70150 v2 ANNEXES List of Annexes Page No. 1. ............................................................................................................................................ A nnex A - Core competencies as defined by SDV/OPCS Combined with Competencies Identified by Staff* .............................................................................................................................................. 21 2. ............................................................................................................................................ A nnex B - Proposed One-Week Basic Orientation for New or Retrained SDV Staff ........................ 28 3. ............................................................................................................................................ A nnex C - Advanced Core Training for SDV Specialists .................................................................... 32 4. ............................................................................................................................................ A nnex D- Monitoring and Evaluation ............................................................................................... 60 5. ............................................................................................................................................ A nnex E - Staff Attitudes about training and accreditation ............................................................. 61 6. ............................................................................................................................................ A nnex - F - Methodology .................................................................................................................. 62 7. ............................................................................................................................................ A nnex G - A Brief Foray into the Sociology of Knowledge in the World Bank ................................. 64 8. ............................................................................................................................................ A nnex H -- Example of a Field Based-Workshop Program (Brasília, Brazil July 2010) ..................... 65 9. ............................................................................................................................................ A nnex I - Budget ............................................................................................................................... 66 20 10. .......................................................................................................................................... Annex A - Core competencies as defined by SDV/OPCS Combined with Competencies Identified by Staff* Competency Definition Implications for Training OPERATIONAL SKILLS Understands the strategic objectives and Most specialists feel that formal training will not help to main incentives of internal and external fill this gap although many stress the need to build this stakeholders involved in a project, and kind of operational experience among SDV specialists. Strategic Project the main instruments/ structures used to On-the-job training and mentoring seem to be the Design achieve these objectives; tailors project indicated approach to this kind of training. design and solutions to specific issues, opportunities and weaknesses, as well as relevant best practice. Conducting Credibly represents the bank to sector- Same as above. sector dialogue level counterparts; advises clients on issues in the sector at the policy, strategy, and giving organization, and technical levels. policy advice Solving Identifying causes, solving problems and Same as above. problems and making decisions in order to keep the project on track. making decisions Identifies key risks associated with the Same as above. Exposure to case studies can help newer Project project and identifies strategies to staff identify risks and devise strategies that have worked Management mitigate them; balances risks and in other situations. expected results. Bank fiduciary, Understanding and adequately Broad training in Bank policies and practice. Exposure to disbursement, integrating Bank fiduciary, disbursement, training in fiduciary policies, disbursement, safeguard safeguard, and GAC policies into project and GAC policies through formal training and mentoring. safeguard and design and implementation support. GAC policies Leads a team to deliver high quality The Bank offers Team Leadership training. Experience is results on schedule, guides individuals the best teacher; working on a team with an experienced Leading a team and helps them succeed, and identifies team leader is probably the best approach to training and resolves team and project issues. TTLs. 21 Competency Definition Implications for Training Employs strategies to increase Courses Offered in PREM transparency and accountability in  Accountability and Transparency in Government policies, institutions, and operations.  