Document of The World Bank FOR OFFICIAL USE ONLY Report No. 84654 - YE INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVELOPMENT AND INTERNATIONAL DEVELOPMENT ASSOCIATION PROJECT APPRAISAL DOCUMENT ON A PROPOSED GRANT FROM THE MENA TRANSITION FUND TO THE REPUBLIC OF YEMEN IN THE AMOUNT OF US$1.0 MILLION FOR A GOVERNMENT-CIVIL SOCIETY ORGANIZATIONS PARTNERSHIP PROJECT October 23, 2013 Social Development Sector Unit Middle East and North Africa Region
Transcript
Document ofThe World Bank
FOR OFFICIAL USE ONLY
Report No. 84654 - YE
INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVELOPMENT AND INTERNATIONAL DEVELOPMENT ASSOCIATION
PROJECT APPRAISAL DOCUMENT
ON A
PROPOSED GRANT FROM THE MENA TRANSITION FUND
TO THE
REPUBLIC OF YEMEN
IN THE AMOUNT OF US$1.0 MILLION
FOR A
GOVERNMENT-CIVIL SOCIETY ORGANIZATIONS PARTNERSHIP PROJECT
October 23, 2013
Social Development Sector UnitMiddle East and North Africa Region
This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization.
CURRENCY EQUIVALENTS
(Exchange Rate Effective January 22, 2013)
Currency Unit = Yemeni Rial (YR)YR 215.15 = US$1
FISCAL YEARJanuary 1 – December 31
ABBREVIATIONS AND ACRONYMS
AFDANSA-AWCBO(s)CDDCOCACPS
Agence Française de DéveloppementAffiliated Network for Social Accountability in the Arab WorldCommunity-based organization(s)Community-driven developmentCentral Organization for Control and AuditsCountry Partnership Strategy
CSF Civil Society FundCSO(s) Civil Society Organization(s)EIDHR European Instrument for Democracy and Human RightsEU European UnionFMGCC
Financial ManagementGulf Cooperation Council
GNR Government of National ReconciliationGoY Government of YemenIDA International Development AssociationIFC International Finance CorporationINGO(s) International Non-governmental Organization(s)ISN Interim Strategy NoteM&E Monitoring and EvaluationMAF Mutual Accountability FrameworkMENA Middle East and North AfricaMIS Management Information SystemMoPIC Ministry of Planning and International CooperationMoSAMOU
Ministry of Social AffairsMemorandum of Understanding
NAMFRELNDCNDINSA/LAPNGOPNPM
National Citizen’s Movement for Free ElectionsPalestinian NGO Development CenterNational Democratic InstituteNon State Actors and Local Authorities in DevelopmentPalestinian Non-Governmental Organization ProjectNational Program for Community Empowerment
PDO Project Development ObjectivesPMAFPMUPTCAPWPPYCE
Partnership and Mutual Accountability FrameworkProject Management UnitParents-Teachers-Community AssociationsLabor Intensive Public Works ProjectPromoting Youth Civic Engagement
RTI Research Triangle Institute
RGP Responsive Governance ProjectSAPSNACC
Sector Action PlanSupreme National Authority for Combating Corruption
TA Technical AssistanceUSAID United States Agency for International DevelopmentWBG World Bank Group
Sector Director: Junaid Kamal AhmadSector Manager: Franck Bousquet
Task Team Leader: Najat Yamouri
REPUBLIC OF YEMENGovernment-CSOs Partnership
TABLE OF CONTENTS
Page
I. STRATEGIC CONTEXT.......................................................................................................1A. Country Context................................................................................................................................1B. Sectoral and Institutional Context.....................................................................................................2
II. PROJECT DEVELOPMENT OBJECTIVES.....................................................................5A. PDO...................................................................................................................................................5B. Project Stakeholders and Beneficiaries.............................................................................................5C. PDO Level Results Indicators............................................................................................................6
III. PROJECT DESCRIPTION.................................................................................................6A. Project Components...........................................................................................................................7B. Project Financing.............................................................................................................................11C. Lessons Learned from Countries in Transition and Reflected in the Project Design......................12
IV. IMPLEMENTATION.........................................................................................................13A. Institutional and Implementation Arrangements.............................................................................13B. Results Monitoring and Evaluation…………………………………………………………….....14C. Sustainability…………………………………………………………………..……………….....14
V. KEY RISKS AND MITIGATION MEASURES...............................................................14A. Risk Ratings Summary Table..........................................................................................................14B. Overall Risk Rating Explanation.....................................................................................................15
VI. APPRAISAL SUMMARY..................................................................................................15A. Economic and Financial Analyses...................................................................................................15B. Technical..........................................................................................................................................17C. Financial Management...................................................................................................................17D. Procurement...................................................................................................................................18E. Social (including Safeguards)..........................................................................................................18F. Environment (including Safeguards)...............................................................................................19
Annex 1: Results Framework and Monitoring.........................................................................20
Maya El-Azzazi Program Assistant Project Support MNSSD 191011
Nikolai Soubotin Legal Counsel Legal LEGAM 77725
Non-Bank Staff
Name Title Office Phone City.
Locations
Country First Administrative Division
Location Planned Actual Comments
Republic of Yemen Ministry of Planning and International Cooperation
.
I. STRATEGIC CONTEXT
A. Country Context
1. Yemen, one of the poorest countries in the Middle East and North Africa (MENA) region, faces daunting development challenges. With a GDP per capita of US$1,209 (PPP1), Yemen ranked 154 out of 187 countries in the 2011 Human Development Index. Rapid population growth of over 3% a year, lack of clear alternatives to an oil economy, rapidly depleting water reserves, poor infrastructure with inadequate access to basic services for the majority of the population and acute gender inequality are amongst the development challenges Yemen is confronted with. Since the unification in 1990, Yemen has been grappling with establishing a pluralistic political system within a unified nation-state. With the Arab Spring uprising, protests in Yemen started against unemployment and weak governance, escalating to specific demands for political and social change. Following a subsequent power transfer agreement in November 2011, President Ali Abdullah Saleh stepped down after 33 years in power. Elections took place on February 21, 2012, and Abdo Rabbo Mansoor Hadi assumed office as the new President.
2. Yemen has embarked on a political transition process since the transfer of power in February 2012. Although the implementation of the National Dialogue is largely on track, Yemen faces significant risks if reforms do not materialize quickly and if substantive changes are not felt by the population. Gains achieved so far by the National Dialogue are fragile and important challenges lie ahead that need to be addressed collectively by all stakeholders.
3. Civil society organizations (CSOs) in Yemen are one of the most vibrant and dynamic in the MENA region. Although their activities were constrained throughout the last three decades, the current transition has brought new opportunities for CSOs to engage constructively with the Government and donors on development and reform programs. The Government of National Reconciliation (GNR) has a unique opportunity to harness the constructive engagement emerging in Yemeni civil society in order to collectively address complex reform issues and support the immediate transition and longer term state-building.
4. In October 2012, G-8 countries, regional partners, and international financial institutions launched the Deauville Partnership, a new Transition Fund, to provide partnership countries, including Yemen, with technical assistance to undertake sustainable policy reforms.2 The commitments made in the Riyadh conference, the Mutual Accountability Framework and the Deauville Partnership Transition Fund, all support participation to promote sustainable reforms and state building in Yemen.
5. The Government-CSOs Partnership Project supports this objective by providing technical assistance to stakeholders to facilitate their
1 Purchasing Power Parity.2 The United States, United Kingdom, Saudi Arabia, Canada, Japan, France, Kuwait, Russia, and Qatar all announced their proposed contributions, totaling approximately US$165 million towards a goal of US$250 million over several years.
1
dialogue and inform the formulation of a joint Government-CSOs Partnership and Mutual Accountability Framework (PMAF). Through capacity building and targeted technical assistance at the sector level, the project will help them operationalize the PMAF on a pilot basis with the goal of improving development programs’ results and promoting more inclusive reform policies.
B. Sectoral and Institutional Context
6. The role of CSOs in effective service delivery, participation, and decentralization programs has also been embraced by the GNR and the donor community. In the Riyadh conference in September 2012, the GNR and donors reaffirmed their commitment to work with CSOs as key development partners. This was specifically mentioned as one of the pillars in Yemen’s Mutual Accountability Framework (MAF), which also emphasized the need to focus on women and youth in both economic and governance realms. These developments signal an increasing recognition among the GNR and the donor community that CSOs’ constructive engagement, particularly in areas that impact women, youth as well as other marginalized groups, will contribute to a peaceful and successful transition and to more inclusive and sustainable development in Yemen. Yemen’s Interim Strategy Note highlights the Bank’s overriding objective as to “help the Government produce tangible results that stabilize the transition in the short term.”3 Building inclusive and sustainable partnerships between the Government and CSOs is one of the cornerstones in Yemen’s transition process.
7. Although fragmented along various social and political fault lines, Yemeni civil society is dynamic, large and diverse. Before the transition process in 2011, about 7,000 CSOs were registered across different sectors, most of them welfare oriented and located in urban centers.4 Limited participation of women, youth and marginalized groups, as well as growing attempts by the Government to control CSO activities characterized the CSO sphere. CSOs did not have a strong role in service delivery and had limited impact in holding the Government accountable, or in establishing appropriate mechanisms to voice community needs and grievances. Although promising initiatives occurred in terms of dialogue between CSOs and the Government, such initiatives and dialogue opportunities were limited, ad-hoc, and personality dependent. Throughout various consultations conducted in 2010, CSOs mentioned their aspiration of creating a participation mechanism to promote CSOs’ role in Government decision-making, and the Government’s interest to work with committed CSOs as development partners.
