World Bank Safeguard Training WorkshopDushanbe, Tajikistan
September, 2009
Reference for all aspects of project implementation: who does what, when and how
Usually prepared after project Appraisal, before Effectiveness, updated as needed
Emphasis on decision-making processes; “fiduciary” mechanisms (procurement, financial management & accounting, environment); monitoring & reporting
Prepared by Client (Implementing Agency); approved by Govt. (higher level); acceptable to WB
Cited in Legal Agreement, legally binding commitments
Need to specify procedure for amending it
Provides clear, detailed, definitive guidance and procedures for implementing the project – follow the rules & all will be well
Facilitates efficient project monitoring and supervision
Simplifies Legal Agreement (only one reference needed to cover all Client/WB agreements)
Provides continuity in case of staff changes
Project objectives, description, components Applicable laws, regulations, rules Sub-project eligibility criteria (beneficiaries, locations,
activities), or “Menu” of eligible projects Sub-project application, evaluation, selection process Institutional structures/responsibilities EMP or Environmental Guidelines Disbursement procedures (including for Sub-grants) Procurement procedures Financial management & accounting Monitoring & Reporting (Table of Progress & Impact
Indicators) Annexes:
Work Plan (updated annually) Application & Reporting formats Terms of Reference (PIU, major consultancies)
1. EMP as a chapter of POM2. EMP as an annex to POM3. Elements of EMP inserted
throughout OM where relevant
Recommended - 1 & 3 or 2 & 3
Provides small grants to individuals or groups for enterprise development (sub-projects)
Typically based on applications, sometimes competitive
Grants typically finance small works (rehabilitation, small-scale construction), equipment, inputs, TA
Usually sub-projects Category B (Category A sub-projects specifically excluded)
Framework EA/EMP covering the whole project sets out procedures for site-specific EA/EMP for sub-projects
Kyrghyz Rep.
Kazakhstan
Serbia
Croatia
Program objective: demonstrate positive linkages between Protected Areas/biodiversity conservation and rural development (economic opportunities from sustainable use; awareness-raising and education)
Grant size: Euro 2,000 – 25,000
sub-project cycle
1
2 2
3
4 5
6
6
7
8
9 10
11
Program Advertisement
Training Workshops for Applicants
(Assisted) preparation of applications
Submission of proposals
Eligibility Screeningof proposals
Evaluation/selection of eligible proposals
Sub-Project approval
Agreement on work plan, contract signing
First tranche disbursement
Progress report, Accounting, verification
Second tranche disbursement
Final report & accounting
Awareness & Training - advice to prospective applicants on eligible/ineligible activities, potential environmental issues e; potential impacts and mitigation measures for different types of sub-projects
Grant application: identify potential environmental issues and proposed mitigation measures;
Screening of application: review of eligibility of proposal, excluding any with high environmental risk
Grant evaluation & selection: EA screening, evaluation of env. issues and proposed mitigations; indicate whether specific EA/EMP required
Preparation/signing of Grant contract: Environmental mitigation measures included in Sub-project contract; Includes specific environmental provisions for procurement, contracting
Procurement: includes environmental provisions in bidding documents, specifications, contracts (including penalties for non-compliance)
Grant disbursement/Progress reporting: environmental measures maybe triggers for disbursement; PIU verifies environmental measures implemented and are effective
Monitoring & reporting on Grant Implementation: includes EMP compliance, environmental indicators
Insufficient understanding or appreciation of issues on part of applicants; inadequate up-front education and advice
Insufficient use of environmental consultants for screening, EA, monitoring
Inadequate coverage of environmental responsibilities in beneficiary contracts
Inadequate coordination between environmental and procurement specialists in PIU
Monitoring only process and inputs rather than impacts; vague or unclear indicators and targets