Public Sector Performance Understands accountability in its social  Actionable Governance Indicators: Making AGIs and political context, and is able to frame Relevant for Operations improved citizen accountability through a  Advanced Course on Anticorruption: State Capture range of supply and demand side and Grand Corruption Demand for measures, understanding the links  Applied Problem Driven Political Economy between them. Understands formal and Good CommGap - DFGG Peer Learning Network & WBI informal institutional dynamics. Governance Understands the role of transparency and  Securing Good Governance through Citizen (DFGG) accountability in transforming states and Participation Roundtable Series societies, as well as the associated risks. SDV Department is currently developing a core course on Specific tools include: DFGG. Will cover 5 sectoral modules (water, transport, - Citizen report cards health, education, and urban development) - Community scorecards - Independent budgeting analysis - Social audits - Grievance redress mechanisms Is capable of integrating cohesion and SDV Offering resilience to conflict, crime and violence, Core Course on Fragility and Conflict,4-day course. into analysis, policies, institutions, and Designed to acquaint World Bank staff with an operations. Adapts social analysis and understanding of the problems associated with fragile consultation methodologies to fragile and and conflict affected countries and the policies, conflict and/or violence affected procedures and programmatic approaches available to situations. Applies an understanding of deal with these issues. fragility, violence and conflict dynamics to Fragility, inform the design of operations with a Conflict, and view to enhancing cohesion and resilience Violence to conflict, crime and violence. Understands the complex dynamics of gender-based violence and employs strategies to reduce it. Is familiar with the specific donor coordination and financing instruments that arise in fragile and conflict affected situations such as large multi-donor trust funds to support operations. Is capable of integrating issues of exclusion (with respect to gender, age, Materials currently being produced on gender in sector- ethnicity or any other relevant factor) specific areas (e.g., transport, energy). Report on gender into analysis, policies, institutions and and transport contains a tool on gender and Inclusion operations. Understands issues of resettlement. These materials could form the basis of (including youth exclusion/inclusion in a context of rapid training in gender issues (contact Mari Clarke for details). and gender) social and economic change. Adapts social analysis and consultation methodologies to ensure inclusiveness. Is capable of designing operations that focus on strengthening inclusion. 22 Competency Definition Implications for Training Is capable of integrating resilience to Training module on the social dimensions of climate climate change and disasters into change developed by SDV Department. Training Social analysis, policies, institutions, and composed of: Dimensions of operations. Adapts social analysis and Face-to-face sessions Climate Change consultation methodologies to address Series of learning tools, case studies, and thematic briefs and Disaster the vulnerability associated with climate E-learning Risk change and disaster risk in both urban and rural settings. Applies an Management understanding of these issues to inform the design of operations. Leads the design and supervision of Course available through Bank’s Learning Portal: Community Driven Development “Community Driven Development - Working Within a Community- Operations. Is capable of tailoring these Decentralized Framework�; online course offered by operations to different settings with a SDN. Description at http://mylearning Driven view to enhancing inclusion, cohesion, Development resilience and accountability, responding (CDD) to the issues arising in a particular environment. TECHNICAL – STANDARD COMPETENCIES (from OPCS) Is capable of integrating social sustainability into analysis, policy, institutions, and operations. Fully understands the pillars of social sustainability: inclusion, cohesion, Courses in PSIAs? resilience and accountability. Is able to  Applied Problem Driven Political Economy (PREM) identify and address social opportunities, Courses in Stakeholder Analysis social risks and social impacts in all types Courses in Monitoring and Evaluation??? of Bank operations. Courses in Consultation Employs analytical tools and translates Courses in CDD them into socially sustainable policies, Courses in Social Inclusion? institutions, and operations. Specific tools include: Poverty and Social Impact Analysis E-learning - Social assessment (at the project level, Course (PREM): Social addressing conflict, gender, youth, http://go.worldbank.org/XCVIKCB6Z0 Development governance, etc.) Analytical Tools - Social analysis (at the country and sector level, addressing conflict, gender, youth, TIPS (Tools for Institutional, Political, and and Policy, governance, etc.) Social Analysis) E-learning course (SDV Dept.): Institutional, - Poverty and social impact analysis (PSIA) http://go.worldbank.org/MGYN17BMX0 and Operational - Political economy and stakeholder Applications analysis - Social risk assessment at country, DPL Academy (3-day course offered through institutional and project level including in OPCS; includes session on PSIA): the context of the ORAF http://go.worldbank.org/Q4N86G8VP0 - Monitoring and evaluation Uses consultative and participatory approaches to give key stakeholders, “Community Driven Development - Working including groups who are under- Within a Decentralized Framework� (http://mylearning; represented (e.g., the poor), a voice in online course offered by SDN) the design, implementation, and monitoring of policies, institutions and EA: Consultation, Participation & Disclosure operations. (QACU) Specific tools include: - Meaningful consultations - Public hearings Numerous courses on monitoring and 23 Competency Definition Implications