Improving Government Regulation and Key Impacts of Rubber Concessions in Lao PDR Lao in Concessions Rubber of Impacts Key and Regulation Government Improving

CEU eTD Collection

A thesisthe DepartmentofEnvironmentalsubmitted to SciencesPolicyUniversity and European ofCentral in Improving g Improving part fulfilment ofthe Degreepart ofMaster ofScience and key impacts keyimpacts and

concessions in in concessions overnment regulation regulation overnment

Lao PDR Lao of rubber of rubber Niko lai Beresnev August 2013 Vientiane

CEU eTD Collection University. European from theHeadis available ofSciences of theDepartment and Environmental CentralPolicy, Further which conditionsunder informationdisclosures onthe andexploi Master thesis, European University, of Budapest. Central Science 2013. N. Beresnev, (3) the of permission written the without parties third willUniversity, prescribe which theterms conditions such and of agreement. by any use for available made be not may to agreement prior any to subject University, European Central the in vested (2) of the Author. su with accordance in made copies of process) any (by copies Further made. copies such any of part form must page This Librarian. the from obtained be may Details Library. University European Central the in lodged accordance in only made be may extracts, of or full, (1) Notes on the copyright propertyintellectual ownershiprights: and of

For bibliographic and reference and For purposes bibliographic should this be thesis is thesis this in described be may which rights property intellectual any of ownership The in either process) any (by Copies Author. the with rests thesis this of text in Copyright

Improving government regulation and key impacts of rubber concessions in Lao PDR Lao in concessions rubber of impacts key and regulation government Improving

ch instructions may not be made without the permission (in writing) writing) (in permission the without made be not may instructions ch ii

with instructions given by the Author and Author the by given instructions with

referred toas: tation may take place take tation may

the contrary, and contrary, the

CEU eTD Collection of this orqualification for otheruniversity degree orany orother another institute oflearning. application an of support in submitted been has thesis this in to referred work the of portion No Author’s declaration

iii

Nikolai Nikolai BERESNEV

CEU eTD Collection monitoring. approval, impact, Keywords: the with sharing data compliance ensure to place in put Reg process. approval concession be should balances and checks and possible, land nationwide The PDR. Lao of Government performa The the processes. improving monitoring and for approval responsibility concession inadequate and communities, nearby N con of monitoring government because non virtually ascertain to difficult are impacts social benefits biggest the are concessions the by provided provide and causes land their recognise Laos, agricultural of loss in the that show findings The improved. be can they concessions how on recommendations rubber of impacts key identify research of f range a (including a methods Using undocumented. socio largely their are 2012, impacts in environmental ha and 200,000 economic reaching concessions rubber to allocated area the Despite for through primarily concessions, PDR Lao years, 10 last the Over impacts of rubber inLaoPDR concessions offor MasterScience thedegree of Nikolai OFABSTRACT THESIS gtv ipcs f ubr ocsin stem concessions rubber of impacts egative

s h bget ore f ocr fr oa cmuiis wis epomn ad income and employment whilst communities, local for concern of source biggest the is BERESNEV

natural rubber, Lao PDR, concessions, environmental impact, socio rubber,Laonatural PDR,concessions, impact, environmental - among existent.

relevant government authoritiesessential. arealso

ield CENTRAL EUROPEANCENTRAL UNIVERSITY -

level examination of five rubber concessions), this study seeks to to seeks study this concessions), rubber five of examination level submitted by

ular and extensive monitoring, and improved collaboration and collaboration improved and monitoring, extensive and ular

has experienced a significant expansion of large of expansion significant a experienced has

in iet netet rm ita, hn ad Thailand. and China Vietnam, from investment direct eign and

entitled: :

c o te nuty hs is agl wt the with largely lies thus industry the of nce iv

largely largely I

titling mproving regulation government key and Month andy

rm h lc o scr ln tnr for tenure land secure of lack the from process should be completed as soon as soon as completed be should process Unfortunately ear ofear submission: ms e most ,

nvironmental and and nvironmental - economic economic August - scale rubber scale cessions is is cessions

201 3 - .

CEU eTD Collection months. for L the fieldtrip. Soulimeuangchan Alounnothay Phonesavanhto you thank three the during humour of sense perpetual a and enthusiasm work, Seng (NERI) importantly Most benef openness companiesand rubber ofvillagers. theinterviewed greatly also study The cooperation. their for ministries other and Investment and Planning of Ministry the of staff interviewed the thank to like would I analysis. collection and data Natura the from Sylla Stefan inv their for Bern) of (University Environment and Development for Centre the from Schönweger Oliver and Hett Cornelia Heinimann, Andreas team PEI Saignaleuth the Chindaphone thank to like would I PDR. This Szabados. Science Environmental the throughout headedness thank to like would I Firstly, ACK astly, I would like to thank to like would I astly,

putt - Arloun, Arloun, research NOWLEDGEMENTS ,

n u wt m feun dsperne ad epn m sane me keeping and disappearances frequent my with up ing

You guys are great. guys are You without whom this studythis whom without

Phonesavanh a fne b te UNDP the by funded was , I would like to thank the staff of the Natio the of staff the thank to like would I , s

– n Plc, atclry ln Watt Alan particularly Policy, and Sittideth

Sittideth for their encourage their for

l Resources and Environment Information Centre for his help with help his for Centre Information Environment and Resources l project my family, CEU classmates CEU family, my

azo Pinter Laszlo

and

would not have been possible. been have not would

A i tak o t al tf a te E Dprmn of Department CEU the at staff all to you thank big A . for her assistanher for , Bounmy Southphila and Keo Duangpaserth for their hard hard their for Duangpaserth Keo and Southphila Bounmy , Amphaphone Sayasenh was Sayasenh Amphaphone - NP Poverty UNEP

for his his for v ment and support. and ment –

atclry ahn ebl Pu Steele Paul Leibel, Nathan particularly ce and patience with translations. patiencewith and ce supervision, supervision, lal avc. a as vr grateful very also am I advice. aluable ,

and friends in friends and -

niomn Iiitv (E) Lao (PEI), Initiative Environment nal Economic Research Institute Research Economic nal Iia ece ad Krisztina and Herczeg Irina , td rm h coeain and cooperation the from ited A huge t huge A also esrd udne n level and guidance measured

A big thank you to Juliet Lu, Lu, Juliet to you thank big A - essential in preparation of preparation in essential week field trip. A special A trip. field week

Vientiane Vientiane

hank you to Saygnasak to you hank uig h ls three last the during and Bangkok and The help

and

of to -

CEU eTD Collection Chapter 6. Results Chapter 5. Methodology Chapter 4. Socio Chapter 3. Legal framework for concessionsrubber inLao PDR Chapte Chapter 1. Review of thenatural rubber industry Introduction List Abbreviationsof of Contents Table 3 2. 1. 6. 5. 4. 3. 2. 1. 4. 3. 2. 1. 2. 1. 3. 2. 1. .

r 2.r Rubber industry in Lao PDR The extentThe andcauses of key impacts in5 sample concessions Impacts documented in government data and case studies I Research limitations Developing recommendations onimproving concession approval and Field visits to 5rubber concessions Systematic analysis exist of Assessment government of databases Interviews with central Current moratorium on new concessions Concession monitoring Concession appro Land tenure Industry size and structure History of the industry Global production and consumption patterns Usage Cultivation, production and processing mplementation of the regulatory framework for rubber concessions

......

...... - economic and environmental impacts rubberof concessions in Lao PDR

......

...... val and management

......

- ......

level ministries ......

ing case studies ......

......

...... vi ......

......

...... monitoring ......

......

...... viii

12 37 34 29 29 27 27 25 24 24 24 23 21 20 19 15 13

8 7 7 5 4 3 3 1

CEU eTD Collection Append Appendix III. Questionnaires used during field visits Appendix Appendix I. Reviewed case studies Personal communication References Conclusion Chapter 8. Recommendations Chapter 7. Summary of findings 3. 2. 1. 3. 2. 1.

Criteria and indicators approvalfor and monitoring of rubber concessions Concession monitoring Concession approval Environmental impacts Socio Concession approval and mon ix IV.Documents collected during field visits

II. Impacts mentioned in27 reviewed case studies, by province ......

...... - economic impacts

......

...... itoring

...... vii ......

......

73 71 66 65 62 60 58 58 56 52 50 50 85 76 74

CEU eTD Collection MPI MoU MoNRE MOL mm MAF LFA Lao PDR LAK kg IUCN IMD IEE ha GPS GoL GIZ g FAO ESIA EMMP EIA DSLLC DPI DoNRE DoL DIIPL DEIA DAF CLPDR CIP CDE C&I C ASEAN ListAbbreviations of

degrees Celsius Association Southeast of Asian Nations Ministry of Planning and Investment Memorandum of Understanding Ministry of Natural Resources and Environment Ministry of Labour and Social Welfa millimetre Ministry of Agriculture and Forestry Land andForest Allocation Lao People’s Democratic Republic Lao kip(currency) kilogram International U Investment Monitoring Database Initial Environmental Evaluation hectare Global Positioning System Government of Laos Deutsche Gesellschaft für Internationale Zusammenarbeit gram and AgricultureFood Organiz Environmental and Social Impact Assessment Environmental Management and Monitoring Plan Environmental Impact Assessment Decree onState Land Lease Concessionor Department of Planning Department of Natural Resources and Environment (provincial level) Department of Labour (provincial level) Decree onthe Implementation of the Investment Promotion Law Decree onEnvironmental Impact Assessment Department Agriculture of and Forestry (provincial level) Constitution of Lao People’s Democratic Republic Committee on Investment Promotion Centre for Development and Environment criteria and indicators

viii nion for Conservation Natureof

and Investment (provincial level)

ati

on of theon of United Nations

(central level) (central level)

(central level)

CEU eTD Collection VIETRADE VC USDS USD UNDP UNCTAD TABI SMMP PEI OP OAF NREIC NLMA NERI

Office of Agriculture and Forestry (district level) Natural Resources and Environment Information Centre National Land Management Auth National Economic Research Institute Vietnam Trade Promo village committee United States Department of State United States dollar (currency) United Nations Development Programme United Nations Conference on Trade and Development AgrThe Social Management and Monitoring Plan Poverty Office of Planning (district level) - obiodiversity Initiative Environment Initiative ix

tion Agency

ority

CEU eTD Collection achieve environmental study this of aim The rubber overall the knowledgegap on a is there so water r and socio multiple Cotula 2009; Mann and Smaller to leased been have Asia and Africa in land of ha of millions years, 10 last the Over worldwide. topic debated investors foreign by land agricultural to Access plantations tree commercial 500,000 envisages 2020 Year the to Strategy Forest National ide Lao of Government rubber, T Thailand. and China Vietnam, large of expansion 2004 Since Introduction ntified agriculture as 1 as agriculture ntified ural infrastructure. However, they However, infrastructure. ural

concessions 3 urces and urces mrvd akt access market improved

outcomes: , a Pol’ Dmcai Rpbi (a PDR) (Lao Republic Democratic People’s Lao - economic benefits, including incomes for rural households, government revenue government households, rural for incomes including benefits, economic performance foreign

- oso adpeiul sd o ussec farming subsistence for used previously land of loss

scale in

Lao PDR Lao PDR investors for production of food food of production for investors

was rubber

(FS 2020) of rubber concessions in concessions rubber of

(GoL) 4 to

priorit .

his expansion is d is expansion his

concessions, identify t al. et ,

n n tep t eaiae hfig utvto. o has GoL cultivation. shifting eradicate to attempt an in n pooin f nertd rpig ytm b the by systems cropping integrated of promotion and y sectors for investment and industrialization, and and industrialization, and investment for sectors y .

socio

can also can 2009 and and - . Large ). economic and environmental impacts of large impactsof environmental and economic primarily through for through primarily ek as o improve to ways seek 1 –

cause

riven by increased regional demand for demand regional increased by riven via long via - Lao PDR Lao cl arclua concessions agricultural scale

forest and biodiversity loss, pollution of of pollution loss, biodiversity and forest and and - term biofuels ( biofuels

hectares .

Specifically, the study sought study the Specifically, leases or purchases or leases a eprecd significant a experienced has eign direct investment from from investment direct eign UNDP the

(

ha (PEI 2010) (PEI ) socio

of land to become become to land of - UNEP UNEP - economic and and economic Currently, . – a deliver can PEI

is a hotly a is the Lao the natural natural

- 2011; scale

CEU eTD Collection a GoL 7 and inChapters provided 8,respectively. to recommendations and findings of summary The 6. Chapter in provided results impact explained in industry rubber the structureof and industry. rubber natural the of review brief a provides 1 Chapter impacts of r on MPI’s into integrated be will concessio recommendations in agency key a is MPI (NERI) Initiative of officials GoL with interviews legislation, The

and and 3: Outcome Outco 1: Outcome 5 GoL’s regulat GoL’s

study used a range of research methods, including a desk review of existing literature and literature existing of review desk a including methods, research of range a used study ubr ocsin. h st The concessions. rubber s monitoring division within , a me 2: me is summarised in Chapter 4. Chapter 5 explains the methodology of the study, with with study, the of methodology the explains 5 Chapter 4. Chapter in summarised is (PEI) in Chapter 3, and the existing knowledge of their socio their of knowledge existing the and 3, Chapter in ubber concessions

Evaluate theimplementation regulatory ofthe framework for concessions rubber Identify Identify Using findings from Outcomes 1 and 2, and 1 Outcomes from findings Using and and by GoL by ion of the of ion implemented with support from the National Economic Research Institute Research Economic National the from support with implemented key should be altered toimprove be should socio Lao PDR

- economic and agriculture sector, and sector, agriculture

(both in d was udy ’ s

Ministry of apoa ad oioig ad t s niae that envisaged is it and monitoring, and approval n Lao PDR Lao Lao PDR

, analysis of GoL databases GoL ofanalysis , environmental impacts ofenvironmental rubb udd y h UNDP the by funded Conceptual findingsarepresented intheconclusion. 2 the the

. The legal framework legal The . processes develop recommendations on recommendations develop

Planning and Investment and Planning (MPI). and ingeneral). and i

mpacts ofconcessions rubber contribute . T he study he s

to the existing literature on the on literature existing the to

Chapter 2 discusses the history the discusses 2 Chapter - er concessions their causes and - NP Poverty UNEP economic and environmental environmental and economic

and a field a and also for rubber concessions in in concessions rubber for

how concession approval concession how sheds additional light additional sheds

- level level

- Environment examination

re re

CEU eTD Collection Province Fig. ( latex when morning, the in early or night at 3 in trees ev collection a and knife tapping a using manually, done is Tapping replanted are 5 after commencing 360 planting entails Cultivation rubber natural rubber Natural 1. Chapter UNCTAD 2007; No 2007; UNCTAD ery

1. . ubr apn ad n nutil ubr plantation rubber industrial an and tapping Rubber 1.

2 - Cultivation, 3

- days, with yields of50 withyields around days, 4 hours; the same person then collects the latex latex the collects then person same the hours; 4

( UNCTAD UNCTAD FAO2001 FAO1977; 2007;

Review of the natural rubber industry rubber natural of the Review is produced from latex of latex from produced is s rdcd from produced is - 7

ng Song Hong Yai Village,ng Song Yai pers. Hong Alton FAO 1977; comm.;

production production years. The productiv The years. - 450 and processing and

ee b Hevea re seedling tree

g oflatex

e life of a rubber tree is is tree rubber a of life e several rubber several rasiliensis oglto i mnmsd ylw i temperature air low by minimised is coagulation 3

per tree. per s

per per

, )

. omny nw as known commonly

ha Nn Sn Hn Yai Hong Song Nong , - yieldin On average, On average, 4 with ,

hours g trees. Almost all commercial commercial all Almost trees. g

olcin f ae (‘tapping’) latex of collection cup later. Tapping is usually done usually is Tapping later. 25

- 30

1 (Figure 1). (Figure

person can tap200 can person years, after which trees trees which after years,

et al. ‘ rbe tree rubber a Village, Saravan Saravan Village,

It takes place takes It

2005 ) .

- 300 ’ .

CEU eTD Collection frequency (Hicks 1 elevatorand belts, hoses, high for suited better t resistance and strength tear superior T s parti rubber contains effluent resultant processing rubber during required are water of field of Processing blocks. or ammonia. as coag Latex 1,000 a productive, fully haemploys plantation around500workers. Once used). (if fertilizer and pesticide of application and weeding to limited is work when phase, land initial the during above, indicated As (‘contract rubbera company farming’)or rubber Alternatively, including techniques, planting companies cultivation Rubber

ourc Estimates of labour requirements for tapping vary and depend on tree density, worker skill and tapping and skill worker density, tree on depend and vary tapping for requirements labour of Estimates i res and and res 2.

units es if treatment without discharged

Usage , with 1 with , ti ulates within a few hours of tapping; this can be can this tapping; of hours few a within ulates re tubes re which Rubber

et al.

kg of latex generating 300 generating latex of kg mly oa pol a labourers. as people local employ can take can

2009; Yao Tien andDakLak, pers. comm.). account for over half of half over for account

- can be sold as uncoagulated latex or as p as or latex uncoagulated as sold be can is

ubr utvto i a labour a is cultivation rubber performance tires performance clearance and planting and clearance cultivated in cultivated latex into dry rubber dry into latex sport goods place in large industrial plantations industrial large in place

the use of use small plo small , footwear, condoms gloves footwear, and , o heat up compared to synthetic rubber, synthetic to compared up heat o cles and other substances other and cles

( (UNCTAD 2007) (UNCTAD UNCTAD 2007 UNCTAD

independently (‘smallholders’) pesticide, fertilizer, and and fertilizer, pesticide, - 350 . I .

ts maintained by local farmers local by maintained ts global

t is reduced significantly during the tree the during significantly reduced is t take , 4

mainly for mainly rubber ofdry g

- natural rubber natural place in large processi large in place nesv process intensive uh lnain tn to tend plantations Such ).

Other products include transmission include products Other washing, churning and dilution and churning washing, prevented by adding chemicals such chemicals adding by prevented

rocessed dry r dry rocessed

(Kumara 2006) (Kumara which can pollute nearby water nearby pollute can which (Figure 1) (Figure machinery

1 consumption.

(Figure Epomn i highest is Employment .

( UNCTAD 2007 UNCTAD , ng plants or in small in or plants ng

ub under contract with contract under managed by rubber by managed 2 for ). ber sheets, crepes crepes sheets, ber .

natural rubber natural

Large quantitiesLarge

land clearance land utilise Because of its of Because - maturing ). modern

. The .

is .

CEU eTD Collection s Data Fig. quantities and harvested area produced (Figure of production Global 2007 UNCTAD Source: Fi 10,000,000 12,000,000 g. 2,000,000 4,000,000 6,000,000 8,000,000 2 3. 3 . Uses of natura Uses . . ource: FAOSTAT 2013 FAOSTAT ource:

Global n Global Global production and consumption pattern consumption and production Global 0 1961 atural rubber atural 1966 l rubber l

1971 natural rubber natural Area harvested (ha)

production and area harvested, 1961 harvested, area and production 1976 1981

has grown significantly significantly grown has 1986 Production (tonnes) 1991 3 5 ).

1996 - 2001 2011 s in the last 50 years 50 last the in

2006 2011

, both in terms of of terms in both , CEU eTD Collection s Data Fig. fortheir demand motor vehicles of consumers biggest the are Japan and States United China, rubber limited generally is cultivation t requires also tree Rubber growth. tree The hroughout the year. year. the hroughout 4 optimum . Vietnam ource: FAOSTAT 2013 FAOSTAT ource:

Global p Global 7.2%

rdcin wt Taln, noei ad aasa the Malaysia and Indonesia Thailand, with production,

Thailand

29.7% 19.0% Other

roduction of natural rubber natural ofroduction temperature for rubber cultivation rubber for temperature

Because such conditions are conditions such Because 7.9% India

Malaysia 8.8% to tropical countries tropical to

Indonesia

27.4% (UNCTAD 2007; (UNCTAD 2007; Alton

by country, 2011 country, by n nul anal f 2,000 of rainfall annual an 6

is 25 is

found at at found .