8. The political transition in Yemen has created a momentum for CSOs to engage constructively with the Government and donors. For the first time in Yemen’s modern history, CSOs have an explicit mandate to engage actively with Government counterparts. With the country facing transition challenges, engaging with Yemeni CSOs is no longer seen as an opportunity but a necessity, as it has the potential of building a sustainable link between
3 Interim Strategy Note for the Republic of Yemen, FY 2013-2014. (Report 70943-YE) World Bank 2012, pg. i.4 The paragraph builds on Civil Society in Yemen – A National Participatory Review (2nd draft). European Union Delegation – Yemen, 2010, pg. iv
2
the state and citizens, channeling the voices of Yemenis to government entities and reaching out to women, youth and marginalized groups while helping to hold the Government accountable.
9. CSOs, youth and women’s groups, in the current transition in Yemen, are seeking to enhance their legitimacy and enhance their voice vis-à-vis the Government and the society at large. Many of these formal and informal organizations have been driving the recent change in the country and are also giving voice to various marginalized groups. The transformation of civic participation during the current transition has created a unique opportunity for constructive dialogue between the Government and CSOs that supports collaborative approaches to address development challenges. It is crucial to take advantage of this historical window of opportunity, as Yemen embarks on a National Dialogue process (until Spring 2014).
10. Several donors currently provide assistance to CSOs in Yemen to build their capacity, and partner with them to implement specific development programs or to reach out to local communities and marginalized groups. A summary of current donor activities is provided below:(a)European Union is the leading donor for non-state actors in Yemen.
Since 2005, the EU has facilitated dialogue and closer partnership between the Government and CSOs through its Sharaka program, focusing on promoting democracy and human rights. Currently, several projects are being implemented in different parts of the country, all working with CSOs for increased participation. About 50% of EU assistance to Yemen is channeled through CSOs.
(b)USAID : Funds the AMIDEAST (see below), as well as a Yemen Responsive Governance Project (RGP), a 3-year project working to strengthen government institutions and improve the delivery of public services while encouraging more citizen participation in the political process.
(c) Oxfam is working with the Government and CSOs on implementing various projects, including the response to the rising hunger levels and emergency programs and has also successfully partnered with CSOs in the implementation of the cash transfer program reaching more than 12,000 households.
(d)Islamic Relief works on conflict transformation and peace building programs that include capacity building of influential persons in communities.
(e)AMIDEAST is implementing the Youth Civic Engagement (PYCE), a two-year project to engage youth in sports and recreational activities in five governorates.
(f) An estimated US$5-10 million is provided by GCC countries to support humanitarian and Islamic charitable associations in Yemen.
(g)Partneraid partners with the people of disadvantaged communities providing relief with a focus on rehabilitation, education, health, water and nutrition.
(h)Progressio focuses on increasing the capacity of partner CSO’s, local authorities and communities in participatory governance to help promote citizen involvement in development planning and local decision making.
3
11. The World Bank has for long acknowledged the important role of civil society and has worked with CSOs for several decades across a wide range of activities. In particular, global experience shows that the role of CSOs in periods of transition is considered critical by the World Bank and donors, as they can mediate effectively between the state and citizens and increase the legitimacy and sustainability of reforms. The World Bank has undertaken significant analytical work on the conflict in Yemen. The companion piece to the 2011 World Development Report, Reducing Conflict Risk: Conflict, Fragility and Development in the Middle East and North Africa notes that political transitions are followed by increased risk of conflict, as newly arrived regimes and citizenries attempt to assert their authority and rights. To mitigate the risk, the report recommends that development actors enhance focus on strengthening both the supply and demand sides of governance, and recognizes increasing citizen accountability through creating an enabling environment for CSOs as one of the means to achieve these objectives.5 The project design also builds on the 2010 extensive consultations with 165 civil society organizations across Yemen. The report recommends Bank support for Government-led consultations with civil society as one of the options for better civil society engagement in development operations, and highlights Yemeni CSOs’ aspiration for creating a CSO participation mechanism.
C. Higher Level Objectives to which the Project Contributes
12. The Bank adopted an Interim Strategy Note (ISN) in October 2012 which lays out the World Bank Group’s strategy of support to Yemen for FY2013–2014, corresponding to the current transition period and its immediate aftermath. The ISN aims to help the Government produce tangible results that stabilize the transition in the short term, while laying the groundwork for medium-term reforms and sustainable longer-term benefits. The ISN proposes to support these objectives across three strategic pillars: (i) achieving quick wins and protecting the poor by creating short-term jobs, restoring basic services, improving access to social safety nets, and revitalizing livelihoods; (ii) promoting growth and improving economic management by helping maintain macro stability, strengthening fiscal policies and public financial management, and improving the enabling environment for private sector growth and competitiveness; and (iii) enhancing governance and local service delivery by supporting transparency, accountability, capacity building, institutional strengthening, and improved citizen engagement. The implementation of the ISN is guided by three principles that will be mainstreamed across the program: (i) intensifying participation and inclusion, especially among women and young people; (ii) strengthening institutional capacity, governance, transparency, and accountability; and (iii) enhancing the operational flexibility of the Bank’s program. Adhering to these principles will be critical if the collective efforts of the Government and donor community are to produce long-lasting development impact.
13. The proposed Government-CSOs Partnership Project is aligned with MENA's Regional Strategy, supporting the pillar on inclusion, and directly links to the ISN pillar (iii) enhancing governance and local service delivery by supporting transparency, accountability, capacity building, institutional strengthening, and improved citizen
5 Reducing Conflict Risk: Conflict, Fragility and Development in the Middle East and North Africa. (Report 56739) World Bank 2011, pg. ix-x.
4
engagement. Additionally, the proposed project directly links to the ISN’s implementation principles of: (a) intensifying participation and inclusion, especially among women and young people; and (b) strengthening institutional capacity, governance, transparency, and accountability. Specifically, through facilitating an informed dialogue between line ministries and CSOs, and supporting their efforts to agree on a PMAF with a results-oriented action plan for each targeted pilot sector, the project will help to promote more inclusive implementation of various sectoral development programs as well as the ISN’s objective of engaging with non-government actors. More broadly, the proposed project will contribute to enhancing the development impact of the Bank and other donor supported programs. Additionally, CSOs will engage with government institutions in channeling community grievances that will thus be addressed more effectively and in a timely manner. Inclusive partnerships will give voice to various groups, including women and youth, and promote responsive and accountable service delivery especially at the local level. These actions are critical for rebuilding trust between stakeholders and the legitimacy of state institutions, which will contribute to reducing the overall conflict risk in the country.6
II. PROJECT DEVELOPMENT OBJECTIVES
A. PDO
The project development objective is to enhance Government-CSOs partnerships in the implementation and monitoring of sector development programs.
B. Project Stakeholders and Beneficiaries
14. The main target audiences for the proposed project will be the Ministry of Planning and International Cooperation (MoPIC), the Ministry of Social Affairs (MoSA), participating sector-mapped CSOs and line ministries. The broader audience also includes donors and INGOs engaged in operational work across sectors in Yemen, as well as the CSO community at large.
(a) Government of Yemen Ministries: MoPIC requested the proposed project that bridges the FY13 CSO Mapping and Capacity Assessment study and the planned Civil Society Support Project, requested by the Government. The list of sector ministries which will be part of this Project is yet to be finalized.
(b) Civil Society Organizations: CSOs have been recognized as key development partners by the GNR and the international community. The project will give them a seat at the table to take part in defining the PMAF of engagement with the Government in development
6 In “Reducing Conflict Risk: Conflict, Fragility and Development in the Middle East and North Africa WDR (World Bank 2011), large youth cohorts combined with economic decline is one of the main drivers of conflict in the MENA region. “Reducing Conflict Risk: Conflict, Fragility and Development in the Middle East and North Africa”. (Report 56739) World Bank 2011, pg. 9-10.
5
operations and in select pilot sectors. The project will also enable CSOs to strengthen their own institutional capacities in order to better perform as development partners. The dialogue with line ministries will give the CSOs the opportunity to voice their vision of development priorities and better understand reform tradeoffs that underpin policy decisions or the formulation of development programs. This will help them identify entry points for sustainable partnerships with the Government and key donors. Sector mapped CSOs that will take part in the implementation of the Sector Action Plans (SAPs) will receive capacity building on social accountability concepts and tools and grant-financing support through the Affiliated Network for Social Accountability in the Arab World (ANSA-AW). The CSOs that will be mapped to the sectors where pilot SAPs will be implemented are the main target of the training sessions on social accountability to improve the operational skills.
(c) Women CSOs and Youth Groups: The CSOs which are led by and engaged in representing women and youth identified in the CSO Mapping and Capacity Assessment study will be called on to contribute and partake in this project. This will give them voice to influence a more gendered and overall more inclusive approach in the preparation, implementation and monitoring of Government development programs.