for Training - Participatory research methods evaluation, including “Monitoring and - Observation Evaluation for Results� (both basic and - Surveys - Participatory poverty assessments intermediate levels). Offered by WBI. - Participatory monitoring and evaluation Descriptions can be found at http://mylearning - Grievance redress mechanisms OPERATIONAL SKILLS  Identifies relevant public policies and Prior training in Political Science or Public Policy. policy gaps.. Policy analysis skills can be acquired through extended  Analyzes and observes the social exposure to discussions and policy dialogue. implications of policies with regard Study of public budgets and expenditure reviews Formal training courses in the Bank, even longer courses, to social issues such as distributional are unlikely to produce SDV analysts ready to take up effects, access to services, equal complex policy questions. protection, and implicit favoritism. Courses Offered by PREM  Understands the policy-formulation  Public Finance Analysis and Management: process as regards legislation, Making the Most of Your Public Expenditure regulation, informal rules. Review  Analyzes policy implementation in  Medium Term Issues in Public Finance Policy Analysis actual practice, capacity of actors to Management implement policy, relevant social actors such as brokers, national and local elites and others.  Familiarity with taxation and public finance.  Understanding of budget process and analyze public budgets  Familiar with and able to contribute to DPL formulation. Knowledge of OP8.60.  Can help design surveys and Prior training in quantitative analysis. Basic and econometric research. advanced applied statistics courses at the undergraduate  Expertise in Regression Analysis or graduate level. Quantitative  Able to apply and interpret basic In-house Bank training is unlikely to offset deficits in this skills statistical tests of correlation and area. significance.  Able to prepare TORs and supervise Household Surveys  Ability to design and supervise Prior knowledge of sociological or anthropological mulitstakeholder analysis; research techniques would be useful. Qualitative  Able to guide and conduct A series of seminars and workshops could help prepare participation and dialogue. SDV staff for this kind of work. Analysis  Able to design and supervise qualitative research on matters of public policy. Ability to identify risks to Bank Training in Operational Risk Assessment Framework operations with respect to social factors (ORAF) that can put at risk the people directly or Risk Assessment indirectly by a project, the implementation of the project itself or the Bank’s reputation. Macrolevel Understands and can apply Economics for Non-Economists (description available at macroeconomic theory; Understands http://mylearning; also offered by Asia Knowledge and analysis and public finance and monetary policy; Learning: http://go.worldbank.org/B11M4MH0J0) economics Able to analyze the social impacts of 24 Competency Definition Implications for Training macro-policy.  Understands the basic issues and SDV Staff should undergo formal training in all the policies concerning fiduciary referenced aspects of project preparation and controls, procurement, financial management. This training is offered routinely and management, disbursement, SOEs frequently by relevant departments. and MFRs. Trust Fund Management (on line)  Familiarity with CAS/CPS process; Numerous courses in project design and management,  Able to apply for grants; many of which deal with the areas specified at left:  Accredited to manage Trust Funds  OPCS Investment Lending courses  Accredited to use eConsult; (http://go.worldbank.org/MSHVBH2AU0) Bank Procedures  Familiar with the mechanics of and Policies project preparation and appraisal  OPCS Fundamentals of Bank Operations: including basic timetables, PCNs,  http://go.worldbank.org/FB18PLZ300 ISDS, PIDs, QER, PAD, Legal Agreement, Board Procedures.  OPCS FM sector courses:  Familiar with basic tools of project  http://go.worldbank.org/6YVWWLDDG0 management including FM,  Procurement Training: procurement plans, supervision, team http://go.worldbank.org/DP46B2D8Z0 formation and management, Aides  Trust Fund Learning and Program Memoire, Management Letters, ISRs, (http://go.worldbank.org/MWZVIIXNJ0) ICRs. Familiarity and ability to apply Courses Offered by PREM Social institutional analysis;  Applied Problem Driven Political Economy (PREM) Familiarity with concepts of political  Public Institutions Core Course (PREM) Assessment & economy; Social Analysis Able to carry out stakeholder analysis; PSIAs See Policy Analysis Familiarity with Stakeholder Analysis; Several courses offered through Bank’s Learning Portal Ability to guide TOR and implementation (http://mylearning): of communications programs; Project  Communication and GAC Implementation  Development Communications to Enhance Communications Project Design and Results  Project Communications Case Studies  Strategic Communication and Governance Reform SPECIFIC SOCIAL ISSUES Governance and Anti-Corruption (GAC) Learning Portal. Contains several online learning modules available now:  GAC Fundamentals Governance and  Ethics Accountability  Public Institutions  Political Economy  GAC in Projects Additional modules will be available soon.  Women’s participation in the work Materials currently being produced on gender in sector- force; specific areas (e.g., transport, energy). Report on  Educational opportunities for girls gender and transport contains a tool on gender and and women; resettlement. These materials could form the basis of  Gender-related health issues; training in gender issues (contact Mari Clarke for Gender Issues  Breaking down gender barriers; details).  