Asia accounts for over 90% over for accounts Asia

28°C; et al a latitudinal range of 15 of range latitudinal a . 2005). higher or higher aua rubber natural

igs producers biggest

- 4,000 lower temperatures retard temperatures lower

mm , primarily due to to due primarily ,

of global global of ,

vny spread evenly ° N and 15 and N

(Figure natural natural ° 4 S ) . ,

CEU eTD Collection Thailand and USD 122 66 USD are wages rural monthly comparison,minimum In 7,763). LAK 2 2009 rubber natural Census OfficeAgricultural 2012 to 2006 in ha 11,800 from dramatically, Fue interest from Vietnamese strong a experienced in established were plantations rubber First 2. R Chapter

Lao PDR’s national minimum wage is LAK 625,000 per month. This equates to USD 80.5 (USD 1 = 1 (USD 80.5 USD to equates This month. per 625,000 LAK is wage minimum national PDR’s Lao lle 1.     )

. Othercontributing facto

b frin netet t investment, foreign by d joining joining accessimproved market through reg transportationlow to costs due costlow of labour; countries VietnamThailand; and China, neighbouring to compared land plantable of availability high industry ofthe History

the Association of SoutheastAsianNations ( n egbuig China neighbouring in ubber industry in in industry ubber

261 in China (USDS 2012; XE Currency Converter inflow of investment from Chinese rubber compani rubber Chinese from investment of inflow and Thai and 2

rs include: ).

The primary cause oftheexpansio The primarycause he he

companies inthecompanies

area allocated to rubber cultivation cultivation rubber to allocated area proximity to China andproximity toChina improvingroad , over with

ional economic ional Lao PDR Lao Lao PDR Lao

200 consump 7

,000 ha today ha ,000 southern provinces

in mid in in upcn production outpacing tion

integration, including integration, ASEAN - 1990s.

( UNCTAD 2010; UNCTAD - 73 in Vietnam, USD 174 USD Vietnam, in 73 ) in1997 n In 2013).

is the growing demand for demand thegrowing is

2004, northern 2004,

( Hicks es, with an equivalent an with es,

has ;

s ; et al.

ic expanded since

Lao PDR MoNRE 2013; MoNRE particularly ,

(Hicks 2009 Lao PDR Lao ). -

240 in 240

t al. et

CEU eTD Collection uamnret GZ ad h Ntoa Ln Mngmn Atoiy NM, o a Land a now (NLMA, Authority Management Land National the and (GIZ) Zusammenarbeit a uses study This area. leased4 total of 1.0% than less constitute collective term‘concessions’ for and size in smaller much be to tend 3 2013) latest the to According S Fig.

ource: ource: This figure refers to area allocated rather than planted. It includes concessions and land leases; the latterthe leases; land andconcessions includes It planted. than rather allocatedarea to refers figure This oR 21 i uofca cneso dt cletd y etce eelcat ü Internationale für Gesellschaft Deutsche by collected data concession unofficial is 2013 MoNRE   2. 5

. 4

, Provinces Emapsworld.com 2013 Emapsworld.com

with an additional 66,5 additional an with Industry size and structure sizeand Industry country low cultivation cultivation rubber by provided fees concession low and exemptions tax generous import

of ( Hicks Lao PDR Lao ; and duties on duties

et al. GoL

(wi

o eue poverty reduce to 2009; 2009; PEI2010; 2010; UNCTAD Alton th amendments) th

both categories. 00 Lao PDR Lao data

ha managed by contract farmers and smallholders and farmers contract by managed ha , 1 65,168

’ s

rubber exports due to its stat its to due exports rubber

ha 8 3

n eaiae hfig ag shifting eradicate and

are are allocated allocated

rubber et al.

us as a least a as us 2005 GoL concessio iutr ad opium and riculture ). wih promotes which ,

ns ( Agricultural Agricultural -

developed (MoNRE (MoNRE CEU eTD Collection updated. being currently is dataThe will become official once theupdate process is complete and (NREIC, per. comm.). MoNRE of (NREIC) Centre Information Environment and 2007 Resource during MoNRE) within Department Management PEI 2010) export and processing rubber for responsible the between shared are yields rubber staff technical by supervised are harvesting and Cultivation labour. and land provide farmers the while market, the and technology capital, supplies company undertake then who farmers with Phongsaly, par provinces, northern in investors Chinese the with popular is farming Contract dependence onforeigncapital a their launching from to sales. and land including activities, all for responsible are Farmers plantations. manage and establish to capital and land own their use farmers individual is production Smallholder 201 mountainous of 2012 Office Census large smallholder a PDR Lao 0 ) .

nta capital initial The obvious advantage of the model is that farmers keep all profit. The main obstacle obstacle main The profit. all keep farmers that is model the of advantage obvious The .

Oudomxai

’ s and

expansion in expansion ad ra Hwvr te fig the However, area. land

68 )

% t The . own ventures. Due to delayed economic returns, rubber cultivation requires cultivation returns,rubber economic delayed to Due own ventures.

outlay and Luang Namtha Luang and is forested is generally limited to limited generally otal area area otal Lao PDR Lao ad ndqae iaca ifatutr in infrastructure financial inadequate and ,

( Hicks ,

rubber with consequent limits on land land on limits consequent with allocated to rubber to allocated et al.

is the is company

cultivation on their own land. I land. own their on cultivation 2009; Thongmanivong2009;

(Figure 5) (Figure r is ure inadequate

Luang N Luang

clearing (Hicks 9

substantial fres t 3:0 ratio. 30:70 a at farmers d . The . - 02 Te da The 2012. , procuring seedlings, planting, harvesting planting, seedlings, procuring , t al. et amtha amtha

access to credit, which prevents which credit, to access ( 2 31

investing company investing 09 Thongmanivong 2009; , 668 P

ie that given rovince rvdd y h company the by provided

et al. ha) suitable a s aae b te Natural the by managed is ta

thus constitutes thus

2009

(Figure 5) (Figure n the ‘2+3 the n ot of most

a for agriculture for a PDR Lao ; PEI 2010

signs h cmay is company The . In this model, model, this In .

a PDR Lao

’ t al. et

agreements iual in ticularly model, the model,

only only ) creates creates .

farmers

2009 ( and , FAO 1 .0%

a is a ;

CEU eTD Collection hns cptl Ti mas ht h sgiiac o frin aia i getr hn ugse by suggested than greater is capital foreign of significance the that government figures. means This capital. Chinese 5 China Vietnam PDR Lao origin Investor 1 Table to be Chinese, of Out concessions, as reliable managing harvesting. u to labourers wage as hired are populations labour sourcing material, planting technology, lease in particularly The yield small share of therubber stil whilst labourers, wage as work and land the provide farmers where emerged, 5 However C

- According to Hicks to According nrc frig s rfre b GL eas i aod alcto o ln t companies to land of allocation avoids it because GoL by preferred is farming ontract 10 years of operations (whilst trees are maturing). Consequently, an alternative ‘1 alternativean maturing).Consequently, are trees(whilst operations yearsof 10

ocsin oe is model concession larger (15 .

281 Approved

, the , - 61 to Vietnamese and 12 and Vietnamese to 61

70 years) of large areas of land land of areas large of years) 70 the

For the investor, the key advantage of the model is the high degree of autonomy in autonomy of degree high the is model the of advantage key the investor, the For and approved

‘2+3’ Champasa plantation

thus A 86 61 98 concessions

rubber concessions in concessions rubber pproved pproved

model t al et account for

rubber concessions rubber

data onsmallholders contractfarming and 09 t sas c also is it 2009, . c

( preferred often proves unstable due to due unstable proves often

Hicks Saravan

(Hicks

over 75% over

Total concession concession Total 39,217 85,595 30,020 (ha) area t al. et to Thai. However, However, Thai. to

and Savannakhet and by Lao PDR Lao et al.

itaee n Ta ivsos n oten provinces southern in investors Thai and Vietnamese 2009

ommon for Lao companies to be unofficially funded with funded unofficially be to companies Lao for ommon

2009; Thongmanivong

land a land Lao PDR Lao ). to , 2013 ,

10 drae lnig te mitnne n rubber and maintenance tree planting, ndertake The rest of this report will focus on rubber rubber on focus will report this of rest The cmay which company, a llocated for rubberllocated concession (

rbe processing rubber ,

Vietnamese and Chinese and Vietnamese , 98 , (Figure 456 1,403 306 (ha) area concession Average a

lack of income for farmers for the first first the farmersforfor income of lack

are allocated to Lao companies, companies, Lao to allocated are

. et al. The model entails a a entails model The in Lao PDR is

2009

epnil fr capital, for responsible n mreig Local marketing. and a ; PEI 2010). 23.7% 51.8% 18.2% conces oftotal Share

is limited. concessions tend tend concessions Table

+ sion area (%) sion area 4 rtiig a retaining l ’

model hasmodel

long 1

)

. 5

- 86 term

, .

CEU eTD Collection (VIETRADE 2013). 6 and primarymarket.ascapital a for headed and production rubber 2013 90% Over s Data Total Other Thailand

Vietnam Trade Promotion Agency states that 57% of Vietnam’sTradeVietnamPromotionrubber that 57% of is production Agency states ).

ource: MoNRE 2013 MoNRE ource:

Consequently, most notreachedphase. thetapping plantations have

of China. rubber 281 24 12 6

concessions us China plays a key role in role key a plays China us

export could not be obtained, but it appears that most of the of most that appears it but obtained, be not could export

in 165,168 6,913 3,423 Lao PDR Lao

11 were

the industry the

ap proved within the last 10 years 10 last the within proved 588 288 285

, acting both as a major source of of source major a as both acting , National 100.0% 4.2% 2.1% exported to Chinaexportedto

- level level exports are exports

( MoNRE MoNRE data

CEU eTD Collection administrative of branches theministry. Province a office (MoL) Min include ministries Key includes: tothe approval related Legislation 3. Chapter          sr o Arclue n Forestry and Agriculture of istry

(Figure 6) (Figure Evaluation] Evaluation] onListAgreement of Projects IEE Investment subject to Environmental on Decree Assessment Impact theImplementation on Decree of theInvestment LandLease State on Decree orConcession ( onInvestmentLaw (2009); Promotion Forestry (2007); Law Labour Law (2006); (2003); Land Law Protection (1999); Law Environmental te itit ee, .. eatet f lnig n Investment and Planning of Department e.g. level, district the t

and Office of Planning Planning of Office and Legal framework for framework Legal . E and EIA EIA and ach ministry has a corresponding department at the provincial level and an and level provincial the at department corresponding a has ministry ach MPI

, the Ministry of Natural Resources and Environment (MoNRE), the (MoNRE), Environment and Resources Natural of Ministry the ,

[Environmental Assessment] Impact ,

operation operation

(OP), MF ad h Mnsr o Lbu ad oil Welfare Social and Labour of Ministry the and (MAF)

and monitoringand rubber concessions in concessions rubber

eo District Xepon 12

DSLLC DSLLC

( DEIA DEIA Promotion Law ( Law Promotion 2009); of rubber concessio 2010); and 2010); . eatet ad offices and Departments [Initial Environmental (2010).

DIIPL (DPI), Savannakhet Savannakhet (DPI), Lao PDR ns in 2010); Lao PDR

are are

CEU eTD Collection land, agricultural referred In capital was resources forest of exploitation open was hunting and agriculture recognised were boundaries Village P such instances,th investors to rights ( Constitution the of 13 Article Fig. CLPDR 2003 CLPDR ir o 1990s, to rior the early 1990s early the

1. 6. Administrative divisions of ministries divisions Administrative 6.

( Land tenure Land Fujita Phanvilayand 2008 . o s ad n Frs Alcto (F) LA sought LFA (LFA). Allocation Forest and Land as to

Lao The state reserves the right to right the reserves state The ) households households . Under the Land Law Land the Under . oml ad use land formal and and e statecompensation” must “appropriate pay , GoL commenced a land use planning and land allocation process, commonly commonly process, allocation land and planning use land a commenced GoL , allocate formal land use rights to rights use land formal allocate

n organiz and

). ihs ee ital non virtually were rights

a PDR Lao primarily limited only by the villagers’ ability to mobilize labour and labour mobilize to ability villagers’ the by only limited - ore o l villages all to source tos and ations, 2003

overseeing the rubber industry rubber the overseeing appropriate (Article

via natural landmarks natural via tplts ht l ln is land all that stipulates 13

loae concessions allocate

s the allocated land allocated the

communities and and communities and 71 and - xset in existent Consequently, .

to affected landto affected users. ), the ), to to , and ,

state can allocate allocate can state delineate

“ upland for public purposes public for

to foreign or domestic domestic or foreign to controlled forest use for swidden for use forest individual households individual

forest areas areas forest rural giutr and agriculture

y h state the by

a PDR Lao land use land ” and and ;

in . .

CEU eTD Collection 2008Phanvilay LFA discouraged which 2000, after as to appears process the However, Forestryof ( Agriculture and Coordinated al. cultivation shifting promote to was objective overall The

2009b). insufficient 6. 5. 4. 3. 2. 1.

oeae xedd to extended coverage 2003 authori provincial for appropriately used was land allocated the If land onintended (depending use) t OAF became OAF OAF village committee land agricultural forest, protection forest, OAFs and DAFs DAFs OAFs and emporary land use certificates, with with certificates, use land emporary

)

by . and the VC theVC and

rnfrig aaeet epniiiis f hs rsucs o h V, which VC, the to resources these of responsibilities management transferring

resources and staff c staff and resources lctn arclua ln ad erdd oetad to forestland degraded and land agricultural llocating ;

responsible Ma provincial Departments of Agriculture and Forestry (D Forestry and Agriculture of Departments provincial , which was which , nivong and Sophathilath 2009nivong Sophathilath and

d drawing for plan management forestland; upa and communityland is o praet ad titles land permanent for ties (VC) d rawing rawing

for theirsustainable management istinguishing resource boundaries within within boundaries resource istinguishing OAFs fewer ; considered a considered

OAFs

have exclusive exclusive )

, LFA apacity in apacity hn af f oa tre vlae in villages target total of half than

rm ute ipeetto ad monitoring. and implementation further from suffer nertd rpig ytm i a attempt an in systems cropping integrated ; and consisted of: consisted village boundariesvillage throughout thecountry

ed primary cause of deforestation of cause primary

district authorities. The budget for LFA declined LFA for budget The authorities. district 14

from a lack a standardised methodology, methodology, standardised a lack a from aiu of maximum , ).

residential area, etc. area, residential

3 (

uia an Fujita years, h years, ;

15 ouseholds ouseholds Pavly 08 Ln Law Land 2008; Phanvilay d ha each ) individual individual

, AFs

e wre pr family per worker per in consultat in a PDR Lao

) and district Offices Offices district and ) ilg (conservation village

could then could ( Thongmanivong Thongmanivong households via via households

ion with the with ion o eradicate to ( ;

Fujita and and Fujita y 2006, By

apply to apply as well as

et CEU eTD Collection in Novem 8 comm.).pers. 7 follows DSLLC 2009 tothe EnvironmentalAccording Protection Law P iscontradiction outside of thescope this study. the putting by 2009 Promotion concession Promo investors individual with agreements concession into enters GoL users are there and land, occupied developed. tit land and boundaries process, ( run project Areas Rural in Development t funded externally of number A

GIZ 2013a, 2013b 2013a, GIZ Economic and Management Land the and project Regions Poverty in Development Rural he Originally an independent authority, NLMA became a Land Management Department within MoNRE within Department Management Land a became NLMA authority, independent an Originally These initiatives often overlap, resulting in multiple land use plans issued for the same village (CDE, village same the for issued plans use land multiple in resulting overlap, often initiatives These rescribed process approval 2.

(

UNDP in 2009 tion : Concession approval and management and Concession approval

ber 2011 (Schönweger now

licence osqety vlaes r otn nbe o rv ter ea rgt t customarily to rights legal their prove to unable often are villagers Consequently,

- and and UNEP PEI 2011; Hicks 2011; PEI UNEP mlmne b MoNRE. by implemented , DEIA 2010 s ; . MPI

TABI2013 Notably, the Land Law 2003 (Article 10) contradict (Article10) 2003 Law Land the Notably,

e truhu te onr, n a centralised a and country, the throughout les

s epnil fr oriaig h apoa proces approval the coordinating for responsible is , the approval process, theapproval et al. incidents where the same plot of land land of plot same the where incidents

) NLMA land allocation initiatives have emerged in recent years recent in emerged have initiatives allocation land .

Simultaneously, GoL is pushing on with its own land allocation land own its with on GoLpushing is Simultaneously,

2012).

et al. in charge of concession approval. concession of charge in

7 by GIZ by

2009 oehls, hr i sil lack a still is there Nonetheless,

). 1999

, and T and , for concessions rubber

the eArboiest Iiitv (TABI) Initiative Agrobiodiversity he Law onInvestmentLaw Promotion . U nder the Law on Investment on Law the nder is land land s

loae to allocated 8 the Law on Investmenton Law the

Investigating this legal legal this Investigating consists consists registry of ad issuing and s

is as la village clear s e t be to yet is 2 , including ,

dif

2009 ferent ,

CEU eTD Collection cooperation in investor the by DAF and DoNRE officials (Thongmanivong conducted usually is survey The MoU. the in specified 10 the of collective term‘ESIA’ will be used throughout this report. assessment (DSLLC assessment” the impact environmental and on environmentalpotential eachlegislationa im clearly studyof that social socialspecifiesGiven 2009). and the on “report “report and 2010) 1999), (DEIA assessment” impact Law social Protection and environmental (Environmental report” assessment 9

lgty ifrn trs o ti rqieet r ue i dfeet as icuig “environmental including laws, different in used are requirement this for terms different Slightly h proe f h ln sre i t dtrie h aalblt ad utblt o te ad amount land the of suitability and availability the determine to is survey land the of purpose The 2. 1. 7. 6. 5. 4. 3.

Promotion (CIP) MPI fees conditions, and ‘p the as MPI If documentsinorder, are MoL MPI     MPI/IPD then must investor The availability know investor the notifies and MPI or an submits Investor

to a memorandum on initial memorandumoninitial a field d an a feasibilitystudy, coveringa /DPI /DPI /DPI /DPI

the provincial the provincial – proposed agreement’ ‘investment the as n

environmental and social and assessmentenvironmental impact which oet agreement’ roject :

negotiates negotiates makes a decision a makes sends t sends and formulateand proposal. project a

presents the the presents

have 25dayshave toprovide theircomments

business plan

for he submitted documents submitted he DPI

and taxes to taxes bepaid and application form application review and and review with the investor investor the with

, ” Lw n netet rmto 20) “niomna impact “environmental 2009), Promotion Investment on (Law s” de

prepare and and prepare MPI concession Te gemn ms icue rjc ojcie, duration, objectives, project include must agreement The . by signing a a signing by pendin - in ;

- /DPI eco principle whether or not the concession should go ahead go should concession the not or whether principle signing et al g on the sizeg onthe of concession nomic nomic technical and feasibility ofthe project ata collection ata

sends the investorsends an . 2009a). . The MoU allows the company to i to company the allows MoU The .

–

and drafts the the drafts and 16 gemn t the to agreement submit . know 11 .

Memo

to relevant ministries relevant to

n as the ‘ the as n

the following following the adm f nesadn (MoU) Understanding of randum , including survey land a ( ESIA . concessio investment proposal investment

) ; 9 approval notification approval

omte o Investment on Committee and application application n

agreement (discussed below) –

MoNRE, MAF and and MAF MoNRE, . 10 nvestigate ’ documents

ih provincial with – ,

also known known also to the MPI the to ;

pacts, apacts, a , .

land land

lso to to

CEU eTD Collection ‘bare forestland’, ‘barren as such terms with ambiguous, is forestland’, ‘degraded natural terminology f the However, forest). use villageand forestland bare forest,degraded forest,(dense areas’‘forest of types 4 and forests) production 12 relevant departments (DIIPL 2010, Article 23). Vice provincial Governor, provincial the of ministries. consists CIP the relevant level, from officials selected and Investment, and Planning of Minister 11 c decree, the to According titles. land and/or certifications use land temporary with villagers to reference 43) Article and 6 (Article owners” “land such with right use land legitimate 2009 DSLLC Compensation locallandusers for ( b must concessions larger level; provincial the at approved be can 26 (Article 74) (Article re is naturally condition regenerate cannot which forestland degraded and forestland Law Forestry Land DSLLC 2009, Article 29 DSLLC Article 2009,

At the central level, the CIP members include the Minister of Planning and Investment, the Deputy the Investment, and Planning of Minister the include members CIP the level, central the At oety a 20 siuae ctgre o frs ue poeto frs, conserva forest, (protection use forest of categories 3 stipulate 2007 Law Forestry 10. 9. 8.

selection

2010; DSLLC 2009; Hicks DSLLC 2009; 2010; can investor The MPI The inves ompensation rates are calculated based on the on based calculated are rates ompensation

and 43 and /DPI

states that if the con the if that states 2007 -

state tor deposits a

). issues a Concessions up to 150 ha for degraded forestland and 500 ha for barren land barren for land ha forestland 500 and for degraded to 150ha up Concessions d in in d

states that industrial tree concessions can only be granted on barren barren on granted be only can concessions tree industrial that states ”

). , the investor is responsible for concluding comp concluding for responsible is investor the , commence with operations with commence

SL 2009 DSLLC conc

orest’, ‘degraded forest’ and ‘degraded forestland’ used throughout the law. ession licence project guaranty project e t al. t al. cession area overlaps area cession

2009 wih lo rhbt cneso of conversion prohibits also which ,

; Thongmanivong

to the investor 17

fund

in the account of the National Treasuryin theof theNational account . ( Investment Promotion Law 2009; DIIPL DIIPL 2009; Law Promotion Investment It is not clear whether or not this is a a is this not or whether clear not is It value of value

with “ with .

