultural traditions (iii) measures to integrate re-settlers socially and economically into host communities so as to minimize adverse impacts on the host communities, if applicable (c) Improve or restore economic base: Resettlement plans should be based on a strategy to improve or at least restore the economic base for those relocated. The content of the resettlement plans, should normally include a statement of objectives and policies and other features (d) Valuation and compensation for land and other assets affected by the project. Prior to relocation, people would be provided a compensation package of support for housing, village infrastructure, land, and irrigation to compensate for lost assets, equivalent to full replacement value of all assets to be foregone, including usufruct and customary tenure. Compensation would be facilitated by: (i) paying special attention to the adequacy of legal arrangements concerning land title, registration, and site occupation to ensure secure rights (e.g., leasehold, full title), to ensure that security of tenure is at least equivalent to what would be forgone, and to ensure that there is no erosion of customary tenure of tribals (ii) publicizing among affected people to be displaced the laws and regulations governing relocation and compensation (iii) development of mechanisms to prevent illegal encroachers to take advantage of such benefits and to prevent nonresidents moving into those areas vacated (iv) establishment of a simple grievance mechanism to resolve any disputes that may arise. 20. Operational Directive on Indigenous People. The objective of the Operational Directive on Indigenous People (4.20) is to ensure that indigenous peoples do not suffer adverse effects during development processes and that the social and economic benefits they receive are in harmony with their cultural preferences. It is based on a strategy of informed participation of affected indigenous peoples through methods such as direct Staff Appraisal Report 288 Annex 20 consultation, incorporation of indigenous knowledge into the project, and use of experienced specialists. 21. To be consistent with this OD's guidance, on-going participatory project planning (e.g. PA management planning, village ecodevelopment microplanning, and voluntary relocation planning) will need to take into account the following information needs: (a) Legal status of affected groups, including existing rights, concessions, access to resources, and legal protection (b) Baseline data on settlement patterns, social structure, incomes sources resource use, relationship to others, etc. (c) Land tenure, both legally registered and customary (d) The strategy for on-going participation in decision-making throughout the project (e) Technical identification of development and mitigation activities (f) The adequacy of institutional capacity to deal with indigenous peoples (g) Methods of monitoring impacts on indigenous peoples, including participatory monitoring. 22. The plans developed should: (a) Be culturally appropriate, and only decided after fill consideration of options preferred by indigenous people (b) Anticipate all adverse trends and have developed a mitigation plan (c) Ensure adequate institutional skills, including those available to government, local communities, and NGOs (d) Take into account tribal social life and religious beliefs (e) Support production systems adapted to the needs and environment of indigenous people (f) Avoid dependency through transferring management skills (g) Cover all other guidance outlined in OD 4.20. Draft Job Description for Relocation Plan Reviews Reports to: PA Manager Objective: To assess proposed voluntary relocation plans for their conformity with the project strategy on voluntary relocation, with World Bank Operation Directives on resettlement and indigenous people and GOI guidelines on resettlement associated with PAs. To make field visits to confirm that plans accuratcly reflect people's perceptions, accuratcly assess relocation sites, and otherwise reflect reality. To recommend actions for meeting the above guidelines. Staff Appraisal Report 289 Annex 20 To assist in monitoring activities associated with relocation Responsibilities: Review the number of households interested in considering relocation. Review the system of land tenure and transfer. Review the system of land acquisition, including procedures related to the valuation of land and other assets acquired, and the potential adverse impacts