Women and men in microcredit  Domestic violence and alcoholism as Also, the “Gender Storehouse of Learning Objects,� public health issues. available through WBI, is a database of gender-related pedagogical materials (case studies, good practices, 25 Competency Definition Implications for Training discussion notes, power point presentations, courses/modules). Note: The Storehouse appears to not be currently maintained, and thus may be inaccessible. Youth as Assets BBL Series: Will provide Bank staff the knowledge and tools to engage youth effectively in their work Youth Issues Youth Operational Framework (developed by SDV Department and HDN). Will offer tools and guidance to Bank staff on youth issues. Core Course on Fragility and Conflict; see above Also, recently launched online course through WBI on Crime and “Crime and Violence Prevention in Urban Zones.� This Violence course is targeted to local government officials, and is available in Spanish, but could be a source for training of SDV staff. Religion and Development; No specific training has been identified for these Social Exclusion, Race and Ethnic Relations; dimensions although they may be treated in some Ethnic Relations Political Economy of Exclusion training programs. Familiarity with the basics of Water Water Orientation Course (4-day course offered by Resource Management SDN; description at http://mylearning) Understanding of Basin-level WRM Familiarity with the Economics and Practical Information and Learning Tools for Water and Climate Change politics of water charges; Watershed Management (OPCS; description at and Social Familiarity with urban water distribution http://mylearning) Development issues; Understanding of adaptation to drought; Training module on youth and climate change available Implications of sea-level rise; through WBI Also, see training module on the social dimensions of climate change discussed above. * The first two columns (Competency and Definition) in the above table are drawn from the draft document on competencies for SDV Staff. The third column (“Implications for Training�) has been added to reflect the goals of the present paper. 26 SOCIAL SAFEGUARDS  Is familiar with the definition and Courses available through QACU Safeguards Training application of IP; Program (http://go.worldbank.org/XGVV8SG930):  Can prepare IPPs and IPFs;  Able to provide advice to task teams  WB Safeguards Polices -- Overview; or, on application of policy; Introduction to Safeguards  Knowledge of culturally appropriate OP/BP 4.10 – techniques for consultation and  OP 4.10 Indigenous Peoples Indigenous participation;  Preparing & Implementing IPPs Peoples;  Understands how to work in a multi-  Application of Social Safeguards: OP 4.10 and ethnic situation and to deal with OP 4.12 internal conflicts;  TOR for Environmental and Social Assessment  Inspection Panel: Lessons Learned  Supervision of Safeguard Policies OP 4.11 Recognizes situations where policy applies QACU Training. Same as above, but also: (Physical including chance finds of archaeological  OP/BP 4.11 Physical Cultural Resources sites; cultural monuments Cultural Resources Familiar with the definition of IR and QACU Training. Same as above, but also: application of OP;  OP/BP 4.12 Involuntary Resettlement Can critically review TORs and guide preparation of RAPs and RPFs; Clearly understands eligibility criteria, especially with regard to squatters and other non-titled occupants and can guide their application to concrete cases; OP/BP 4.12 – Can guide consultation and participation Involuntary process; Resettlement; Understands and applies cut-off date; Has good understanding of asset evaluation procedures including commercial enterprises; Can guide set-up and operation of grievance redress procedures; Can guide preparation and operation of rehabilitation process; 27 Annex B - Proposed One-Week Basic Orientation for New or Retrained SDV Staff Day Topic Pre-requisite* Materials Available Tools for Social Analysis Poverty and Social Impact  PSIA User’s Guide: http://go.worldbank.org/IJGPNA0J90 Analysis E-learning Course  TIPS Sourcebook: http://go.worldbank.org/EHV89WB7W0 (PREM):  Analyzing the Distributional Impact of Reforms Vols I (2005) and II (2006). http://go.worldbank.org/XCVIKC  Assessing the Use of Poverty and Social Impact Analysis in World Bank Development Policy B6Z0 Loans (WB 2009) Day I- Poverty TIPS (Tools for Institutional, Morning Assessment Political, and Social Analysis) E- learning course (SDV Dept.): http://go.worldbank.org/MGYN17 BMX0 E-learning course: Tools for  Social Analysis Sourcebook: Institutional, Political, and http://go.worldbank.org/U3HTQOFX00 Day I- Social Afternoon Social Analysis (SDV Dept.))  