- Governor, and selected officials from officials selected and Governor, et al

land of the people who have a have who people the of land production of existing land use land existing of production e approved at the central the at approved e . 2009 a).

ensation agreements ensation

rice paddy land land paddy rice t h provincial the At in oet and forest tion

. 12

level This This .

CEU eTD Collection increas taxes 2009 DSLLC Fees 24). and Manage provide must and (SMMP), Plan Monitoring Social a and (EMMP) Plan Monitoring and Management Environmental 2010 DEIA E all that states EIA and IEE to subject Projects Investment of List on Agreement 2010 the while concessions, Promotion projects such identifying for projects for Law Protection Environmental The Environmental and socia doesand not of stage which at stipulate not does m written a with villagers, relevant and chief village the officials, government of participation include must compensation tree orchard cultivation, rice (e.g. S IA.

, (Article 4) (Article taxes

ed by at least at ed by 5%

2009

and foreignlabour with with stipulates that all projects requiring an ESIA must ESIA an requiring projects all that stipulates address situations where an agreement cannot bereached. agreementaddress an cannot where situations

ttsta te netrms a ln ocsin fees concession land pay must investor the that states giutrl lnain oe 500 over plantations agricultural .

C (Article 23) stipulate that an that stipulate 23) (Article potentially significant environmental impacts, but do but impacts, environmental significant potentially onces every sion fees must be paid from the date of starting harvesting starting of date the from paid be must fees sion emo to be signed by all participants (Articles 6 and 43). and 6 (Articles participants all by signed be to emo l impact (ESIA) assessment .

5 However,

years

plantation, livestock grazing) livestock plantation, 1999

concession (Article 28). (Article

DSLLC 2009 DSLLC (Article 8) (Article

a budget for environmental monitoring (Articles 20 (Articles monitoring environmental for budget a

ESIA ESIA 18

ha approval these approval

– is mandatory is and and

hte concession whether

(Article 27) and the Law on Investment on Law the and 27) (Article DEIA

. 2010

also Negotiations and calculation of of calculation and Negotiations agreements must be concluded be must agreements for all agricultural and f and agricultural all for develop and implement an implement and develop (Article 2) (Article

and all relevant fees and and fees relevant all and

not s

r not or contain contain require

– and must be be must and

T any require ment he d he

an ESIA ESIA an

orestry orestry criteria ecree and

CEU eTD Collection recommendations make identifiedcan with ondealing problemsviolations. and surprise and regular safety labour and regulations and laws with compliance checking Promotion Investment on Law the Under n district and departments provincial Law Forestry the with compliance for responsible is Labour the with compliance monitoring for responsible is MoL e.g. laws, with compliance monitoring for responsible are ministries other Furthermore, the by concession beconducted monitoring CIP is to Na of Offices district and Environment and Resources Natural of Departments provincial the to delegated concessions of monitoring and management for responsible is Law Land the Under GoL of responsibilities monitoring regarding ambiguity legal is There 20 Law Labour year 10 to up of exemptions tax profit Law Promotion Investment the Under o single government body is body o singlegovernment responsible forrubber concessions monitoring % 3.

of technical labour, unless of technical

Concession 2006 tural Resources and Environment and Resources tural stipulates that forei that stipulates

inspe 2003 monitorin ctions (with regular inspections performed at least twice in a year), a in twice least at performed inspections regular (with ctions

(Article 10) (Article the

permission concession g

offices gn employees must not exceed 10% exceed not must employees gn

and the and s from the day of business operations (Article 51). (Article operations business of day the from s 2009 esrs Te npcig organiz inspecting The measures.

2009

to which monitoring can be can monitoring which to from the government is granted (Article 25). is (Article government granted from the agreement, agreement, , companies operating in isolated areas can receive can areas isolated in operating companies , 19 DSLLC 2009 DSLLC . (Arti

DIIPL 2010 DIIPL

cles 92 cles

(Article 23). (Article h faiiiy study feasibility the

2007 - 95)

, on the other hand, other the on , (Article 47) (Article . , monitoring (‘inspection’) entails entails (‘inspection’) monitoring ,

ad t and , Each of these ministries has has ministries these of Each

in regards to concessions to regards in

delegated he , NLMA (i.e. MoNRE) MoNRE) (i.e. NLMA ,

Law 2006 Law

of manual labour and labour manual of , cul oioig is monitoring actual ation .

h ESIA the

their overarching their

. Consequently, .

must conduct conduct must stipulates that stipulates ,

while MAF while ,

relevant relevant

The and and .

CEU eTD Collection (Schönweger reasse and concessions existing evaluate must authorities provincial and Finance of Ministry MoNRE, MAF, MPI, of consisting Jun 11 from place and rubber mining, for concessions new approving 13 Order planning, land effective of lack 13’) ‘Order as to O MPI an MoNRE to the Under n 4. 11

on the

June 2012, the Prime Minister of Minister Prime the 2012, June Current moratorium on new concessions new on moratorium Current DSLLC 2009 DSLLC ir implementation et al. d other relevant ministries. relevant other d . Citing severe environmental and social impacts, shortage of workforce and and workforce of shortage impacts, social and environmental severe Citing .

2012) 21 utl 1 eebr 05 D 2015. December 31 until 2012 e .

(Article 37), the investor must provide regular implementation reports implementation regular provide must investor the 37), (Article

status ss current approaches for concessions approval and management and approval concessions for approaches current ss biannually Lao PDR Lao DIIPL 2010 DIIPL rhbt cnrl n poica atoiis from authorities provincial and central prohibits

and annually. and 20

eucalyptus plantations. eucalyptus issued a Notification PM Notification a issued

states that states

uring this period, an an period, this uring

the investor must investor the The moratorium is in is moratorium The /13 (often referred (often /13 d hoc ad

report

committee committee to the to a

CEU eTD Collection actors of range wide a by Conducted operation. of area their in companies specific of impacts on focusing studies, case to limited been have concessions rubber of assessments industry Given s Data activity. * This Table withf predominant, are 5% almost for accounts that showed in concessions land of extent the document to attempt comprehensive PDR Lao e The concessions 4 Chapter Total Other Agriculture rubber)* (including Forestry (exploitation) Mining Sector

ource: Schönweger Schönweger ource: source 2 xpansion of rubber plantations is only a part of the general growth of land land of growth general the of part a only is plantations rubber of xpansion

in concessions land Approved . that 2012 was the first time the time first the was 2012 that -

level data on the on data level

considered rubber to be a part of the forestry sec rubber oftheforestry part to a be considered vr h ls 1 years. 15 last the over

lot . mlin a f ad ae en allocated been have land of ha million 1.1 almost . Socio

in Lao PDR in Lao area (ha) area 1,099,534 140,015 306,234 548,756 104,529 104,529 Total Total et al et oreign investors account - . 2012 economic and environmental impacts of impacts environmental economic and of ir

Lao PDR Lao socio

area (ha) area Average Average 1,155 467 453 885 - 77 economic and environm and economic Lao PDR Lao

’ h suy y Schönweger by study The s area

land area. M area. land C

of oncessions approved , b , 2,642 1,351 y concessions 360 367 564 21 sector ing

for 72%

tor. GoL lists rubber cultivation as an agricultural agricultural anas cultivation rubber tor. lists GoL , 2012 , ining, forestry and agricultural agricultural and forestry ining,

Foreign (72%), domestic (17%), joint (11%) joint (17%), domestic (72%), Foreign (16%) (40%), Thailand (59%), Foreign PDR Lao

was estimated, it is not surprising that that surprising not is it estimated, was ental ental

of to

(65%), foreign (21%), joint (15%) joint (21%), foreign (65%), impacts is impacts tal allocated ( area allocated tal Key investors (byarea) Key investors

o inves to t al et Lao PDR Lao Lao PDR Lao . a PDR Lao (2012) - tors absent

(20%), South Korea Korea South (20%), 5%), joint (6%) joint 5%), y 20 by concessions in in concessions . a te first the was Table rubber rubber To date, the the date, To Te study The . concessions –

2 which 12,

including

2 ).

CEU eTD Collection al. 13 in themethodology mon assessed impacts However, sovereignty(Schönweger national livelihoods traditional security, food on transfers land and income deforesta of and levels in sources water local changes of contamination land, agricultural including of loss villagers, impacts, local for infrastructure of myriad a identify studies case ag government academia,

See, for example, IUCN and NERI 2011a; NLMA 2011a; NERI and IUCN example, for See, 2009a. itoring

, particularly the extent to which legal provisions for concession approval, operation a operation approval, concession provisionsfor legal which to extent the particularly ,

pl t te hl industry whole the to apply the key limitation of the c the of limitation key the have been have tion 13 Cnen hv as be rie o te vrl ipiain o large of implications overall the on raised been also have Concerns . chapter

followed encies, encies,

below.

This study sought to address these shortcomings, as described described as shortcomings, these address to sought study This non et al

ase study approach is the uncertainty as to as uncertainty the is approach study ase . . 2012). - oenetl organiz governmental Furthermore

22 et al. et

the 2009; Global Witness 2013; Thongmanivong2013; Witness Global 2009; esn behind reasons forest , tos n dnr agencies donor and ations - eedn cmuiis and communities dependent

h impacts the

what extent these extent what

r rarely are –

- these scale nd et

CEU eTD Collection Fig. The visualpresentationof these relevant outcomesand ac This sought study to Chap   Activities concessions rubber for framework regulatory the of implementation the Evaluate 1: Outcome

2. 1. 3. 7 . Outcomes and activities of the study of the activities and Outcomes . Field visits to 5 rubber concessions visits to rubber Field 5 central with Interviews

Using findings from Outcomes 1 and 2, recommend how concession approval and and approval toimproveimpacts bealtered monitoring byGoLshould of concession how recommend 2, and 1 Outcomes from findings Using causes key Identify implementationEvaluate the of frame theregulatory 5 ter :

. Methodology socio achieve the following outcomes: following the achieve - level ministries level - economic   Activities concessions of rubber impacts improve to altered be monitoring should and approval concession how Identify 3: Outcome

↘ and monitoring monitoring and approval concession during GoL by used be i and set ofcriteria a Developing monitoring approval and concession onGoL improving to recommendations general Developing

and

environmental impacts of rubber concessions and their and concessions rubber of impacts environmental

   Activities causes their and env socio key Identify 2: Outcome

ironmental impacts of rubber concessions concessions of rubber impacts ironmental Field visits to 5 rubber concessions visits to rubber Field 5 concessions onrubber studies case analysisofexisting Systematic concessions rubber on databases ofgovernment Assessment tivities is providedin Figure 7 ndicators tondicators ↙ work for rubber concessions :

rubber concessions

- economic and and economic

CEU eTD Collection environmental listeconomic, of A procedural. reviewedand cas into grouped were Impacts excluded. sources secondary with reviewed, were identify to conducted was of review systematic a 2, Outcome of pursuit In were database The 2013). (MoNRE concessions land on database electronic unofficial MoNRE’s were concessions 2, Outcome of pursuit In interviews is presented in reports monitoring t of duties collection data and MoL and MAF MoNRE, MPI, 1, Outcome of pursuit In ontheactivities is (followingdetail below provideddescribed theirchronological order). thelack thestudy ofquantitativeGiven generally data, onqualitative relied assessments. 1. 3. 2. a

nalysed Systematic analysis of existing case studies studies case existing of analysis Systematic databases ofgovernment Assessment central with Interviews

in an attemptin an impacts. mentioned andfrequently toidentifycommon

accessed: and concession data data concession and the

whi interviews

MPI’s Investment Monitoring Database (IMD) (MPI 2013) and and 2013) (MPI (IMD) Database Monitoring Investment MPI’s list of personal c two ch heir heir – impacts

- at the central level. Officials were queried on the monitoring the on queried were Officials level. central the at level ministries level oenet aaae cnann ifrain n rubber on information containing databases government ministries ee conducted were

they mention most frequently most mention they (if available) were collected and analysed. A list of of list A analysed. and collected were available) (if ommunication

24 ih epc t rbe conc rubber to respect with

existing case studies on rubber concessions rubber on studies case existing

ih fiil fo rlvn ministries relevant from officials with

s .

e studies is . Only field Only . found 3 sin. C essions.

categories:

in - Appendix I Appendix level studies studies level

Further Further opies of of opies socio . – s

CEU eTD Collection contract farming, while Yao Tien andGuangda Lao areconcessions only. analysis the from excluded concessionfarmingcontractacompanybeing project,consequently inthe IMD.listedas despite was The 100% a was Limited) Company Rubber (Jianfong companies the of one that discovered was it Province 14 The 2 Table of the fieldvisit staff. undertaken Outcome Company YaoTien Company Rubber DakLak Co Development R Siphans L Co Rubber Thai Hua Lao Limited Company Guangda

The team originally planned to assess 6 concessions. However, during during However, concessions. 6 assess to planned originally team The imi ubber ubber mpany    4. 5 Company t Further information on the on information Further e

concessions sele were d .

alika

not yet tapping; the intent was to assess the impacts throughout the life of the the of life the throughout impacts the concession; assess to was intent the tapping; yet not with chosen, were development at stages different at concessions sociomore significant entails area larger a that presumption the to due selected were concessions large only waslimitedthe sample size to Fi Rubber concessions assessed in the study inthe assessed concessions Rubber

Lao Lao Rubber s Limited Limited L eld visits eld mpany

mi ad 2 and 1 on

t e

17 s

is provided in in is provided

public 100% Vietnamese; public 100% Vietnamese; private 33.3%Lao; 66.7%Chinese, private Lao; 60% Thai,40% private 100% Chinese; une

were Ownership 5 –

rubber rubber Spaslk ad aLk prt cnesos hlt lo undertaking also whilst concessions operate DakLak and Siphansalika . 5

use va f via pursued cted forcted reasons: thefollowing July 2013. July - ec

the onomic and environmental environmental impacts;onomic and

asse concessions

list of personal c ssed 5

The due to budget andtimedue tobudget constraints; concession area area concession ield ield concessions is provided isconcessions Approved Approved research 2,610 1,041 6,173 3,700 (ha) 860 14

visit 25

s ommunication

to team consisted of the author and and author the of consisted team 5 Beng, Savannakhet Outhoumphone, Xepon, Lakhonpeng, Lakhonpeng, and Laongam Laongam,

Location (district, (district, Location rubber

Oudomxai pro

Savannakhet

Saravan s vince) in . concessions

Table Sarava h fed ii t Oudomxay to visit field the

3 n

out of out ; a detailed schedule detailed a ;

Mang Napho Saved Kuangsi NoiKuangsi Yai Hong Song Nong in 5

interviewed 3

concessions concessions

Village Village

provinces, provinces, 4

NERI

CEU eTD Collection collected were analysed concession the to related documents available all of Copies re company and officials Government discussion. the dominate to allowed was party single No concession. the at employed not and employed both women, and men included discussion Each d group a village, each For 1. Outcome investigating included managers. resource human and managers operations high were representatives company Interviewed included Interviews differentSlightly versions of the extent identified dis and village, semi of consisted visits Field presentatives were excludedpresentatives were interviews from village villagers toallow tospeak freely.  

n te ass of causes the and any impacts onoperations. any had factors these if identifyto selected, were private) and public joint, structures (foreign, and Thailand Vietnam, (China, origins various of concessions whetherwas toinvestigate impacts vary PDR spread geographically are concessions the .

The list of via Activities 2 and 3 and 2 Activities via

, Savannakhet Province in the centre and Saravan Province in the south); the intent intent the south); the in Province Saravan and centre the in Province Savannakhet , rc ad rvnil officials provincial and trict

documents is providedin olcig epne t te usinar ad oe eea discuss general more and questionnaire the to responses collecting their these iscussion with and 7 and with iscussion monitoring -

tutrd int structured questionnaire were questionnaire were used villagers forofficials. thecompany, and were used as a basis for a questionnaire, designed to assess the assess to designed questionnaire, a for basis a as used were impacts

n the in n dt cleto activities collection data and of erviews with with erviews Appendix - 26

among 30 villagers (including the village chief) was held. was chief) village the (including villagers 30

co P, A, oR ad MoL. and MoNRE MAF, MPI,

ncession

u (uoxi rvne n northern in Province (Oudomxai out - ee sta level I

different regions; and nterviews with government officials government with nterviews

IV s .

company

( hs otiuig o Outcom to contributing thus f icuig eea managers, general including ff,

Lao PDR Lao representatives tu cnrbtn to contributing thus ,

, ) and ownership ownership and )

translated e impacts Key ,

nearby

ions. ions. 2 e also Lao Lao and and ) .

CEU eTD Collection information pro 15 thedid notaffect findings. these that suggesting predominant, clearly as emerged impacts certain Nonetheless, Systematic resulted in inevitably degreea of misinterpretation information and loss. central with Interviews developed. of set a on focus the Recommendations developed. were improve concessions rubber of impacts environmental and economic to how on recommendations activities, above the from findings Using

o eape sm suis i nt neve cmais r oenet fiil, eyn sll on solely relying officials, government or companies interview not did studies some example, For    5. 6.

for nearby villages), rather for villages), overall at nearby impacts. thanlooking loss (e.g. questions research particular pursued studies of number a impacts questionable; identified simplethe madewhich methodologies, studiesdifferentcase usedreviewed the number of rubber (281); concessions sampl small a identified, were studies case relevant 27 only Research limitations Research monitoring r Developing

concess rtra n idctr t b ue drn cneso apoa ad monitoring and approval concession during used be to indicators and criteria

of casestudies

vided by local villagers. ion approval and monitoring processes, and are thus aimed at GoL. at aimed thus are processes,monitoring and and approval ion

ecommendations on improving concession approval concession onimproving ecommendations - ee mnsre wr conduc were ministries level

suffered from a number of methodological suffered methodological fromnumber of a

and

ted with the use of translators, which which translators, of use the with ted

limitations cnieig h overall the considering e

of agricultural land land agricultural of :

and and In addition,In limitations adding socio

was

of -

CEU eTD Collection thefieldvisit Likewise,    

companies Lao as acted staff NERI Thai / Vietnamese / Chinese invol often companies with Interviews possibleaccurately as public. the to open not is reports) (incl documentation collected the of Much obtainedfeasible. was documentation where and all to posed were questions of majority the parties. interviewed by provided inspection Due tomake sample made were the diverse as possible. as PDR sample chosen the that guarantee no was There

to time and human resource constraints, the research team did not conduct conduct not did team research the constraints, resource human and time to ’ government government s

rubber industry as a whole. However, as mentioned above, all possible efforts efforts possible all above, mentioned as However, whole. a as industry rubber s .

Translation of Laodocuments wasundertaken bythe of

concessions or nearby villages and thus had to rely solely on information information on solely rely to had thus and villages nearby or concessions s

of officials) 5

concessions h without disclosing sensitive data

- English translators, with additional tra additional with translators, English ,

and and ), which increased the chance of miscommunication of chance the increased which ), To reduce the impact of dishonesty of impact the reduce To ofitn answers conflicting ad a numberof a shortcomingsad Efforts 28 e te s of use the ved

uding concession agreements and monitoring monitoring and agreements concession uding

ee ae o convey to made were parties (company parties of companies companies of

were followed up. Supporting Supporting up. followed were 3

languages was representative of Lao of representative was

nslators provided by the by provided nslators : representatives 2

NERI staf

the information as as information the ( and Engli

human error human h Lo and Lao sh, f.