(d) Donors and INGOs: At the Riyadh donor conference in September 2012, the international community committed to supporting Yemen’s institution-building. The resulting Mutual Accountability Framework (MAF) commits both the GNR and donors to a set of specific development actions. This project complements the objectives of the MAF and supports more effective delivery of various donor supported programs. The proposed project is also in line with various donor and INGO programs involving the CSO community in Yemen.
(e) Citizens: The general population of Yemen is expected to benefit from a sustainable Government-CSO partnership at the national level. At the sectoral level, citizens living in the targeted governorates and benefiting from the pilot sectors’ development programs are also expected to benefit over time through better service delivery. Additionally, the partnership between line ministries and sector mapped CSOs will improve the implementation and monitoring of development programs and enhance citizens’ participation and inclusion.
C. PDO Level Results Indicators
15. The expected results of the Government-CSOs Partnership Project are:(a) Enhanced capacity and knowledge of the Government and CSOs regarding the value of
partnership and participation as critical factors in improving development outcomes. (b) Clearly defined frameworks for mutual collaboration, partnership and accountability
between the Government and CSOs to enhance participation and inclusion, and to improve development results in select sectors.
(c) Improved on-the-ground collaboration and partnership between the Government and CSOs for enhanced participation and inclusion, and improved development results in select sectors.
16. Results indicators for the project are:
6
(a) Number of partnerships formalized between government(s) and civil society organizations;
(b) Number of CSOs representing rural and urban constituencies engaged in the dialogue; (c) Number of women and youth groups directly engaged in project’s activities;(d) Number of direct project beneficiaries, of which female (%)
III. PROJECT DESCRIPTION
17. In the context of Yemen, Government-CSOs engagement and partnership needs to be supported by a pragmatic approach and mechanisms for genuine dialogue. Through technical assistance the proposed project will facilitate the Government-CSOs dialogue and the joint formulation of a PMAF, and subsequently, SAPs between line ministries and CSOs working on select sectors. The joint PMAF will help clarify the rules and principles of partnership and accountability between the Government and CSOs. It is critical to operationalize this PMAF on a pilot basis in select sectors to test its feasibility and improve its implementation. The project’s select pilot sectors will be identified in consultation with sectors, MOPIC and line ministries based on the FY13 CSO Mapping and Capacity Assessment study and the proposed sectoral dialogue sessions. Given the emphasis on service delivery and decentralization, the pilot sectors are likely to be from the health, education, social protection, water supply, and sanitation sectors.
18. The following principles lay the ground for the dialogue towards formulating the PMAF and the pilot SAPs, while giving them the responsibility to agree on the partnership rules and principles: (a)The Government seeks to: (i) improve operational collaboration and
coordination with CSOs on sectoral development programs, (ii) harness community participation more effectively, (iii) and promote CSOs contributions to service provision and support to more inclusive development programs;
(b)CSOs seek a constructive engagement with the Government at the national and sectoral levels on specific development and reform programs;
(c) Government and CSOs develop an effective process to develop the PMAF, especially through implementing specific SAPs on a pilot basis in select sectors in close coordination between line ministries and sector mapped CSOs; and
(d)Government and CSOs consider various tools to improve the partnership including reforms of laws and regulations relating to the sector.
19. The proposed Project will be implemented through two tracks: a Bank-executed track aimed at distilling international and regional experiences of the demand and supply side perspectives on government-CSO partnerships (the Bank with its international experience being better
7
placed to implement this component), and a Recipient-executed track with the objective of organizing and facilitating sector dialogue sessions.
20. This project will bridge the FY13 CSOs Mapping and Capacity Assessment study and the preparation of the planned Civil Society Support Project requested by the Government, which are both referenced in the ISN. The project also builds on other activities referenced in the ISN: e.g., for existing programs under the Social Fund for Development in support of community-level engagement, the non-lending technical assistance for decentralization and local governance, and gender activities is already underway to support strategic implementation of gender mainstreaming under the Multi-Donor Trust Fund on Gender Operations and Programs.
A. Project Components
21. The project has four components (i) Partnership and Mutual Accountability for Improved Participation and Inclusion, (ii) Sector Action Plans for Improved Development Results and Capacity Building Activities, (iii) Project Management, Monitoring and Evaluation and (iv) Knowledge for Development Partnership (Bank-executed). These will provide them with the space and opportunity to exchange views on sector development issues, develop a shared vision and understanding of sector priorities, and jointly identify their complementarities and overlaps. Based on the dialogue outcomes, specific results oriented sector action plans will be developed in select sectors on a pilot basis. The dialogue will build on the findings and operational recommendations of the FY13 CSO Mapping and Capacity Assessment study that will inform both the proposed project as well as the planned Civil Society Support Project.
Component One – Partnership and Mutual Accountability for Improved Participation and Inclusion (US$520,000 - Recipient-executed):
22. A series of parallel dialogue sessions between line ministries and CSOs active in the same select development sectors will be organized to exchange views on sector development issues and priorities, and to identify complementarities and overlaps between these stakeholder groups. These sessions will cover development programs currently implemented in these sectors and the potential role of each stakeholder, in order to identify points of convergence and synergy for collaboration. Inherent weaknesses in terms of participation and accountability in the targeted sectors will be identified so that these can be meaningfully addressed with CSO involvement. Given the donor-dependent nature of development programs in Yemen in general, and in CSOs activities in particular, participation of key donors in some of the sessions will be crucial. Based on the outcome of the parallel dialogue sessions, a draft PMAF will be formulated, with the assistance of experts/facilitators of multi-stakeholder coalition and partnership building. It will be subsequently discussed and validated at a general meeting with all participants. The validated PMAF in the targeted
8
sectors will be submitted to MoPIC and disseminated to Government ministries and CSOs across Yemen.
23. This component will finance the preparation and organization of the parallel dialogue sessions with the support of international experts in multi-stakeholder network and coalition building. Specific technical assistance will be provided to MoPIC to put in place a transparent process before and throughout the parallel dialogue sessions. Line ministries representatives and sector mapped CSOs will participate in the parallel dialogue sessions with regular public outreach and dissemination events to inform the public as the dialogue evolves. The results of the discussions will be documented, translated and disseminated widely across Yemen once agreements are reached in terms of partnership and mutual accountability. The following specific activities will be financed under this component:
a) Preparation and organization of sector dialogue sessions b) Development and validation of PMAF c) Public awareness raising, knowledge sharing, dissemination and outreach activities
Component Two – Sector Action Plans for Improved Development Results and Capacity Building Activities (US$330,000 - Recipient-executed):
24. Based on the outcomes of the parallel sector dialogue sessions and building on the synergies that will have emerged from the joint drafting of the PMAF, result-oriented action plans (SAPs) will be collaboratively formulated in select sectors by CSOs and line ministries as a pilot initiative. In the context of Yemen, it will also be more effective to narrow down the geographic scope of the SAPs while coordinating with other donors on their ongoing programs in the targeted sectors and areas. The SAPs will attempt to operationalize the principles enshrined in the PMAF, thereby testing its sustainability and also shed light on the aspects that need to be refined, added or clarified. These action plans are expected to be monitored by multi-stakeholder committees comprising of officials from line ministries and CSO representatives. Furthermore, a key mechanism for the sustainability of the Government-CSOs partnership will involve, at a later stage, institutionalization of the PMAF actions plans within ongoing Government and donor supported programs.
25. Capacity building needs identified in the SAPs will be addressed through ongoing capacity building ANSA-AW programs. ANSA-AW also implements a small grants program for CSOs. CSOs active in the proposed project’s pilot sectors will be encouraged to apply for grants to implement social accountability related interventions specified in SAPs in close coordination with partner line ministries. Linking the proposed project with ANSA-AW’s capacity building and grants programs will reinforce stakeholders’ capacities around social accountability concepts and approaches. In the medium term, it is expected to promote the integration of tailored social accountability tools into development projects in select sectors. The project will also encourage CSOs mapped to the pilot sectors to create sector coalitions that represent all CSOs active in the sector to act as interlocutors with the Government. Coalition and capacity building activities to institute and nurture these coalitions will be
9
undertaken. This will be a natural step towards evolving the PMAF and enlarging it to other sectors while embedding specific social accountability initiatives into on-going and future development programs.
26. This component will finance technical assistance to support line ministries representatives and sector mapped CSOs representative to formulate sector specific results oriented SAPs. A training session on social accountability will also be financed to introduce both stakeholders to social accountability concept and approach. The activities funded under this project will be:
a) Preparation and formulation of Sector Action Plansb) Preparatory work to implement SAPsc) Outreach and disseminationd) Monitoring and evaluation
Component Three – Project Management, Monitoring and Evaluation (US$150,000 –Recipient Executed)
27. Project Management, Monitoring and Evaluation include strengthening the Recipient’s capacity for Project management, monitoring and evaluation through provision of consultants’ services, including audit, training, and financing of Incremental Operating Costs. Under this component the communications and outreach capacity of the recipient will be assessed and strengthened to support the Recipients efforts aiming to improve transparency and consolidating the flow of information from and to all stakeholders throughout the project and the dialogue process. The proposed monitoring and evaluation activities will also expand the project’s disaggregated gender and youth measurement. A key aspect of this process is the in-house consultant advisory and coordination role. Through this consultancy and other technical assistance on coalition building, MoPIC will get timely advice and support to establish sustainable coordination mechanisms with line ministries and participating CSOs to facilitate outreach and monitoring of project activities. Specific steps will be taken to identify synergies with other projects and to leverage linkages between them. This technical support also includes guiding MoPIC and advising their teams on the development of implementation annual plans.
