66307 japan policy and human resources Annual Report 2010 development fund The World Bank The Government of Japan The World Bank The Government of Japan The Japan Policy and Human Resources Development Fund (PHRD) Fund was established in 1990 as a partnership between the Government of Japan and the World Bank. The scope of the Fund is described in the Arrangement for the Administration of Fund (as revised in March 1999) as follows: “The Fund may be used for the purposes of financing technical assistance and other grant activities in respect of the formulation and implementation of Bank-supported projects and programs and activities to develop human resources in developing member countries of the Bank, to assist developing member countries of the Bank to formulate and implement development policy and to strengthen the partnership between the Government of Japan and the Bank.” Since fiscal year 2000 the Government of Japan has contributed US$829.6 million to the PHRD Fund. It is one of the largest Funds managed by the World Bank and is recognized as making a unique contribution to the member countries’ capacity building efforts. Message from Junhui Wu, Director Global Partnership and Trust Fund Operations Department F or over two decades the Policy and Human Resources Develop- ment (PHRD) Fund, generously supported by the Government of Japan, has been an embodiment for quality in development operations. PHRD grants have helped to strengthen the quality of projects at entry, supported climate change initiatives and cutting edge Beginning in fiscal year 2009, the Government of Japan and the World Bank have embarked on a major restructuring of the PHRD Technical Assistance Program, which has been research in catastrophe risk insurance options, trained thousands of ratified in the FY09 Annual Policy development professionals, disseminated data and learning across the Document. The new Technical Assistance Program focuses on globe, and forged strong bonds between Japan and the World Bank. three thematic pillars: Pillar I – Agriculture and Rice Productivity Enhancement Research and Development; Pillar II – Disaster Risk This year has been no exception. The PHRD Technical Assistance Management; and Pillar III – Other activities to be agreed between Program continues to show its value in the quality of the projects the Government of Japan and the World Bank. The new direction supported by the grants. Recipient countries from all regions have of the Technical Assistance Program is opportune as it addresses two benefited from the consistent application of global skills and learning of the major global challenges — access to food, and disaster risks. to varying local challenges, from tangible increases in local capacity, and from growing integration into the worldwide development The other major components of the PHRD Fund have continued to community. This report highlights just two of the many examples solidify the foundations of human capital on which development and of projects improved by PHRD’s contribution: to optimize the use of welfare will grow. The Joint Japan/World Bank Graduate Scholarship resources in assistance of Small and Medium Enterprises in Bosnia Program, which welcomed the University of Tokyo to its Partnership and Herzegovina, and to bring advanced and specialized techniques Programs last year, awarded 362 new scholarships to scholars from to the design of a hydroelectric power project in north India. over 90 countries. The eighth tracer study of the alumni of this program showed that, almost all scholars in the program attained their degrees, The Technical Assistance program has helped to cofinance World Bank’s about 83 percent returned to their countries or to another developing lending operation in the area of technology transfer. In Lao PDR, country, and almost half returned to work in the public sector. Another the financial and organizational management learning funded by one program aimed at increasing entry of qualified Japanese nationals in grant not only improved the efficiency of road maintenance, it also the World Bank, has been successful in recruiting 177 Japanese over promoted decentralization of development responsibility, by strength- the period from 2000 to 2010 in various categories of employment. ening provincial government capacity. In Armenia, technical aspects of organization and training have led to increased use of health services, The combination of continued contribution to the core PHRD reduced cost, and overall satisfaction with quality and access. programs with the timely restructuring of the Technical Assistance Program has made fiscal year 2010 a watershed in the history of the The third major focus of PHRD Technical Assistance — Climate PHRD Fund. The Global Partnerships and Trust Fund Operations Change Initiatives grants — has delivered encouraging results. These Department remains committed to maximizing the effective and grants have supported all aspects of the response to climate change, from efficient use of the PHRD Fund for development purposes, as agreed pilot initiatives to slow the rate of global warming, to preparation for between the Government of Japan and the World Bank. We are mitigation of the stresses brought by climate change. Impressive results sincerely grateful to the Government of Japan for its generous support. from a sample of these grants have been documented in this report. . i J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Acronyms & Abbreviations CAADP Comprehensive African Agricultural Development Program CARD Coalition for African Rice Development CC Climate Change Initiative CFP Concessional Finance and Global Partnerships CGIAR Consultative Group on International Agriculture Research CoF Project Cofinancing ETC Extended Term Consultant FY Fiscal Year GDLN Global Development Learning Network GoJ Government of Japan GRM Grant Reporting and Monitoring IBRD International Bank for Reconstruction and Development ICM Implementation Completion Memorandum IDA International Development Association IRRI International Rice Research Institute JICA Japan International Cooperation Agency JIPS Japan Indonesia Presidential Scholarship Program JJ/WBGSP Joint Japan/World Bank Graduate Scholarship Program JPO Junior Professional Officer JSDF Japan Social Development Fund M&E Monitoring and Evaluation MIDP Most Innovative Development Project ORD Outstanding Research on Development PHRD Policy and Human Resources Development Fund PICs Pacific Island Countries PIC Tokyo Public Information Center in Tokyo PIU Project Implementation Units PP Project Preparation PTO Global Partnership and Trust Funds Operations RVP Regional Vice President TDLC Tokyo Development Learning Center THDC Tehri Hydro Development Corporation UdelaR Universidad de la República VPHEP Vishnugath Pipalkothi Hydro-electric Project WARDA West Africa Rice Development Association WBI World Bank Institute Table of Contents Message from Junhui Wu, Director . . . . . . . . . . . . . . . . . . . . . . . . . i CHAPTER 5: M onitoring and E valuation of CHAPTER 1: PHRD A ctivities I ntroduction and O verview 5.1 Monitoring the Progress and Impact of PHRD Activities . . . . 18 1.1 PHRD Origins and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . 1 5.2 Lessons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 1.2 Program Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.3 FY10 Program Highlights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 CHAPTER 6: A dditional S ources of I nformation CHAPTER 2: on PHRD and P rograms S upported PHRD T echnical A ssistance P rogram by the PHRD F und 2.1 Program Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 6.1 Information on PHRD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 2.2 PHRD TA Grants in FY10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 6.2 Programs Supported by the PHRD Fund . . . . . . . . . . . . . . . . . 21 2.3 The New PHRD TA Program . . . . . . . . . . . . . . . . . . . . . . . . . 8 LIST OF FIGURES CHAPTER 3: FIGURE 1: Contribution to the PHRD Fund (US$ million) . . . . . 1 H uman R esources D evelopment FIGURE 2: PHRD Program Disbursements in FY10 and FY09 . . . 2 3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 FIGURE 3: PHRD TA Contributions, Allocations, and Disbursements (FY00 – FY10) . . . . . . . . . . . . . . . 5 3.2 Joint Japan/World Bank Graduate Scholarship Program . . . . . 11 FIGURE 4: World Bank Approved Operations Prepared 3.3 WBI Capacity Development Grants Program . . . . . . . . . . . . . 12 with PHRD PP Grants . . . . . . . . . . . . . . . . . . . . . . . . . 5 3.4 Japan Indonesia Presidential Scholarship Program . . . . . . . . . 13 FIGURE 5: Number of Staff Grants Approved from FY00 – FY10 . 17 3.5 Japan-World Bank Partnership Program . . . . . . . . . . . . . . . . . . 13 LIST OF BOXES CHAPTER 4: BOX 1: Two Examples of Closed Project Preparation Grants . . . . 6 O ther PHRD-S upported P rograms BOX 2: Two Examples of Closed Project Cofinancing Grants . . . . 7 4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 BOX 3: PHRD WBI Capacity Development Grants 4.2 Japan PHRD Staff and ETC Program . . . . . . . . . . . . . . . . . . . . 17 Program Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4.3 The Japan Junior Professional Officers (JPO) Program . . . . . . 17 BOX 4: Global Development Medals and Awards . . . . . . . . . . . . . 15 4.4 Other Programs Supported by PHRD Fund . . . . . . . . . . . . . . . 17 BOX 5: Some Lessons from a Sample of FY10 Closed Grants . . . . 19 ANNEXES ANNEX 1: FY09-FY13 Policy Document . . . . . . . . . . . . . . . . . . . 23 ANNEX 2: Guidance Note on Visibility of Japan . . . . . . . . . . . . . 