, villagers , physical physical . Two . , CEU eTD Collection widespread: non Unfortunately, survey villagers.during theland and local with negotiations comm etc. plan, business proposed approval concession app concession for agency coordinating I approvalConcession and management 6 Chapter nterviews held and documents gathe documents and held nterviews    1.

. ). available conversely, found; no However, commencing. operations to prior conducted all for ESIAs only commencedcompanies operations before co when of estimates their by judging Implementation of the regulatory framework for rubber concessions for rubber framework regulatory ofthe Implementation

rvnil n dsrc o district and Provincial

4 .

were conducted before conducted were the 5 f the of Results

for opne, rvnil n dsrc authorities district and provincial companies, - compliance with the prescribed the with compliance 4

y icltn te s the circulating by companies assessed

s urveys

– opne cud pr could companies

; for

completed fficials

review red confirmed that confirmed red

concession

of MAF and MoNRE MoNRE and MAF of roval bitd plcto documents application ubmitted

( a tapping tapping eatet f lnig n Coeain pers. Cooperation, and Planning of Department fter the fter 29 MI involve MPI .

dc cpe o ter ESIAs; their of copies oduce ncession signed; were agreements concession

agreem began signing of the of signing

MPI

ent was signedent was r s e to set is or

d –

approval process appear process approval

asserted

rather than MoNRE MoNRE than rather oR, A ad o in MoL and MAF MoNRE, were

concession such documents could be be could documents such

rsn o te ground the on present that a land survey was was survey land a that ; begin

–

feasibility

, agreement agreement

all only

–

2 ed assessed was

f the of

stud to be to were

the y, y,

CEU eTD Collection remain committed to finding land for these projects” (Thongmanivong investmen the for land for looking continue to has still province thecontracts… the in development for proposed ha 34,000 the 16 only However, agreements. concession to reports implementation in mentioned As monitoringConcession GoL ofamong authoritiestheamount regarding landinvesto each agreements. operations commencing 2 same the Furthermore, honoured. contain companies 2 of reports implementation The agreements. MoU the Nonetheless, stipulated MoU inthe concession the for land ‘available’ the identify authorities Provincial availability. land actual of knowledge little with level, agreements. concession F

or all all or A 2009 study in Oudomxai Province found that while “it has been difficult for the investors to secure to investors the for difficult been has “it while that found Province Oudomxai in study 2009 A  

feasibility study the or ESIA agreements to according dueto area to according 5

companies, areas specified in MoUs were significantly larger than those stipulated in stipulated those than larger significantly were MoUs in specified areas companies, This state of affairs of state a were hpe 3 Chapter

officials from officials DAF lack of staff;

poet ta hv aray en prvd fiil adpoet management project and officials approved… been already have that projects t s . appear s

T , an indication of expansion into new areas new into expansion of indication an ,

signed without necessary documents being submitted, particularly th particularly submitted, being documents necessary without signed his is his s

and OAFs and government ,

due to due

GoL ed was

and

MAF and DAFs and MAF

o e n force in be to

confirmed in the literature, and and literature, the in confirmed

, land land , MoUs for large c large for MoUs regulations state that companies must submit regular regular submit must companies that state regulations

T . companies ou t of t surveys i rqieet was requirement his 3 0 wih tended which , 5

assessed ,

there have been instances where concession concession where instances been have there generally generally vn fe te inn o te concession the of signing the after even had oncessions being approved at the central the at approved being oncessions

odce ln sres og a long surveys land conducted companies were able to demonstrate to able were companies co

ver only 5% only ver to be much smaller than area area than smaller much be to et al. r

ed was lo tpltd in stipulated also

not cov not

2009a). was requests for MoUs to be be to MoUs for requests

entitled to. entitled

a source of confusion of source a

were ered by concession by ered of total of

then tasked to tasked then 16

concession

accessed fter e

CEU eTD Collection inspect provide which companies large only officials, MoNRE and MAF provincial and central to According security,social however, disputes nosuch accidents; report and collect DoLs provincial that stated condu mon provincial reality, conduct counterparts examp For ministry. own their was There by conducted occur visits company). the and villagers between conflicts (e.g. companies ‘large’ for year a level provincial and central at ministry T pers. comm investment of importance provide companies of half was impleme of submission the that confirm could authorities district and information provincial the of none and reports, such here here

a prerequisite for an annual renewal of the of renewal annualan forprerequisite a ct any monitoring of their own their of monitoring any ct was ed mntrn bdes were budgets monitoring d

by authorities only if disputes or non or disputes if only authorities by

red lc o caiy vr the over clarity of lack a g a .). was

provincial

nrl ak f wrns aog officials among awareness of lack eneral twice twice verified by the government. A government. the by verified ed a year. year. a ntation reports ntation trn occurred itoring

CIP. N monitoring

d ( Department of Planning and Cooperation, and DPI Savannakhet, Savannakhet, DPI and Cooperation, and Planning of Department and , uh reports, such However, only only However, o emergency reports found o emergency were e cnrl oR ofcas ttd hi poica ad district and provincial their stated officials MoNRE central le,

ht diinl iis we visits additional that ed 4

company

frequency

by the by ( stated that stated ie pr er n 1 mnh pr er rsetvl; in respectively; year, per months 12 and year per times oioe rglry Te eann companies remaining The regularly. monitored joining

wc a er wh year, a twice all 1 agricultural investors (including rubber companies) rubber (including investors agricultural

- licences licences 31 - visits provincial ccording to ccording level information on labour composition, wages, composition, labour on information level

company

compliance with the with compliance agricultural licence.agricultural f monitoring of

they conduct they codn t te opne, monitoring companies, the to According were

- bu te oioig ciiis within activities monitoring the about ee mntrn report monitoring level lt itit oR ofcas did officials MoNRE district ilst re conducted conducted re central

eee bcue f the of because renewed s

instead . cou visits

monitoring visits at least once least at visits monitoring and provincial and ld be found.ld be However,w co

odce b GoL by conducted ) ncession . Similarly, MoL officials MoL Similarly, . n mrec situation emergency in

hile o hile agreement agreement

MAF w as nly around around nly

per obtained

officials Each . ceived we were

not not re , ,

CEU eTD Collection (Hicks literaturethe confirmed in activities. is situation Thismonitoring of lack withresultinga MoNRE, in staff to compared districts, assessed at staff 30 (18 leveldistrict the particularlyat technicalstaff, lacks it agency,new relatively a however,being budget; monitoringcompanies’ the of recipient the now is MoNRE MoNRE. of emergence the to prior projects 17 joint); im operations company on information provi of databases monitoring, of scope narrow the to Due Data hindered tohave appears also monitoring.responsible for monitoring comm. pers. Department, Management travel with areas, monitoring dis and Provincial SMMPsand compani The located. be could information such containing reports no use, pesticide officials o The 2,000 USD occurrence. frequent their case which in villagers, local by attention their to brought ivso’ cmlac wt the with compliance investor’s n

codn t te neves MF a te e aec i mntrn o arclua ad forestry and agricultural of monitoring in agency key the was MAF interviews, the to According pacts.

collected monitoring report monitoring collected

own budget own

collection, et al. concession

claim Typically,

2009). -

2,800 per annum. per 2,800 were were were not mentioned inthereports. mentioned not were ed

a s ht oioig iis include visits monitoring that to the site taking up to a day a to up taking site the to sharing andsharing . According to MAF and MoNRE, non MoNRE, and MAF to According .

lack of staff and and staff of lack stored trict officials stated that key obstacles to more frequent and and frequent more to obstacles key that stated officials trict duration

Three information included information

; u of out

levels storage s

did

inadequate inadequate

lnig s planting not

f eitrd n ivsmn capital; investment and registered of sesd i assessed

and and

). cover -

56 for MAF). MAF appears to be unwilling to ‘share’ its ‘share’ to unwilling be to appears MAF MAF). for 56 eet mrec o MoNRE of emergence Recent did

hdl ad amn of payment and chedule

( budget environmental or social impacts, focusing strictly focusing impacts, social or environmental d project name; project Investment Promotion Department and and Department Promotion Investment vsos rvdd n niomna bde of budget environmental an provided nvestors o cvr socio cover not

discussions with villagers and monitoring of of monitoring and villagers with discussions . Many concessions are are concessions Many . - authorities paid authorities payment of monitoring bu monitoring of payment ncial authorities contain authorities ncial

project type (domestic, foreign or foreign (domestic, type project - cnmc n environmental and economic 17

fees for monitoring out of of out monitoring for s h ky agency key the as

located located n taxes and ocsin area concession ed es’

dget was dget in isolated in only basic only extensive EMMPs Wh . Labour Labour ile

a -

CEU eTD Collection provincial CIP), 1,907 ha(quoted by district authorities) and 2,811 ha(quoted by the company). 20 pers. comm.). Department, Management (Labour province each for composition labour and levels employment 19 data this however, workers; foreign notdoes ge of number the on figures collects DoLs while area, planted the on company and 18 transfer,document that meaning however, projects; forestry and agriculture monitoring the replaced recently Monitoring Environmental Project of Centre the example, another In MoNRE. within divisions sharing MoNRE’s and operations, company consequently among There reports Annual concession approval, project of date type, project name, project c and ladder, ministerial the throughout spread provincial d often level district the at There agreement planted; and cleared approved, requested,

According to the MoL, an annual report to the government is roughly 10 pages long and covers overallcovers and long pages 10 roughlygovernmentis the to report annualan MoL, the to According For example, concession agreements are stored at the central and central the at stored are agreements concession example, For For example, For was

was different divisions within the same ministry. same the within divisions different

h ifrain furthermore, information; the -

; and t forwarded to the central level. central communication. central

a lack of verti of lack a lo a also - , village agreements are stored at the district level. DPIs collect company collect DPIs level. district the at stored are agreements village officials

estimates of area planted by one of the companies varied between 858 ha (quoted by (quoted ha 858 between varied companies the of one by planted area of estimates by thecentralby authorities the was levelat theproject which approved orprovincial) (central nfiil database unofficial

ak f oiotl information horizontal of lack

including Cent rm dif from cal information cal r id e

o gt forwarded get not

o Arclue n Frsr a te e MNE iiin for division MoNRE key the as Forestry and Agriculture for

planted area and staff levels. staff and area planted old and new new old and eet ministries ferent 18

were C onsequently,

sharing to the oR’ database MoNRE’s

maintained

presence of project proposal, MoU and and MoU proposal, project of presence monitoring reports 33 GoL entral authorities only had only authorities entral within ministries within

o provinci to

- project documents and monitoring data data monitoring and documents project fe quote often

sharing, i.e. i.e. sharing,

Each authority maintain authority Each agg separately, with officials prohibited from from prohibited officials with separately, regate hs restructuring this

20 l uhrte; h sm applied same the authorities; al d ol not could

At the central level central the At provincial levels, while land surveys land while levels, provincial d this data even this even data further. among .

were

duration prepared data and Documents starkly

stored stored

ifrn mnsre and ministries different

e shared be different

very general very and levels of capital. of levels and

ed separately. did not include a a include not did

its own database; database; own its - level information level .

, statistics MPI’s ih other with concession 19

data IMD w , i.e. ,

ere on on to

CEU eTD Collection study Unfortunately, capital. investment and registered of levels and period, concession details, contact investor’s including 2 Initiative (PEI). Environment The IMD attem MPI’s Assessing e todocuments due documentation lost. being reports) monitoring and company surveys, land agreements, concession (e.g. monitoring and d Lastly, same format, confusion duration responsibilities investor and about rights villagers operations, and agencies government other among confusion and uncertainty However, agreements Concession

section 2. . pt to identify common and frequently mentionedpt toandfrequently identify common impacts

IMD I

ata storage methods storage ata mpacts documented in government data and case stud case and data in government documented mpacts s f h cneso, h apoe area approved the concession, the of . The first section provide section first The . was was o

l MI DI ad investors and DPIs MPI, nly xisting governmentdata (MPI 2013) and MoNRE’s and 2013) (MPI and and

a Microsoft a exacerbated by the fact that MoUs and and MoUs that fact the by exacerbated were

thus difficult to a

were lack of lack were Office database Office database

not were Maintained by MPI’s Investment Division, byMPI’s Promotion Maintained

stored data on project impacts project on data available

rudimentary d

disting only only basic information on all concessions approved by MPI by approved concessions all on information basic Drn te interviews, the During .

unofficial database unofficial

designed with assistance UNDP designed with from tend to the public the to in hard copies. copies. hard in

uish. 34 Al ouet eae to related documents All . ed

and to concession ae ois f agreements. of copies have a exemptions tax but could but

mad

(MoNRE 2013) 2013) (MoNRE Villager

e of rubber concessions

this section of section this

agreement iareet regarding disagreements

be shared be otn akd n project any lacked often s - village agreements, ESIAs agreements, village

ee encountered. were ies concession

s often follow often s were assessed in an an in assessed were among

little use little - UNEP P UNEP

T it . i created his

ministries. conta

approval to overty overty ed

ined The

this the the ,

CEU eTD Collection Pro socio Prabang Luang in piloted adding be to expected are of indicators These database. concession processunofficial MoNRE’s the in are (CDE) Environment 22 to be thorough during the surveying (Investment Promotion Department, pers. comm.). and investors, the lack ofcooperation from investors, and insufficient incentives for andOP DPI officials 21 identify of review systematic A Assessing existing case studies the the Overall, on their investments, rubber of scale overall the understanding GP and data district However, similar In scarce.particularly the of half over operations, of status questionnaire by collected was information in contained section second The

According to the MPI, this was caused by a poor understanding of the que the of understanding poor a by caused was this MPI, the to According hs iuto mgt hne n the in change might situation This ir MoNRE’s 5 vince by the end of 2013 (CDE, comm.). pers. concessions

location io PI rvne ( provinces PEI pilot

to that of IMD, e.g. IMD, of that to key socio neither database neither the database the

socio , area ,

- us economic or environmental impacts. orenvironmental economic database unofficial

for the field for thefield d o olc te nomto was information the collect to ed

- q 21 economic and environmental environmental and economic

and and data impact social and environmental with unanswered, left were uestions

S measurements at project sites project at measurements S T

and impacts on impacts and

his

27 financial investments financial also contained also

contain existing case studies on rubber concession rubber on studies case existing de

study Oudomxai name of the investor, investor, the of name

more in more

the OP

( ( s second sectionof IMD managed by by managed see

er uue a MNE n te ete o Dvlpet and Development for Centre the and MoNRE as future, near information on impacts of rubber concessions, apart f apart concessions, rubber of impacts on information and DPIs DPIs and land, -

Table depth information on information depth P , data on concession area, compiled using provincial and provincial using compiled area, concession on data

water, hongsaly, Salavan, Savannakhet Savannakhet Salavan, hongsaly, .

22 2

). 35 Nonetheless, th Nonetheless,

ewe My 00 n Nvme 2011 November and 2010 May between impacts NREIC)

employment and infrastructure. and employment

( extensive, extensive, netet ye lcto n es period. lease and location type, investment Schönweger - the database the cnmc n evrnetl niaos to indicators environmental and economic , as well as procedural irregularities procedural as well as , m ,

of little use c o te trd nomto wa information stored the of uch a number of number a e databases e covering et al et

did s was s . 2012 .

to this study to this stionnaire by the OPs, DPIsOPs, the bystionnaire

not provide information information provide not rcdrl compliance, procedural

concessions operating operating concessions conducted in order to to order in conducted w ). ere

n Xkn) The Xekong). and While important in important While

use

Unfortunately, . d

in selecting selecting in . . The . rom rom The s

CEU eTD Collection in concessions. provided are The questionnaires villagers The see sources: Data conditions working unsafe Harshor use chemical from workers on impact Health revenue Lowgovernment shortages Labour fund development thevillage to Contribution villagers for transfer technology oftraining and Lack infrastructure promised to provide Failure approval project in involvement ofcommunity Lack thecompany by allowed Intercropping payment Late villagers ofemployment for Lack Lowwages in villages infrastructure Improved villagers Lo lost land for villagers to compensation Inadequate communities local wages for Jobs and land village productive on Encroachment Socio Impact studies case reviewed in mentioned concessions of rubber Key impacts 3. Table provided are the review in most s f ibr n frs products forest and timber of ss

se findings were used to develop questionnaires for investors, government authorities and and authorities government investors, for questionnaires develop to used were findings se - - e mentioned impacts mentioned

conomic

i odr o ses h etn ad the and extent the assess to order in ,

ofwages

Appendix impact

I .

and their frequency frequency their and Appendix

for

Frequency II .

10 11 11 15 24 7 8 9 3 3 3 3 3 4 4 6 6

are provided in Table 3 Table in provided are 36 Appendix levels water lower Plantationscausing sources ofwater sedimentation Increased sources water threatening ofchemicals Use nea Planting slopes steep on planting via Potential erosion land permitted outside clearing Investor area protected or forest natural on Encroachment Environmental Impact approval official before operations launching Investor activities non in engaging Investor contract in the specified not obligations Investor jurisdiction their outside acting Authorities contracts ofworker Lack studies feasibility orofESIAs Lack priorto clearance survey ofland Lack Procedural

ass f hs ipcs n h 5 the in impacts these of causes

III r or within watersheds withinor r irregularity

impact

permitted permitted . T .

he complete results of results complete he

Frequency

assessed 10 22 14 14 4 6 7 7 7 3 3 4 4 5

CEU eTD Collection 24 land. the own they cultivate, use rights. they which land for declarations unde tax However, land have they when that believe 23 from S established. being concession It los villages in and financial of stipulate usually Agreements document. survey co villagers, officials. with agreements of copies produce to able were companies C ( con for used be rights. use land reluctant also were companies titles; land all. at used not or assessed the to agriculture shifting for used was land allocated village transferred the interviewed, parties all to According land and LFA the under allocations land relationship between the investigate not did team research the constraints, resource and time to Due Negotiations DPI Savannakhet, pers.DPI comm Savannakhet,

ompany The remainingThe company claimed thatitleft the negotiation upto provincial and district officials. hs per t b a omn rbe: codn t Thongmanivong to according problem: common a be to appears This was 3.

all

The exten The unclear what what unclear

Such agreements agreements Such -

ilg ngtain to pae in place took negotiations village t their copies of theagreement households;

r the Land Law 2003, only land use certificates and land titles can be used to claim land claim to used be can titles land and certificates use land only 2003, Law Land the r with 23 cession, they often tried often they cession,

Provincial authorities noted that once villagers realise villagers once that noted authorities Provincial In most cases, the transferred land was not covered by land use certificates or certificates use land by covered not was land transferred the cases, most In - t kind compensation to be provided by the company (if any). (if company the by provided be to compensation kind affected and causes of key impacts in impacts ofkey causes and

occurred accordi were

villages

.).

g o nte ofca, yu a' pes everyone” please can't “you official, another to ng

concluded m gvrmn ofcas ttd ht osnu ws achieved was consensus that stated officials government ome

in cases

to claim ownership by putting up signs or planting crops planting or signs up putting ownership by claim to

, and only, and to accept land tax receipts from villages as evidence of evidence as villages from receipts tax land accept to

during the land survey, and thus form thus and survey, land the during hr cran oshls ee imy gis th against firmly were households certain where 4 d 37

u of out the amount of land to be transferred, and levels and transferred, be to land of amount the

district authorities hadcopies 5 5

sample concessions sample concessions . t al et 24 d

For these these For (09) vlaes often villagers (2009a), . that village land might might land village that - ind y district by signed

ed . Notably, all Notably,

a part of the of part a concessions concessions

( DPI 5 e , .