of a weak land tenure on land acquisition procedures and compensation eligibility. Review specific social, economic and cultural loss of the community facing resettlement, especially that related to loss of access to forest resources, and suggest ways to minimize or mitigate these losses. Assess women's role in their families, community and in the subsistence economy and also the impacts of relocation on them and in the process suggest ways and means to help them regain or improve their role. Assess the affected people's perception regarding issues related to land acquisition, compensation, resettlement, relocation site, the project, strategies for economic rehabilitation, and its benefits to them. Assess the extent of consent to relocation. Assess extent of participation in planning. Assess the relocation site and proposed infrastructure for cultural and social compatibility, suggest measures to improve facilities, suggest measures to ensure participatory implementation, and suggest opportunities for socioeconomic integration of the displaced peoples with the host community. Identify Government development schemes and welfare services in the relocation site, suggest linkages to complement the package of benefits offered to affected peoples, and assess the impact of the linkages on the host community. Assess the proposed compensation and entitlement package for resettlement and rehabilitation, including land-for-land, transition phase support, productive assets for self-employment, and other means for income generation and social infrastructure. Assess the extent to which participation in relocation would be voluntarv in the sense that it would be driven by the wishes of local people. Design a participatory plan to monitor the relocation process. Provide specialist services required for relocation monitoring. Duration: Initial review: three to six months; thereafter on retainer basis to assist with monitoring Qualifications: Organization or individual with professional experience in resettlement issues; participatory planning experience; prior experience with World Bank projects desirable; strong writing skills. Staff Appraisal Report 290 Annex 20 Staff Appraisal Report 291 Annex 21 Annex 21: Economic Analysis Overall Benefits 1. The project would conserve globally significant biodiversity in the seven PAs and develop capacity for increased conservation in the future. The project would support mutually dependent activities that in combination would reduce negative environmental impacts of local people on biodiversity, and increase protection of biodiversity in the PAs. In the project areas, over the long term, the project would help to slow, halt, or possibly even reverse the current declines in: (a) the area and degree of ecosystem richness, complexity, and diversity (b) the presence, productivity, and abundance of significant species (c) the extent of regional connectivity (d) the extent of nutrient recycling and rate of regeneration (e) the control of weeds and exotic species. The project would also increase the capacity of government officials to manage PAs effectively, addressing not only internal operations but also proposed and existing periphery and regional activities that impact the PAs. It would increase the capacity of local communities to play a positive role in PA management. The project would also increase the support of local people for PA conservation. It would develop stakeholder consensus on conservation-related strategies. The project would create processes and organizational frameworks that could be expanded to other ecologically significant areas. In addition to these overall benefits that derive from the total package, each project component would produce specific outputs and benefits described below. Outputs from Improved PA Management 2 Improving PA Planning Processes and Building Capacity (averaging US$1 50,000 base costs per PA). Strengthening of PA management skills and the regional planning and regulation activities would: (a) produce a comprehensive and carefully designed work program for protecting and managing ecosystems and habitats of the project PAs covering the last three years of the program (b) broaden the focus of existing PA management planning capacity to more comprehensively cover ecological considerations (e.g., boundaries, buffers, and ecosystems), PA-related concerns of local people, and strategies for relevant government programs and policies (e.g., research, environmental education, ecotourism) (c) ensure compliance with the project covenant that activities outside the scope of the project would not undermine effective biodiversity conservation in the project PAs and Staff Appraisal Report 292 Annex 21 (d) develop a replicable model for more effectively integrating PA concerns into regional planning and regulation processes. 