Component Four: Knowledge for Development Partnership (US$500,000 - Bank-executed)
28. A cornerstone of the change process towards sustainable government-CSO partnerships is learning from international and regional experiences in the countries that have undergone similar transitions. In addition, the project will facilitate interactions across different stakeholder groups. These interactions have traditionally been limited in Yemen, contributing to a certain lack of trust and collaboration. Bringing different groups together towards a common objective will help break down barriers and facilitate spaces for dialogue. Lessons learnt from Indonesia, Turkey and the Philippines, countries that have successfully put in place government-
10
CSO partnerships for development, will be presented and discussed to foster Government-CSO dialogue in Yemen. From the Middle East and North Africa region, the Palestinian NGO experience with regard to NGO self-regulation for improved internal governance and social service delivery, will also be presented and discussed.
29. Therefore, this component will finance the preparation and organization of the National Learning Forum with the support of international experts in multi-stakeholder network and coalition building. The Forum will gather government representatives and CSO leaders from different governorates in Yemen. Government and CSOs representatives from the Philippines, Turkey and Indonesia, as well as the Palestinian NGO Development Center (NDC) representatives, will be invited to present the demand and supply side perspective of their experiences. Forum discussions will be documented, translated and disseminated widely after the event to benefit a wider audience among Government and CSO representatives. Additionally, a note summarizing the international and regional experiences will be produced and disseminated in Arabic. The enabling factors that supported these partnerships and the roles played by each stakeholder in improving development results will help Yemeni stakeholders better understand and contextualize the challenges and opportunities for partnership in the Yemeni context.
30. Under this component, the following will be financed :a. National Learning Forum on Government-CSO partnership experiences, and a
summary noteb. Technical assistance to Line Ministriesc. Project management and oversight
11
B. Project Financing
Table 1: Project Costs and Financing
Project Components and OutputsRecipient Executed
US$2014
US$2015
Component One: Partnership and Mutual Accountability for Improved Participation and Inclusion (Recipient-executed):- Development and validation of
PMAF- Awareness raising, knowledge
sharing, dissemination and outreach
- Preparation and organization of sector dialogue sessions
==========================Component Two : Sector Action Plans for Improved Development Results and Capacity Building Activities (Recipient-executed):- Preparation and formulation of
Sector Action Plans- Preparatory work to implement
SAPs- Outreach and dissemination
==========================Component Three : Project Management, Monitoring and Evaluation (related to the Recipient Executed Components One and Two)
- Consultants’ services, including monitoring, audit, training, and financing of Incremental Operating Costs==========================
120,000
80,000
150,000
=============
120,000
70,000
=============
=============
100,000
70,000
===========
100,000
40,000
===========
150,000
===========
12
Component Four: Knowledge for Development Partnership (Bank executed)- National Learning Forum on
Government-CSO partnership experiences
- Technical assistance to Line Ministries
Project management and oversight
210,000
100,000
60,000
90,000
40,000
Sub Total 910,000 590,000
Grand Total 1,500,000
C. Lessons Learned from Countries in Transition and Reflected in the Project Design
31. International experience has shown that engaging with CSOs during transitions increases the legitimacy of the government and promotes sustainability of reforms. CSOs can mediate between the state and citizens, which is key during transition periods, such as in the case of Yemen. Lessons learnt from the transitions in Philippines, Turkey and Indonesia are particularly relevant to the context in Yemen. From the Palestinian territories, valuable lessons can be drawn from CSOs’ experience in terms of improving service delivery and promoting CSOs self regulation and internal governance. (a) Philippines: Philippines has shown some of the most successful
experiences in terms of civil society-government partnerships. In 1991, the Philippines Local Government Code introduced a new framework for decentralization and local governance at the sub-national level that included significant provisions for participatory planning and citizen participation in decision making. This framework set the ground for CSOs to spearhead the implementation of various development programs and
13
increase their effectiveness through networking and coalition building. This has resulted in some of the most internationally recognized successes as CSOs have contributed constructively to strengthening the Government’s own reform initiatives.
(b) Turkey: Turkey’s performance and improvements in providing social services, especially for the poor, have been key factors behind the political stability and economic growth in the country during the recent years. With the initiation of important political reforms directly relevant to civic engagement and social accountability, CSOs became key partners in the implementation of health and education programs which resulted in increasing demand and user satisfaction rates. Among the key lessons that can be drawn from Turkey’s transition is the attention given to the improvement of basic services in response to citizen demand in partnerships with CSOs.
(c) Indonesia: Indonesia’s Government during the transition reached out to CSOs, academics, think-tanks, religious groups and student groups, broadening stakeholder engagement in the reform processes. One of the main achievements of the transition period was the adoption and implementation of reforms that aimed to bring services closer to the people and initiated several partnerships with CSOs to address the low quality of public services at the provincial and local levels.
(d) Palestinian territories: The Palestinian Authority (PA) recognized the important role of NGOs in filling some service delivery gaps and in partnership with NGOs developed the Law No (1) of Charitable Associations and Community Organizations in 2000 which formalized and regulated their relationship. The Palestinian National Development Plan (PNDP, 2011-2014) further facilitates a partnership approach between the PA and NGOs. Based on 23 sector strategies, each illustrating sector priorities and stakeholder coordination frameworks, the PNDP identifies the need to establish a model approach for partnership with civil society, PNGOs and the private sector to ensure that social services are comprehensive, affordable and sustainable.
32. The project builds on the lessons learnt as well as best practice features derived from experiences in these countries. One of the key lessons integrated in the design of the proposed project is that Government-CSOs partnership becomes sustainable when it is based on a genuine dialogue and action plans to jointly define the rules and principles of collaboration. The proposed project also reflects one important feature derived from international best practice that shows that powerful and successful partnerships are most commonly forged in the area of service delivery where CSOs can be partners not only in implementation, but also in monitoring and awareness building. The proposed project design also integrates the important feature of setting realistic goals and disseminating dialogue outcomes to the public, thus contributing to building trust and managing citizen’s expectations.
IV. IMPLEMENTATION
A. Institutional and Implementation Arrangements
Implementation Agency Assessment
14
35. The project counterpart is MoPIC and will be implemented by the ongoing Labor Intensive Public Works Project (PWP) (add P122594) PMU that will be in charge of all financial and procurement aspects. MoPIC is also the main counterpart for the FY13 CSO Mapping and Capacity Assessment study as well as the planned Civil Society Support Project. The request for this proposed project by the Government reflects the Government’s commitment to this process and the importance of this project in its agenda. MoPIC is well positioned to ensure a transparent and inclusive approach to promote all stakeholders’ buy-in to the dialogue process. It is a cross-sectoral ministry, which is key for the proposed project, and has more leverage in terms of coordination with various line ministries, the Ministry of Social Affairs, CSOs and key donors. Finally, MoPIC was also the counterpart Ministry for the FY10 Stakeholder Mapping Study, having already expressed interest to work with CSOs as development partners.
36. An individual local consultant will be hired to provide “in-house” support to MoPIC teams in terms of coordination and implementation of the project activities, including follow up actions and liaison with the Labor Intensive Public Works Project PMU who will be responsible for all financial procurement aspects. This experienced PMU administers resources from over 15 donors. It concurrently implements approximately 450 sub-projects, some of which are related to NGOs, and ensures that donor funds are utilized in accordance with the rules and procedures of each donor transparently. The PMU has proved its capacity to respond to donors’ criteria while taking into consideration the needs and constraints of targeted groups. The ability of the PMU to report in a timely manner to different donors is remarkable, as well as its monitoring capacity.
B. Results Monitoring and Evaluation
37. The PDO-level results indicators will be monitored to evaluate project’s performance towards the objectives. Monitoring and evaluation of project activities will be integrated into each of the project components’ implementation. MoPIC will be responsible for results monitoring and will submit an M&E report to the World Bank every six months. The Bank will provide support for the development of the project’s M&E system through technical advice provided by the Bank staff and consultants.
38. In addition to integrating the M&E into each project component, the Bank will execute an independent evaluation on the results of the project using various methods as appropriate, including participants’ evaluation of dialogue sessions, in-person interviews as well as focus groups representing both stakeholders (Government and CSOs representatives).
C. Sustainability
39. The Government-CSOs Partnership project will evolve through the implementation of the SAP, and will be sustained at the sector level by the creation of sector Participation Committees comprising of representatives from line ministries and sector mapped CSOs. The project will also lay the ground for a Civil Society Support Project requested by the Government of Yemen. A key mechanism for sustainability of the Government-CSOs partnership will involve, at a later stage, the institutionalization of
15
the PMAF action plans within ongoing Government and donor supported programs.
V. KEY RISKS AND MITIGATION MEASURES
A. Risk Ratings Summary Table
Stakeholder Risk Substantial
Implementing Agency Risk
- Capacity Moderate
- Governance Low
Project Risk
- Design Substantial
- Social and Environmental Low
- Program and Donor Moderate
- Delivery Monitoring and Sustainability Substantial
- Other High
Overall Implementation Risk Substantial
B. Overall Risk Rating Explanation
40. The overall risk for this operation is substantial because of the country context. The volatility of the political, security, governance, and civil society environment may impact negatively both the preparation and the implementation of the project. The dialogue and consensus-building process of the project can also be hampered by potential shifts in the political transition. The incorporation of technical assistance into the implementation of the components, the use of local consultants and maintaining flexibility and adaptability are, expected to mitigate the risks to the extent possible. Implementation risks are, however, likely to remain substantial throughout the duration of the project.