CEU eTD Collection to due appear case first The during theinterviews Four Compliance with year 35 signed Only The that confirmed interviews the None ofthe sighted company Compensation villages to local paid felt comm. pers. Savannakhet,

   powerless theinvestor the been because MoUbetween s GoL already and had . methods and

According tovillagers, t incidents of incidents 1

poor knowledge of knowledge poor

ongoing payments of payments ongoing 2, for compensation payments of which land for compensation concession involved a transfer of land covered by land titles. In this case, the company the case, this In titles. land by covered land of transfer a involved concession 3 - year agreements with 25 ho 25 with agreements year 00,000 - 2, level land clearance land concession 8

LAK . 00,000 ed

of compensation to be a small accident small a be to

500,000k hafor per ) concession b .

per ha;per and t patd n upatd l unplanted and planted oth A number of number A

he compensation compensation he LAK 1 - village agreements stipulatedNonetheless financial compensation. compensation compensation

boundaries by the investor the by , 2

contained 00,000 boundaries.

useholds, stipulating stipulating useholds,

varied

villagers stated that they opposed the investment but investment the opposed they that stated villagers

per monthper for non for

al clearance of rice fields by investor’s by fields rice of clearance al rice field rice was 38

, including crops at the time of the agreement, the of time the at crops

outside the outside

The The paid at the beginning at ofpaid - titled land land titled s investor and district officials district and investor

per village and LAK 1, and and, with with and, :

compensation of USD 8 per ha per ha per 8 USD of compensation designated was provided was .

one 5 00,000 - f payments off ar each ea

for fields; coffee were documented were in

year. igned. 3

with with asserted that asserted concessions.

contractor

of LAK LAK of one - off off

, ,

CEU eTD Collection used primarily land, agricultural of losses all In Agricultural availability security andfood land Nosupporting wasfound.ceased. documentation was long case fourth The after with complied plots concession multiple connect accuse The tapping once authorities begins. provincial to over turned be will which trees, rubber with planted clea the investor, the and officials district to According contractor. of ha 78 case, second the In 800,000 per ha the

incident w incident

denied by the company. the by denied third after the initial land clearance. clearance. land initial the after rubber tr 5 d

concessions h cmay of company the

case case ees as resolved by the company the by resolved as lost concession

entailed had were were .

, villagers reported villagers ,

ofitn acut b dsrc ofcas n te opn. h officials The company. the and officials district by accounts conflicting planted

the investor intentionally logging protected forest outside its concession its outside forestprotected logging intentionally investor the

intentional boundaries

The authorities could not explain when and why forest clearance clearance forest why and when explain not could authorities The . No supporting wasfound. documentation protected . The company, on the other hand, claimed hand, other the on company, The . The claim was claim The y c ly

an that the establishment o establishment the that d accused d learing outside its its outside learing for shifting cultivation of rice, corn rice, of cultivation shifting for oet ee cietly lae b te company’s the by cleared accidentally were forest compensating 39

made by district authorities, but t but authorities, district by made villagers of trying to make to trying of villagers

the concession 3 f rubber concessions resulted in in resulted concessions rubber f

affected households affected red area has since been been since has area red

area

that land clearance land that in an attempt to to attempt an in

or land

bananas

claims claims he inciden he with with . T . LAK long his t

CEU eTD Collection areas. 25 workers’ salaries. income When starts. For tapping. start they 2009 DSLLC with Consistent Government revenue foodsignificant shortages. non a security food make to area the in land plantable plantations. of establishment Three trees prevent intercropping in stipulated were activities Intercropping these price; market at product One ‘intercropping’) All the exact amount of land information

ilgr tne t ue hscl adak rather landmarks physical use to tended Villagers 5

f h cmais upre itrrpig y rvdn ses an seeds providing by intercropping supported companies the of

companies

out of of out tax (5% tax

was generally confirmed by investors and officials. None of the villages could report could thevillages of None officials. and investors by confirmed generally was

ed amn commences payment was took place at all all at place took

, 5 sufficient sunlight from crops. the reaching

for domestic workers a workers domestic for hs mrvn fo aalblt ad loig ilgr t er eta income. extra earn to villagers allowing and availability food improving thus

nevee villages interviewed only viable for the first 3 first the for viable only permitted villagers to plant plant to villagers permitted

lost.

companies, 25 , all all ,

5 h ohr ilgs state villages other The

sites, with with sites, 5 te rft a rt i 10 is rate tax profit the ,

companies

hs xmto extended exemption this

nd 10% nd stated - corn, rice rice corn, 4 y 4

40 ht od viaiiy a dcesd ic the since decreased has availability food that were ears of planting, as the canopy of mature rubber mature of canopy the as planting, of ears for foreign for

other hn esrmn uis hn eern t village to referring when units measurement than

exempt from paying profit profit paying from exempt - and

issue. crops ta tee a eog unoccupied enough was there that d

peanuts

workers N - 20% one of the villages villages the of one among

o u to up for

. as preferred crops preferred as Co ), which which ), t cneso agreement concession its

pne also mpanies rubber trees (known as as (known trees rubber d offering to buy the the buy to offering d 7

was er atr tapping after years tax tax

collected from collected complained of complained at least at a to had . However, However,

until pay pay .

CEU eTD Collection workers. employment labour l and origin, basis. permanent on hired labour, foreign Th c difficulties between aged workers for preference its stated company One force. labour of themanual appear depended who nationals, Lao by undertaken all For Employment Employment income and to year apparently Only All

ompanies did not discriminate between male ompanies didnotdiscriminate between male and workers.female what extent what mngra ad ehia wr (nldn tpig training tapping (including work technical and managerial e 5 ) ; n ;

concession 2 ed

otably, t otably, wa companies companies

Four companies appear companies Four

to be in compliance with the legal requirement of f of requirement legal the with compliance in be to

on the sc the on failed to pay since 2007. 2007. since pay to failed

– ocsin opne, a companies, concession sniie oi, ih opne an companies with topic, sensitive a

vl o epomn varied employment of evels figures, and and figures, and consequent and

opportunities the concession fees he he s

were later entrants later were ale and status of operations, operations, of status and ale

subject to concession fees concession to subject

paying concession fees concession paying 1

company

lower lower

tend ed were were

to be be to Concession fees varied fees Concession ed productivity

l aul aor patn, edn ad tapping and weeding (planting, labour manual ll being being

to pay higher fees higher pay to actually collected by actually collected hired as daily labourers. The n The labourers. daily as hired

exceeding between 10 and and 10 between Labour was Labour accused of failing to register register to failing of accused 41

at the time of the research the of time the at ranging ranging

; –

ofcas fe qoig rsial different drastically quoting often officials d 3

for other age groups. age other for

of them of the

sourced from sourced permitted share of foreign non foreign of share permitted between 250 between . The research team did not investigate investigate not did team research The .

161 substantially ( substantially GoL oreign workers not exceeding 10% exceeding not workers oreign obtained exemption obtained

18 and 40 year 40 and 18 workers )

autho was the country of country the

umber of daily employees daily of umber and 1,013 and rities. undertaken undertaken e company per USD 2 USD According to villages, to According some of their of some , whilst ,

s, .

– s citing companies All

40 until tapping. until primarily another

company’s per ha per F .

- learning manual manual foreign oreign was )

had per per by

CEU eTD Collection and punctual workers (e.g. working 25 days per month). 27 aUsing 6 26 technicalstaffand managerial comm. rubber was latter of price market workers tapping, For effortimprove worker du wage. minimum the above slightly workers weeding, and planting For Wages workers from but otherdistricts, phase. tapping the reach trees all once 5 Only with local labour, (willing) complai The exemptions from requirement, this the in stipulated labour

companies This As mentioned above, the legal minimum wage in Lao PDR is LAK 625,000 per month (USDS 2012). (USDS month per 625,000 LAK is PDR Lao in wage minimum legal the above, mentioned As findings 868

includes paying by performance (e.g. LAK 1,000 per weeded tree) or providing bonuses to regular to providingbonuses or tree) weededper 1,000 LAK (e.g.performance by payingincludes ).

was

ned ned

h rslat noe equate income resultant The day working week stipulated in the Labour Law 2006, equates this to LAK 25,000 per day.

ha were ha determined by weather conditions (e.g. rain) and the tapping technique. The price of price The technique. tapping the and rain) (e.g. conditions weather by determined

announced of insufficient workopportunities. .

Assuming all all Assuming eadn labour regarding dry

tapped

rubber. rubber.

were to the workers the to

Labour L Labour

ring planting and weeding, and ring planting butthe at the time of the research the of time the at 1

paid according to the quality and quantity of latex delivered, latex of quantity and quality the to according paid 5

company resortingcompany tobringing50

The quality of latex latex of quality The concessions are fully planted, they will require up to 7,000 workers 7,000 to up require will they planted, fully are concessions varied

the upy n demand and supply aw aw 26 and and

All All

were between LAK LAK LAK between and 750,000 logistics 2006 by the com the by d thus appear thecompanies 5

o A 1, LAK to Two companies stated that they might have to bring bring to have might they that stated companies Two

companies also tried to introduce incentive schemes to schemes incentive introduce to tried also companies paid a daily wage of LAK 25,000 LAK of wage daily a paid (20 were % Simultaneously, Simultaneously, 42 ) ; their ;

pany at the start of each month each of start the at pany was

yet to be worked out. to beworked yet

, representing , 0 00,000

inversely related to its water conte water its to related inversely were

concession ir success

- 2 mixed. mixed. - ,000 60 workers other districts. from 2

companies reported insufficient 6 ed ,000

% agreements

to bebreaking thelaw. Three was not investigated. was not 3 of

, e mnh Slre for Salaries month. per 0

the 00,000

– interviewed area area 40,000, which 40,000,

did n did per monthper

allocated ( DakLak, pers. DakLak, ot

stipulate and the and villages nt; the nt;

27 . to theto

was

CEU eTD Collection this trainers’, local ‘train must company the that Train aworkingalso providedwith suit and pesticides. training Tapping all in Workers Training 4 companies. rubber of benefits biggest all Nonetheless, toworkstated were reluctant thatthey cultivation their of proportions significant lost who villagers while incomes, the to prior land cultivation no had who villagers Generally, determinants. key the as company the for work to willingness and ownership The Overall im agreements. writt had companies payments. with late being or workers pay to failing companies of incidents tried unsuccessfully village consider generally Villagers - 7 , when intercropping , when was

reported ing ing was

pact on

usually provided by foreign employees. While While employees. foreign by provided usually impact 5

villages companies living standards living en contracts with their worke their with contracts en s

on living standards living on

indicated that employment and c and employment that indicated

to negotiate an an negotiate to ed was

no longer possible and employment opportunities possibleno longer employment and were were

h diy wage daily the

provided when tapping when provided rvdd ih riig n lnig weig n te s of use the and weeding planting, on training with provided

I worse

ncome levels appear levels ncome tapping knivestapping peryear

concession and were willing to work reported higher higher reported work to willing were and concession tended to vary among individual villagers, with land with villagers, individual among vary to tended increase with the company. There were no reported no were There company. the with increase - off 43 o patn ad weeding and planting for .

rs; the remaining companies relied companies remaining the rs; was was

onsequent income were definitely the definitely were income onsequent rvn dfiut u to due difficult proving

ed close tocommencing. 2

, concession agreements stipulate agreements concession to be at their lowest during lowest their at be to

free ofcharge. to be too low, low, too be to

were Three ad n were and land

Workers

still limited. insufficient

on verbal on u of out and years were

d 5 1

CEU eTD Collection was agreements, officials Provincial dams school roofing. and including honoured, not were that promises verbal villagers interviewed provide they that but villagers, with negotiations remaining The pumps. water Notabl and schools centre, medical electricity, offices, centres, conference irrigation, officials) infrastructure deliver to obligations Written stipulate I area surrounding in development economic All Infrastructure infrastructureLocal onforeign labour. to continuerelying the leaving elsewhere staff employment local trained of incidents and staff local of enthusiasm nvestors’

5 particularly particularly

concession agreements concession y, none of none thedocumentsy, specified d

ee band for obtained were

the land the obligations to deliver specific deliver to obligations securing foreign investments wa investments foreign securing obligations the case 2

to be to stated that stated opne sae ta ifatutr dlvr ws not was delivery infrastructure that stated companies

ad oeie gvrmn officials) government sometimes (and and services and

(

DPI Savannakhet, pers. comm. pers. Savannakhet, DPI f transferred

or earlier entrantsorDakL earlier such as These we claims

3 contain

while while f the of

to th to ed they prefer they

general

infrastructure assessed e company and what villages were to were villages what and company e

re disputed companies. bythe timelines for infrastructure delivery. s a higher priority at the time of negotiation of time the at priority higher a s ( wt n mninn o seii deliverables specific of mentioning no with , 44

ind by signed red statements that statements

d companies

stronger infrastructure clauses in concession concession in clauses infrastructure stronger eti srie ot f re il However, will. free of out services certain c were ntuto o cneec hls bridges halls, conference of onstruction ). ak ak

This created This companies, village chiefs and district district and chiefs village companies,

( usually usually DPI Saravan, pers.DPI Saravan, comm. . opand ht opne made companies that complained rmsd infrastruc Promised

investors should promote socio promote should investors listed

incentives for companies companies for incentives

in land land

opn t seek to company nldd n their in included

receive survey tur included e

). in return in

, which , . This . - . .

CEU eTD Collection 2013 monitoring report bythe provincial CIP stated that theplanted area was only 850 ha. 28 and agreements, operations. during used roads from conduct companies the of None levels available the beyond resources was (which village each of inspection physical a without team project Infrastr as low. little. very reports, company to contrast In villages infrast reports, implementation company to According Infrastructure maintenance deliveryand

A 2013 implementation byone the companies of report stipulateda planted2,010.66 area ha, of a while       

were

ucture student scholarshipsVietnam. to studyin road construction improvement and infrastructure,water fish including ponds, schools school equipment; and facilities healthcare house e included lectricity lectricity ) . However, . Four

observed

roofing delivery delivery

out of out :

wa installation s perceived to be the responsibility of villages. of responsibility the be to perceived s , meaning thatcompany shouldclaims

;

instances of instances

5 was

interviewed village interviewed

and staffand

o mntrd y o officials GoL by monitored not ;

most village most ed company reportscompany ;

regular maintenance of the delivered infrastructure, apart apart infrastructure, delivered the of maintenance regular M

aintenance aintenance

; s rated their satisfaction with delivered infrastructure delivered with satisfaction their rated s

and s complain s 45

dam wa providing inaccurate informatioinaccurate providing s nt etoe i mentioned not s , bridges and , bridges ed ructure

not be taken fornot betaken granted that

n cud o b vrfe b the by verified be not could and companies deliver companies The project team did not have not did team project The n servic and

aqueducts ay f the of any n e ;

delivery

ed n . 28

on planting planting on

nothing or nothing

o local to written

CEU eTD Collection Savannakhet, comm.). pers. 29 the during present were officials For forestconservation term forestland. barren and forestland degraded on granted be only can mentioned As F concessions MoNRE P concessions prior even tothe guidanc signed being agreement However, issued. before signed were mentioned As impactEnvironmental and statements social (ESIAs) Environmental impacts but infrastructure, the of condition the investigate encountered to resources or time necessary the

oica authori rovincial orest cover oal, rvnil uhrte wr uaae f o tee SA (oR Srvn n DoNRE and Saravan (DoNRE ESIAs these of 2 of unaware were authorities provincial Notably, all ae ambiguous, are s

concessions most

would would 1 ,

biodiversity reported incident of rubber above above 2 ties in Savannakhet and and Savannakhet in ties

clearly clearly require an of the MoU specifically mention specifically MoU the of areas the , district and provincial officials stated that MAF (and sometimes MoNRE) MoNRE) sometimes (and MAF that stated officials provincial and district , , Forestry Law Law Forestry , only ,

projects were approved without an ESIA. ESIA. an without approved were projects . MAF’s regulations

(

This indicates that an ESIA was a common requirement for rubber rubber for requirement common a was ESIA an that indicates This CDE, pers. comm CDE,

and erosion 4

assessed

eatet f oet has Forests of Department an investor an land survey and ensured that protection and conservation conservation and protection that ensured and survey land

pcfig h criteria the specifying ESIA 2007 e being issued.e being companies companies

states that concessions for industrial tree plantations tree industrial for concessions that states before being issued .) Oudomxai .

46 provided dam provided

conducted

the need for an ESIA prior to concession to prior ESIA an for need the

stated

for projects requiring an ESIA ESIA an requiring projects for

going into disrepair into going

ESIA a concessiona licence. as of maps ht eoe h eegne of emergence the before that Under Under s . 29 While

ditdy all Admittedly, current regulations current protection forest and and forest protection

definitions of these these of definitions .

MoUs , all all , were 5

CEU eTD Collection 30 theinvestor. by tree removal authorities district by mentioned comp 50 and streams Ac W infrastructure, pumps including and irrigat crop of means primary the th availability water on concession the of impacts the regarding villagers was asse the of None streams. plantations of irrigation for water investors, the to According W resourceand villagers by establishment. concession since Three protected f was wer forests

The researchThe team could not locate the rele e villages reported negative impacts on water available for agriculture because agriculture for available water on impacts negative reported villages e ater quality ater availability odn to cording

it monitored by by monitored it sal “abo oet, dgae frs” r “ or forest” “degraded forest”, “bamboo usually l

ied out of out

ih these with orest clearance tookplaceorest (discussedallegedly clearance above).

e excluded from concession land. According to officials and villagers, and officials to According land. concession from excluded e or

constraints. 5 authorities

uvyd ilgsrpre adces in decrease a reported villages surveyed oNRE oNRE m

etres GoL

eurmns however, requirements;

fiil in officials f ag rivers large of . F .

ssed .

ield inspections were not conducted notconducted inspections were ield There

companies monitor companies . Erosion due to forest clearance was not mentioned as an i an as mentioned not was clearance forest to due Erosion

ion One village also reported increased water sedimentation due to due sedimentation water increased reported also village One were aqueducts Savannakhet .

Three

mixed reports from investors, government officials and and officials government investors, from reports mixed s prohibited is vant legislation.

companies also provide also companies .

47 1

i ncident pr. comm.) (pers. ed

or m or y law by

oet fallow forest

nearby easure f p of . 30 atn coe o wat to close lanting

was by the research team team theresearch by

, l cmais state companies All

d wild pig and deer populations deer and pig wild

planting their water consumption, nor nor consumption, water their

taken from nearby nearby from taken ” d .

villages with water with villages However, 2 incidents of of incidents 2 However, for other users other for

ihn 30 within

rainwater was rainwater cleared forest cleared rhd was ersheds ta they that d due totime

. m None of None rivers or rivers etres - related ssue ssue

CEU eTD Collection using rubber had plants processing no but 3 construct to requirement A Rubber processing plants team quality mention reports monitoring obtained the of None availability, water. drinking of availability r Consequently, streams. or rivers than rather v water, drinking For prohibited pesticides.and pesticide time each DoNRE from in authorities: provincial by planting weeding manual where cases in (only sparingly used villagers. cons village One

ou t of t qet reduct equent to verifyvalidity the claims.of theabove . Such i Such .

when rubber trees rubber when 5 Four

assessed companies. E companies. assessed

having claimed that, in the past, the in that, claimed - processing plants located inotherdistricts.processing located plants

mpacts thus appear thus mpacts out of of out

o i fs sok, n icdns of incidents and stocks, fish in ion to switch from riverto well a illagers tend illagers 5

assessed companies acknowledged using pesticide but claimed that it that claimed but pesticide using acknowledged companies assessed

a rubber processing plant processing rubber a were 1

been built to date. Two companies companies Two date. to built been province, both companies claimed that they require they that claimed companies both province,

Only ach company stated that it planned to build a processing plant, plant, processing a build to planned it that stated company ach ed most vulnerable). vulnerable). most ed was

to use to

to be not monitored, making it i it making monitored, not be to pesticide used by the company the by used pesticide

used, while in while used, 1

u of out wells and mountain water transported via aqueducts via transported water mountain and wells

48 . be pattos eeal did generally plantations ubber

ed 5 There wa There

was

ilgs eotd reduc reported villages t another, another, was he impact he

livestock too difficult and onl and difficult too

included in included s some monitoring of pesticide use pesticide of monitoring some s DAF s

that we that of plantations on nearby water water nearby on plantations of death death

displayed a list of permitted of list a displayed polluted nearby rivers, with with rivers, nearby polluted mpossible mpossible concession and skin infections for for infections skin and re already tappin already y in t in y d rnig water drinking ed

for the research the for

o reduce not agreements for for agreements d he first year of of year first he

a permission a g we g

was the re ,

CEU eTD Collection costs construction and operation lowest their to due industry the in popular are facilities Such effluent. plans treated be should which mentio As

( Nguyen and Luong2012) and Nguyen to

use ned ned

biologica above , rubber processing requires processing rubber pn wtr ramn fclte t rmv ognc m organic remove to facilities treatment water pond l

to avoid pollution of nearby water sources water nearby of pollution avoid to

T he other he 3

companies companies 49

large quantities of water water of quantities large were

yet tocomplete designs. their . Two companies Two . and produces and te fo the from atter stated their stated effluent

CEU eTD Collection due to con rubber of approval disastro potential with projects prevent to way only the is This approval. project to prior conducted are ESIAs projectshould essential implemented, that be itis not the or decisionwhether of government the requirements ESIA subject to nor uncertain; legality their making agreements, concession by covered be to not operations entitlements uncert The inthiswas notinvestigated study. Whi procedures. approval correct following securing that officials government among consensus sur land and ESIAs (including submitted s being agreements concession and licence, concession order correct process approval concession stipulated The 7 Chapter 1.

environmental considerationsenvironmental priority high a for notbeing GoL. Concession appr

an ESIA process. ESIA an , in an attempt to gain all of the land ‘promised’ in MoUs. These new areas new These MoUs. in ‘promised’ land the of all gain to attempt an in , i lgl tts f os created MoUs of status legal ain Tee wa There . . .