27 ... iii J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Chapter 1: Introduction & Overview 1.1 PHRD O rigins and O bjectives 1.2 P rogram O verview The Japan Policy and Human Resources Development (PHRD) Fund The PHRD Fund supports technical assistance, human resources is one of the major sources of grant funds for technical assistance and development and capacity building, Japanese staff and consultants, capacity building initiatives for low-income countries (with per capita and Japan-World Bank partnership initiatives through the following core programs: annual income of US$900 or less at the time of receiving the grants). The Fund was one of the first and in many instances only source of Technical Assistance concessional finance for countries in economic and financial crisis. • The PHRD Technical Assistance (TA) Program formerly pro- The PHRD Fund was established in 1990 as a partnership between vided grants to assist with the preparation and implementation of the Government of Japan (GoJ) and the World Bank. operations financed through the International Bank for Reconstruc- tion and Development (IBRD) loans and International Development The scope of the Fund is described in the Arrangements for Association (IDA) credits and grants. In addition, the PHRD TA Administration of the Fund (as revised in March 1999) as follows: Program supported a range of climate change-related activities. The Fund may be used for the purposes of financing Until 2008, the TA Program included grants for Project Preparation technical assistance and other grant activities in respect (PP), Project Implementation, Project Cofinancing (COF) and Climate Change Initiative (CC). From FY02 to FY09, about 713 of the formulation and implementation of Bank-sponsored grants of all types valued at US$581.59 million were approved; of projects and programs and activities to help develop human which PP grants accounted for 65 percent in number and 79 percent resources in developing member countries of the Bank in value. In FY09 these components of the TA Program were discon- to formulate and implement development policy and to tinued and no new grants have been awarded for these activities. strengthen the partnership between Japan and the Bank. As of July 2010, about 125 grants are still under implementation. It is one of the largest trust funds Figure 1: C ontribution to the PHRD F und ( US$ M illion ) managed by the World Bank 1,100 and over the past 22 years, is 1,000 $959.8 recognized as making a unique 900 contribution to the Bank’s 800 development role in a wide 700 range of poverty alleviation US$ Millions 600 $574.7 and capacity building activities. 500 $443.4 Since inception to fiscal year 400 $331.5 (FY) 2010, GoJ has contributed 300 $212.6 US$2.5 billion to the PHRD 200 Fund. Figure 1 shows the trend 100 in contribution. 0 1988 – 1992 1993 – 1997 1998 – 2002 2003 – 2007 2008 – 2010 1 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 1 Introduction and Overview In 2009, the TA Program has been restructured to focus on agricul- Partnership Initiative tural research and extension, and rice productivity enhancement • The Japan-World Bank Partnership Program supports (US$100m over 5 years), disaster risk management (US$50m over various research programs, workshops, and seminars that 5 years), Pacific Catastrophe Risk Financing Initiative Phase 2, and promote partnership between Japan and the World Bank. other programs to be determined jointly by the GoJ and the World Since inception, GoJ approved US$54.7 million of which Bank. The Policy Document for the new TA Program was approved 85 percent has been disbursed. by GoJ in May 2009. (Annex I) Figure 2 compares the FY10 and FY09 disbursements from each Human Resources Development and Capacity Building: of these programs and as percentages of total disbursement. • The Joint Japan/World Bank Graduate Scholarship In FY10, about 59 percent of the total PHRD Fund disbursements Program (JJ/WBGSP) supports post-graduate training at of US$68.3 million were from the PHRD TA Program. Master’s degree level for member country nationals. Figure 2: PHRD P rogram Similar scholarship programs supported by Japan are D isbursements in FY10 & FY09 managed by other Multilateral Development Banks, but the JJ/WBGSP is both the longest-established and, JIPS Staff ETC WBI Capacity $0.7 Development $3.8 by far, the largest of these programs. Since its inception, (1%) (6%) Partnerships $0.9 (1%) GoJ approved US$220.78 million for this program of $5.0 (7%) which 96 percent was disbursed by the end of FY10. • The PHRD World Bank Institute (WBI) Capacity Development Grants Program supports WBI’s JJ/WBGSP $17.8 capacity development activities, with a particular focus (26%) PHRD TA $40.1 on activities in East, South, and Central Asia. Since (59%) inception, GoJ approved US$44.44 million of which about 90 percent was disbursed by end FY10. • The Japan Indonesia Presidential Scholarship Program (JIPS) was established in 2008 to support JIPS Staff ETC studies in fields related to development, such as, WBI Capacity $0.2 Grants Development (0%) $1.8 Partnership $0.7 (1%) (3%) economics, management, education, health, agriculture, Grants $5.1 infrastructure, and environment. GoJ has so far, (7%) contributed US$2.0 million to this new program of JJ/WBGSP $11.6 which 43 percent has been disbursed. (17%) Japanese Staff and Consultants: PHRD TA • The Japan PHRD Staff and Extended Term Program $50.8 Consultant (ETC) Program supports part of the (72%) costs of Japanese nationals recruited to work within the World Bank. As of FY10, the total amount approved for this program was US$22.1 million and 66 percent has been disbursed. 2 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Introduction and Overview 1 Though this disbursement share is 13 percentage points lower than the FY09, it still accounts for the largest share. PHRD TA disbursements have fallen steadily since FY08, mainly due to the winding down of the former program activities, and with no new approvals under the new program in the reporting year. The next largest share of disbursement was from the JJ/WBGSP. The Japan-World Bank Partnership Program accounted for the third-largest disbursement component, with 7 percent of FY10 disbursements. In addition to these core programs, the PHRD Fund supports other activities where the World Bank plays an important role in the inter- national community (discussed further in Chapters 2, 3, and 4). This often involves transferring resources from the PHRD Fund and the PHRD TA to other 1.3 FY10 P rogram H ighlights programs administered by the Bank Group, such as, the Japan • The Policy Document for the new PHRD TA Program was approved Junior Professional Officers (JPO) Program, the Consultative by GoJ in May 2009; Group to Assist the Poorest (CGAP), the Consultative Group • Consultations with country stakeholders on the selection of countries and program development for Africa Agriculture took place; on International Agricultural Research (CGIAR), and the • Fifteen country risk profiles were prepared for the Pacific Catastrophe Japan Social Development Fund (JSDF), another trust fund Risk Financing Initiative, and made available in January 2011; program managed by the World Bank.1 • Under the JJ/WBGSP, 359 new scholars were financed, of whom 47 percent are from the Africa region, and 47 percent are women; 1 www.worldbank.org/jsdf • GoJ approved US$7.0 million 31 staff positions, the highest number of grants in the history of the program; and • A brochure to commemorate the 20th Anniversary of Japan’s contribution to the PHRD Fund was prepared in English and Japanese for wide dissemination. 3 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Chapter 2: PHRD Technical Assistance Program 2.1 P rogram T rends Project Preparation (PP) grants were dominant in the PHRD TA Since inception of the PHRD TA program GoJ has contributed program. These were an important source of financing available to US$1.7 billion. Cumulative allocations to various grants under the low-income and lower-middle income countries for the preparation program amounted to US$2.27 billion of which about 74 percent of IBRD loans and IDA credits. PP grants were aimed at strengthen- has been disbursed. Figure 3 shows the trends in the PHRD TA ing the quality and recipient ownership of operations financed by contributions, allocations, and disbursements during FY00-10. 2 the World Bank through the provision of funds directly to potential borrowers to obtain technical Figure 3: PHRD TA C ontributions , A llocations & D isbursements (FY00-FY10) expertise to carry out analytical 160 studies to help prepare documents to access loans and credits from 140 the World Bank. On average, 120 preparation of 40 percent of 100 the total number of loans and US$ Millions 80 credits approved for Bank 60 financing during FY00-04 were supported by PHRD PP grants. 40 This ratio has since steadily 20 declined. (See Figure 4) 0 FY00 FY01 FY02 FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 n Contributions n Allocations n Disbursements Figure 4: W orld B ank A pproved O perations P repared with PHRD PP G rants The annual contribution has declined over the decade, from about 45% US$50 million in FY00 to US$20 million in FY04 to US$1.2 million 40% 40% in FY09. However, in FY10 the Program received a contribution 38% 35% of US$41 million, the highest level since FY00. A part of FY10 con- tribution was transferred to the Emergency Window of the JSDF.3 30% 29% 25% The FY10 allocation for new grants was only US$2.0 million as 24% the new TA program was yet to start fully. The allocation in FY09 20% was US$29.2 million. With the closure of the old grants and no 15% 14% grants approved under the new program, disbursements fell from 11% 10% US$51.0 million in FY09 to US$40.1 million in FY10. Disbursements 5% are not expected to increase before FY12, at which time implementa- 0% tion of grants under the new program for agriculture, disaster and FY05 FY06 FY07 FY08 FY09 FY10 disability will begin. 