VI. APPRAISAL SUMMARY
A. Economic and Financial Analyses
16
41. This project proposes targeted support to help organize and equip the civil society sector to play a full part in navigating a critical period of transition and to assist government institutions seeking to restore credibility with citizens. Project benefits are not amenable to monetization but the potential development impact of this support is far reaching, and significantly outweighs the scale of the investment.
42. Expected Development Outcome. The principal justification for this intervention is the potential role that a capable civil society sector can play in partnership with government to overcome government or market failures. The benefits of a functioning civil society may not be amenable to conventional cost-benefit analysis but the societal benefits – qualitative and to a lesser extent empirical – have been demonstrated worldwide. Fostering this more inclusive, participatory approach to development is premised on the belief that this approach contributes to a wide range of development priorities including: enhanced poverty targeting (and more effective poverty reduction measures), improved service delivery, expanded livelihood opportunities, greater voice and increased demand for good governance, among others.
43. Yemen benefits from a diverse and vibrant civil society. Yet without opportunities for a substantive and open dialogue between government and civil society and a shared understanding of respective roles and responsibilities, the potential for effective partnership may remain unrealized. The challenges of addressing market and government failures are well-understood and provide one of the drivers for this intervention. However, this project also seeks to address the risk of civil society failure – a situation in which civic action is disorganized, unable to coordinate actions or to take collective decisions effectively.
44. This project draws on preceding CSO interventions most notably the FY13 CSO Mapping and Capacity Assessment. In turn this operation will inform the planned Civil Society Support project that has been requested by government and that is a central element of the current World Bank Program. The four project components take forward the Bank’s engagement in the civil society sector and contribute some of the preconditions for more inclusive participatory government. The first component brings together the diverse array of civil society organizations for a strategic discussion that, at a basic level, will initiate government-CSO interaction of a kind that has not previously been possible. In addition, the event will connect Yemen’s CSO representatives with experience and knowledge from CSO representatives from the Philippines, Turkey, Indonesia and Palestinian Territories – where civil society has and continues to play a substantive role in their country’s transition.
45. The first component structures a dialogue between Yemen’s CSOs and line ministries to identify areas of potential collaboration and overlap and will result in a Partnership and Mutual Accountability Framework. The PMAF serves as a roadmap outlining areas for government/CSO collaboration and mirrors the Mutual Accountability Framework process between the government and donor partners that has been agreed at the national level. In the second component, the PMAF will provide the basis for results-oriented action plans developed jointly by CSOs and line ministries. The component will also provide foundational training for CSOs in participatory development and social accountability measures to enable CSOs to serve as effective interlocutors with government. In addition,
17
the project will also support the development of communications, project and fiduciary management capacity to assist government in establishing and managing sustainable coordination mechanisms between CSOs and line ministries working together. Finally, the fourth, Bank-executed component brings together the diverse array of civil society organizations for a strategic discussion that, at a basic level, will initiate government-CSO interaction of a kind that has not previously been possible. In addition, the event will connect Yemen’s CSO representatives with experience and knowledge from CSO representatives from the Philippines, Turkey, Indonesia and Palestinian Territories – where civil society has and continues to play a substantive role in their country’s transition.
46. Rationale for public financing. In the absence of a fully capable state or well-developed private sector, civil society organizations emerge as potentially effective partners with government. The importance of harnessing the reach and latent capacity of civil society is especially important in a country emerging from conflict. As noted in the 2011 WDR (Conflict, Security and Development), political transitions are followed by an extended period where the risk of a resurgence in conflict is elevated. Conflict has been shown worldwide to have stifled development and deepened poverty: not a single low-income, fragile state has achieved any of the MDGs; these countries account for more than 60% of the world’s poor and the return to pre-crisis economic conditions is a long slow process frequently marked by deprivation and reduced service provision. The support of Yemen’s CSOs helps put in place one essential element of Yemen’s transition.
47. World Bank’s value-added. Over the last decade the World Bank has allocated almost $85 billion in support of participatory government at the local level. Some programs have, with effort and World Bank support, been taken to national scale and are now fully integrated government programs. One example of this, Indonesia’s Program National Pemberdayaan Masyarakat Mandiri (National Program for Community Empowerment) , will provide some of the experiences that will be shared at the Government-CSO dialogue event planned under this program. This contribution encapsulates the value that the World Bank can contribute, underscoring an illustration of the ability to connect clients with diverse and relevant global expertise, the Bank’s convening power and its ability to fill important gaps in what is ostensibly an active area of engagement for several donors.
48. The proposed project is based on a demand-driven approach with the aim of increasing CSOs role in informing government decision making, and in the society in general. The project will therefore have a possible positive impact on the demand for CSOs, and thus a possible positive employment effect. The project provides benefits to the participants in the form of capacity building and skills development for long-term impact that will be better integrated into a broader partnership framework and coordinated with other donor activities. This is a welcome need among CSOs in the midst of current challenges in ad hoc and short-term training programs.
49. The outcomes of capacity changes, incremental revenues, and employment effects across the CSO sphere would, as seen in other similar projects, be only visible at the completion of the project. A full measure of
18
results, upon which the above-mentioned are based, would be most likely to be achieved within 1-2 years after their completion.
B. Technical
50. The project is appropriate to Yemen’s needs and technically viable. The design is informed by lessons learned from World Bank and other experiences from countries in transition. The implementation of the components ensures that the learning from the project can be appropriately leveraged to formulate policies and scale up programs based on the evidence provided by the project.
C. Financial Management
51. The existing FM system for the ongoing PWP is satisfactory and will be used for the proposed project. The PWP PMU maintains a well-functioning FM system based on a ring-fenced approach which includes: (i) an automated accounting system (supported by Oracle software) which follows cash basis accounting and is capable of recording and reporting on all transactions; (ii) experienced financial management staff; (iii) an acceptable internal controls system based on documented procedures; (iv) Financial Management Manual; and (v) quarterly financial reports and annual financial statements, reviewed and audited, respectively, by an independent external auditor, selected by the Central Organization for Control and Audits (COCA) and acceptable to the IDA, based on agreed terms of reference.
D. Procurement
52. Procurement for the project will be administered in accordance with the World Bank’s Guidelines: Procurement of Goods, Works and Non-consulting Services under IBRD Loans and IDA Credits and Grants by World Bank Borrowers dated January 2011 and Guidelines: Selection and Employment of Consultants under IBRD Loans and IDA Credits and Grants by World Bank Borrowers dated January 2011 and the provisions stipulated in the Grant Agreement. In addition, the World Bank’s Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants dated October 15, 2006 and revised January 2011 has been shared with the recipient. The World Bank’s Standard Bidding Documents, Requests for Proposals, and Forms of Consultant Contract will be used. Procurement of goods will follow National Competitive Bidding (NCB) procedures and shall be procured using the agreed Standard Bidding Documents (SBDs) for Yemen. In the event of a conflict between IDA Procurement/Consultant Guidelines, as per Article 4 (2) and the Procurement Law of July 2007 and its bay-law 1999 of the GoY, the IDA Procurement/Consultant Guidelines shall prevail.
53. Given the very small financial dimensions of procurement for all the project components, procurement of consultancy services financed plans under the Labor Intensive Public Works Project PMU will be carried out by firms following locally established commercial practices acceptable to the Bank, and in accordance with the provision of paragraphs 3.13 of the Bank’s Procurement Guidelines.
19
54. Technical assistance services will be procured by the firms following locally established commercial practice acceptable to the Bank and or in accordance with the provision of paragraph 3.13 of the Bank’s Consultant Guidelines. Consultants to be financed under the Labor Intensive Public Works Project PMU business plans would include individual consultants and consultant firms
55. Consultant firms and individuals will be selected in accordance with IDA Guidelines for Selection and Employment of Consultants (dated January 2011). For firms, all contracts above US$300,000 would be procured using Quality and Cost Based Selection method (QCBS). Least Cost-Based Selection (LCS) and selection based on consultant qualification procedures would be used for small contracts of standard or routine nature estimated to cost less than US$300,000 or equivalent. Shortlist of consulting firms for services estimated to cost less than US$300,000 equivalent per contract may be composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines. All consulting services contracts above US$300,000 would be subject to IDA’s prior review. All individual consulting assignments would be selected on the basis of comparison of CVs in accordance with Section V of the Guidelines for Selection of Consultants.
E. Social (including Safeguards)
56. Social safeguard policies are not triggered, and the social impacts of this project are expected to be positive. The project activities will promote participation and inclusion and build trust in state institutions.
F. Environment (including Safeguards)
57. Environmental safeguards policies are not triggered. The expected size of disbursements are small, and the nature of most of the activities will be procurement of services and other intangibles, with possible small scale goods or equipment which are not anticipated to have any major or irreversible environmental impacts.