3. Protecting and Managing Ecosystems and Habitats (averaging US$1,680,000 base costs per PA) would: (a) restore ecosystem and habitat through works (e.g., weed eradication, soil and water conservation, domestic/exotic animal controls), both those needed on an urgent basis during the first two years of the project, and those identified through the updated PA management plans for the last three years of the project, providing the foundation for normal plant and animal succession in the future (b) improve fire control, increase the effectiveness of anti-poaching efforts, reduce the extent to which wild animals stray out of the PA (c) reduce the negative impacts of visitors, in accordance with recommendations of ecological research and ecotourism strategies (d) increase employment and byproduct sharing opportunities for local people in PA management activities 4. Upgrading PA Amenities for Field Staff (averaging US$150,000 base costs per PA) would improve staff morale and increase the amount of time staff spend in the field, thereby increasing staff efficiency and effectiveness. Outputs from Village Ecodevelopment 5. Microplanning and Implementation Support (ranging from US$1,500 per group to US$9,200 per group, depending on group size and local cost parameters, covering a three to four year period for each group, for about 800 groups) would: (a) provide the basis for conflict resolution by identifying and defining reciprocal commitments through an innovative and replicable participatory negotiation process (b) strengthen the capacity of communities to obtain support services and to negotiate with outsiders (e.g. traders, outside groups who use PA resources) (c) secure an equitable distribution of benefits, and ensure participation of women, tribals and other disadvantaged people in community decisions about resource distribution and investment selection (d) preserve and apply traditional knowledge systems in resource management and (e) increase the capacity of local communities to play a positive role in PA protection. 6. Implementing Reciprocal Commitments and Associated Investments (US$300 base costs per household (including preinvestment for credibility and villager contribution), or ranging in size from US$2,400 to US$67,500 per group, depending on Staff Appraisal Report 293 Annex 21 the number of households in each group, usually covering a three year investment period for each group). The commitments would involve about 71,000 households, although due to phasing not all households would receive the full three year investment allocation. The commitments and investments would: (a) slow, halt, or possibly even reverse unsustainable resource uses by local people (e.g., grazing, fuel wood removal, NTFP removal, poaching) (b) partially offset negative economic and cultural impacts of PAs on local people (especially vulnerable groups such as tribals and women) and (c) help enable local people to meet their basic needs in an environmentally sustainable manner. 7. Special Programs. This part of the project would: (a) Support joint forest management of about 700 ha in two PAs (at about US$342 base costs per ha annually beyond the scope permitted within the standard village ecodevelopment budget constraint, thereby reversing the ecological degradation of areas surrounding the national parks and sanctuaries (b) provide compensatory alternative livelihood opportunities and cultural continuity activities to people in the PAs who have been most severely affected by PA establishment and reduce population pressures within national parks and sanctuaries; to do this use voluntary relocation (estimated total base costs of less than US $440,000, averaging US$1180 base costs per participating household, of which about 50% would be spent on support services for consultation, participatory planning, and monitoring, and 50% spent on direct compensatory support) (c) increase flexibility by providing discretionary funds (limited to 18% of the total investments associated with reciprocal commitments) for supplemental investments to be identified by PA officials and agreed by local people that would be made