5 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 2 PHRD Technical Assistance Program A combination of factors contributed to the Box 1: T wo E xamples of declining ratio. Many PP grants were provided C losed P roject P reparation G rants to assist the recipient government to prepare Enhancing Small and Medium Enterprises (SME) Access to Finance: The grant budget support operations but some of these was provided to assist the Government of Bosnia and Herzegovina to prepare the project for operations associated with PP grants were dropped financing from the World Bank to strengthen competitiveness of SME by improving access from the lending program either because the to finance and providing technical assistance in the context of the global financial crisis. The grant supported assessment of SME’s effective demand for advisory services and governments were not interested or the Bank was sources of existing supply. The findings of this assessment helped the project design to: not satisfied with the reform program. The annual (i) focus on provision of credit resources for SMEs via commercial banks, while implementa- allocation from GoJ for PP grants was reduced tion of a matching grants scheme aimed at supporting advisory services for SMEs was left from US$117.5 million in 1999 to US$50.0 million for implementation by other donors; and (ii) strengthen project implementation capacity in FY04 to US$30 million in FY08.4 of Project Implementation Units (PIU) and Ministries of Finance, including inter alia develop- ment of the monitoring software for the PIUs, establishing clearly defined implementation 2.2 PHRD TA G rants in FY10 procedures, and developing procedures for environmental screening of the projects submitted As reported earlier, no new grant proposals were sub- for financing. Through grant implementation, the Bosnian authorities got an opportunity mitted in FY10. Forty-eight TA grants closed during to get acquainted with the international experience and examples of best practice in a FY10, including 29 PP grants. There are now 79 TA number of areas: matching grants schemes, industrial parks development, efficient handling grants, previously approved, under implementation. of enterprise bankruptcy, etc. Financing of this project was approved by the World Bank’s Board of Executive Directors in December 2009. Vishnugath Pipalkothi Hydro-electric Project (VPHEP): The grant was provided to assist the Government of India to prepare the project for financing from the World Bank to develop a hydro-electric power plant on the Alaknanda river in Northern India and to strengthen the institutional capacity of the Tehri Hydro Development Corporation (THDC) to implement economi- cally, environmentally and socially sustainable electric power projects. The Ministry of Power singled out the PHRD technical assistance as an example of best practice in the preparation of VPHEP with regard to the proposed use of check dams to Project Preparation Grants augment the environmental flows downstream of the dam. The grant has financed activities PP grants accounted for 66 percent of the total in support of technical, social, environmental and communications aspects of project TA grants which were closed in FY10. The preparation and funded training and capacity-building for THDC officers in the areas of: (i) numerical modeling in geotechnical engineering at the National Institute of Rock disbursement rate of these grants was 79 percent. Mechanics; (ii) numerical modeling analysis at the Indian Institute of Technology; (iii) rock These grants were provided to assist the govern- mechanics and rock engineering; and (iv) certificate training in Project Management at ments to prepare projects whose scope ranged the Power Management Institute. The training in rock mechanics made a major contribution from agriculture, education, and health services, to the beneficiary’s understanding of this highly complex aspect of technical preparation to improving access to finance, energy, transporta- of hydropower projects and influenced project design. The World Bank financing of this tion, increasing rural livelihood opportunities, project is expected to be approved in 2011. and environment. 6 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 PHRD Technical Assistance Program 2 Project Cofinancing Grants Climate Change Initiatives Grants These grants were provided to support technical assistance to These grants support the inclusion of climate change concerns in strengthen institutional capacity for operations financed by the the development planning process of recipient countries. They also Bank in IDA and blend countries. Since the introduction of this support the preparation and implementation of World Bank-financed grant type in 2004, fifty one grants worth U$148.56 million have projects that are aimed at reducing emissions of greenhouse gases, been approved. Seven grants closed in FY10 with 82 percent of the and the promotion of energy efficiency or adaptation to the adverse approved amount disbursed. impacts of climate change. Till the closing of this program, US$37.5 million worth of grants have been approved, of which 54 percent The closed grants assisted a range of activities, such as, ascertain- disbursed until June 30, 2010. No new CC Initiatives grants were ing the viability of index-based livestock insurance in Mongolia, approved in FY10. Seven grants closed in FY10, with a disbursement improving bio-diversity conservation and sustainable resources rate of 93 percent. These grants, the first in the CC program to management in Azerbaijan, expanding sustainable maintenance reach completion, funded projects that addressed both the causes of Lao PDR’s road networks, supporting Armenia’s health sector and consequences of climate change. development program, mitigation of natural disaster in Kyrgyz Republic, and supporting avian influenza control and human Four grants concentrated on reduction of greenhouse gases, particu- pandemic preparedness and response in Moldova and Indonesia. larly methane. In China, Vietnam, and Thailand, three of the grants With the exception of two grants, all were reported to have achieved funded parallel projects linked to the Global Environment Facility satisfactory results. Livestock Waste Management Project. The projects developed and Box 2: T wo E xamples of C losed P roject C ofinancing G rants Road Maintenance Program Phase II: The objective of the grant was to assist the Government of Lao PDR in expanding sustainable maintenance of its road networks nationwide through financing technical assistance for systems development, including a road management system, IT strategy, heavy transport management system, road maintenance fund management, organization and business process improvement and human resources development at both central and local level. The grant-financed activities helped to enhance the capacity of the Ministry of Public Work and Transport and its provincial and district offices in managing the road network, including planning, procurement, contract management, quality control, financial management, and environmental safeguards. The improved capacity reflected the overall achievement of the project’s development objectives and compliance with the safeguards and fiduciary requirements. As a result of the enhanced capacity, responsibilities for road network maintenance were delegated from the center to the provincial levels. Health Systems Modernization Project: The grant was provided to the Government of Armenia to cofinance the first phase of the health sector development program with the objective of improving the organization of the health care system to provide more accessible, efficient, and sustainable health care to vulnerable groups, and to better manage public health threats. With grant support, the project exceeded the projected target for re-training Family Physicians and Family Nurses which resulted in more than 78% of the coverage of population by retrained Family Physicians and Family Nurses. About 88% of the population rated the quality and access to services as satisfactory or higher, there was a reduction of excess hospital space in three hospital mergers, utilization of outpatient services increased and out-of pocket payments for essential services decreased. 7 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 2 PHRD Technical Assistance Program piloted technologies for the recovery of methane from pig farm indicators for floods and landslides, consulted with communities at wastes, conducted workshops to expand awareness of methane risk, and held workshops with them on technical issues, and designed recovery, and produced studies of commercialization potentials for a project to help the country respond to hurricanes and other extreme biogas-generated energy (China and Vietnam), and of the current weather. The Government of Honduras is using the project outputs carbon footprint of pig and chicken production (Thailand). The to support its proposal for a grant under the Adaptation Fund of the project technologies were well received in the pilot farms, and all World Bank. three projects are expected to lead to further dissemination of A second project in India developed and pilot-tested nineteen village- awareness of recovery technology, supported in Thailand by a plan specific combinations of drought adaptation measures in Andhra to train trainers in the technology. Pradesh. The village subprojects combined agricultural equipment, The fourth project, in India, aimed to rehabilitate and close three seeds, fishnets, efficient pump sets, information technology, knowledge uncontrolled municipal solid waste dumps in Delhi, in an environ- centers, and other knowledge and production inputs, according to the mentally sustainable manner including control of methane gas circumstances of each village. Nine of the nineteen pilot initiatives emissions and leachate. The project may have been overly ambitious, were selected for inclusion in larger preparedness initiatives, and as the Municipal Corporation of Delhi (MCD) was unable to close further six proved viable as models for increasing resilience in the the sites, due mainly to the difficulty of finding new sites in a tight face of drought. The project is expected to generate specific recom- land market. However, the project produced a comprehensive study mendations for a statewide policy framework and assistance schemes of the feasibility of methane gas recovery and reuse from the sites, to improve drought adjustment and groundwater management. and detailed technical designs for closure of the sites, which will support the MCD in its future plans for closure. 