20
Annex 1: Results Framework and Monitoring
REPUBLIC OF YEMEN: Government-CSOs Partnership Project
Results Framework
PDO Level Results Indicators* C
ore Unit of
MeasureBaselin
e
Cumulative Target Values** Frequency Data Source/Methodology
Responsibility for Data
Collection
YR 1 YR 2
Indicator One: Number of partnerships formalized between government(s) and civil society organizations
Number 0 - 10 Semi-annually
1. Partnership agreements reported by MOPIC
Government-CSOs Partnership Project implementation unit and , MOPIC
Indicator Two: Number of CSOs representing rural and urban constituencies engaged in the dialogue
Number 0 25 50 Semi-annually;Once – within 6 months of project completion
1. Monitoring report
2. Independent verification after project completion
Government-CSOs Partnership Project implementation unit and , MOPIC
World BankIndicator Three: Number of women and youth groups directly engaged in project’s activities
Number 0 20 40 Once – within 6 months of project completion
Independent verification after project completion
Government-CSOs Partnership Project implementation unit and , MOPIC
World BankIndicator Four: Number of direct project beneficiaries, of which female (%)7
Number 0 0 0 Once – within 6 months of project
Independent verification after project completion
Government-CSOs Partnership Project
7 Target numbers will be specified based on the findings from the FY13 Mapping and Capacity Assessment study.
21
completion implementation unit and , MOPIC
World Bank
INTERMEDIATE RESULTS
PDO Level Results Indicators*C
ore Unit of
Measure BaselineCumulative Target
Values** Frequency Data Source/Methodology
Responsibility for Data
CollectionYR 1 YR 2
Intermediate Result (Component One): Partnership and Mutual Accountability for Improved Participation and Inclusion (Recipient-executed):
8. National Learning Forum held Yes / no No Yes Yes Once Forum Completion Report
Government-CSOs Partnership Project implementation unit and MOPIC
World Bank9. Number of government officials and CSO
representatives jointly trained in capacity building workshops
Number 0 50 100 Semi-Annually
Monitoring report
Government-CSOs Partnership Project implementation unit and MOPIC
10. Technical assistance notes Number 0 - 2 Upon completion of notes
Implementation Status Reports
World Bank
8 Target numbers will be specified based on the findings from the FY13 Mapping and Capacity Assessment study.
23
Annex 2: Detailed Project Description
REPUBLIC OF YEMEN: Government-CSOs Partnership Project
1. The proposed project aims to enhance Government-CSOs partnership in the implementation and monitoring of sector development programs. This focus stems from the global experience that shows how government-CSOs partnerships can help governments to increase the sustainability of reforms and improve participation and inclusion which promotes effective development results.
2. Literature on change emphasizes the importance of stakeholders’ sustainable collaboration. Partnerships are increasingly necessary to solve development challenges because individual stakeholders do not have all the functional means to provide for change. Although collective action can be challenging, coalitions for reform and networks often emerge around shared vision of development issues or priority reforms. By making development issues the focus of engagement, the process of change pushes stakeholders to identify their key concerns, what they involve, and how they can be collectively addressed. As a result, stakeholders learn to look for contextually relevant opportunities for change, and build the necessary processes for change to happen. This process requires collective identification of problems and solutions by stakeholders. Global experience shows that joint learning from lessons learnt in other countries during similar transition periods can help stakeholders to better contextualize the development issues and work collectively towards a shared vision of the way forward in terms of collaboration and partnerships.
3. In the context of Yemen, while engaging with CSOs will help the Government to increase the sustainability of its reforms and improve the results of its development programs, it still needs to be supported by a pragmatic approach and mechanisms for genuine dialogue to jointly define a Partnership and Mutual Accountability Framework (PMAF), clarifying the rules and principles of partnership and accountability. It is also critical to operationalize the PMAF on a pilot basis in select sectors to test its feasibility and improve its implementation. The following principles lay the ground for the dialogue towards formulating the PMAF and the pilot Sector Action Plans: (a)The Government seeks to: (i) improve operational collaboration and
coordination with CSOs on sectoral development programs, (ii) harness community participation more effectively, (iii) and promote CSOs contributions to service provision and support to more inclusive development programs;
(b)CSOs seek a constructive engagement with the Government at the national and sectoral levels on specific development and reform programs;
24
(c) Government and CSOs develop an effective process to evolve the PMAF, especially through implementing specific SAPs on a pilot basis in select sectors in close coordination between line ministries and sector mapped CSOs; and
(d)Government and CSOs consider various tools to improve the partnership including reforms of laws and regulations relating to the sector.
These principles will shape the dialogue between the stakeholders and guide their discussion towards expanding the number of collaboration options while giving them the responsibility to agree on the partnership rules and principles.
4. Through its three components the project will help foster a dialogue between line ministries and sector mapped CSOs working on service delivery, participation and decentralization programs. This will provide them with the space and opportunity to exchange views on sector development issues, develop a shared vision and understanding of sector priorities, and jointly identify their complementarities and overlaps. Based on the dialogue outcomes, specific results oriented action plans will be developed in select sectors on a pilot basis. The dialogue will build on the findings and operational recommendations of the CSO Mapping and Capacity Assessment study that will inform both the proposed activity as well as the upcoming Civil Society Support Project
5. The project will draw on research related to activation of multi-sectoral networks and coalitions for governance. It aims to organize, as a first step, a National Learning Forum to distill lessons from international and regional experiences and the CSO Mapping and Capacity Assessment study. This will be followed by a series of parallel sector dialogue sessions between line ministries and the sector mapped CSOs. Based on the results of the dialogue sessions SAPs for select sectors will be developed on a pilot basis. The pilot SAP will be implemented within the defined framework of the PMAF. This sequenced dialogue will allow for the initiation of a gradual participatory process from joint learning and discussion of sector development issues to formulating specific collaborative action plans.
6. The participants of the parallel sector dialogue sessions to follow the National Learning Forum will be representatives of line ministries and sector mapped CSOs who will be identified by the mapping exercise as a part of the CSO Mapping and Capacity Assessment study. The participation will reflect the variance in age, gender and diversity of the CSO community in Yemen. The results of the parallel sector dialogue sessions will help to build a shared vision of development priorities and challenges in targeted sectors, which will then be presented at a joint workshop to allow for broader consultation and consensus-building. In the
25
final general meeting, the participants will then collaboratively define and agree on the draft PMAF. As a last step, based on the developed synergies, the participants will agree on pilot sectors that will take the lead on formulating and piloting the implementation of sector specific results-oriented action plans. Focusing the scope of the SAPs to specific pilot sectors will provide a likelihood of effective implementation and has more potential for impact in terms of raising awareness of the feasibility and importance of partnerships for development. While the proposed project will support CSOs’ constructive engagement with the Government on the implementation and monitoring of ongoing development programs, it will also set the ground for operationalizing the donors’ pledge of US$7.5 billion for development programs during the transition period. The PMAF will also be key in supporting the Government in the implementation and monitoring of development projects in an inclusive and participatory manner.
7. Two technical assistance notes will be produced through this process to inform public policies and programs of the Government of Yemen, as well as donors and the CSO community: (i) a note collecting lessons learnt from government-CSO partnerships in other countries that went through political and economic transitions, such as the Philippines and Indonesia. At the regional level, the note will illustrate the experience of the self-regulated CSO community in the Palestinian territories, and its impact on CSOs’ internal governance and efficiency gains in service delivery; and (ii) a note on the complementarities and overlaps between the Government and CSOs in targeted sectors based on line ministries’ and CSOs’ parallel sector dialogue sessions. Both notes will be translated into Arabic and disseminated widely. The agreed PMAF, which will provide the framework for an inclusive and sustainable collaboration between the Government and CSOs, will also be published. Finally, the results oriented action plans (SAPs) for pilot sectors that have been identified during the sector dialogue sessions will be developed jointly by targeted line ministries and CSOs that are active in the same sector and will focus on the implementation and monitoring of specific sector development programs. This sequenced process will lay the necessary foundations for a sustainable partnership between the Government and CSOs.
8. The proposed Project will have two tracks: a Bank-executed track aimed at distilling international and regional experiences and presenting both the demand and supply side perspectives on government-CSO partnerships, and a Recipient-executed track with the objective of leading the process of organizing and facilitating sector dialogue sessions.
Project Components
Component One – Partnership and Mutual Accountability for Improved Participation and Inclusion (Recipient-executed):
26
9. Parallel dialogue sessions between line ministries and CSOs that are active in the same development sectors will be organized to exchange views on sector development issues and priorities, and to identify complementarities and overlaps between these stakeholder groups. These sessions will cover development programs currently implemented in these sectors, as well as the potential role of each stakeholder, in order to identify points of convergence and synergy for collaboration. Inherent weaknesses in terms of participation and accountability in the targeted sectors will be identified so that these can be meaningfully addressed with CSO involvement. Given the donor-dependent nature of development programs in Yemen in general, and in CSOs activities in particular, participation of key donors in some of the sessions will be crucial. Based on the outcome of the parallel dialogue sessions, a draft PMAF will be formulated by experts/facilitators of multi-stakeholder coalition and partnership building. The draft PMAF will be discussed and validated at a general meeting with all participants. The validated PMAF in the targeted sectors will be submitted to MoPIC and disseminated.