outside national parks and sanctuaries, that would benefit PA biodiversity conservation and local people. Outputs from Environmental Education, Impact Monitoring and Research 8. Environmental Education and Visitor Management (averaging US$180,000 base costs per PA) would: (a) produce an explicit strategies for environmental education/awareness and visitor management ecotourism activities focused on the project PAs (b) expand public understanding of and support for conservation of the project PAs. (c) reduce adverse impacts of visitors (d) develop new incentives for local people to support PA conservation. Staff Appraisal Report 294 Annex 21 9. Impact Monitoring and Research (averaging US$5 10,000 base costs per PA). This part of the project would provide a factual basis for decision making. It would: (a) produce an explicit strategy for impact monitoring and research on the project PAs (b) provide both accountability and a basis for improving project design on an ongoing basis (through the project period by measuring project impacts and effectiveness, comparing with initial expectations, and recommending appropriate adjustments ) (c) provide critical ecological and socioeconomic information, including information on cause-effect relationships, needed to improve guidelines, policies, and strategies for PA management and village ecodevelopment in the project areas and (d) increase contractual monitoring and research capacity. Outputs from Overall Project Management 10. Overall project management (about US$340,000 per PA for PA-level project administration, US$860,000 for basic national level project administration, US$100,000 for translation and publicity; US$140,000 for national policy and strategic framework studies, US$1,060,000 for national-level implementation guidelines and capacity development; and US$830,000 for national-level implementation review). Such management would assist in the integration, timeliness, dissemination, quality, accountability, and adaptive management of project implementation by providing administrative, financial, communication, technical, and review services: Outputs from Preparation of Future Projects II. Project preparation (averaging US$780,000 per project for three projects --budget based on past preparation requirements of large scale biodiversity projects) would improve biodiversity conservation prospects in other areas by providing a portfolio of biodiversity project proposals eligible for GEF, IDA and other donor consideration. Measurement of Benefits 12. The feasibility analysis and justification of this project is not based on quantified financial and economic rates of return. Currently available methodology for quantifying the biodiversity benefits of this project would result in estimates of relative weights for various benefits that would not be consistent with judgments by specialists. Therefore, such quantification would not provide a useful basis for decision-making. The project design does incorporate a process approach to the analysis of village ecodevelopment investments' financial feasibility, a process which also incorporates technical and social considerations. The small size and variation in site conditions of village ecodevelopment This would include identifying negative impacts of PA establishment and reciprocal commitments on vulnerable groups, especially tribals and women, and developing appropriate mitigation measures. Staff Appraisal Report 295 Annex 21 investments would make detailed site specific feasibility review prohibitively expensive. To ensure cost effective feasibility assessment, selection of investments within a fixed budget constraint, the requirement that beneficiaries contribute their own resources, and monitoring would give local people incentive to seek expert advice where necessary and to take responsibility for selecting investments that maximize their well-being (within the eligibility constraints). The project would use written guidelines (e.g., Annex 8) and specialist review to address generic issues, ensure that feasibility requirements are met, and provide experimental learning and adaptive management through the dynamic planning, monitoring and adjustment processes. Alternatives, Public Sector Role and Fiscal Impact 13. Consideration of Alternatives. The project PA management planning and village ecodevelopment microplanning provide for continuing, participatory consideration of alternative investments options (e.g., works to restore ecosystems, livelihood investments to replace unsustainable resource uses) and their comparative costs and benefits throughout the project period. 