2.3 T he N ew PHRD TA P rogram A project in Ethiopia successfully implemented a plan to sequester The Government of Japan approved the new FY09-13 Policy Docu- carbon in 2,728 hectares of previously degraded hillside, by closing ment for the PHRD TA Program in May 2009. This document provides the area to grazing and charcoal burning, and by planting 450,000 the framework for the three pillars of the FY09-13 program — Agricul- seedlings to reforest the area. In addition to the reforestation, the ture and Rice Productivity Enhancement Research and Development; project has trained the neighboring communities in forest management, Disaster Prevention; and Other Activities (including Pacific Catatastro- homestead agro forestry, soil and water conservation, beekeeping phe Risk Financing Initiative. (Annex 1). The priority areas identified and honey production, alternative forage development, and many in the Policy Document under Pillar I include: social and financial issues associated with the project. The project i) Development of rice seeds resistant to heat and drought by will sequester 800,000 metric tons of carbon in the next thirty years, the International Rice Research Institute (IRRI) and/or West and the project’s sustainability is further enhanced by the financial Africa Rice Development Association (WARDA) through the interest of the local community in sale of the carbon; the World Bank CGIAR; and has agreed to buy 330,000 metric tons of the carbon for US$726,000, ii) Africa Rice Research Productivity and Development Program. and the money will go directly to the community. Plans are under way for replication of this project in other parts of Ethiopia on a Developing the Next Generation of Rice Varieties larger scale, along with exploration of its possible replication in other The US$20 million fund for the rice research program has been provided to the CGIAR for use over the next five years by the IRRI countries of Africa. and the Africa Rice Center (ARC, formerly WARDA) to develop, The two remaining projects focused on mitigation of the likely test, and disseminate improved varieties, and to build capacity negative effects of climate change in vulnerable regions: flood and for rice breeding. CGIAR will coordinate the research program. drought. The grant in Honduras defined monitoring and impact 8 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 PHRD Technical Assistance Program 2 The project implemented by CGIAR aims to accelerate the develop- ment and deployment of the next generation of elite rice varieties for major production systems in Sub-Saharan Africa where poverty is prevalent and the risk of food shortage is high. Substantial effort is devoted to (i) broaden the genetic diversity from which varieties are developed and (ii) enhance collaboration with the National Agriculture Research and Extension Systems’ breeders to improve adaptability of new germplasm to farmer growth conditions and con- sumer preferences. Progress will be reported under three objectives: • To accelerate the development of high-impact; • To accelerate rice variety testing, approval, and dissemination; and • To contribute to building a new generation of rice breeders. Rice Production in Africa: Preparation of proposals for accessing Pacific Catastrophe Risk Financing Initiative a PHRD grant for rice production for Tanzania, Mozambique, and This initiative aims to assist the Pacific Island Countries (PICs) to four of the Mano River Union countries (Sierra Leone, Guinea, develop cost-effective disaster risk financing strategies, combining Liberia, and Côte D’Ivoire) has started. Tanzania has a long history post-disaster assistance and ex ante budget planning. It identifies of rice research and cultivation, a well-developed rice research a range of financial options for the PICs to improve their financial network, and a good collaboration with international agricultural resilience against natural disasters while maintaining their fiscal research centers balance. Although external financing working on rice. are generally available for disaster events Mozambique, with in the Pacific in the past, post-disaster rice production in all assistance may not provide PICs with the four major growing right incentives to engage in disaster risk areas already supported mitigation and in ex ante budget planning. by the World Bank This initiative promotes ex ante budget and Japan International planning for financing natural disasters. Cooperation Agency It explores innovative financial solutions (JICA), shows great to enhance the capacity of PICs to potential for scaling manage natural disasters and climate up its intensification change as well as to provide additional program, through technical support to farmers and to processors. financial resources that could serve as bridge financing while other The potential for expanding rice production in the Mano River Union post-disaster sources are being mobilized following a natural disaster. countries is extremely high. http://go.worldbank.org/7bxxduvmc0 2 Contribution refers to amount received from GoJ. Allocation refers to grant amounts approved by GoJ when the specific grant account is established. When grants are approved late in the fiscal year, the allocation may not be recorded until the following fiscal year. Disbursements refer to the amounts withdrawn from the grant account to finance expenses incurred by the grant recipients. 3 GoJ has committed US$200m over three years from FY09 through this Window to respond to the food, fuel, and financial crises. 4 Annual Policy Documents for PHRD Technical Assistance Program. 9 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Chapter 3: Human Resources Development Capacity Building and Partnership Programs 3.1 I ntroduction In FY10, GoJ contributed US$18.4 million to the JJ/WBGSP, which allowed the Program to sponsor a total of 362 scholars. The GoJ supports four human resources development and capacity The Program awarded 259 new scholarships under the Regular building programs through the PHRD Fund: (a) the Joint Japan/ Program to scholars from 93 countries, and 103 scholarships World Bank Graduate Scholarship Program (JJ/WBGSP); (b) the to Partnership Program scholars. For the Regular Program, WBI Capacity Development Program; (c) the Japan Indonesia about 38 percent of the awardees were from Africa region, Presidential Scholarship (JIPS) Program; and (d) the 16 percent from East Asia and Pacific region, and 12 percent Japan-World Bank Partnership Program. from South Asia region. About 56 percent of awardees served 3.2 J oint J apan /W orld B ank Graduate in the public sector in their countries, 7 percent in academic Scholarship Program and research organizations, 13 percent worked for non- governmental organizations, and 7 percent were employed by The main objective of the JJ/WBGSP is to help build a community of regional or international organizations. highly qualified professionals in the field of economic and social de- velopment in developing countries through providing graduate study The newly-named Alumni and Scholars Capacity Enhancement opportunities to mid-career professionals from World Bank borrowing Network for Development, originally launched in 2005 as the countries. The Program has two parts — the Regular Program and Scaling Up Program, aims to promote knowledge sharing and the Partnership Program — both of which lead to a Master’s degree. information exchange among JJ/WBGSP alumni by supporting Since its establishment in 1987, the JJ/WBGSP has awarded 4,664 networking opportunities and knowledge exchange. In FY10, a scholarships for studies in development-related fields at renowned short-term study tour — Highlights of the Japanese Development universities in Bank member countries. Among them, 1,226 scholar- Experience — was delivered in Japan targeting a small group ships were awarded for studies at the various partner institutions of 15 JJ/WBGSP alumni who had studied outside Japan. under the Partnership Program. Two two-day Knowledge Sharing Forums were organized in Washington, DC and London for scholars currently studying In April 2010, JJ/WBGSP welcomed the University of Tokyo to its in universities in the US and the UK. The forums focused on Partnership Programs. There are 15 Partnership Programs at univer- skills and networks that would help scholars utilize their sities around the world that enable scholars to receive specialized newly-acquired technical knowledge upon their return to their training in key areas of development, such as economic policy home countries. management, infrastructure management, and tax policy. Through the Partnership Programs the JJ/WBGSP also contributes to building the institutional capacity of seven African universities by supporting Master’s degree programs in Economic Policy Management. 11 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 3 Human Resources Development JJ/WBGSP Tracer Study practitioner networks and helps develop customized programs that In April 2010, WBI published the results of its eighth tracer study respond to their needs. As one of the Bank’s main instruments of of the careers of alumni since completing their studies. The study capacity building, WBI helps develop country capacity in close aimed to measure the impact of JJ/WBGSP, through its alumni’s collaboration with the Bank’s regional operations and its partners, enhanced knowledge and skills, on their contributions to sustainable by designing and delivering customized programs for countries; development in their countries. The study analyzed data on by delivering global and regional activities to address issues that 3,733 scholarship recipients from 1987 to 2007, gathered from go beyond country boundaries; and by developing diagnostic tools WBI’s extensive databases, and from a two-part survey of the alumni. to assess country capacity needs. Overall results of the analysis were highly favorable to JJ/WBGSP. Almost all (98.8 percent) of the scholars attained their degrees, a large majority (83 percent) returned home or to another developing country, and almost half (43 percent) returned to work in the public sector. Overall, 95 percent of the returning respondents have secured employment. In addition, respondent scholars found their newly acquired skills highly relevant and linked to their countries’ development needs. About 83 percent of respondents said that most of their work was related to the development of their own country, or of other developing countries. Partnership Programs, in particular, Japan has been one of the largest donors in WBI by providing nearly contributed significantly to the program’s goals by training developing 13 percent of all donor funds that were available for WBI use during country professionals and policy makers. FY09 and FY10. The PHRD WBI Capacity Development Grants Program was critical in supporting WBI’s multiyear, country-specific 3.3 WBI C apacity D evelopment programs, particularly in Asia, which were aligned with Japan’s G rants P rogram priority areas and consistent with the Bank’s Country Assistance The WBI is a global connector of knowledge, learning and innovation Strategies or regional and sector strategies. for poverty reduction. The Institute connects practitioners, networks In FY10, the PHRD program enabled WBI to deliver a wide range and institutions to help them find solutions to their development of activities mainly in Asia, and some regional activities. Two high- challenges. With a focus on the ’how’ of reform, WBI links knowledge lights of the PHRD-financed programs were in South Asia and from around the world and scales up innovations. WBI works with Indonesia in the areas of Social Accountability and Investment and through global, regional and country-based institutions and Climate. Box 3 highlights specific outcomes achieved by these two PHRD WBI Capacity Development programs. 