Non Summary findings of Summary s niomna ad oil mat fo gig ha. notntl, GoL Unfortunately, ahead. going from impacts social and environmental us - compliances include compliances were cessions without an ESIA appeared ESIA an without cessions s evidence of companies surveying new new surveying companies of evidence s

oval and monitoring and oval

loosely enforced. loosely

companies launching operations before being issued a issued being before operations launching companies es. h ky as appeared cause key The veys). le corruption le

50 Because results of an ESIA are meant to inform inform to meant are ESIA an of results Because was

rarely followed in its entirety its in followed rarely igned without necessary documents being documents necessary without igned confusion regarding regarding confusion

netet wa investments wa

to be a common practice common a be to s a potential contributing factor, it factor, contributing potential a s land

mr iprat than important more s

og fe launching after long o e n unspoken an be to investors’ land land investors’ , potentially ,

were or in the the in or appear

they ed

CEU eTD Collection scrutiny avoid to order in monitoring for pay companies rubber by budgets behind reasons The of complia accuracy their paid), impl wages and provision infrastructure company While taxes. and i Monitoring did reports) investigative accounts conflicting Where case. the always the However, boundaries concession that ensure were but closely, more monitored be should boundaries concession with compliance Investors’ guidance, per rates8ha legal resultingcompensation USD (e.g. inlow year). appear Furthermore, GoL. by completed we villagers i the refuse to position a in not titles. company The nspection

not appear to be any rampant to grabbing’ beany bynot appear ‘land investors. was

responsible for monitoring the initial land clearance and subsequent investor operations to operations investor subsequent and clearance land initial the monitoring for responsible G ed

iven that villagers generally did generally villagers that iven

generally good. generally to depend more on the bargaining power and ski and power bargaining the on more depend to s nce withnce EMMPs SMMPs and appeared

e fetvl ‘oiiain’ Ti ise il ess utl h ln ttig rcs is process titling land the until persist will issue This ‘notifications’. effectively re check f socio of 4 - villag

lee icdns of incidents alleged ed

inadequate only companies’ compliance with planting schedules and payment of fees of payment and schedules planting with compliance companies’ only made e negotiation process process negotiation e - cnmc and economic

Provincial authorities assert authorities Provincial

it difficult to assertto difficult it was

nvestment. In this light, it could it light, this In nvestment. monitoring

tolerated mnain eot contain reports ementation h ngtain rcs ad osqet compensation consequent and process negotiation the nprpit ln cerne indicate clearance land inappropriate were

not have titles to the transferred land, they they transferredland, the to titles have not

environmental impacts impacts environmental

, were respected creating existed was who was who 51

Secondly .

numerous. Firstly, non Firstly, numerous.

largely meaningless due to due meaningless largely to benon ,

a e a perverse incentive for companies not to not companies for incentive perverse a

lack of documentation (e.g. government (e.g. documentation of lack was (

telling the truth. Overall, h Overall, truth. the telling that district MoNRE and MAF officials MAF and MoNRE district that oR Svnaht pr. comm. pers. Savannakhet, DoNRE lls of the involved parties rather than rather parties involved the of lls tee was there ,

not verified by officials. Monitoring officials. by verified not - existent.

be argued th argued be ed

was

oe eal (including detail more - insufficient payment of monitoring of payment

d at ne at inadequate.

that this this that a gotiations with gotiations

were owever, there owever, lack of land of lack aaiy of capacity

arguably was GoL GoL

not not ).

CEU eTD Collection and monitoring activities. 31 and compensation) adequate (without villages. cultivation by identified impacts key the were opportunities shifting for land of Loss damaging tothepotentially interest. public o nature classified The decision uninformed to contributing further industry, the of knowledge incomplete an officials appeared l The sharing and computers (including levels district and provincial the taxes and fees of payments with authorities, information vertical generally contributions) infrastructure that data little The concessions. there monitoring, storage and sharing collection, Data more thorough appeared there Finally, MAF. and situation this level; district staffgovernment to

Ministries and departments with existing sets of data are more likely to receive financing for projects for financing receive to likely more are data of sets existing with departments and Ministries 2.

c o ack , potentially f , potentially Soci discouraged to collaborate and share data. share and collaborate to discouraged

to be caused by competition for budget allocation between and within ministries, with with ministries, within and between allocation budget for competition by caused be to hrzna information horizontal f o - economic impacts economic with with

was acilitating collect and assess and collect monitoring because central monitoring central authorities because d -

sharing sharing

f concession agreements prevented agreements concession f

ey ite aa on data little very was

uninformed decision appeared

exacerbated by exacerbated

did to be little incentive for provincial and district and provincial for incentive little be to

socio - did xs (nldn patd ra, mlyet iue and figures employment areas, planted (including exist sharing (including sharing of concession agreements) agreements) concession of sharing (including sharing

ol b improved be could not get transmitted to the central level. Th level. central the to transmitted get not - economic and and economic e agl de o nifrne f central of indifference to due largely be socio 52 the

31 ir

poor working relationship between MoNRE between relationship working poor making at the central at making level. - C primary concern. concern. primary cnmc and economic onsequently, each agency appeared agencyeach onsequently,

cnes frhr limited further scanners) environmental data, particularly at the at data,environmental particularly

public scrutiny public id

In comparison, In not request information. such . u t te arw cp of scope narrow the to Due

en Inadequate vironmental impacts of of impacts vironmental

of the

deals which we which deals

officials to officials l qimn at equipment oss of timbe of oss

information is lack of lack is -

making. to have to - level

job be re r

CEU eTD Collection of the concessiosize the with signed, was agreement concession new a 2009 in Consequently, agreement. concession 33 per kg (IndexMundi 2013); 4) profits are 50% of 30% a and ha per latex of latex tonne 1 of yield a 2) disease); and fire to due performing not 10% other the 32 all to them, and tapped being tax profit that expire. periods exemption and starts tapping once significantly increase should appeared revenue government and exemptions revenue Government there is if particularly onwards, 4 year from issue an become might security food plantations, on work to 4 years during security food labourers, wage as work to willing villagers For future limited plantations the of None purchases. increase consequently and labourers, wage of that with lifestyles cultivation production food local in decline reported security Food mentioned. rarely were envir and transfer, technology of lack the products, forest and

The followingThe assumptions were used inthecalculation: allocated 1)90%of 165,168 haisplanted (with n cmay per t hv fie t ke u wt te lnig ceue tpltd n t initial its in stipulated schedule planting the with up keep to failed have to appears company One - rubber conversion rate (a conservative estimate); 3) the price of dry rubber to remain at USD 2.44 USD at remain to rubber dry of price the 3) estimate); conservative (a rate conversion rubber

(particularly iflabour(particularly shortages thus driveupwages), Consequently . little

n significantly reduced. plantable landplantable inthearea. . 32 - revenue revenue

7, i.e. once intercropping stops and before tapping starts. For villagers not willing willing not villagers For starts. tapping before and stops intercropping once i.e. 7, Four out Four was 5

companies 2016. shouldby tapping be o cneso fe, h cret otiuin f sesd compani assessed of contribution current the fees, concession low

a likely concern for villagers not willing to work on plantations. on work to willing not villagers for concern likely a

it ,

alone could could alone was

of of is expected that the villager incomes will increase significantl increase will incomes villager the that expected is 5

o bt hud nrae n h future. the in increase should but low assessed companies had companies assessed

o e ninfcn. oee, rft n icm tx revenues tax income and profit However, insignificant. be to

reach had

yet fully matured and thus the current employment employment current the thus and matured fully yet

USD USD

the revenue; and 5)a profit tax 10%. of was 5.5 53

o srrsn: ocsin replace concessions surprising: not million once all of the current allocated area is area allocated current the of all once million

already 33

reducing food security concerns. food security reducing

planted much of the area allocated area the of much planted onmental impacts of concessions of impacts onmental was

ot iey to likely most u t gnru tax generous to Due d

reliance on food on reliance

It is estimated is It

e n issue an be d

y in the the in y shifting s to es

The The was

CEU eTD Collection difficult to duplicate with other ethnic groups. B in production 35 2013). 34 c of quantities small and surpluses subsistence were villages interviewed all income village on impact Overall forgoods anddemand local landpricesand services, higher higher including impacts, negative and positive both with associated be to tends labour outside of influx Large seen. be to remains shortages labour future likely with deal will companies How technical and managerial the concessiowork at it Unfortunately, avoid. to difficult irregular are hours work where lifestyles,subsistence groups ethnic particular of ethic labour towardsvillagers wage certain rural require Concessions limited).The extent are areas theindustry thisin towhich practice is common a (particularlysecurity foodreduction in consequent with year work to willing those for concern. a are labour of shortages provide Concessions

This appears to be an issue outside Lao PDR as well:Alton as PDR Lao outside issue an be appearsto This The national adult literacy rate is 72.7%, with the average length of schooling at 4.6 years (UNDP (UNDP years 4.6 at schooling of length average the with 72.7%, is rate literacy adult national The - old workers old Lao PDR Lao

, this , Hat Nyao village (China) to the work ethic of Hmong people, and suggests that it will be will it thatsuggests andpeople, Hmongethic of work the to village(China) Nyao Hat . This practice practice This . d is

primarily low primarily an advantage an d

. One point of concern wa concern of point One . bnat low abundant

can reduce can . 35

- is also is rather than a cause for concern for cause a than rather skilled labour; given the generally low level of education in education of level low generally the given labour; skilled

oe ilgr wr as nt willing not also were villagers Some appeared wa Overall, wage Overall, orn, fruits and vegetables. This made the impacts of of impacts the made This vegetables. and fruits orn, s uncertain s - oriented, engaging with the market only to sell rice rice sell to only market the with engaging oriented,

kl epomn opruiis bt possible but opportunities, employment skill a key obstacle to local people taking up higher up taking people local to obstacle key a earning opportunities for the young and the elderly, the and young the for opportunities earning

n. to be 54

; a ; employment at the concession was concession the at employment . Prior to the establishment of concessions, of establishment the to Prior . primarily s the alleged practic alleged the s rguably, th rguably, if agricultural opportunities in the nearby the opportunitiesin if agricultural et al. et growth of thelocal sexindustry.

(2005) attributes the success of rubber of theattributessuccess (2005) caused by by caused is is a transitional issue which is which issue transitional a is . 34

The l The low wages and and wageslow e of hiring only 18 only hiring of e

ack of enthusiasm of of enthusiasm of ack o oe aw move to is

unclear

thework a a vailable vailable . y from from y

paid - 40 40 CEU eTD Collection 2013. IndexMundi Source: Fig. rubber plantations,su manage to GoL of ability questionable the and date to inputs capital substantial the concessions, rubber to dedicated area large the given However, concession. the repossess to right the GoL to equate would operations of halting Hypothetically, conditions untilmarket tapping ofhalt ceasing employment. consequent improve,with to likely then is investor The unprofitable. become can operations level, certain a below drops Furthermore,i revenues. tax lower to leading profitability, lower in result prices in decrease mar favourable and employment revenue, (government benefits economic Future thesubject of be This topicshould therefore conc of i interviews, the During limited were earnings monetary as measure, to difficult incomes local on concessions

8 . Price ofn Price . ession on their living standards, but the responses were mixed and lacked consistency. lacked and mixed were responses the but standards, living their on ession rubber atural rubber (smokedsheet rubber atural e cniin fr aua rubber. natural for conditions ket

price ch outcome would be unfortunate be forparties would involved. all ch outcome

t was hoped that villagers would provide a clear indication of the impact the of indication clear a provide would villagers that hoped was t s

over theover last 3

years, following years, following ), Singapore Commodity Exchange Commodity Singapore ), future 55

quantitative studies.quantitative a breach of a concession agreement, giving agreement, concession a of breach a 3 A point of concern is the significant significant the is concern of point A

years (Figure of growth strong

ae) depend wages) f the rubber price rubber the f

in the past the in

8 ). Low

on on .

CEU eTD Collection planting. with during complied were boundaries forest not or whether and survey land the during used were land. further. p on Encroachment definit prevents any Admittedly companies. and provinces all across similar were concern of structure. ownership or origin location, geographic their on based socio the in differences noticeable no were There networks healthcare centres) and is as concern, a is companies by infrastructure of maintenance of lack The government. the by monitored poorly de service and infrastructure Nonetheless, should avoided and be asvillagers, muchaspossible. country the t land the until persist will issue This land. transferred the over investors from commitments written for demands including appeared it compensation, delivered services and Infrastructure 3. Due to the lack of time and resources, the research team did not investigate which maps which investigate not did team research the resources, and time of lack the to Due

Environmental impacts Environmental A ll interviewed parties claimed parties interviewed ll The . the ability of villag of ability the Ho lee vra poie were promises verbal alleged ive conclusionsive subject for onthis theindustry whole. a as wever, rotected forests is potentially a problem a potentially is forests rotected

2 ifcl fr ilgr t mk srn dmns o infrastructure for demands strong make to villagers for difficult

incidents of protected forest clearance ( clearance forest protected of incidents ers to maintain complex equipment equipment complex maintain to ers

qu estionable were

that protected forests were excluded from concession concession from excluded were forests protected that livery to local villages appeared villages local to livery

substantial but inconsistent. inconsistent. but substantial 56 .

suc o tnin ewe cmais and companies between tension of source a

- economic impacts of concessions concessions of impacts economic –

itling process is completed completed is process itling because they had they because that should be investigated investigated be should that and services (e.g. electricity (e.g. services and 1

confirmed and and confirmed

The impacts and topics topics and impacts The , the small sample size sample small the , to

be substantial be

Similar to fi to Similar

no legal claims legal no 1

alleged) nanci , across

albeit al –

CEU eTD Collection protection cons or 36 place. taking by aqueducts. and pumps dams, wells, constructing plantations appear companies Rubber monitoring. quality and availability water on Impacts should oferosion land the extent by caused clearance. on impact its and decrease this forest decreas reported erosion and biodiversity Impacts protected forests isawidespreadrubber plantation practice to alarm forcause a are

Schönweger GoL land te vrl ipc i ipsil t etmt. notntl, uh oioig s not is monitoring such Unfortunately, estimate. to impossible is impact overall the ,

is likely to have higher biodiversity levels than levels biodiversity higher have to likely is and and

Different parties reported drastically different impacts on water levels and quality. and levels water on impacts different drastically reported parties Different t al. et ( ervation forests. future o nab aia ppltos was populations animal nearby of e

21) anan ta 2% frbe cnesos n a PR r lctd within located are PDR Lao in concessions rubber of 24% that maintains (2012) , particularly given that, a that, given particularly ,

)

rubber processing. Simultaneously, the Simultaneously, processing. rubber ed

to reduce local water availability via pesticide use, irrigation irrigation use, pesticide via availability water local reduce to

local

living standards should be investigated in future studies, as studies, future in investigated be should standards living were

unclear and should be investigated further. investigated be should and unclear ccording to ccording were 57 W

ithout regular long regular ithout

neti de to due uncertain

monoculture Schönweger o srrsn gvn ht degraded that given surprising not

in y increase y Lao PDR -

et al. et term scientific monitoring scientific term plantations a . d

36 ak f government of lack (2012)

water availability by availability water , conversion of conversion , . The extent of of extent The . The of of

CEU eTD Collection 2015). (December taken procedures procedures. monitoring and approval concession GoL’s from negative of majority The 8 Chapter 3) 2) 1) 1.

into consideration before the expiry of the current moratorium on new rubberconcessions new currenton moratorium the of expiry the considerationbefore into with compensation and infrastructure and compensation with commitments. state the should and villages, the of behalf complete, investorson with negotiate should is process this Until investments). refuse to right the (including for power bargaining sufficient nation The project approval. project approval. during account into taken be should ESIA the of findings The operations. commence companies before and signed are agreements concession before prepared are ESIAs t ensure should GoL particular, In order. correct the in and entirety, its in followed is process approval concession the that ensure to place in put be mustbalances and Checks decree. the coordinating for investment responsible is agency government which over ambiguity The Concession approval

can be improved be can .

ecomm wide land titling process should be completed as soon as pos as soon as completed be should process titling land wide prvl process approval

socio

endations

are provided below. provided are - economic and environmental and economic

–

P o MoNRE or MPI rural

58 people people

It is recommen is It hn eln wt ptnil investors potential with dealing when –

impacts hud e lrfe va separate a via clarified be should G eneral eneral ded that ded

of rubber concessions stem rubberstem concessionsof suggestions

these suggestions are suggestions these monitor compliance compliance monitor sible to ensure to sible

on how on these these hat hat

CEU eTD Collection age inLao PDR is 14 (Labour Law 2006). 37

At least one of the assessed companies already utilises the tapping exam. The minimum legal working legal minimum The exam. tapping the utilises already companies assessed the of one least At 4) 8) 7) 6) 5)

include a requirement a treatmentinclude for facility. water a that agreements Concession their on ratherthan theirag thetappingperformance in exam, based workers hire to obliged are investors that specify should agreements 18 the outside workers against discrimination prevent To distinguishable from standa concessionA agreements. clearly be should MoUs final. is agreement concession the in stipulated area the that and availability, land to subject is area allocated stipulated the that state clearly should MoUs pr delivery. late for penalties with government, district the by monitored (or infrastructure w along company the in included be should commitments infrastructure All Investment on Law the into Promotion 2009. incorporated be should agreement concession the requirement The land for paid compensation company The

ovided in ovided t siuae dts f eiey n cmay omtet o anan the maintain to commitment company and delivery of dates stipulated ith Table 4 Table

- village company for to to .

train local people to do so). The delivery of infrastructure should be be should infrastructure of delivery The so). do to people local train

eoito poes hud e standardised be should process negotiation

– stipulate

- power. of abuses avoid and outcomes consistent ensure to

village negotiations to be completed before the signing of signing the before completed be to negotiations village

a construction of a rubber processing plant should plant processing rubber a of construction a 59

e (within thelegallimit). e (within rdised MoUformat is preferable. - 40 age

– bracket, concession concession bracket, -

village agreements, agreements, village including rates of of rates including

37 guidance

is is CEU eTD Collection

10) 9) 2) 2. 1)

should include multi a by visits of should inspections Ideally, investor. the to communicated and clarified be should levels district and provincial central, the at ministry each of responsibilities Monitoring available shouldConcession made to agreements be publicthe general anddailypermanent staff. wit contracts employment written mandatory stipulate should agreement Concession MoNRE, MAFand MoL) MoNRE, at district, and levels. provincial central agenciesMonitoring be distributed reports should relevant totheinvestor all (MPI, and - - - - - submit GoL non investors should for penalise monitoring Concession

implemented checking checking project boundaries),including proposed penalties; and remedies conflict any of documentation discussions villages, affected with 4 Table of monitoring biannual and annual and biannual ) ;

that the of company’s accuracy implementation reports :

measures proposed report previous in monitoring

- socio ministerial - economic

implementation

team every 6 months (plus occa (plus months 6 every team s

and or legal legal or including - payment of environmental budgets and failures to failures budgets and to environmental of payment 60

niomna impacts environmental

reports. non

written minutes of discussions; - compliance compliance

(e.g. land clearing outside clearing land (e.g. sional surprise visits), and and visits), surprise sional ;

and

( icse i dti in detail in discussed

s are

being being

consist consist h all h CEU eTD Collection

4) 3) 6) 5)

ministries at central, provincial and district levels (preferably in digital form). These These form). include: digital in (preferably levels district and provincial central, at ministries relevant all by held be should operation and approval project to related documents All shouldutilised. fully be level hum The agencies. monitoring among appropriately shared is MoNRE) by collected (currently budget monitoring environmental investor’s that ensure should GoL not, If activities. monitoring for funding sufficient is there not b should authorities provincial and district of Budgets communities local on impact consequent monitor and Lao) and foreign (both workers outside of inflow the to attention particular pay should GoL phase, tapping reach concessions more As concession with compliance ensure to clearing land initial the during present be should officials GoL ------

government government reports implementation company concession agreements ESIAs; surveysland feasibility studies MoUs