14. Public Sector and Non-governmental Roles. The project directly addresses environmental externalities that require public sector initiatives. However, the project also maximizes private sector involvement by (a) using an incentive mechanism to create a partnership with local people for conservation, (b) developing ecotourism strategies that include careful consideration of private sector roles, and (c) relying on contractual services rather than an expansion in government staff. The project design allocates substantial responsibilities and resources to non-governmental entities, and supplies a small amount supplemental resources directly to government in order to build capacity. Of the total project costs, about US$31 million (46 percent) would flow to EDCs and US$17 million (25 percent) to NGOs, academic institutions, and other contracted specialists. Most of the US$2 million PPF (3 percent of total project costs) is also flowing to NGOs, academic institutions, and EDCs. Project expenditures flowing to government would comprise about US$17 million (25% of the total project costs) for works (that would be labor intensive and would employ local people), goods, travel, salaries of existing staff and operation and maintenance. 15. Cost Recovery. Cost recovery of the village ecodevelopment investment funds would not be appropriate. The Government would provide the funds, not for the purpose of development itself, but rather as an incentive for local people to forgo use of PA resources. Furthermore, project funds would only partially compensate for local people's total socioeconomic losses that stem from the original establishment of the PAs. 16. Fiscal Impact. The project design includes several provisions such as budget constraints, use of state budget norms, required investment contributions from local people, a high degree of transparency, and extensive implementation review to keep government expenditures at reasonable levels. The project PAs were selected in part because the costs of protection were thought to be low relative to other PAs with comparable biodiversity values and needs for strengthened protection. Project expenditures would represent only an insignificant fraction of the total state forest departments investment budgets. Incremental operation and maintenance expenditures are Staff Appraisal Report 296 Annex 21 minimal. The net fiscal impact is kept as small as possible and the concessional financing of GEF and IDA makes this impact even smaller. The project itself is completely affordable. However, the project does represent a significant increase both in the state forest department expenditures on wildlife and in the total development ("plan") budget flowing through the MOEF. Furthermore, large scale replication without new sources of financing would raise issues of long-term fiscal impacts. To address these long-term concerns, the project includes studies at both the PA level and the national level on financial sustainability and related topics such as ecotourism (see Annexes 7 and 11). Risk Analysis 17. This project is not for the faint-hearted. It has significant risks. Nevertheless, the project should proceed because of the importance of conserving biodiversity, the critical role of local people in conservation, and the potential of this project to provide the foundation for long-term solutions to the challenging problems that India faces. 18. Pressures External to the Project. The pressures of population growth, poverty and commercial interests may undermine project efforts, at least in some of the PAs. While the project includes activities, institutional mechanisms, and a legal covenant designed to address regional issues, it is not possible to fully address these risks within the project design 19. Dangers of Unrealistic Expectations. The status of biodiversity is likely to continue to decline in the project areas. It would be unrealistic to expect the project to have an immediate impact or to be able single-handedly to completely halt biodiversity degradation. Similarly, it would be unrealistic to expect that the project would be able to completely redress past negative impacts of the PAs on local people. Furthermore, biologists and social scientists have different perspectives and agendas that are sometimes impossible to fully reconcile. The project and financiers face significant risks of being associated with and blamed for negative trends and unmet needs, even if the project succeeds in slowing the decline and addressing some needs. To address these risks, project objectives clearly emphasize "reduction in" not "elimination of' negative impacts, project preparation has included extensive efforts to communicate the project objectives, and monitoring assessment criteria would further specify realistic expectations. 