SDV Dept. website on Social Analysis (http://go.worldbank.org/UDVDOCK3X0 Analysis  Good Practice Note: Using Poverty and Social Impact Analysis to Support Development Policy Operations (WB 2008) Community Driven  Social Analysis Sourcebook: Day II – Inclusion and Development – Working within http://go.worldbank.org/U3HTQOFX00 Morning Social Equity a Decentralized Framework (O;  Community-Driven Development and Social Capital: Designing a Baseline Survey in the SDN) Philippines (Impact Analysis of KALAHI-CIDSS) (WB 2005) 28 Day Topic Pre-requisite* Materials Available GAC Portal – Online courses:  Social Accountability Sourcebook:  GAC Fundamentals http://go.worldbank.org/Y0UDF953D0  Public Institutions  Demand for Good Governance Resources Database (available through GAC Knowledge and Learning Portal)  Political Economy  CommGAP DFGG Peer-Learning Network and WBI:  Demand for Good  Securing Good Governance through Citizen Participation Roundtable Series - CommGAP website: Governance http://go.worldbank.org/CQQNDNJW40  GAC in Projects  “The Many Faces of Corruption� (Infoshop) Day II – Issues in - ---  “Improving Governance in the Water Sector� (EWT Anchor) Afternoon Governance  Accountability and  “Improving Governance in the Electricity Sector� (EWT Anchor)  WBI website: Transparency in http://wbi.worldbank.org/wbi/about/topics/governance Government (PREM)  Joint SDV-PREM website on PSIA (http://go.worldbank.org/39I9SFVEJ0) – includes searchable database of PSIA case studies, several PSIA-related publications, and information on events dealing with PSIA  Local Government Discretion and Accountability: Application of a Local Governance Framework (WB 2009)  Citizen Report Card Surveys : A Note On The Concept and Methodology (WB 2004). Emerging and Critical Issues Social Dimensions of Climate  Adapting to Climate Change: Understanding the Social Dimensions of Vulnerability and Resilience Change Learning Module (WB 2008) (consists of both face-to-face  Climate Change, Human Vulnerability, and Social Risk Management (WB 2008) Issues in DayIII – and online training; contact  Economics of Adaptation to Climate Change: Social Synthesis Report. (WB 2010) Climate Morning Carina Bachofen and Edward  The Social Dimensions of Climate Change: Equity and Vulnerability in a Warming World (WB Change 2009) Cameron for more information; http://go.worldbank.org/Z3RRG3TUG 0 Workshop on Materials selected from case studies. Day III – Afternoon Social Sustainability Safeguards Involuntary Basic QACU course on Involuntary  Involuntary Resettlement Sourcebook: http://go.worldbank.org/MTG059FVB0 Day IV – Resettlement Resetlement  QACU website (http://go.worldbank.org/PWXTRUG940). Numerous PPT presentations available. Morning (OP/BP  Involuntary Resettlement website d(SDV) 4.12)  http://go.worldbank.org/MRNITY6XN0 Indigenous Basic QACU course on Indignous  Indigenous Peoples Sourcebook Day IV- People Peoples  Portfolio Review of “Implementation of WB’s Indigenous Peoples Policy� Afternoon (OP/BP  Case studies for training purposes developed by LCSDE-SAT 4.10) “Indigenous Peoples, Poverty, and Development� http://go.worldbank.org/O60HPLKIP 29 Day Topic Pre-requisite* Materials Available QACU website (http://go.worldbank.org/PWXTRUG940). Numerous PPT presentations available. Environmen Basic QACU course on  Consultations in Investment Lending: Guidance Note (March 2010; no URL available, but can be found throu tal Environmental Assessment, Forests Bank intranet search safeguards, and Material Cultural Resources  Disclosure and Public Consultation (Power Point) esp. siteresources.worldbank.org/INTECASAF/Resources/DisclosurAndPublicConsultation.ppt Environmen   Strategic Environmental Assessment Toolkit. http://go.worldbank.org/1C5F6FZ3Z0 Day V - tal  IFC Environmental And Social Review Procedures. Morning Assessment http://www.ifc.org/ifcext/sustainability.nsf/AttachmentsByTitle/pol_ESRP2009/$FILE/ESRP2009.pdf (OP/BP 4.01) , Forests (OP/BP 4.04), Day V - Safeguards Workshop drawn from case studies supplied by staff, ICRs, Inspection Panel Materials, external literature. Etc. Afternooon Workshop: 30 31 Annex C - Advanced Core Training for SDV Specialists The following Annex Dontains a set of ten proposed core training areas. These modules are intended for the attainment of expert status, i.e. Level II Accreitation. Level I would be attained by taking the standard training available to all staff. The first three areas deal with Social Sustainability and tools. The first six areas cover broader social sustainability issues and social development tools and methods: 1. Governance and Accountability 2. Conflict, Crime, and Violence 3. Poverty and Social Impact Analysis (PSIA) 4. Social Analysis and Risk Assessment 5. Participation and Social Capital 6. Consultation The next set of areas are social safeguards. 7. Indigenous Peoples 8. Involuntary Resettlement 9. Physical Cultural Resources . . This is a short list of core areas with which all SDV specialists should be familiar with and some should be considered experts (see “Accreditation Again� in main text). The final core area is a more general treatment of (10) Basic Bank Processes and Operations with which all SDV specialists should be familiar. In each core area, a brief statement of the objective of the training is provided, followed by a list of potential topics and skills to be covered. Each summary also contains sections on proposed duration, methods of training, recommendations for follow-up, methods of evaluation, and potential Estimated Cost. It is important to note that the topics and skills listed are meant to illustrate the possible subjects in each core training area, and are not intended to be exhaustive. Following each description, we have appended a table containing relevant courses that either are currently available or have been offered in the recent past; other resources (sourcebooks, guidebooks, PPT presentations, etc.) already available and potentially useful for training purposes; and a list of contacts (who, for example, can provide additional information about training resources) and potential trainer/instructors. In most cases, the potential instructors were identified in the questionnaires and focus groups for their expertise in a particular area. They have not been consulted on their willingness or availability. Once again, however, the tables are preliminary and do not cover all of the courses and resources available in a particular area, even within the Bank. Many resources, of course, also exist outside of the Bank; a few such resources have been included in the tables, but many more are certainly available. Whenever possible, we have provided URL links for more information on the courses and resources. Descriptions of many of the courses can also be found through the Bank’s Learning Portal: http://mylearning. After some courses, either an “O� or an “F� has been added; “O� stands for an “online� or E-learning course and “F� stands for a “face-to-face course.