;

boundaries. - village ; monitoring reports

agreements infrastructure commitments) (including ;

;

provided by the companies by the provided

an resources of MAF at the district the at MAF of resources an e ; and reviewed

to identify whether or or whether identify to ;

CEU eTD Collection 1.5 1.4 1.3 1.2 1.1 1. concessions ofrubber monitoring and approval for indicators and Criteria 4. Table sections 2 4. Table in provided is checklist The the improve concessions rubber of monitoring a guidance, general to addition In

7) 3. Feasibility study Feasibility (MoU) ofUnderstanding Memorandum P indicators and Criteria impacted villages impacted Company survey Land (ESIA) assessment impact social and Environmental

roject approval process approval roject and vertically. The shouldand use databases trialled. ofonline be database monitoring existing All Criteria and indicators for approval and monitoring of rubber concessions concessions ofrubber monitoring and for approval indicators Criteria and - 5 should used be - socio village

economic and environmental performance of current and future concessions. concessions. future and current of performance environmental and economic

agreements with all all with agreements

during

monitoring was Sec

set s should be updated and synchronised, bot synchronised, and updated be should s developed.               Guidance tion 1 should be should 1 tion

f rtra n ind and criteria of contains permission for villagers to engage inintercro to engage villagers for permission contains nonfor punishment and responsibilities implementation, for timelines any),including (if thecompany by to provided be infrastructure on details contains non for punishment payment,and methodof ofpayment, dates recipients, amounts, including (if any), company compensation offinancial details contains forest degraded land, agricultural (e.g. barren land of type the company, including to the to transferred be ofland amount ofthe details contains governments aut village thecompany, by signed signed is agreement concession before signed and conducted land thetransferred covering in paddy rice forests and ofprotected avoidance and identification includes area theallocated of all covers before conducted budget monitoring a and SMMP EMMP, includes the before conducted issigned theagreement concession before conducted area level government theappropriate at signed . cludes details on land use certificates or land titles held by villagers villagers by titles held land or certificates onuse land details cludes

Presente

used by MPI during project approval project during MPI by used the n hcls, these checklist, a in d

icators concession agreement issigned agreement concession issigned agreement concession

(C&I) land horities and district or provincial provincial or district horitiesand

)

- o apoa and approval for delivery to be provided by the the by provided be to ,

given given

maintenance maintenance - h horizontally h

compliance C&I seek C&I forest

the

pping for at at pping for concession concession land, land,

;

CEU eTD Collection 3.4 3.3 3.2 3.1 3. 2.8 2.7 2.6 2.5 2.4 2.3 2.2 2.1 2. 1.6

produced produced reports implementation Company time on and annually paid budget Monitoring rubber equating to year, per ha 1 ofleast yields Latex schedule planting corresponds with area Tapped planting schedule correspondsthe with area Planted survey correspondsarea Cleared agreement concession the with Compliance Concessionagreement calculation salary for transparent method and Clear on paid time Wages limit thelegal exceed not does workers offoreign share The staff daily Writtencontracts Socio on time and in full paid taxes Relevant on time and in full paid Concessionfees

economic impacts economic are are

biannually

above the minimum theminimum above

with permanent and and permanent with

and annually and

onne 300 to

kg of dry dry of kg of latex per per latex of the land land the level

and and

Implementation reports must contain the following information: thefollowing contain must reports Implementation                          

evidence ofp evidence l at be should budget monitoring plant processing therubber at or theplantation at either checked planting(at after years 8 commence tapping should field boundaries concession outside clearance offorest incidents reported shouldno be there field commence t by signed villagers by held be must agreement copiesofthe theinitial least month th at workers to announced tapping price rubber workers from payment oflate nocomplaints month per 625,000 LAK above be wages must 2006) L (Labour labour technical for 20% and labour physical 10% for ofemployment) duration completed, be to work (wages, ofemployment conditions must describe ofp evidence tax salary profit and tax includes agreement theconcession to must correspond ofp evidence agreement theconcession to must correspond ofreportsavailable copies have must company to date provided infrastructure and compensation total) and worker (per wages paid man vs. vs. technical physical daily, (permanent vs. category by employed, workers local and offoreign number year financial last the during and thelast quarter in paid taxes and fees concession out rubber tapped and planted approved, area concession 63 - - level inspection of plantations ofplantations inspection level boundaries ofplantation inspection level

put for the last quarter and during the last financial year thelast financial during and thelast quarter put for he company and the government before operations operations before government the and company he

ayment must be produced, e.g. produced, must be ayment ayment must be produced, e.g. e.g. produced, must be ayment must ayment 3

years ofplanting years

be produced, e.g. produced, be

east USD 2,000 USD east

receipt receipt receipt

or agri or

e beginning of the of beginning e

agement)

s s s thelatest)

cultural

land land aw

CEU eTD Collection 4.5 4.4 4.3 4.2 4.1 4. 3.7 3.6 3.5

boundaries plantation outside No clearance forest minimal are quality and availability water on Impacts sources water nearby from 50 least at Plantationsare consu its water measures Company impacts Environmental t andinon full delivered Infrastructure ontime Compen company by provided training worker Relevant SMMP and EMMP with Compliance ime

mption (in m (in mption

sation for land paid in full and and in full paid land for sation

3 )

etres

away away

                

water levels, degree of sedimentation and degree ofcontamination degree and ofsedimentation degree levels, water processionfacilities rubber and ofplantation m within100 lakes) ofwa physical assessment plantations of physical inspection and documented measured be to consumption water frominvestigated must be villagers delivery oflate complaints photos,sitevisits e.g. delivery, ofinfrastructure evidence shouldto correspond the delivery investigated must be villagers from payment oflate complaints receipts e.g. paid, ofcompensation evidence the to correspond should payment tapping and (if used) pesticide weeding, planting, must include training basis to theworker announced latex ofcollected content rubber there should be no evidence of evidence shouldno be there on theissue questioned be should villagers local w cover offorest physical assessment worsening not situation is toensure report monitoring previous ofa with results compared be must inspectionresults used pesticides permissio written a have must company inspected be smell)must / foaming / (colour 64

ter sources (canals, streams, rivers and and (canals, rivers streams, sources ter forest

company company

ithin 100 m of plantation ofm 100 ithin clearance taking place clearance n from district official for for official district n from -

village - village

and fertilizer fertilizer and

agreements

son

use use daily

CEU eTD Collection finding solutions. duties) their perform to officials government for incentives of lack or regulations, causes their of identification decision to travel to fails todevelop souunlikely and disregarded economi properly not are use land of forms existing country. host the in environment plantations agricultural F Conclusion rom a conceptual conceptual a rom

c and environmental impacts are are impacts environmental and c

government monitoring is non is monitoring government

standpoint nd

- – making circles. making investment

and (e.g. lack of human or financial resources, c resources, financial or human of lack (e.g.

h suy hw that shows study the investment Disputes are likely to emerge if land tenure is unclear, or if if or unclear, is tenure land if emerge to likely are Disputes

strategies

Lastly, if the above the if Lastly, likely

n general in protected via formal land land formal via protected

65 - if essential data on the impact onthe data if essential existent. existent.

formal investment approval procedures are are procedures approval investment formal

h ipcs o impacts the Furthermore –

- largely mentioned deficiencies are in place, in are deficiencies mentioned

eed n h regulatory the on depend f , the host governments host the , investment investment onfusing or conflicting conflicting or onfusing titles s

is not collected or collected is not . N gtv socio egative is essential to essential is n large in - scale

are are - CEU eTD Collection 2013. Emapsworld.com. URL: Plantation Rubber proposed environmental Industrial and and social plans SystemsEarth Laos. 2007. investment projects. August 2012. Department ofand Planning Investment, 2012. Province. monitoringReport: of Attapeu al%20translation.pdf http://www.investlaos.gov.la/files/Investm Lao People’s Democratic translation. URL: Unofficial Republic. Decree Implementation onof Investment the Promotion Law 2013].[consulted 5May on content/uploads/2011/10/8. URL: Republic. Democratic LeaseDecree or Land onConcession State [consulted 2013]. 12March on content/uploads/2011/10/11. Dem Decree Impact Assessment on Environmental www.iied.org/pubs/display.php?o=12561IIED International and Development Institute D and for Environment Fund forAgriculture Organization of Nations, Agricultural theUnited International International Land Investment inAfricaAgricultural and Deals L., Vermeulen, S. andJ.Keeley. Cotula, Leonard R. 2009. [consulted 2013]. 15July on D People’s Lao ofthe Constitution Democratic Republic cultivation GTZ. URL: Vientiane: Lao Bluhm, D.and C., Alton, S. 2005. Sananikone, forCommittee theAgricultural Census. Census 2012. Agricultural Office. Republic.People’s Democratic Agreement EIA ofProjects onto Investment List subject IEEand References emocratic Republic. URL: Republic. emocratic - ocratic Republic. URL: Republic. ocratic

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- UNEP PEI.UNEP , 47:3. URL:, 47:3. ent in natural ent in

[consulted

CEU eTD Collection Limited Company Development Rubber Siphansalika District Beng MangVillage, District Beng MoL), and MoNRE MAF, (MPI, officials District Welfare Social and ofLabour Department En and Resources ofNatural Department Forestry and ofAgriculture Department Investment and ofPlanning Department Province, Oudomxai Limited Company Rubber Thai Hua Lao Dist Outhoumphone Village, Napho District MoNRE),Outhoumphone MAFand (MPI, officials District Limited Company Lao Guangda XeponVillage, District Saved o District Environment and Resources ofNatural Department of Department Investment and ofPlanning Department Province, Savannakhet Fores and Agriculture for Centre MoNRE Monitoring, Environmental ofProject Centre (MoL) Welfare Social and ofLabour Ministry Department, Management Labour (MoNRE) Environment and Resources Centre Information Environment and Resources Natural ofBern University (CDE), Environment and Development for Centre (MAF) Forestry and ofAgriculture Ministry Cooperation, and ofPlanning Department Institute Research Economic National Investment (MPI) and ofPlanning Ministry Department, Investment Promotion Prefecture, Vientiane Vientiane, INTERVIEWED PARTY communication Personal fficials (MPI, MAF and MoNRE), Xepon District MoNRE),Xepon MAFand (MPI, fficials

Agriculture and Forestry and Agriculture Lao PDR Lao Lao PDR Lao

try, MoNRE try,

Lao PDR Lao

rict

(NERI)

(DAF) (DAF) (DPI) (DPI) vironment

(DoL)

, MPI

(DoNRE) (DoNRE)

REIC)

, Ministry of Natural ofNatural , Ministry

23 May 2013 May 23 2013 May 17 2013 May 13 2013 July 19 2013; May 10 2013 May 7 2013 May 3 2013 May 2 DATE 27 June 2013 June 27 2013 June 26 2013 June 26 2013 June 25 2013 June 25 2013 June 25 2013 June 25 2013 June 20 2013 June 20 2013 June 20 2013 June 19 2013 June 19 2013 June 19 2013 June 17 2013 June 17 2013 June 17 2013 May 29

CEU eTD Collection Limited Company Rubber DakLak Limited Company YaoRubber Tien District Laongam Village, NoiKuangsi District Laongam Yai Village, Hong Song Nong Distr Laongam MoL), and MoNRE MAF, (MPI, officials District Welfare Social and ofLabour Department Forestry and ofAgriculture Department Environment and Resources ofNatural Department Investment and ofPlanning Department Province, Saravan Limited Company Rubber Jianfong District Houn Village, Hoai Pa District Houn MoL), and MoNRE MAF, (MPI, officials District Lao PDR Lao

(DAF) (DPI)

(DoL)

(DoNRE) 72

ict ict

5 July 2013 July 5 2013 July 5 2013 July 3 2013 July 3 2013 July 3 2013 July 2 2013 July 2 2013 July 2 2 2013 June 27 2013 June 27 2013 June 27 July 2013 July

CEU eTD Collection Appendix 10 4. 3. 2. 1. 27. 26. 25. 24. 9. 8. 7. 6. 5.

23. Khammouan, Champasak, Khammouan, Bokeoand provinces. Bolihamxai, Attapeu Savannakhet,Sekong, Saravan,Oudomxai, Phongsaly, Luang Prabang, Luang Namtha, leases and concessionsland inventory project Livelihoods: a Case Livelihoods: a 2009 Phengsopha, S., Thongmanivong, M. Chantavong, Oberndorf, K., and H., Dwyer, R. Mekong Sustainable 2008. W. Shi, ProjectResource and Productivity Management Enhancement (IFAD/ADB) Povertylinkages between (UNDP/MPI) Sustainable the the Initiative Environment Natural and Pommier, L. (2009). PDR implications ofprog the 2009. Foundation for Recovery. Ecological LandManagementNational Authority, Province, Attapeu Development Southern in Laos Kenney Province Savannakhet in ______r ofLak benefits Dak InstituteResearch 2011 (NERI). theNational and forEconomicInternational Union of Conservation Nature(IUCN) from mono LivelihoodConcession Induced Changes: andResearch onland livelihood impa International Cooperation Solidarity for and Development (CIDSE investmentsRubber and market PDR: Lao linkagesapproaches in for sustainability Voladeth,S.,Shi, Guifeng, S.,Hicks, C., Lei, W., Z., Tu, Ka P.Q.and grabbing crisis in land driving a and Cambodia Laos. Witness. Global 2013. Industrial proposed and VLRC Plantation Rubber SystemsEarth Laos. 2007. investment projects. August 2012. Dep

artment ofand Planning Investment, 2012. Province. monitoringReport: of Attapeu a . Summary report.. Summary .

Concession or Cooperation? of Tenure Impacts RecentRubber Investment onand Land I National LandManagementNational Authority, - Lazar, M. 2010,Lazar, . Reviewed case studies case Reviewed . - culture tree plantation 2011b. 2011b. Rubber boom Namtha Luang in

Study from Province, Oudomxai PDR Lao Report on Economic, Social and Report onBenefits Socialand Environmental of Economic, Costs and Investments ubber inSaravan plantations:casestudy Province ramme ramme for commercialtree plantations: case stud

Research Network.2009. Management ofnatural investmentin resources provinces operationa the in and .

Rubber barons

Land Tenure,Land LivelihoodConcessions, and Plant Change: Land Assessment ofandsocial environmental impactscreated the the by .

a .

Assessment of economic, costs social andenvironmental and – . Individual reportsIndividual Xayabou for .

how Vietnamese and international companies are financiers Lao PDR 73

. –

Research ecologicalevaluation ofeconomic, social, and

a Transnational Perspectivea environmental and social and plansenvironmental

Rubber: Costs orto PDR? Lao Benefits the

Lao PDR

(NLMA), Chiang Mai University(NLMA), Mai Chiang and .

(NLMA). 2009. y of rubber in the southy ofthe of in Lao rubber .

cts from land cts from land concession . -

Laos). 2009. . lina, M.2009.lina, li, Vientiane,li,

Findings ofFindings state ation Land Land

l an Land levels water lowercausing Plantations sources water of sedimentation Increased sources water threatening chemicals of Use near Planting Water ENVIRONMENTAL countries neighbouring from migration labour Increased plantations fires in of Occurrence c to Contribution leave annual sick or leave of Lack villagers for employment technical of Lack villagers for transfer technology and Training trade village in Increase revenue government Low conditions working unsafe or Harsh use chemical improper workersfrom on impact Health shortages Labour fund villagedevelopment the to Contribution villagers for transfer technology and training of Lack infrastructure promised provide to Failure approval project in involvement community of Lack Intercropp wages of payment Late villagers for employment of Lack wages Low villages in infrastructure Improved acce of Loss land villagerslost for to compensation Inadequate communities local for wages and Jobs land village productive on Encroachment ECONOMIC Appendix

d forestsd

ing allowed by the company company the by allowed ing

ss to timber and NTFPs for villagers for NTFPs and timber to ss

or within watersheds within or

orruption

. Impacts mentioned in 27 reviewed case studies, by province by studies, case reviewed in 27 mentioned Impacts .

CEU eTD Collection Attapeu

1 1 1 2 1 2 2 3 2 2 4 2 4

Bokeo 1 1 1

Bolihamxai 1

Champassak 1 3 1 1 1 1 1 1 1 2 1 3 3 3 2 2 2 4 2 4 6

Khammouan 74 1 1

Namtha Luang

1 1 2 1 2 2 2

Prabang Luang

1 1 1 1 1 1

Oudomxai 1 2 1 1 2

Pongsaly

Saravan 2 1 2 1 1 1 1 1 2 1 2 1 1 3 2 3 3 3 2 2 2 2

Savannakhet 1 2 1 2 2 1

Sekong 1 1 1 1 1 1 2 1

Vientiane 1 1

Xayabouli 1 1

Total

24 10 15 11 11 4 6 7 7 2 2 2 3 3 3 3 3 4 4 6 6 7 8 9 1 1 1 1

delay Project approval official before operations launches Investor non in engaging Investor contract the specified in not commitments Investor jurisdiction their outside acting Authorities contracts worker of Lack feasibilitystudies or ESIAs of Lack clearance to survey land prior of Lack PROCEDUR chemicalsof storage Inappropriate (burning) management waste Inappropriate clearance land to due biodiversity of Loss altitudetoo(>700m) high on Planting slopes steep on planting via erosion Potential land outsidepermitted / than more clearing Investor area protected or forest natural on Encroachment

permitted activities permitted

CEU eTD Collection

1 1 2 2 2 4

1 1 1 1

1 1

1 1 2 4 1 1 2 3 1 1 1

75 1 1

1 1 1 1 2 1 2 1 1

1 1 1 1

1 1 1 2

1 1 1 1

1 1 3 1 1 1 3

1 1 1

1 2 1 1 1 2

1 1 1 1

1 1 1 1 1

22 14 14 10 2 3 3 4 4 5 2 7 1 1 1

CEU eTD Collection 3.4. 3.3. 3.2. 3.1. 3. 2.7. 2.6. 2.5. 2.4. 2.3. 2.2. 2.1. 2. 1.6. 1.5. 1.4. 1.3. 1.2. 1.1. 1. Questionnaire the for company Appendix

Type of investment (domestic / foreign / joint):______/ foreign / (domestic ofinvestment Type name: Company details Company How much compensation was provided by the company? ______thecompany? by provided was compensation much How ______pla taking ofconsultations Isevidence land? there ofproductive about loss thecompany by consulted thevillagers Were yes ( land productive Lossof yes place? planting taking to theprior companyby conducted survey Land food security and land on productive Impact ______boundaries: project with compliance investor on Additional comments ______encroachment? the for thereason whatIfso, is ______encroachment? ofconcession boundary evidence any Isthere (ha) area: tapped Current (ha) ______area: planted Current (ha): ______survey in theland specified area Project (ha):_____ the agreement concessionunder specified area Project boundaries project with Compliance dates:______end start and Lease ______activities: Main investment ______oforigin: Country A copy of the concession agreement (please provide):______(please agreement oftheconcession A copy  

ce, informed consent and negotiated agreements, e.g. minutes of meetings? minutes ofmeetings? e.g. agreements, negotiated and consent informed ce,

III no no   ______. Questionnaires used during field visit field during used Questionnaires .

for agriculture or animal grazing) for nearby villages due to the concession? to theconcession? due villages nearby grazing)animal or for agriculture for ______If yes, area of productive land lost land (ha)____ ofproductive area Ifyes,

______

CEU eTD Collection 5.5. 5.4. 5.3. 5.2. faci medical schools____ roads____ 5.1. 5. 4.8. staff____ permanent 4.7. staff____ permanent 4.6. staff____ permanent 4.5. staff____ permanent 4.4. profit ( tax 4.3. 4.2. 4.1. 4. 3.7. 3.6. 3.5. roads____ schools___ roads____

Collected yield (kg per (kg per yield Collected (kg): ____ year fiscal last the for output Totalrubber income and employment revenue, on government Impact ______security: food and land productive on Additional comments yes boundaries? within concession place take Doesintercropping Ho yes yes Does yes infrastructure? ofthe condition the maintain and monitor regularly company Doesthe ______agreement: e.g.written a theinfrastructure, to deliver promise company ofa Evidence number): (indicate oftheproject part theas company by to delivered be Infrastructure infrastructure on local Impact company:______prov employment on Additional comments ( company the by wages provided Average wa Minimum (%): employees oflocal Share thecompany: by provided levels employment annual Average year: fiscal thelast companyby paid tax income and Profit Infrastructure delivered to date (indicate number): to date(indicate delivered Infrastructure w was the compensation distributed to the villagers? ______to thevillagers? distributed compensation wasthe w   

the company plan to deliver the remaining infrastructure? If no, why not? why Ifno, infrastructure? theremaining deliver planto company the ____ USD):

ges provided by the( companyby provided ges no no no   

_ medical facilities____ electricity____ otherdescribe)______(please electricity____ facilities____ medical _

per year): ____ year):____ per

daily staff____ staff____ daily staff____ daily staff____ daily staff____ daily ____ (USD): tax income whynot?____ Ifno, If no, why not? ______whynot? Ifno, ______whynot? Ifno, lities____ electricity____ otherdescribe)______(please electricity____ lities____

LAK ided by theby ided LAK

per day): per

seasonal staff____ staff____ seasonal staff____ seasonal seasonal staff____ staff____ seasonal staff____ seasonal

______

CEU eTD Collection 7.7. - - - 7.6. 7.5. 7.4. 7.3. 7.2. 7.1. 7. 6.4. 6.3. _ forest: protection _____ forest: conservation 6.2. 6.1. 6. 5.6.