20. Extensive Time and Commitment Required to Achieve Participation and Trust. The participatory emphasis is new and will take time. Risks involve: (a) insufficient state government staff commitment to local participatory decision-making; and (b) insufficient trust of local communities, disadvantaged groups and NGOs in government initiatives. To encourage sustained state government commitment to participation, the project would allocate financing annually according to a review of work plans and progress reports and avoiding a "blueprint" approach. To facilitate a gradual increase in trust, the project would use participatory planning processes; include careful, comprehensive, and transparent monitoring of social considerations, and assign important roles for NGOs. Staff Appraisal Report 297 Annex 21 21. Limitations in Technical Implementation Capacity. India has a limited supply of technical expertise. Both the Bank and India have limited experience with process- oriented project design. Appraisal assessments of implementation capacity have helped determine project scope, and detailed documentation provides guidance on project processes. 22. Inadequate Management Support. Potential risks include: (a) weaknesses in motivation and qualifications of project staff; (b) delays in bureaucratic processes involving flow of funds, (c) cumbersome logistics in arranging and processing contracts, and (d) poor assessments of project performance and/or poor use of assessments to adjust project design. The detailed specification of organizational responsibilities, administrative structures, staffing plans, contracting arrangements, agreed performance indicators, and ongoing planning and adjustment processes would help to ensure adequate management support Activities funded by the Project Preparation Facility prior to negotiations further demonstrate that sufficient management capacity exists. 2 Risk Ratin by Comonents Assumption Over- PA Vill Env Mon. Proj Fut Risk Minimization all Man Ecod Ed & Man Proj Measure Res External Pressures: med med med low low low low Project activities, The pressures of institutional population growth, mechanisms, and a poverty and legal covenant that commercial interests would address regional will not undermine issues and impacts of project efforts non-project activities. Political med med med low low low low Clear emphasis in Expectations: The to to to project objectives on project and high high high "reduction in" not financiers will not "elimination of' be associated with negative impacts, and blamed for extensive efforts to negative trends and communicate the project unmet needs, and objectives, specification will be able to of realistic expectations handle the different in monitoring perspectives and assessment criteria, and agendas of biologists inclusion of conflict and social scientists resolution mechanisms. 2 Likelihood that critical assumption will not be valid. Staff Appraisal Report 298 Annex 21 Risk Rating by Components l _l Assumption Over- PA Vill Env Mon. Proj Fut Risk Minimization all Man Ecod Ed & Man Proj Measure Res Participation and med high mcd lowx low med low annual allocation of Trust: Government project financing staff will be according to a review of commited to local w ork plans and progress participaton' reports and avoiding a decision-making "blueprint" approach. and local use of participaton, communities, planning processes, disadvantaged including careful. groups and NGOs comprehensivc, and will trust the transparent monitoring government of social considerations; initiatives of project and assignment of important roles for I_NGOs Implementation med low med low high med high Project scope Capacity. Project determined by appraisal will have adequate assessments of technical expertise implementation capacit; and develop provision of guidance operational skills on project processes needed to implement through detailed process-oriented documentation project design.s Management med low med low med med high Detailed specification of Support Project organizational managers will be responsibilities. able to process administrative contracts, structures, staffing administer fund plans, contracting flow, and handle arrangements, performance review performance indicators. efficiently and and ongoing planning effectively. and adjustment processes. Also using PPF to demonstrate that sufficient management capacity exists. 