� In most cases, the unit that delivers the course – such as QACU or PREM – is indicated in parentheses after the name of the course. 32 Core Training Area 1: Safeguards - Indigenous Peoples (OP/BP 4.10) Name of Course: Indigenous Peoples (OP/BP 4.10) Objective: By completing this course, SDV specialists will gain a strong, practical understanding of the World Bank’s safeguard policy on indigenous peoples (OP/BP 4.10) and will learn to apply this policy to concrete situations. Training participants will be able to identify the existence of indigenous peoples in project areas and assess the potential positive and negative effects of Bank-funded projects on indigenous communities. In addition, they will be able to assist borrowers in conducting social assessments in the project area, including the use of culturally appropriate techniques for consultation and participation. Participants will learn to guide the preparation of IPPs and IPFs, and will be able to provide advice to task teams on the application of the policy. Participants will acquire strategies for working in multi-ethnic situations and dealing with internal conflicts. Potential Topics and Skills Covered: Identifying existence of IP groups in project area Screening and social assessments Preparing and implementing IPPs and IPFs Consultation and participation Information disclosure Working in multi-ethnic situations Difficulties/ambiguities in applying the policy (extensive use of case studies to illustrate past precedent and best practices) Proposed Duration: Two Days of Formal Presentations Methodology:  Formal class or workshop (an expansion of existing courses available through QACU)  Case studies – reviewing IPPs and IPFs  Review of Inspection Panel cases pertaining to IPs  Participation in at least two missions dealing with IPs .and preparation of detailed BTORs  Mentoring/supervision by social safeguard specialist with experience in IP issues Method of evaluation: Instructors’ Evaluation of Course Performance Follow up on staff performance. 33 34 Indigenous People Available Courses Other Resources Contacts and Potential Trainers QACU website (http://go.worldbank.org/PWXTRUG940). Numerous PPT presentations available. QACU contacts: Courses available through QACU Safeguards  Anna Wilczynski Training Program Additional PPT presentations, mostly on  Diane Flex (http://go.worldbank.org/XGVV8SG930): safeguards issues, compiled by LCSDE-SAT.  OP 4.10 Indigenous Peoples World Bank Indigenous Peoples website:  Preparing & Implementing IPPs http://go.worldbank.org/DIGEVPWGI0  Application of Social Safeguards: OP  Indigenous Peoples Sourcebook 4.10 and OP 4.12  Portfolio Review of “Implementation Potential instructors:  TOR for Environmental and Social of WB’s Indigenous Peoples Policy�  Navin Rai Assessment  Cases studies for training purposes  Jorge Uquillas  Inspection Panel: Lessons Learned developed by LCSDE-SAT  Svend E. Jensby  “Indigenous Peoples, Poverty, and  Anne Deruyterre Development� http://go.worldbank.org/O60HPLKIP0 35 Core Training Area 2: Safeguards – Involuntary Resettlement (OP/BP 4.12) Name of Course: Involuntary Resettlement (OP/BP 4.12) Objective: By completing this course, SDV specialists will achieve a strong understanding of the World Bank’s policy on involuntary resettlement (OP/BP 4.12). Course participants will understand the definition of involuntary resettlement and the application of the OP. In addition, they will be able to critically review TORs for potential resettlement concerns and guide the preparation of RAPs and RPFs. Course participants will be able to guide consultation and participation processes, the operation of grievance redress mechanisms, and the preparation and operation of the rehabilitation process. Through exposure to relevant case studies, participants will gain insight into applying the policy in ambiguous situations, such as determining the eligibility of non-titled occupants. Potential Topics and Skills Covered:  Overview of policy; definition of IR and application of OP  Preparation of RAPs and RPFs  Consultation and participation  Asset evaluation policies and procedures  Cut-off dates  Eligibility criteria  Rehabilitation and income restoration  Compensation for lost business profits  Grievance and redress procedures Proposed Duration: Three days of presentations and case studies Methodology:  Formal class or workshop (an expansion of existing courses available through QACU)  Case studies – reviewing RAPs and RPFs  Review of Inspection Panel cases.  Participation in at least two missions dealing with Resettlement .and preparation of detailed BTORs  Mentoring/supervision by social safeguard specialist with experience in IR issues Follow Up: Participation in at least two missions dealing with Resettlement Preparation of detailed BTORs Participation on a Regional Safeguards Team for at least six months. Method of evaluation: Instructors’ Evaluation of Course Performance Follow up on staff performance. 