Component Two – Sector Action Plans for Improved Development Results and Capacity Building Activities (Recipient-executed):
10. Given that any reform is a long-term process, and rests on the credibility of effectiveness of formal and informal institutions, it is important to test the feasibility of the PMAF through sector-specific, results oriented action plans. An important lesson from international experiences on government-CSO partnerships shows that having a sectoral focus ensures more development effectiveness by concentrating coordinated interventions on specific sector projects. Based on the outcomes of the parallel sector dialogue sessions and building on the synergies that will have emerged from drafting the PMAF, SAPs that are results oriented will be jointly formulated in select sectors by CSOs and line ministries collaboratively as a pilot initiative. In the context of Yemen, it will also be more effective to narrow down the geographic scope of the action plans while coordinating with other donors on their ongoing programs in the targeted sectors and areas. The SAPs will attempt to operationalize the principles enshrined in the PMAF, thereby testing its sustainability and also shed light on the aspects that need to be refined, added or clarified. These action plans are expected to be monitored by multi-stakeholder committees comprising of officials from line ministries and CSO representatives. Furthermore, a key mechanism for the sustainability of the Government-CSOs partnership will involve, at a later stage, institutionalization of the PMAF actions plans within ongoing Government and donor supported programs.
11. Recognizing the need to build the capacity of CSOs through action learning to implement and monitor inclusive development projects while facilitating participation and giving voice to local communities and marginalized groups, the project will dovetail CSOs’ capacity building efforts with the ongoing capacity building program of Affiliated Network for Social Accountability in the Arab World (ANSA-AW).9 Several capacity building sessions on the approach and concept of social accountability have already been organized at the regional
9 ANSA-AW is a regional network of practitioners on participatory governance and social accountability modeled after similar networks established in South Asia and East Asia Pacific, but tailored to the Arab world. ANSA-Arab World serves as a platform for engagement and dialogue with civil society organizations (CSOs) and governments
27
and country levels in MENA by ANSA-AW. Capacity building needs identified in the SAPs will be addressed through ANSA-AW’s programs.
12. Another component of ANSA-AW is an action learning small grants program for CSOs. CSOs active in the proposed project’s pilot sectors will be encouraged to apply for grants to implement social accountability related interventions specified in SAPs in close coordination with partner line ministries. Linking the proposed project with ANSA-AW’s capacity building and grants programs will reinforce stakeholders’ capacities around social accountability concepts and approaches. In the medium term, it is expected to promote the integration of tailored social accountability tools into development projects in select sectors. The project will also encourage CSOs mapped to the pilot sectors to create sector coalitions that represent all CSOs active in the sector to act as interlocutors with the Government. Coalition and capacity building activities to institute and nurture these coalitions will be undertaken. The promotion of social accountability initiatives by sector mapped CSOs in collaboration with select line ministries in Government development projects in Yemen, through ANSA-AW capacity building and grants programs, will be a natural step towards evolving the PMAF and enlarging it to other sectors while embedding specific social accountability initiatives into on-going and future development programs.
Component Three – Project Management, Monitoring and Evaluation (US$150,000 –Recipient Executed)
31. Project Management, Monitoring and Evaluation include strengthening the Recipient’s capacity for Project management, monitoring and evaluation through provision of consultants’ services, including audit, training, and financing of Incremental Operating Costs. Under this component the communications and outreach capacity of the recipient will be assessed and strengthened to support the Recipients efforts aiming to improve transparency and consolidating the flow of information from and to all stakeholders throughout the project and the dialogue process. The proposed monitoring and evaluation activities will also expand the project’s disaggregated gender and youth measurement. A key aspect of this process is the in-house consultant advisory and coordination role. Through this consultancy and other technical assistance on coalition building, MoPIC will get timely advice and support to establish sustainable coordination mechanisms with line ministries and participating CSOs to facilitate outreach and monitoring of project activities. Specific steps will be taken to identify synergies with other projects and to leverage linkages between them. This technical support also includes guiding MoPIC and advising their teams on the development of implementation annual plans.
Component Four: Knowledge for Development Partnership (Bank-executed)
13. A cornerstone of the change process towards sustainable partnerships is learning from experiences in the countries that have undergone similar transitions. In addition to learning from international and regional experiences, the project will facilitate interactions across different stakeholder groups. These interactions have traditionally been limited in
28
Yemen, contributing to a lack of trust and collaboration. Bringing different groups together towards a common objective will help break down barriers and facilitate spaces for dialogue. The World Bank, as a global and regional convener of development stakeholders and connector of practitioner groups to knowledge and other resources, is in a unique position to support this multi-stakeholder, broad-based approach, working in partnership with other institutions. Lessons learnt from Indonesia, Turkey and the Philippines, countries that have successfully put in place government-CSO partnerships for development, will be presented and discussed to foster Government-CSO dialogue in Yemen. The enabling factors that supported these partnerships and the roles played by each stakeholder in improving development results will help Yemeni stakeholders better understand and contextualize the challenges and opportunities for partnership in the Yemeni context. From the Middle East and North Africa region, the Palestinian NGO experience with regard to self-regulation for improved networking and internal governance, and in the field of service delivery, will also be presented and discussed. This particular experience from the region is of high importance to many CSOs and government actors in Yemen. A note summarizing these experiences will be produced and disseminated in Arabic.
14. This component will finance the preparation and organization of the National Learning Forum with the support of international experts in multi-stakeholder network and coalition building. The Forum will gather government representatives and CSO leaders from different governorates in Yemen. Government and CSOs representatives from the Philippines, Turkey and Indonesia, as well as the Palestinian NGO Development Center (NDC) representatives, will be invited to present the demand and supply side perspective of their experiences. Discussions will be documented, translated and disseminated widely after the event.
29
Annex 3: Implementation Arrangements
REPUBLIC OF YEMEN: Government-CSOs Partnership Project
Institutions
1. The project will be implemented by the Ministry of Planning and International Cooperation (MoPIC). The Ministry is well positioned to ensure a transparent and inclusive approach to promote all stakeholders’ buy-in to the dialogue process. MoPIC has also more leverage in terms of coordination with various line ministries, with the Ministry of Social Affairs, CSOs as well as key donors. The MoPIC Economic Studies and Forecasts Unit will be in charge of putting in place the various workshops and following up on the outreach and dissemination activities. The Economic Studies and Forecasts unit is established for more than ten years and has been implementing UNDP and World Bank-financed projects. For an enhanced implementation, an individual local consultant will be hired to provide “in-house” support to MoPIC teams in terms of coordination with project stakeholders and a sequenced implementation of the project activities on a daily basis. He will also provide support for follow up actions and liaison with the Labor Intensive Public Works Project PMU who will be responsible for all financial transactions.
Technical Assistance
2. MoPIC, line ministries and sector mapped CSOs are expected to require technical assistance on coalition building, developing a PMAF as well as results-oriented action plans and M&E. Technical assistance will be provided by Bank staff and consultants to advise on the design the implementation at every stage of the project. The Bank will assign staff and consultants to support technical assistance needs.
Financial Management
3. The Labor Intensive Public Works Project PMU will be in charge of financial management and procurement. The PMU is composed of experienced teams and administers resources from over 15 donors. It concurrently implements about 450 sub-projects, some of which are related to NGOs, and ensures that donor funds are utilized in accordance with the rules and procedures of each donor transparently.
Procurement
4. Procurement for the project will be administered in accordance with the World Bank’s Guidelines. Given the very small financial dimensions of procurement for all the project components, procurement of consultancy services financed plans under the Labor Intensive Public Works Project PMU will be carried out by firms following locally established commercial practices acceptable to the Bank, and in accordance with the provision of paragraphs 3.13 of the Bank’s Procurement Guidelines. Consultant firms and individuals will be selected in accordance with IDA Guidelines for selection and Employment of Consultants (dated January 2011). For firms, all contracts above US$300,000 would be procured using
30
Quality and Cost Based Selection method (QCBS). Least Cost-Based Selection (LCS) and selection based on consultant qualification procedures would be used for small contracts of standard or routine nature estimated to cost less than US$300,000 or equivalent. Shortlist of consulting firms for services estimated to cost less than US$300,000 equivalent per contract may be composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines. All consulting services contracts above US$300,000 would be subject to IDA’s prior review. All individual consulting assignments would be selected on the basis of comparison of CVs in accordance with Section V of the Guidelines for Selection of Consultants.
Trust Fund Arrangements
5. Recipient-Executed Components (Component 1-2): The Deauville Partnership Transition Fund (DPTF) first enters into a Financial Procedures Agreement with the World Bank as the Implementation Support Agency. Upon approval by the Steering Committee of the DPTF of the grant application for the proposed project the Bank, acting as Implementation Support Agency (ISA), will enter into a Grant Agreement with MoPIC which according to the provisions of the DPTF Operation Manual and the Transition Fund Grant Application is a Recipient Entity for the purposes of this grant.
6. Bank Executed Component (Component 4): The World Bank will act as recipient and implementing agency with endorsement from the Government of Yemen represented by MoPIC for bank-execution of the component.
Coordination with Donors and Other National Entities 7. The Bank will maintain coordination with Donors, INGOs and other national entities
implementing activities with CSOs, particularly in the area of service delivery to ensure continued synergy and regular flow of information on project activities.
Safeguards
8. No social and environmental safeguards policies are triggered.
Project Stakeholder Risks Rating SubstantialDescription:(i) Given that the project’s focus is on dialogue and consensus building between the Government and CSOs, there is a risk that the stakeholders’ dialogue is impacted negatively by an unanticipated shift in the political, security, governance and civil society environment.