3 Likelihood that critical assumption will not be valid. Staff Appraisal Report 299 Annex 22 Annex 22: Documents Available in Project File I Indicative Plan (as revised October 1994) 2 Background Information on Biodiversity in India 3 Ecotourism Working Paper 4 Finalized Staff Plans for Each Protected Area and MOEF 5 Institutional Development Working Paper 6 Detailed Cost Tables MAP SECTION IBRD 27842 INDIA W S all ECODEVELOPMENT PROJECT BENALBuxa Tiger INDIA BENGAL +_sURxesaResere To Dispu, BUXA TIGER RESERVE JolpOiguri WEST BENGAL 0 100 200 300 BUXA TIGER RESERVE BOUNDARY KILOMETERS SANCTUARY (> OBalurghrat |. ; ]CORE AREA/PROPOSED NATIONAL PARK / | RESERVE FORESTS ROADS IngriuaO To DBalarompur > pToDhokko O VILLAGES/VILLAGE ENCLAVES Aurangabad Swri 7 * FOREST REST HOUSES Banpur ' ' - STATE BOUNDARY Banlta '4 - - - INTERNATIONAL BOUNDARY Purulia Chunchuro To Raipur Hao ALCUTTA Buxa Ti er Reserve is situated in northern West Bengal's Jalpaiguri district, on i /rjO the border with Bhutan and the state of Assam It covers an area of 761 km', ur with a core zone oF 314 5 km' designated as sanctuary 1117 km2 proposed national park). 0 5 10 15 ToBhubaneshwor .- KILOMETERS B H U T A Nt| _ 3 8 > t;Duor ~~~~~~~~O ,st lickeX The bo.iodanes, colors. deoonomiahons aind any etSer iomheriaon J show'n or tS mop do not lemply. on the port ot tir World Rook- Group. any udg,nens or the Iegal sbtous of any territory, or any eodorseemenr or aoeptonce oF such oaundairies cil~~~~~~~~~~~~~~~~~~~~~~~~~UY19 IBRD 27843 INDIA ECODEVELOPMENT PROJECT -._, .- GIR NATIONAL PARK AND SANCTUARY Parp :A GUJARAT Bhuj0 MThesano ° ,As t A tGA~~~~~NDHINAGAR Raztion _ GIR WILDLIFE SANCTUARY BOUNDARY S ' drnoa Ahmodobod Y GIR NATIONAL PARK BOUNDARY dhrado -- CORE AREA _ngo --dodara BUFFER AREA Bbakar ROADS . BhA>I-ro- - > RAILROADS unagadh Am _ rt 5 TEMPLES G, Noctonal FPrk To A NESS __- Ahwa , o SELECTED REVENUE VILLAGES ON GUJARAT -DIu vaIsad PERIPHERY OF SANCTUARY SILVASSA * FOREST SETTLEMENT VILLAGES 0 100 200 300 TALUKA HEADQUARTERS tILOMETERS To Bombay - - - - DIVISION BOUNDARY G,r Nationlo Park and Sanctuory s locatedm the Kathiawor Per-nsula in Saurashtra, Gujarat The entire Protected Area covers 1 412 km' of which 258 km2 is Nat,onal Park and I 154 km2 s G,r W,idlIfe Sanctuary VISAVD < ) DHARI Mnri'pur p (Xt MENDARDA 0 Snttdk 0 nndia Natalia c\ (~~~~J Semard A& Nvi-Abvoni AMRELI DISTRICT Panchal; v}Knmlswor > ^ n n s Hadal t KHAMBHA ; e / - t>_ K ~ ~ ~ ~ ~ ~~~~~an k lioi a ripur_ ® MALIA Mirnvel Dodh/ TAIALA S. t hdnn JUNAGADH DISTRICT 13VERAVAL / / 1 8 ~~~~~~~UNA 0 5 10 15 20 25 -- c.snd6,im. cedon, d.,- o ,ieoiiop n Omp oth. WrWnso4 I I I I I I ,l __ ,,*siasoop rd ooinrp1y.on pa,toSIlBWode KILOMETERS Arabian Sea I4hgoI sbw orony JULY 1996 IBRD 27844 To N-ndad INDIA KARNATAKA -* ECODEVELOPMENT PROJECT AND GOATAKA NAGARHOLE/RAJIV GANDHI NATIONAL PARK T. -b y ' To Hyd-bod KARNATAKA '=-~ NATIONAL PARK BOUNDARY CORE AREA PANAJ 9" NON CORE AREA T. Cuddopob m TOURISM ZONE STATE FOREST BOUNDARIES -- ROADS O VILLAGES/VILLAGE ENCLAVES kAg - - - - DISTRICT BOUNDARIES -''-S STATE BOUNDARY M.d.k- Nag-rhole Notionol Pork, in the Kodagu and Mysore districts of Karnotako state, 100 2 , covers and area of 643 km-. wth a core zone oF 192 km2 and a tourism zone of Ilokm2 KILOMETERS Anechukur Siddapur , 8 ^9~~MYOR KODAGU / DISTRICT // KILOMETERS I) o d r a b air~~~~~~~~~~~~~~~~~~~~~h Tboondanrs. coors. doniosnionosod ny ofw iitmorniocon 'o-n on Ihi map do no- impl. wonk. thep pof The Worsd fonk r ~ KERALA G-op, any,o,dg-mct -onFtr legal.sa of ony( ty or-ny end-rsement or ..ctoc. of sock b19d96- JULY 1996 IBRD 27845 INDIA Beto BIHA R ECODEVELOPMENT PROJECT PALAMAU TIGER RESERVE BIHAR p PALAMAU TIGER RESERVE BOUNDARY T. CORE AREA Ara BUFFER AREA G a -- PROPOSED BETLA NATIONAL PARK BOUNDARY Nomodoh TOURISM ZONE Dumko | AREA OF THE TIGER RESERVE EXCLUDED FROM THE SANCTUARY Hazaribag k r AREA OF POTENTIAL INUNDATION FROM KUTKU DAM DIltengonj 0 l1),. ROADS Polonroo Tgr -1 RAILROADS Rese calcOtfo * FOREST REST HOUSES O VILLAGES/VILLAGE ENCLAVES * RANGE HEADQUARTERS - _ _ _ . DISTRICT BOUNDARIES _ . _ STATE