12 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Human Resources Development 3 In FY10, WBI’s approach to capacity development relied heavily on its partnerships and the Institute worked with a long list of partners around the world, and continued to expand its partnerships locally, Box 3: PHRD WBI Capacity Development regionally, and globally. Partnerships allow WBI to enrich the content G rants P rogram A chievements of its programs, scale them up, and increase their cost-effectiveness. Capacity Development for Local Government through Partnerships also help to build local capacity, to harmonize capacity- Social Accountability. Through the support of the PHRD grant, development activities more broadly across donors, and to better WBI sought to build onto existing momentum, both in South Asia align these activities with country needs. In FY10, nearly two-thirds and globally, achieved by practitioners and civil society organizations of WBI’s activities were delivered jointly with partners. PHRD grants through awareness-raising initiatives and practical applications of particularly facilitated building partnership with Japanese organiza- social accountability tools and approaches in public procurement tions, such as the JICA, Ministry of Environment, City of Kitakyushu, processes. The PHRD program facilitated the development of Tsukuba University, Japan Institute of Rural Engineering and the context and audience-specific knowledge products by recognized University of Kyoto. practitioners and civil society organizations in South Asia as part of a 3.4 J apan I ndonesia P residential broader effort to create a practical curriculum on social accountability S cholarship P rogram in procurement. This program is intended to signpost the breadth The Japan Indonesia Presidential Scholarship (JIPS) Program was and accessibility of these knowledge products, and an early glimpse introduced in FY08 to support the Indonesia Ministry of National into some emerging lessons, albeit in early testing stages. Education’s Presidential Scholars Program to strengthen the quali- Parliamentary Strengthening in Indonesia. WBI’s Parliamentary fications and experience of university staff, attract new talent to Strengthening Program helped raise parliamentarians’ awareness careers in higher education, and foster foreign and domestic academic of ways of overseeing the executive branch of government. The partnerships. JIPS is funded by a US$10.0 million grant from GoJ. program worked with the Dewan Perwakilan Daerah (the Indonesian A contribution of US$2 million was received for JIPS in FY08, and Senate) on how best to engage in the budget process and enhanced eleven scholarships were awarded for the 2008/9 academic year. Eight the upper chamber’s capacity to monitor the government’s financial scholars started their studies in FY09. Nineteen scholars have been operations. Case studies of parliamentary reform in Indonesia selected to start their studies during the academic year 2009/10, and illustrated the benefits of the right combination of knowledge, skills, an additional 20 scholars were selected in FY10, which brings to a total of 48 the number of scholars to be sponsored by the JIPS program. opportunity, and motivation. The program led to an agreement among parliamentarians on the Indonesian Senate’s strategic priori- 3.5 J apan -W orld B ank ties, a plan and vision for the coming year, and the development of P artnership P rogram an action plan to raise public awareness of the Indonesian Senate’s The objective of this program is to support activities that strengthen work. With the support of the PHRD grant, WBI was able to provide collaboration between Japan and the World Bank. In FY10 GoJ significant interventions to support Indonesia in establishing a public approved US$6.63 million for partnership grants. The focus of these accounts committee and a parliamentary budget office. grants ranged from distance learning, awards for original, innovative contributions to development, public outreach in Japan, export growth and innovation, etc. Progress under some of these programs is de- scribed on the next page. 13 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 3 Human Resources Development Tokyo Development Learning Center The Phase 2 project will be implemented through March 2015. In October 2003, GoJ and the Bank agreed to partner in execution The total project size is US$18 million, of which US$15 million is of a project that established and operated the Tokyo Development expected to be provided by GoJ. Learning Center (TDLC). The TDLC is designed as a state-of-the-art The Policy Dialogue Enhancement Support Fund learning center, to serve as a platform for exchange of knowledge In FY10, the grant continued to support further enhancement of and experience on development through partnerships with public policy-level dialogue and interactions between the World Bank and and private institutions in Japan and the region, and to support Japanese stakeholders. Over 10 public seminars were organized to operations of the Asia Pacific affiliates of the Global Development disseminate the Bank’s key messages to Japanese general public inter- Learning Network (GDLN). ested in development policies as well as those working on development Since the opening of its facility in June 2004, TDLC has developed issues. The grant also helped organization of outreach activities and delivered programs on subjects as diverse as environment, disaster through the Public Information Center in Tokyo (PIC Tokyo) which risk management, health care, youth and education, science and arranged some 25 mini-seminars called “coffee hour” and other public technology, private sector management, finance, and urban and rural development. The Center has established a strong network of partners, clients, and participants, drawn from development agencies, government agencies, universities, research and training organizations, industry associations and private enterprises, and civil societies. In addition, TDLC has played a catalytic role in the development of a dynamic network of GDLN affiliates in the East Asia and Pacific Region. Finally, TDLC has functioned since March 2009 as a technical hub that provides connectivity and videoconfer- encing services for DLCs in the region. In May 2010 GoJ approved the Bank’s proposal for a second five-year project, TDLC Phase 2, to build on and extend events on development throughout FY10 and mobilized an active the achievements of the TDLC. The key pillars of the Phase 2 project audience of over 800 in total. In addition, the grant supported will be: (i) program initiatives on a “public good” model, to work translation and production of World Bank publications and informa- collaboratively with partners to develop about two new courses each tion materials including annual editions of the World Bank Annual year in key strategic subject areas; (ii) expansion of TDLC’s cutting- Report, PHRD and JSDF Annual Reports. The JSDF brochure was edge services as a knowledge-sharing platform on development issues; also produced in Japanese for the JSDF workshop held in November and (iii) technology services and regional network development, to 2009, and a Japanese version of the IDA Brochure was disseminated enhance TDLC’s technical hub functions and service delivery to all to Japanese stakeholders to demonstrate IDA results. DLCs in the East Asia/Pacific and South Asia regions. TDLC will move toward being a knowledge management center on key subject areas, and will provide technology leadership, program creation, and capacity-building support to DLCs. 14 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Human Resources Development 3 The Public Outreach Support Fund Global Development Awards and Medals The Phase III of the grant, established in 2009, continued to support The Global Development Awards and Medals Competition, the promotion of interactions and partnerships on development issues launched in 2000, is a unique competition for promoting research between the World Bank and Japan. The translation specialist and on development. With the support of the Government of Japan, webmaster supported by the grant contributed to the visibility of the this competition seeks to unearth new talent and support innovative Bank Group’s presence in Japan through various translation products ideas on development. There are first and second prizes for the win- and websites. WB Tokyo’s website, one of the most visited sites of the ning submissions in the two main categories: (i) the Japanese Award WB offices in the region, deployed a new Results page to showcase for Outstanding Research on Development (ORD) is given to the projects supported by IBRD/IDA in the Japanese language. It also dis- individual, group or institution whose proposals have a high potential seminated up-to-date information on recruitment. The World Bank for excellence in research and clear policy implications for addressing Tokyo