36 Involuntary Resettlement Courses Other Resources Contacts and Potential Trainers QACU website (http://go.worldbank.org/PWXTRUG940). Numerous PPT presentations available. QACU Contacts: Courses offered by QACU Safeguards Training  Anna Wilczynski Program (http://go.worldbank.org/XGVV8SG930): Involuntary Resettlement website  Diane Flex  OP/BP 4.12 Involuntary Resettlement (through SDV Dept.):  Application of Social Safeguards: OP http://go.worldbank.org/MRNITY6XN0 4.10 and OP 4.12 Potential Instructors:  TOR for Environmental and Social Additional PPT presentations, mostly on safeguards  Afshahn Khawaja Assessment issues, compiled by LCSDE-SAT.  Maninder Gill  Inspection Panel: Lessons Learned  Elena Correa  Supervision of Safeguard Policies Involuntary Resettlement Sourcebook:  Anthony Oliver-Smith http://go.worldbank.org/MTG059FVB0 (University of Florida)  Gordon Appleby (Consultant) 37 Core Training Area 3: Safeguards – Physical Cultural Resources (OP/BP 4.11) Name of Course: Physical Cultural Resources (OP/BP 4.11) Objective: By completing this course, SDV specialists will gain a clear understanding of the World Bank’s policy on physical cultural resources (OP/BP 4.11). Course participants will be able to recognize situations in which the policy applies, including chance finds of archaeological sites, historical monuments, and other culturally significant and venerated cultural artifacts. Potential Topics and Skills Covered: Screening – Identifying PCR in project area Developing TORs Consultation and participation Monitoring EA and evaluating EA report Information disclosure Proposed Duration: One day course/workshop Review of Case Studies Methodology:  Presentations by cultural resource management experts, curators, experienced Bank staff.  Analysis of case studies and discussions  Participation in at least one mission involving a PCR issue with detailed BTOR demonstrating comprehension of the key policy principles and steps taken. Follow Up: Supervised participation in one task team confronting a PCR issue Detailed BTOR Method of Evaluation: Instructor’s Evaluation of Participation in course Quality of BTOR 38 Physical Cultural Resources Courses Other Resources Contacts and Potential Trainers QACU website (http://go.worldbank.org/PWXTRUG940). Numerous PPT presentations available. QACU Contacts: Courses offered by QACU Safeguards Training Program (http://go.worldbank.org/XGVV8SG930):  Arlene Fleming (Consultant)  OP/BP 4.11 Physical Cultural Resources Additional PPT presentations, mostly on safeguards  Anna Wilczynski  TOR for Environmental and Social issues, compiled by LCSDE-SAT. Assessment Physical Cultural Resources Guidebook: http://go.worldbank.org/M6IA1K3F80 Various resources (PPT presentations, documents) on OPCS Safeguards policies website: http://go.worldbank.org/8QRDDLG7N0 39 Core Training Area 4: Governance and Accountability Name of Course: Governance and Accountability Objective: SDV specialists will gain a broad understanding of governance and accountability issues within the World Bank context. In addition, they will learn about these issues in specific sectors and how to evaluate and apply them in Bank investment and policy-based projects. Course participants will acquire strategies to increase transparency and accountability in policies, institutions, and operations, and to empower community members and local governments to define their own development priorities. The training program will deal extensively with the areas of Demand for Good Governance and Community Driven Development. Specific skills covered in this course will include: citizen report cards, community scorecards, independent budgeting analysis, social audits, and grievance redress mechanisms. Potential Topics and Skills Covered:  Demand for Good Governance (DFGG)  Community Driven Development (CDD)  Social inclusion  Conflict resolution, mediation and related topics  Post conflict interventions  Citizen and Community report cards  Transparency and eGovernment  Independent budget analysis and participatory budgeting  Social audits  Grievance redress mechanisms Proposed Duration: Five days, classroom, workshop, discussions Exposure to topics(see above) through Bank formal training Methodology:  Analysis of Case studies  Mentoring with field experience  Where available, outside course work Follow-Up: Participation in ongoing workshops. Method of Evaluation: Participants evaluated by instructor(s) at the end of classroom training Participants’ on-the-job performance evaluated by mentors/supervisors 40 Governance and Accountability Available Courses Other Resources Contacts and Potential Trainers Governance and Anti-Corruption (GAC) Knowledge Demand for Good Governance Resources and Learning Portal: Database (available through GAC Knowledge and http://gacknowledge.worldbank.org/wbg/default.htm Learning Portal) Contains several E-learning modules that are currently available or will be available soon: CommGAP DFGG Peer-Learning Network and  GAC Fundamentals WBI: GAC Knowledge and Learning  Ethics Securing Good Governance through Citizen Portal contacts:  Public Institutions Participation Roundtable Series  Sanjay Agarwal  Political Economy CommGAP website:  Asli Gurkan (TTL of  Demand for Good Governance http://go.worldbank.org/CQQNDNJW40 project to develop DFGG training modules)  Anti-Corruption  GAC in the Sectors Other Governance and Accountability resources (suggested in questionnaires and focus groups):  Political Economy in the Sectors  