Reason for the conversion of natural forests?______ofnatural conversion the Reasonfor the(ha): company by forests natural of Conversion yes conducted? Assessment) Impact Social and (Environmental ESIA Impact ______delivery: infrastructure on Additional comments Additional comments on impacts on local water sources?______water local on impacts on Additional comments smell) foaming / / contamination (colour increased sedime increased levels water lower concession: ofthe theestablishment since sources water nearby on Impacts yes bodies? to water disposed wastewater Isuntreated treat thecompany Howdoes (m): _____ lake e.g. source, otheror water river thenearby theand concession between Shortestdistance (m thecompany by consumption water annual Average yes D resources on water Impact ______forests? on impacts on Additional comments oes the company have a water management plan? management water a have company oesthe   

on natural forests forests on natural no no no    ntation

and dispose of wastewater? ______ofwastewater? dispose and Date:_____

____ production _____ forest: ____

per year): ____ year): per Party conducting the assessment: ______theassessment: conducting Party yes yes yes yes   

no no no

  

______

CEU eTD Collection 3.6. 3.5. 3.4. 3.3. 3.2. 3.1. 3. 2.7. 2.6. 2.5. 2.4. 2.3. 2.2. 2.1. 2. 1.6. 1.5. 1.4. 1.3. 1.2. 1.1. 1. Questionnaire and provincial a MAF (MPI,MoNRE, district authorities for

Lease start and end dates:______end start and Lease ______activities: Main investment ______oforigin: Country joint):______/ foreign / (domestic ofinvestment Type name: Company details Company A copy of the concessi ofthe A copy Additional comments on productive land and food security______food and land productive on Additional comments ______to thevillagers? distributed compensation wasthe How ______thecompany? by provided was compensation much How ______minutes ofmeetings? e.g. agreements, negotiated and consent informed place, taking ofconsultations Isevidence land? there ofproductive about loss thecompany by consulted thevillagers Were ye to theconcession? due villages nearby grazing)animal or for (foragriculture land productive Lossof yes place? planting taking to theprior companyby conducted survey Land food security and land on productive Impact ______boundaries: project with compliance investor on Additional comments ______encroachment? the for thereason whatIfso, is e any Isthere (ha) ______area: tapped Current (ha) ______area: planted Current (ha survey in theland specified area Project (ha):______the ConcessionAgreement under specified area Project boundaries project with Compliance s  

______vidence of concession boundary encroachment? ______encroachment? ofconcession boundary vidence no no   ______

on agreement (please provide):______(please onagreement

If yes, area of productive land lost land (ha):____ ofproductive area Ifyes,

):______

79 ______

______

______nd MoL)

______

CEU eTD Collection 6.2. 6.1. 6. 5.6. 5.5. 5.4. 5.3. 5.2. 5.1. 5. 4.8. 4.7. 4.6. 4.5. 4.4. 4.3. 4.2. 4.1. 4.

Share of local emp oflocal Share thecompany: by provided levels employment annual Average year: fiscal thelast companyby paid tax income and Profit (kg per yield Collected (kg): ____ year fiscal last the for output Totalrubber income and employment revenue, on government Impact Conversion of natural forests by the company (ha): the(ha): company by forests natural of Conversion conducted? Assessment) Impact Social and (Environmental ESIA forests on natural Impact ______delivery: infrastructure on Additional comments infrastructure? theremaining deliver planto company Doesthe infrastructure? ofthe condition the maintain and monitor regularly company Doesthe to (indicat date delivered Infrastructure ______agreement: e.g.written a theinfrastructure, to deliver promise company ofa Evidence numbe (indicate oftheproject part theas company by to delivered be Infrastructure infrastructure on local Impact thecompany:______by provided employment on Additional comments ( company the by wages provided Average the( companyby provided wages Minimum yes yes yes yes otherdescribe)______(please electricity____ facilities____ medical schools____ roads____ staff_ permanent staff____ permanent staff____ permanent staff____ permanent ____ profit (USD): tax roads____ schools____ medical facilities____ electricity____ otherdescribe)______(please electricity____ facilities____ medical schools____ roads____   

no no no    loyees (%): loyees

______ha

per ye per

ar): ______ar): If no, why not? ______whynot? Ifno, Date:______whynot? Ifno, e number): e

daily staff____ staff____ daily staff____ daily staff____ daily staff____ daily (USD) tax income LAK LAK

per day): per

Party conducting the assessment: ______theassessment: conducting Party

____

seasonal staff____ staff____ seasonal staff____ seasonal staff____ seasonal staff____ seasonal r): ______

______

CEU eTD Collection 8.3. 8.2. 8.1. 8. 7.4. 7.3. 7.2. 7.1. 7. 6.4. 6.3.

Impacts on nearby water sources since the establishment of the concession: ofthe theestablishment since sources water nearby on Impacts (m thecompany by consumption water annual Average plan? management water a have company Doesthe r on water Impact ______forests? on impacts on Additional comments forests?______ofnatural conversion the Reasonfor ______theauthority? by employed are staff many How ______available)? if report, monitoring ofthelatestcopy a (provide monitored are What activities monitorin undertake agency oftenthe does How levels staff and Monitoring sources?______water local on impacts on Additional comments yes yes protection _____ forest: conservation  - - -

increased contamination (colour / foaming / smell) foaming / / contamination (colour increased sedi increased levels water lower no 

esources mentation

forest: _____ production _____ forest: _____ forest: g visits of the company? ______ofthe g visits

per year): ____ year): per yes 

yes yes yes no

  

no no  

______

CEU eTD Collection 4.2. 4.1. 4. 3.8. 3.7. 3.6. 3.5. 3.4. 3.3. 3.2. 3.1. 3. 2.3. 2.2. 2.1. 2. 1.3. 1.2. 1.1. Questionnaire village alocal for

Compliance with project boundar project with Compliance themeeting: at present ofvillagers Number population: Village name: Village 1. Minimum wages provided provided wages Minimum thecompany: by provided levels employment annual Average income and on employment Impact Additional comme better established: was concession to before compared availability Food yes boundaries? within concession place take Doesintercropping to the distributed compensation wasthe How ______thecompany? by provided was compensation much How ______agree negotiated and consent informed place, taking ofconsultations Isevidence land? there ofproductive about loss thecompany by consulted thevillagers Were Ifye yes to theconcession? due villages nearby grazing)animal or for (foragriculture land productive Lossof food security and land on productive Impact project with compliance investor on Additional comments ______encroachment? the for thereason whatIfso, is ______encroachment? ofconcession boundary evidence any Isthere

  s, how was the land used prior to the concession? ______concession? priorto the used land s,was how the permanent staff____ staff____ permanent details Village



no no ______  nts on productive land and food security______food and land productive on nts

____

same same

by the( companyby



If no, whynot?____ Ifno, lost land (ha):____ ofproductive area Ifyes,

ies

daily staff____ staff____ daily worse ____ LAK

villagers? ______villagers? 

per day): per

ments, e.g. minutes of meetings? minutes ofmeetings? e.g. ments, 82

boundaries: ______boundaries:

______seasonal staff____ staff____ seasonal

______

CEU eTD Collection 6.4. 6.3. 6.2. 6.1. 6. 5.7. 5.6. 5.5. 5.4. 5.3. 5.2. 5.1. 5. 4.5. 4.4. 4.3.

Infrastructure to be delivered by the company as part oft part theascompany by to delivered be Infrastructure infrastructure on local Impact ______thecompany: by provided employment on Additional comments better com income their rate thevillagers how do Overall, ( company the by wages provided Average Additional comments on impacts on forests? ______forests? on impacts on Additional comments higher concession? b of thelevel rate thecommunity howdoes Overall, forests?______ofnatural conversion the Reasonfor production _____ forest: _____ forest: protection _____ forest: conservation by forests natural of Conversion forests on natural Impact ______delivery: infrastructure on Additional comments satisfied satis their rate thevillagers how do Overall, yes not? why Ifno, infrastructure? theremaining deliver planto company Doesthe yes infrastructure? ofthe condition the maintain and monitor regularly company Doesthe ______otherdescribe) (please electricity____ facilities____ medical schools____ roads____ Infrastruct ______agreement: e.g.written a theinfrastructure, to deliver promise company ofa Evidence otherdescribe)______(please electricity____ facilities____ medical schools____ roads____   permanent staff____ staff____ permanent staff____ permanent

  

ure delivered to date (indicate number): to (indicate date delivered ure

no no  

same same neutral same

  

If no, why not? ______whynot? Ifno, whyn Ifno,

the company (ha): the(ha): company

dissatisfied dissatisfied worse staff____ daily staff____ daily lower LAK faction with the infrastructure delivered by thecompany?by delivered infrastructure the with faction ot? ______ot?

 per day): per 

pared to before concession was established? was concession to before pared

83 ofthe theestablishment since area inthenearby iodiversity 

he project (indicate number): (indicate project he

seasonal staff____ staff____ seasonal staff____ seasonal

______

CEU eTD Collection 8.1. 8. 7.4. 7.3. 7.2. 7.1. 7.

Overall, howdoe Overall, concession: ofthe theestablishment since sources water nearby on Impacts disposed wastewater Isuntreated resources on water Impact ______investment? ofthe theimpacts on Additional comments the investment towards attitude Overall sources?______water local on impacts on Additional comments - - - - -

for agriculture: agriculture: for drinking: for smell) foaming / / contamination (colour increased sedimentation increased levels water lower s the community rate water availability since the establishment of the concession? ofthe theestablishment since availability water rate sthecommunity

to water bodies by the company? the bodiestoby water

better better better

 

same same same 84

 

yes 

worse worse yes yes no   

 

no no   ______

______

CEU eTD Collection unofficial document, Internal City. Minh Chi Ho 2009, translation. from Rub Available DakLak August 31 Company, DakLak Office Management and Land National governments, provincial Salavan and Champasak between Rubber 2009. Limited. Company Rubber DakLak unofficial document, Internal 2004. Nov 19 Company Limited.translation. from Rubber Available DakLak Vietnam), Province, (Daklak and company development Daklak plantation rubber on Contract plantati industrial 2004. Limited. Company Rubber DakLak Saravan Province provincial the to Report Investme 2013. and translation. from Investment, Available Department ofand Province. Planning Oudomxai Limited. Planning Company of Department Development Rubber Siphansalika Development Rubber Siphansalika 2 from Limited, OudomxaiCompany Province. Company, Available Salika translation. and unofficial LMO document, Internal provincial between Company, Siphansalika for concession rubber on Contract 2009. Province. Oudomxai Office, Management Land Provincial and domestic translation. from and Available Agriculture unoffic Provincial Province. Forestry Oudomxai Office, document, Total Internal 2013. May 2013. 20 Province, Province. Oudomxai in investment Oudomxai rubber foreign Office, Forestry and Agriculture Provincial transl Investment, Province. Oudomxai unofficial document, Internal 13 Province, Oudomxay projects, eucalyptus and rubber mining, of evaluation and monitoring of Report 2013. Province. Oudomxai Investment, and Planning of Department Province.Labour, Oudomxai De from Available translation. unofficial document, Internal province. Oudomxai in companies rubber of List 2013. Province. Oudomxai Investment, and Planning of Department Department of Province. Labour,Oudomxai Jian and w foreign Registered 2013. Province. Oudomxai Labour, of Department docum Internal 2005. August from DevelopmentAvailable Siphansalika Rubber Limited, Oudomxai Company Province. 24 investment, rubber on company Siphansalika and authorities district between Contract 2005. Province. Oudomxai District, Bang OudomxaiProvince Appendix fong companies, 27 June 2013. Internal docume Internal 2013. June 27 companies, fong

IV n i 4 oten rvne i Lo D, ewe Lo D ad Gaushu and PDR Lao between PDR, Lao in provinces southern 4 in ons .

ocuments

collected ation. Available from Department of Planning and and Planning of Department from Available ation. ber Companyber Limited.

t 2 Jn 21. nenl ouet unofficial document, Internal 2013. June 22 nt,

concession contract regarding industrial crops industrial regarding contract concession

during field visits field during nt, unofficial translation. Available from Available translation. unofficial nt,

ent, unofficial translation. translation. unofficial ent, orkers in Siphansalika Siphansalika in orkers

- 25 March 2013. 2013. March 25 Arl 2009. April 0 partment of of partment

ial CEU eTD Collection Yao from Available translation. unofficial Limited. Company Tien Rubber document, Internal 2008. October 14 Village, Noi Comp Rubber Tien Yao SaravanProvince. from LandOffice, Provincial Available translation. unofficial document, Internal 2011. September Province, Saravan District, Laongam in Company Daklak of Survey Land 2011. Province. Saravan Office, Land Provincial SaravanProvince. LandOffice, Provincial from Available translation. unofficial document, Internal 2010. district,Laongam Company, Tien Na and Wanke of survey Land 2010. Province. Saravan Office, Land Provincial fromAvailable LandO Provincial translation. unofficial document, Internal Company. Tien Yao for four District Laongnam in in villages plantations industrial for survey Land 2008. Province. Saravan Office, Land Provincial Provincia from in Available translation. unofficial company document, Internal 2008. rubber November 24 DakLak Province, Saravan for survey Land 2008. Province. Saravan Office, Land Provincial Province. Saravan from Available Internal translation. 2013. unofficial June 29 document, Province, Saravan sectors, forest and agriculture in investment foreign and domestic of Summary 2013. Province. Saravan Office, Forestry and Agriculture Provincial and Agriculture Provincial Forestry Office rubberplantations,DakLak translation.from unofficial Available Internal document, 2013. 2July and Tien Yao of Summary 2013. Province. Saravan Office, Forestry and Agriculture Provincial Off Internal Forestry 2009. and March Agriculture 11 Provincial Province. Saravan Company, from Available Rubber translation. Tien unofficial Yao document, for District Nakhonpeng in villages Ag Provincial Available translation. unofficial document, Province. from Land Office, District Saravan Internal 2009. May 12 Company, Rubber DakLak by Village InformationsurveyDistrict Saravan2009. land Nyang Province. in about Land Office, 6 Village, Savan translation. fromDistrict, Available District Saravan Land Office, Laongam in survey about information land and Map rubber 2007. Province. Saravan District, Laongam Office, Land District rubber on Report 2013. Province. Saravan Welfare, Saravanfrom andSocial Province Department of Labour Welfare, Social and translation.unofficialAvailable document, Internal 2013. Province,1July Saravan in concessions Labour of Department rubber on report implementation Investment, and fromPlanning of Sarava of theDepartment Progress 2013. Availabletranslation.unofficial document, Internal 2013. June 10 province, Saravan in Limited. plantation Company Rubber DakLak l Land Office, SaravanProvince. l LandOffice, riculture and Forestry Office, Saravan Province. 2009. Report on land surveys in 7 7 in surveys land on Report 2009. Province. Saravan Office, Forestry and riculture

any Limited. 2008. Contract between Yao Tien Company and Guangsi and Company Tien Yao between Contract 2008. Limited. any

ffice, Saravan Province.ffice, Saravan

, Saravan , Saravan Province. - 7 etme 20. nenl ouet unofficial document, Internal 2007. September 17

Provincial Agriculture and Forestry Office, Office, Forestry and Agriculture Provincial

n Province.

Province. - om villages, Yao Yao villages, om

ice, ice, CEU eTD Collection Limited, Vientiane. Outhomphone certificate, May from 14 Available translation. Company, unofficial use document, Rubber Internal 2009. Hua Thai Land Lao to planting rubber 2009. for ha 87 Province. village, Nakhu District, Savannakhet Office, Land Provincial Forestry from and Available Agriculture Provincial Office, Savann 2012 for forests and agriculture in investment foreign and Domestic 2013. Province. Savannakhet Office, Forestry and Agriculture Provincial from translation. Limited,unofficial Available LaoThai Hua Company Vientiane. Rubber document, Internal 2006. November 28 Vientiane, Ltd, Co Holding NCX and Company Rubber project development, project on Agreement promo 2006. Limited. Company Rubber Hua Thai Lao in of Ministry contract from Available processing translation. unofficial Investment, and Planning Vientiane. document, and Internal 2011. Gua plantation June and 21 Rubber PDR Capital, Lao 2011. between Limited. Province Savannakhet Company Lao Guangda Savannakhet Investment, and Planning Province. of Department plantation, from rubber Available a translation. of unofficial study feasibility Province on Savannakhet District, Xepon Company, Report Lao Guangda 2009. Limited. Company Lao Guangda LaoCompany Limited.Guangda Guangda of Compan Lao Assessment Impact Environmental 2010. Limited. Company Associates Chareun Savannakhet Province project 2013, of quarter second on TienLimited. fromAvailable Yao Company Rubber Report 2013. Limited. imple Company Rubber Tien Yao TienLimited. fromAvailable Yao Company Rubber second the of translation. unofficial document, Internal Report 2013. April 5 PDR, Lao in 2013. Yaotien by implementation Limited. Company Rubber Tien Yao Rubber Tien Yao from Available Limited. Company translation. unofficial document, Internal 2011. December Viet Thien Ministry Yao between and Environment contract and Resources concession Natural Rubber 2011. Limited. Company Rubber Tien Yao Internal 2009. October 15 Company, from Limited. unofficialtranslation. Available document, Yao Company Tien Rubber Tien Yao and process PDR and Lao plantation between rubber Province for Champasak Contract 2009. Limited. Company Rubber Tien Yao Company TienLimited.translation. fromRubber Available Yao unofficialdocument, Internal 2008. June 30 Company, Rubber Tien Yao Province,Saravan in ha de rubber for proposal Project 2008. Limited. Company Rubber Tien Yao mentation by Yaotien in Lao PDR, 3 July 2013. Internal document, unofficial translation. unofficial document, Internal 2013. July 3 PDR, Lao in Yaotien by mentation tion and rubber processing plant in Savannakhet Province between Lao PDR, Thai Hua Hua Thai PDR, Lao between Province Savannakhet in plant processing rubber and tion

y Limited, August 2010. Internal document, unofficial translation. Available from Available translation. unofficial document, Internal 2010. August Limited, y

87 - 2013. Internal document, unofficial translation. translation. unofficial document, Internal 2013.

ngda Lao Company Limited, Vientiane Vientiane Limited, Company Lao ngda - Lao Development Joint Venture, 30 Venture, Joint Development Lao

Lao Thai Hua Rubber Company Rubber Hua Thai Lao , May 2009. Internal document, Internal 2009. May , akhet Province.

ure o 21, project 2013, of quarter velopment in 10,000 in velopment

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