Office participated in events organized with other international development issues and (ii) the Japanese Award for the Most Innova- organizations including the United Nations Day and International tive Development Project (MIDP) to the organization whose project Global Festa, where the Bank booth attracted a lot of general public embodies a fresh approach to an important development need and who are interested in development. holds the greatest promise for benefiting the poor in developing and transition countries. Nearly 6,500 researchers representing more than Strengthening Partnership between the World Bank 100 countries throughout the developing and transitioning world and the Private Sector in Japan (Phase IV) have participated in this competition to date. Nearly US$2 million The Phase IV of the program continued to allow the Bank to provide has been distributed in prizes and travel to finalists and winners. Japanese contractors and consultants with advisory services for fair http://cloud2.gdnet.org/cms.php?id=2010awards business opportunities on Bank-funded projects. The Business Infor- mation Advisor at the World Bank Tokyo Office has helped increase awareness among Japanese business consultants Box 4: G lobal D evelopment M edals and A wards about Bank operations by providing updated information For the 2009 competition, ten entries were awarded for outstanding research and on the World Bank’s procurement policies and guidelines, development projects and research in socio-economic development. A self-sustaining operational procedures and processes, and business education project in Paraguay to be implemented by Fundación Paraguaya won opportunities under Bank-financed projects and programs. the Japanese Award for MIDP. Fundación Paraguaya won the development grant World Bank-Japan Partnership for for providing affordable, quality education to chronically poor youth in Paraguay. Recruitment Support Fund Called ‘The Financially Self-Sufficient School,’ the project finances itself without In FY09, GoJ joined the World Bank’s JPO program to relying on long-term government support, donor funding or costly school fees. enable more young Japanese nationals join the World Bank. The project combines teaching agricultural and business skills within schools to GoJ also approved a PHRD grant in FY09 to support the generate income to cover 100% of costs. It argues that it is possible for even the selection process for the JPO program. Specifically, the poorest people to have access to education. grant supported the contracting of Human Resources Two applicants from the Universidad de la República from Uruguay received the specialists as Selection Committee members, hiring a first prize in the Japanese Award for ORD. Universidad de la República’s research Human Resources company to place advertisements and proposes to analyze the impact of trade openness and regional integration on managing on-line applications. All of this is supervised Uruguayan firms’ performance, in order to assess whether they are winners or by the World Bank’s office in Tokyo. The grant also losers in the process. The second prize in the category went to a scholar from supported information dissemination by organizing semi- the Federal University of Minas Gerais, Brazil, for his proposed research on regional nars and workshops to inform the public about the Banks’ impacts of the economic slowdown in trade flows. recruitment programs. 15 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Chapter 4: Other PHRD -Supported Programs 4.1 I ntroduction 4.3 T he J apan J unior P rofessional The PHRD Fund also supports a number of other World Bank- O fficers (JPO) P rogram administered programs, including the Japan-World Bank Staff and Japan joined the JPO program in FY09 with an initial contribution Extended Term Consultant (ETC) program, and other trust funds of US$5.0 million. The purpose of this program is to increase the that receive contributions from Japan via the PHRD Fund. representation of Japanese nationals at the World Bank. So far, seven Japanese JPOs have been recruited under the program. 4.2 Japan PHRD Staff and ETC Program The objective of the Program is to facilitate the appointment of 4.4 O ther P rograms S upported by Japanese nationals as staff members or extended-term consultants at PHRD F und the World Bank, at grade levels of GF/EC2 and higher. The Program In FY10, about US$6.3 million was provided to other programs, such finances three categories of appointments: (a) ETC appointments for as the CGIAR; Scaling Up Nutrition Investments; and CGAP. up to two years; (b) term appointments for a maximum of five years; The CGIAR is a global partnership whose main objective is to address and (c) open-ended appointments for an initial two years or until the most pressing challenges that agriculture and rural development completion of the probationary period, whichever occurs first. The face to-day, particularly food insecurity and climate change. For more ETC category was introduced in FY05 and now accounts for over information please refer to: http://www.cgiar.org. half of the total number of appointments under this Program. This The CGAP was set up at the World Bank to increase the quality and category is attractive because it finances the full salary and benefits, quantity of sustainable microfinance institutions serving the poor. and subsequently, they may be hired as term or open-ended staff with As a consortium of donor agencies and microfinance practitioners their associated costs financed by the World Bank. working together to bring microfinance into the mainstream, CGAP In FY10, GoJ approved US$7.0 million for 31 staff positions, the acts as a service provider to the microfinance industry by catering highest number of grants in the history of the program. These grants to the needs of three stakeholders, namely the MFIs, donor agencies, include financing for 18 ETC (US$2 million), and thirteen term and the microfinance industry. CGAP serves these stakeholders appointments (US$5 million). Since FY00, about 177 positions through learning and dissemination of best practices, by helping to were financed, of which 54 percent were for ETC, 39 percent term, set up supportive policies for microfinance activities, by coordinating and 7 percent open-ended appointments. (Figure 5) donor initiatives, and by channeling funds Figure 5: N umber of S taff G rants A pproved to broaden and deepen the outreach of from FY00 – FY10 MFIs serving the poor. For more information 35 please refer to: http://www.cgap.org. 30 A new recipient-executed trust fund for Number of Grants 25 International AIDS Vaccine Initiative was 20 approved in FY10, into which GoJ has n Open-ended committed US$10 million from the PHRD 15 n Term 10 Fund over five years, and the first tranche n ETC 5 of US$2 million has been allocated. 0 FY00 FY01 FY02 FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 17 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Chapter 5: Monitoring & Evaluation of PHR 5.1 M onitoring the P rogress and I mpact of PHRD A ctivities The Concessional Finance and Global Partnerships Vice Presidency emphasizes results-focused reporting on trust fund-financed activities. Reporting on PHRD grants covers financial aspects, implementation status, and completion. The impact of the PHRD Program is assessed through overall Program-level evaluations. Impact not only takes time to measure but can also potentially raise methodological issues in attributing changes to specific earlier activities. The Annual Reports of the overall PHRD Program and the JJ/WBGSP cover both financial aspects and progress in carrying out grant activities and achieving objectives. The Annual Reports are public documents, and are made available in both English and Japanese. Audited financial statements (produced six months after the end of the FY) are prepared by external auditors and shared with GoJ. The Trust Fund Accounting Department prepares a detailed quarterly financial report for the PHRD program, which covers unaudited statements of the current year and cumulative transactions under all main PHRD Fund categories. These quarterly reports are also shared with GoJ. In addition to the JJ/WBGSP Annual Report, WBI carries out tracer studies every two years to analyze the impact of the program on alumni who completed studies five to six years before. These studies are public documents. The latest tracer study was done in May 2007, and it was the seventh in this series, addressing the performance of 3,554 scholars who received scholarships between 1987 and 2006 by investigating specific achievements in terms of degree completion, return to home country, employment, professional progression and each alumnus’ perception of the benefits gained through the program. The findings and recommendations of the eighth JJ/WBGSP Tracer Study were reported in the FY07 Annual Report. Occasional reports on the Japan PHRD Staff and ETC Program are prepared by the Global Partnership and Trust Fund Operations Department and provided to GoJ. All of these reports are available RD Activities to GoJ through the Donor Center, an on-line reporting system Box 5: S ome L essons from a which gives all donors access to information about their trust funds. S ample of FY10 C losed G rants • The legal framework for innovations may need to be The main instrument for periodic internal reporting on the imple- postponed until the design and policy frameworks have mentation status of the PHRD grants is the Grant Reporting and been clearly articulated. Mistakes may be made, and Monitoring (GRM) system. The PHRD Program Manager issues a re- time lost, if legislation is passed too quickly. quirement for the GRM reports on an annual basis. A comprehensive • Given the wide understanding of the importance of final report is prepared by each Task Team Leader in the GRM system Monitoring and Evaluation (M&E), one way that can help after completion of grant implementation. For each grant exceeding keep this aspect of project management at the center of US$1 million an Implementation Completion Memorandum (ICM) implementation is to have a component solely for M&E. report is prepared. GRM and ICM reports are internal to the World • Client capacity has many dimensions, and some of Bank, but are used as a basis for reporting to donors. In addition, ma- the shortfalls can be hard to anticipate. Flexibility jor programs and larger grants prepare Completion Reports, outlining in technical assistance provision can reduce delays the major achievements and lessons learned during implementation. when unexpected needs arise, such as inexperience in selecting and managing local consultants. In addition, starting with FY07, PHRD began conducting annual • Economic viability is crucial for sustainability of projects, reviews of the PHRD TA grants closed in the previous fiscal year. and this will generally involve building bridges to the The purpose of such reviews is to provide feedback from grant imple- private commercial and financial sectors. mentation that can lead to program improvements and to allow for • Technical solutions are often much simpler than the extended reporting on the results of the completed grants. The Reports task of building an institutional and administrative on PHRD TA closed grants are available on the PHRD website. framework that will create an enabling environment for application of the technical solutions. 