Risk Management:The ongoing transition in Yemen has created a unique opportunity to facilitate a dialogue between the Government and CSOs that support inclusive and collaborative approaches. The Government has increasingly embraced the transformations in the CSOs landscape and despite many challenges, the Government and various development CSOs are trying to find ways to better define mechanisms of collaboration.
Description:(ii) The growing number of CSOs in Yemen during the current transition and the fragmentation of the CSO community as well as the tensions associated with the multiple fault lines that characterize Yemen social fabric limit the ability of some groups to collaborate with each other. The low capacity and lack of CSOs networking may also hamper or delay the consensus-building based dialogue between CSOs and the government.
Risk Management:A CSO Mapping and Capacity Assessment Study has been carried out to map the evolving NGO landscape to identify the key development NGOs working on service delivery, participation, decentralization and institution building, including women and youth organizations in five governorates and at the national level. The study also identifies the sectoral and thematic focus of these NGOs, as well as their size, influence and effectiveness.
Resp: Bank Stage: Implementation Due Date: February 2013 Status: Ongoing
Implementing Agency Risks (including fiduciary)Capacity Rating: ModerateDescription: The project will be implemented by the PMU of the Labor Intensive Public Works Project under MoPIC. The capacity of some of the sectoral CSOs may pose a challenge.
Risk Management: The PMU has proved its capacity to respond to donors criteria while taking into consideration targeted groups’ needs and constraints as well as the ability to report in a timely manner to different donors. Where required, the CSOs will be provided targeted facilitation and support to execute their part of the partnership.Resp: Client Stage: Implementation Due Date: Continuous Status: Not yet due
Governance Rating: LowDescription: There is risk of weak inter-ministerial coordination between line ministries and MoPIC.
Risk Management: The team will support the MoPIC in establishing clear and transparent communication channels with line ministries to ensure a regular flow of information throughout the project preparation and implementation in order to address any issues upfront.
Resp: Client Stage: Implementation Due Date: Continuous
Status: Ongoing
Project RisksDesign Rating: SubstantialDescription:Description: The Project design is based on multi-stakeholders coalition building. The CSOs low capacity as well as the current fluid political context and the weak governance may hamper or delay the consensus-building based dialogue between CSOs and the Government.Also, given the difficult security context, it may be difficult to implement, monitor and supervise the results-oriented sector action plans.
Risk Management :
Resp: Client Stage: Implementation Due Date: Continuous Status: OngoingRisk Management: The Bank will ensure that a transparent and inclusive process is in place and will support MoPIC in holding regular consultations to be able to address issues upfront. All meetings proceedings will be documented and published as well as documents that will be agreed to by stakeholders. A targeted assistance will also be provided to CSOs as needed.
The project’s activities will be based in Sanaa, making sure that participants to all project components can travel
32
to Sanaa and do represent different governorates and regions. The results-oriented action plans will exclude activities in the most difficult regions, namely Saada and Abyan, due to their high security risk even for locals.
Resp: Client and Bank Stage: Implementation Due Date: Continuous Status: Ongoing
Social & Environmental Rating: LowDescription: The nature of most of the activities will be procurement of services and other intangibles, with possible small scale goods or capital equipment which are not anticipated to have any major or irreversible environmental impacts. Consequently, the project is not expected to trigger any safeguards and will include a negative list to screen out potential social or environmental safeguards.
Risk Management: Environmental Management Plan
Resp: Client Stage: Implementation Due Date: June 2013 Status: Completed
Program and Donor Rating ModerateDescription: Weak coordination and dialogue with other donors; Risk of diverging views with counterparts on the inclusion, consultation and outreach to the community that could undermine partnership arrangements.
Risk Management: The project will build on the ongoing and successful coordination and dialogue with INGOs and donors initiated with the CSO Mapping and Capacity Assessment study and continuing under the Government-CSO Partnership Project.
Regular discussions with donor community during all stages of preparation and implementation, as well as in the context of the Mutual Accountability Framework and CSO-Government-Donor Partnership Framework preparation. The project will coordinate all activities with donors to support the MAF civil society task led by UNDP.
Resp: Bank Stage: Implementation Due Date: Continuous Status: Ongoing
Delivery Monitoring & Sustainability Rating: SubstantialDescription: Monitoring of Project delivery may be a challenge due to the uncertainties of the transition period. There is also a risk associated with the likelihood of weak capacity and reporting.
Risk Management: To mitigate this risk, the project provides for technical assistance to support MoPIC and line ministries. Local consultants will also provide support in terms of coordination, event organization and follow up. For the implementation of sector action plans, the use of third party monitoring, as currently being established by the CMU across the portfolio, is also expected to mitigate this risk.Resp: Client Stage: Implementation Due Date: Continuous Status: Ongoing
Description: Both the GoY and the CSOs may face a challenge in sustaining the partnership beyond the duration of the project.
Risk Management: The PMAF created as a part of the project will establish clear mechanisms of engagement. The pilot results-oriented action plans will help operationalize the PMAF while feeding into the preparation of the Civil Society Support project which will help consolidate these coordination and partnership mechanisms.Resp: Client Stage: Implementation Due Date: June 2014 Status: Ongoing
Other Rating: HighDescription: Possibility of an upsurge in political unrest and insecurity could hamper or delay project implementation.
Risk Management: If there is a major deterioration of the political context due to internal or external circumstances at the national level, the project can only mitigate the risk by including crisis management processes that would likely include stabilization measures, delocalization of the dialogue sessions to a neighboring country and potential shifts between project components.Resp: Client and Bank Stage: Implementation Due Date: Continuous Status: Ongoing
Overall Implementation Risk Rating: SubstantialThe implementation risk for this operation is substantial because of country context. The low capacity and the governance environment present risks during project implementation and require mitigation. The incorporation of technical assistance into the implementation of the components as well as use of local consultants and maintaining flexibility and adaptability, is expected to mitigate the risks to the extent possible. Implementation risks are, however, likely to remain substantial throughout the duration of the project.
33
Annex 5: Implementation Support Plan
REPUBLIC OF YEMEN: Government-CSOs Partnership Project
Strategy and Approach for Implementation Support
1. The World Bank will support the implementation of this project through a combination of fiduciary and technical supervision, technical assistance, monitoring and evaluation, as well as coordination. These activities will be implemented by teams composed of Bank staff, consultants as well as experts in coalition building.
2. Through a pragmatic approach to coalition building, the project will facilitate an informed dialogue between line ministries and CSOs based on a transparent process throughout project implementation. The findings of the CSO mapping and assessment study will shed light on the existing CSOs as well as their sphere of influence which will facilitate targeting CSOs that are seeking a constructive engagement with the Government and will reduce the risk of confrontation. This approach will enhance the dialogue, the joint formulation of a PMAF and will have a direct impact on participatory and inclusive implementation and monitoring of various sectoral development programs.
3. The focus on CSO and line ministries capacity building will strengthen the project’s sustainability and will have an overall effect on mitigating the risk linked with project implementation in a sensitive transition period. Additionally, with the establishment of Participation Committees, CSOs will engage with government institutions in channeling community grievances that will, thus, have a positive impact on mitigating conflict risk and build trust in state institutions. The team will ensure that a transparent and inclusive process is in place throughout the project and will support MoPIC in holding regular consultations to be able to address issues upfront. All meetings’ proceedings will be documented and published as well as documents that will be agreed on by the stakeholders. A targeted assistance will also be provided to CSOs as needed.
4. Regarding implementing agency risk, the PMU has proved its capacity to respond to donors criteria while taking into consideration targeted groups’ needs and constraints as well as the ability to report in a timely manner to different donors. Where required, the CSOs will be provided targeted facilitation and support to execute their part of the partnership. The team will support the MoPIC in establishing clear and transparent communication channels with project stakeholders to ensure a regular flow of information throughout project implementation which will help address issues upfront.
34
5. To mitigate delivery monitoring and sustainability risk, the project provides for technical assistance to support MoPIC. Local consultants will also provide support in terms of organization, outreach and dissemination as well as follow up. For the implementation of Sector Action Plans, the use of third party monitoring is also expected to mitigate this risk. If there is a major deterioration of the political context due to internal or external circumstances at the national level, the project can only mitigate the risk by including crisis management processes that would likely include stabilization measures, delocalization of the dialogue sessions to a neighboring country and potential shifts between project components.
Implementation Support Plan
6. Technical inputs needed: MOPIC will need technical inputs and support to design a transparent and consensus building process. Capacity building on social accountability will be provided to both sector CSOs and line ministries which will help the project stakeholders better integrate this approach in various sectors and ensure more participation and inclusion in development programs. In addition, technical inputs on the design of the M&E system, as well as training of MOPIC staff on M&E principles and implementation will be provided.
7. Fiduciary requirements and inputs: World Bank fiduciary staff will provide implementation support including capacity building as needed.
8. Safeguards: No social and environmental safeguards policies are triggered.
9. What would be the main focus in terms of support to implementation during:
Time Focus Skills Needed Partner RoleThroughout project
Adapting design while maintaining ability to evaluate for impact
Adapting activities to volatile circumstances
Coalition and consensus building expertise
Government-CSOs partnership building in fragile and conflict contexts
Coordination and outreach through a transparent process
Skills Needed Number of Staff Weeks
Number of Trips
Social Development SpecialistsImpact Evaluation SpecialistM&E SpecialistFiduciary Specialists