BOUNDARIES To N.gp. . \ . ~ ~ ~~~ ~ ~~~0 100O 200 300 \1 . ~~~~~~~~KILOMETERS Polomaou Tiger reserve, loccted in dhe Palomou district In \ sou-hwest Bih,or s 1.026 km2 in orea The core zone B encompasses 213 kin2, 766 km2 of the buffer zone form, the Palamao Wildlife Sanctuary, and 47 km2 s reserve forest Some 29 km2 of this area is designated as a tourism zone An area of 225 km, covering the current core area plus a X- pohrtin of the soncturay is the intended area of the proposed Beda Notional Pork / < 59 ~~~~~~PAAAU DISTRICT The boundaries colors deoa,n,noiiaos and cry oslrzr inlormuson ~ ~ ~ ~ V Q t~ts rtvo *1s a}-oo~~~~~~~~~~~~~~~~og If Group ~~ ory udn,n on sir eo srs ciayrriyo n MADHYA l :.:A'. PRADESH , 00x- / / i l ~~~~~~~~~~~RANCHI DISTRICT shown -,h,, -p d -ot .ply h.po Nrlf rh. WrrldiJn 8-_O 2 3 45 G-up ony udgm-t -n he ieo -ets foy rrb oon_ , I II I I I endorse.,eni or -c,ep-ce af sorb bounda-ies - KILOMETERS JULY 1 996 IBRD 27846 INDIA ) ECODEVELOPMENT PROJECT PENCH TIGER RESERVE . ' o - MADHYA PRADESH 0 PENCH TIGER RESERVE BOUNDARY K.,lU9C,So t Shgh, | CORE AREA/PROPOSED NATIONAL PARK .Ise" , o BUFFER AREAS H. h i ro PENCH WILDLIFE SANCTUARY Chh.d- RESERVED FORESTS I r o8'a'' / PROTECTED FORESTS SUBMERGENCE AREA / r REVENUE AREAS MADHYA MA N ROADS SECONDARY ROADS PRADESH RAILROADS . - 0 VILLAGES ________ _____ - - - -DISTRICT BOUNDARY - - STATE BOUNDARY ___ L-coted or the Seoni acd Chhindwroa ds,r,ct,s of M.dHyr Pradesh Pench T,ger Reserve covers on area of 757 km ,w-h a core zone inlended nahonol parkl of 293 k,n o lor,sn, zone (irrencede not,owal porkl oF 55 km2. o -Ildlife soncr,oy of 118 km: aond 308 ken of reserve and prolected forests -= r~~~~~~~~~~~~~~~EONI 0 5 1 0 I S 20 25 1 1~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~UY19 KILOMdETERS A 9 ~~Bichhuot C HIN NNg MO DI ICT , <;0 w _}~~~~~~ %\ !/75ha w o~~~kaw a a _cr f / _ .- f M A H ARA Ihbondols olrsdeomnpFosadn oentrCln stow} ondPe pp o no mpl anduc nnJoULY Wod t996 IBRD 27847 To Korvvcr INDIA ECODEVELOPMENT PROJECT PERIYAR TIGER RESERVE KERALA Cannon., , PERIYAR TIGER RESERVE BOUNDARY i ....... ...PROPOSED NATIONAL PARK BOUNDARY CoIlppurarm To Solem CORE AREA KERALA BUFFER AREA/SANCTUARY Trichur LIZ! TOURISM AREA/SANCTUARY .raum ROADS E,nk Idukkio* fi TEMPLE Kott" y m O VILLAGES/VILLAGE ENCLAVES Alleppey Ci'/ 1o:. - - - - DISTRICT BOUNDARIES Quilon - ' ' ~ STATE BOUNDARY TRIVANDRUM The Perryar Tiger Reserve located in the Idukki district of Kerala. covers an area oF 777 km. fnch 350 kn2 s the core zone (national park), 377 km2 s sanctuary 0 100 200 300 buffer zone and 50 km-2s a sonctury tourism zone I KILOMETERS 0 S 10 15 I I I I KILOMETERS IDUKKI DISTRICT R ICdevi T. k ntkdy pan aI l_ a Ml KOTTAYAM '^)'/ . DISTRICT % -- iqm f Graupr an. u.-nen an+ -S ti. ega sttsa n errr.a eareat pa a'eptane uf rn Y TAMIL 5 e'^;rx!$' -VJNADU G2UILON DISTRICT t The ivo-ndrl o,- r, d--osa-n ond ony o^reth.-f-w- bown on th, -op do -o ImE o h. p.r of Th. W,ori 8-n Go-p crmy I.dgmen on h. 4=i IhhS of ..y -erioy.o n -dc-t .....or acpl-c of -vc, ho-ndc-, IBRD 27848 INDIA RAJASTHAN G J tt cird[orIn ECODEVELOPMENT PROJECT RANTHAMBORE TIGER RESERVE . ( / ' RAJASTHAN j 0| RANTHAMBORE NATIONAL PARK rSkr O BOUNDARY ) CORE AREA L Jo soIrees- - ° Ogar- RANTHAMBORE TIGER RESERVE BOUNDARY BUFFER AREAS T ' SANCTUARIES Bo-ree: KAWAUI GAME RESERVE So o ssow dhopr P Flk 1 T RESERVED FOREST AREAS O °i Bropo ROADS , - Sj ohs i- RAILROADS _20<- 10OIdW . E9 0 VILLAGES/VILLAGE ENCLAVES T. .fJoor R / 0 o ^oi/ STATE BOUNDARY 0Dongorpo Monsd J,, 0 100 200 300 eBo'no° KILOMETERS '-. ( Jo Atscrubod Localed in the S-ior Modhopvr ds,ict is southecslern R.josthos the Ronthombhore Tiger Reserve covers on area of 1.334 6km, cons sling of o no,rona pork of 392 5 knr (274 5 kmn core zone ond 1 1 8 km2 boAer zone) the S-a,o Mon Singh Sanctuary 1 27 6 kin), Kelodev, Sanctucry (674 km'). Ko-oli GoCme Reserve (7 6 km-) ond some reseroed forests (132 9 kmI') { | ~~~~~~~~~~DISTRICT =, ANCTAYH.dot, SANCTUARY MokhoIO'0t6 °° m- SUIhWO 0/ X7 K h0lo< W O Lo2dl0 2* w S J S~~~~~~~Rar*amo 0 OBeh,oondo . Kus° )Jf Mel Kolcon &. MADHYA RowiocsK \- ~ PRADESH / }r IlzeSAmlpur ]S0O O Do.lofpwro Kh .OI t A f _. ' SAWAI T ) / - ~~~~~SANCTUARY 5 5 20 5 t 8 ~~~~~~~~~~~~~~~~~~~~~~~~~~~19 1 1Q 152 KILOMETERS Jerror udoses colors Oenoo,,os,ocsrndono o>he. n,mo,ssos sosssnrriirp do sos .ssspsr tlstr shn pot or Ton TW, fI Br Cr-p oo,,roigorerrrorrllrnlegon-sorrr. ns' o- 19 96 JULY 1996, IMAGING Report No; 14914 IN Type: SAR