5.2 L essons • In addition to the healthy emphasis on inclusive dialogues with stakeholders, strong institutions, and Many core lessons from previous years continued to be applicable civil society involvement as keys to project success, to implementation in FY10. Technical assistance grants continued it is notable that skilled leadership can also make a to show their usefulness in broadening, deepening, and enriching major difference, especially in projects that require projects and programs. Project preparation grants, in particular, reform or system change. have helped maintain the quality of associated projects, by providing • In regional projects, it is important to determine resources needed for design flexibility, extensive consultation with re- whether building national capacity needs attention cipients and other stakeholders, and incorporation of lessons learned first, before regional collaboration can grow. from programs and projects in other regions around the world. The single most powerful lesson has been the continuing importance of early, constant, and open involvement of all levels of governments, In addition to the reminders of the importance of perennial factors, civil society organizations, and the people likely to be affected such as client ownership, stakeholder acceptance and understanding, by the projects and programs. Careful technical design still depends donor coordination, and technical expertise, several projects yielded for success on the committed participation of beneficiaries and more detailed insights. These are listed in Box 5. other stakeholders. 19 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Chapter 6: Additional Sources of Information on PHRD & Programs Supported by the PHRD Fund 6.1 I nformation on PHRD 6.2 P rograms S upported by the PHRD F und The major reference sources for more information on PHRD and the programs it supports are websites publicly available in English, Other programs supported through the PHRD Fund in FY10 are: and often also in Japanese and other languages. Consultative Group to Assist the Poorest (CGAP): The main PHRD website is http://www.worldbank.org/phrd. http://www.cgap.org This website includes details of the PHRD Technical Assistance Forest Carbon Partnership Facility (FCPF): program, the Japan-World Bank Partnership Program, and the http://www.forestcarbonpartnership.org/fcp/ Japan PHRD Staff and ETC Program. The website also provides Japan Junior Professionals Program (JPO): access to PHRD Annual Reports in both English and Japanese, http://go.worldbank.org/18fcy4nmv0 and to the Evaluations of the PHRD TA Program. The website of the Tokyo office of the World Bank also includes information on PHRD, in English at: www.worldbank.org/japan/about, and in Japanese at: www.worldbank.org/japan/about-j. The World Bank Institute website is www.worldbank.org/wbi. The JJ/WBGSP website is at www.worldbank.org/wbi/scholarships. This website also provides access to the JJ/WBGSP Annual Reports and to their Tracer Studies. The TDLC supported by the PHRD Partnership Program has its own website: www.jointokyo.org. This website is maintained in both Japanese and English languages. 21 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Annex 1: FY 09 -FY 13 Policy Document Japan Policy and Human Resources Development Technical Assistance Grants Program FY09 – FY13 P olicy D ocument The grants mentioned in this pillar will support activities 1. Background and Objective. The Government of Japan consistent with the framework and priorities as identified by (GoJ) will finance a new, restructured Japan Policy and Human the Coalition for African Rice Development (CARD) and the Resources Development (PHRD) Technical Assistance (TA) Comprehensive African Agricultural Development Program program to assist eligible countries of the World Bank Group5 (CAADP) processes at every level. in enhancing their technical and institutional capacities. • Pillar II – Disaster Prevention: (To be determined) The duration of the new PHRD TA program would be from • Pillar III – Other Activities including Pacific: FY09-FY13. The overall policy framework and priority areas (i) Catastrophe Risk Financing Initiative Phase 2 are being developed. This document provides the framework (ii) Other Activities Consulted and Agreed between the for the three pillars of the FY09-FY13 PHRD TA program.6 Ministry of Finance of the Government of Japan and Other pillars will be added later. the World Bank 2. Priority Areas: The FY09-FY13 PHRD TA program will focus 3. Eligible Countries. Unless otherwise stated in the specific on three thematic pillars: Operating Guidelines, all World Bank borrowing member • Pillar I – Agriculture and Rice Productivity countries are eligible. Enhancement Research and Development: 4. Grant Implementation Period. The PHRD TA grants will have (i) Development of rice seeds resistant to heat and a maximum implementation period of four years from the date drought7 by the International Rice Research Institute of the counter-signature of the grant agreement by the recipient. (IRRI) and/or West Africa Rice Development 4.1. Project design. When designing projects, the Bank is Association (WARDA)8; encouraged to emphasize creation and accumulation (ii) Africa Rice Research and Productivity Development of the disseminable knowledge by utilizing appropriate Program methodologies such as impact evaluation, as well as to optimize effectiveness. 4.2. Grant Types. Grants may be of the following types: (i) Capacity Building (ii) Co-financing of Bank-financed or managed operations; and (iii) Pilot Projects – Implemen- tation of pilot projects. 23 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Annex 1: FY09 – FY13 Policy Document 5. Eligible Expenditures. Unless otherwise stated in the specific 12. Bank’s Fiduciary Responsibilities as Grant Administrator. Operating Guidelines, the eligible expenditures include: (i) con- All grants will be supervised by the Bank in order to ensure sulting services; and (ii) non-consultant costs for local training, compliance with the Bank’s Procurement and Financial Manage- minimal equipment, and operating costs essential to carry out ment Guidelines (as for World Bank loans and credits). the technical assistance. Workshops, local consultations, and 13. Changes in Grant Objectives. Substantial changes in the training may be included if the requests clearly demonstrate grant’s development objectives after approval by GoJ would need these activities will enhance the quality of the technical assistance. to be referred to GoJ for re-approval. A request for changes in 6. Ineligible Expenditures. Unless otherwise stated in the specific the development objectives with a justification has to be sent to Operating Guidelines, the following expenditures are not eligible: the PHRD Unit for review and submission to GoJ for re-approval. (i) salaries for civil servants in recipient countries hired as 14. Reallocation of Funds among Expenditure Categories or consultants or otherwise; (ii) foreign training or study tours; Activities. Reallocation among expenditure categories or grant and (iii) purchase of motor vehicles. activities, including dropping of approved, or adding of new eligible 7. Grant Execution Arrangements. All grants are to be executed categories or grant activities, should be cleared by the Sector by the grant recipients.9 Exceptions may be made for grants to Manager/Director. Clearances from Legal and Financial Manage- be Bank executed with strong justification based on technical ment Specialists are required for any amendments to the Grant complexity of the activities, multi-country scope and/or absence Agreement which should be signed by the Country Director. of an organization to implement the proposed grant activities. 15. Consultation with Officials of the Embassy of Japan, 8. Program Administration Costs. In order to cover the costs of Japan International Cooperation Agency (JICA) and FY10 PHRD Program Administration CFP may establish a Bank Visibility of Japan’s Assistance to the PHRD TA Program. Executed Trust Fund to cover costs up to a limit to be agreed Please refer to the Guidance Note on Visibility of Japan attached in an exchange of correspondence with MOF. All expenditures to this document. The World Bank is encouraged to enhance necessary for Program Management are eligible. effectiveness and synergy through sharing project information and knowledge with JICA appropriately. 9. Call for Proposals. The Concessional Finance and Global Partnerships Vice Presidency (CFP) will invite proposals from 16. Progress Reporting. For the purposes of monitoring the devel- the Bank’s Regional Vice President (RVP) Units and the opment outcomes, the Grant Agreement — based on the Grant Networks informing them of the total amount available for Funding Request — will be the binding document. The Task each fiscal year and allocations for activities in each Pillar. Team Leader will be responsible for preparing an annual grant implementation status report in the Grant Reporting and Moni- 10. Submission of Grant Proposals. The PHRD Unit in the toring (GRM) system, rating the status of grant implementation, Global Partnership and Trust Funds Operations (PTO) of CFP and documenting the completion of deliverables and outputs. will submit all the eligible grant proposals submitted by the For grants over US$1 million, an Implementation Completion RVP units and Networks to GoJ for approval. Memorandum (ICM) will be prepared at completion of the 11. Review Procedures of Grant Proposals. Proposals will be grant financed activities. The ICM will document the actual reviewed for technical feasibility and compliance with the cumulative inputs, outputs and outcomes of the grant. For PHRD TA procedures. See specific Operating Guidelines for grants under US$1 million, the final Grant Status Report will the details of the technical review process. include additional information regarding grant activity outcomes. 24 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Annex 1: FY09 – FY13 Policy Document The summary of the grant activities and result will be shared 17. Maintenance of Documents. Operational departments will with the donor by the PHRD Unit in PTO. In addition to the keep copies of key documents related to PHRD TA grants, reporting on individual projects mentioned above, the World including Terms of Reference and contracts for consultants Bank is required to provide a concise report on comprehensive subject to the Bank’s prior review, reports and reports prepared by progress and results on the each thematic pillar in paragraph 2 consultants, in accordance with the Bank’s document retention at appropriate opportunities such as annual meetings with policy. Task teams should send the original Grant Agreement and the MOF trust fund office or policy dialogues between the GoJ Disbursement Letter to the Legal department of the RVP Unit. and the Bank. FY09-FY13 PHRD T echnical A ssistance P rogram : A ctual and I ndicative A llocation Allocations by Pillar Amount (US$ million) Pillar I: Actual (i) Development of rice seeds resistant to heat and drought by the IRRI and/or WARDA 20 (over 5 years) (ii) Africa Rice Research and Productivity Development 80 (over 5 years) Pillar II: Indicative Activities under the Disaster Prevention program (to be determined). 50 (over 5 years) Pillar III: Other Activities Consulted and Agreed between the Ministry of Finance of the Government of Japan and the World Bank: (To be determined) - Pacific Catastrophe Risk Financing Initiative Phase 2: 1.32 (Actual) 5 Includes the International Bank for Reconstruction and Development, the International Development Association and the International Finance Corporation, all referred to hereafter as the Bank. 6 There are separate Operating Guidelines for each program activity except for Pillar I (i) as this will be the subject of a direct transfer to CGIAR. 7 Detailed concept of development is as follows; development of the next generation of New Rice for Africa (NERICA) and other new high yielding rice varieties and hybrids — with improved stress tolerance and insect resistance — and tailored to the consumption preferences of African consumers. 8 Considering the length and size of the project, implementing agencies are required to prepare a proposal with clear and concise results, and provide explanations on progress and interim results appropriately in addition to progress reports mentioned in paragraph 15. 9 The Bank may consider waiving the requirement for recipient execution in accordance with Bank policy (see OP 14.40) in the following cases: emergency operations and post conflict countries. 25 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Annex 2: Guidance Note onVisibility of Japan Japan Policy and Human Resources Development (PHRD) Technical Assistance (TA) Program I ntroduction (b) The logo (usually the Japanese national flag) should be used in publications financed by the PHRD program, and in banners The Government of Japan (GoJ) has contributed to the Policy and and any other materials used in seminars and training programs Human Resources Development Technical Assistance Program in financed by PHRD grants; support of work by, and on behalf of, World Bank borrowing countries since 1990. The purpose of this note is to provide guidance on (c) All press releases issued by the Bank with respect to PHRD measures to ensure that the contribution of Japan in supporting grants should refer to the financial contribution from the PHRD is widely recognized. Government of Japan; (d) Recipients should be encouraged to ensure that PHRD-financed S tatement on V isibility activities are well covered by local print and electronic media, The Annual Policy Document provides the following clause on and that all related publicity materials, official notices, reports Consultation with Local Japanese Officials and Japanese Visibility: and publications explicitly acknowledge Japan as the source of funding received; Consultation with Local Japanese Officials. In order to ensure (e) Grant signing ceremonies in the field should be encouraged, harmonization and coordination, Bank task teams are required to with the Recipients being encouraged to include Japanese consult with the Embassy of Japan accredited to the recipient country embassy officials and to invite local and international press to about the PHRD grant application before submission of the proposal these ceremonies. to CFP for review. Such consultation and information sharing by task teams will help expedite the decision-making process. In addition, In addition, CFP may promote visibility of PHRD by: (i) informing Bank task teams are encouraged to share the information about Country Directors of the importance of signing ceremonies to progress and outcomes of PHRD projects with the Embassy of Japan Japanese officials and the public to ensure recognition and support and other Japanese aid agencies in the field. for PHRD funding; and (ii) continuing widespread distribution of the PHRD Annual Report, inclusion of PHRD information in Japanese Visibility. Bank task teams are asked to help promote the relevant Bank documents, and occasional information sessions visibility and local awareness of PHRD in recipient countries through for Japanese organizations. A Guidance Note providing samples of the following types of activities: other ways to improve visibility is attached. (a) Publications, training programs, seminars and workshops financed by PHRD grants should clearly indicate that the activities in question have received funding from the Government of Japan; 27 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 Annex 2: Guidance Note on Visibility of Japan T he PHRD TA P rogram ’ s L ogo C eremonial E vents The logo (usually the Japanese national flag) will be used on the Country Directors will, at the same time as the task teams, receive PHRD website. All grant approval notifications to the Regions will notification of grant approvals and will be informed of the importance include this guidance note and a “Word” and a “PDF” version of of signing ceremonies to Japanese officials and the public. At grant the logo for use by the Bank and the grant recipients. The Bank will signing ceremonies and other publicity events, the Bank’s country- make every effort to ensure that: (i) publications, training programs, based staff are expected to foster the attendance and participation seminars, workshops, financed by the PHRD grants clearly indicate of country-based officials of the Embassy of Japan in a manner that that the activities in question have received funding from the provides due recognition of their donor status. Grant recipients Government of Japan; (ii) all press releases issued by the Bank with should take the lead in organizing such ceremonies, and whenever respect to the PHRD grants refer to the financial contribution of possible, Recipients should issue the formal invitation to attend. Government of Japan; and (iii) the logo is used in publications Such ceremonial events should also be alerted to the media and financed by the PHRD program, banners and any other materials publicity outlets referred to above. used in seminars and training programs financed by the PHRD grants. V isibility from H eadquarters L ocal P ublicity O pportunities Country-based Bank staff is requested to forward copies of all In addition to use of the logo, Bank staff is urged to take all appropriate visibility material, such as press releases, newspaper and magazine measures to encourage Recipients to ensure that PHRD TA-financed articles, and photographs (including descriptive captions) to the activities are well covered by local print and electronic media, and following address: that all related publicity materials, official notices, reports and PHRD Unit publications explicitly acknowledge Japan as the source of funding Mail Stop H 3-305 received. Below is a standard text suggested for use by those who Global Partnership and Trust Fund Operations prepare publicity materials: “The grant which financed this (name of Concessional Finance and Global Partnerships The World Bank activity) was received under the Policy and Human Resources Development Washington, DC 20433 Technical Assistance Program which is financed by the Government of Japan.” USA Many Bank Country Offices periodically publish newsletters. New grant approvals and signing should be publicized in these newsletters. Most country offices have Communications staff. Task Teams are encouraged to consult with them on ways to increase the visibility of Japan regarding PHRD grants. Opportunities to publish articles on high visibility projects prepared with the PHRD TA grants should be explored and utilized. Task teams are advised to brief the Country Managers/Country Directors about the implementation status of PHRD grants. Such information will help the Country Offices highlight Japan’s contribution, where relevant, in their meetings and presentations in seminars and workshops. 28 J A P A N P O L I C Y A N D H U M A N R E S O U R C E S D E V E L O P M E N T F U N D annual report 2 0 1 0 The World Bank The Government of Japan PHRD Program Management & Administration Email: PHRD_Team@worldbank.org 1818 H Street, N.W. Washington, D.C. 20433 http://www.worldbank.org/phrd