Anti-Corruption in the Sectors Social Accountability Sourcebook:  GAC in Projects http://go.worldbank.org/Y0UDF953D0  Fiduciary Issues Courses available through PREM: “The Many Faces of Corruption� (Infoshop) http://premint.worldbank.org/prmps/publicsector/PremWeek10Cour ses.asp “Improving Governance in the Water Sector� (EWT Anchor) Potential Trainers:  Accountability and Transparency in Government “Improving Governance in the Electricity Sector�  Public Sector Performance  Sarah Keener (EWT Anchor)  Karen Sirker (WBI)  Actionable Governance Indicators: Making AGIs Relevant for Operations  Serdar Yilmaz WBI website:  Advanced Course on Anticorruption: State Capture http://wbi.worldbank.org/wbi/about/topics/governance and Grand Corruption  Applied Problem Driven Political Economy 41 Additional courses (descriptions available at http://mylearning):  ECA GAC 101 (online and face-to-face)  LCR GAC Workshop (face-to-face)  GAC in Projects – Washington, DC – Sept 20 – 22, 2010 (face-to-face) 42 Core Training Area 5: Conflict, Crime, and Violence Name of Course: Conflict, Crime, and Violence Objective: By completing this course, SDV specialists will better understand the social implications of fragility, conflict, crime, and violence, as well as the dynamics of these issues within the development context. Course participants will become familiar with strategies to reduce and prevent violence, and to enhance the resilience and cohesion of communities. Course participants will learn to adapt their skills in social analysis to fragile and conflict-affected situations and apply an understanding of CCV dynamics in the design of operations. Though it will also address the often large-scale violence that occurs at the national level, this course will primarily approach CCV issues at the local level and explore community-based prevention strategies. The course will also address the cross-cutting themes of youth and gender. Course participants will become familiar with the complex dynamics of gender- and youth-based violence. Potential Topics and Skills Covered:  Links between violence prevention/reduction and development  Political violence, civil war, and forced displacement  Post-conflict settings  Urban crime and violence  Community-based prevention activities  Gender-based violence  Youth violence  Urban design for violence prevention  Donor coordination and financing in fragile and conflict-affected situations  Monitoring and Evaluation of violence-prevention projects Proposed Duration: Three days presentations by Bank and external experts Workshop analysis of Case studies Methodology: Formal Presentations and Informal Workshop Analysis of Case Studies Mentoring with extensive field exposure Follow-Up: Participation in ongoing workshops. Method of Evaluation: Participants evaluated by instructor(s) at the end of classroom training Participants’ on-the-job performance evaluated by mentors/supervisors 43 Conflict, Crime, and Violence Courses Other Resources Contacts and Potential Trainers Core Course on Fragility and Conflict (4- day course; available through OPCS): http://go.worldbank.org/YDMA43GCE0 . Next Working groups: course: October 25-28, 2010  CCV Working Group (about 50 members; contact Steve Miller for Topics covered: details)  LCR Urban Crime and Violence  The challenge of fragility and conflict: Prevention Group dimensions of the problem, (http://go.worldbank.org/POV9VL6J30) definitions, analytical work, research, and operational implications;  Defining the response: the Contacts: International Architecture for fragile  CCV Working Group and conflict-affected countries, the World Bank’s policy and strategy  Alexandre Marc framework, the role of partnerships Other Resources:  Gary Milante and focus on results; SDV Dept. website on CCV  Steve Miller  Peace-building and Conflict (http://go.worldbank.org/THLZ680DO0).  Benjamin Petrini Prevention: Frontier Work; Contains several resources, including datasets,  Alice Willman  Early State-building interventions: publications, and the CCV newsletter.  Bernice van Bronkhorst governance, infrastructure CDD and service delivery;  Challenges and options for financing in Fragile States;  Rapid response to emergencies and crises. Various BBLs related to CCV. Information available through SDV Dept.: http://go.worldbank.org/THLZ680DO0 44 Core Training Area 6: PSIA Name of Course: Poverty and Social Impact Analysis Objective: In this course, SDV specialists will learn to draft and evaluate PSIAs. By learning how to draft effective PSIAs, SDV specialists will be in a better position to maximize the positive aspects of reforms while minimizing their negative effects. Course participants will gain the knowledge and skills to analyze the distributional impacts of policy reforms. Course participants will learn to integrate macro- and micro- level analyses. The course will cover tools used to conduct PSIA, such as stakeholder analysis and institutional analysis. Potential Topics and Skills Covered: Elements of a good PSIA Tools used to conduct PSIA (e.g., stakeholder analysis, institutional analysis, social impact assessment, beneficiary assessment) Political economy Development Policy Operations (DPOs) and PSIA (knowledge of OP 8.60) Gender in PSIA Policy-formulation process and public budgets Multi-donor trust funds Monitoring and evaluation in PSIA Proposed Duration: Methodology: Formal instruction, Workshop on case studies of PSIAs. Mentoring with extensive field exposure Follow-Up: Participation in ongoing workshops. Method of Evaluation: Participants evaluated by instructor(s) at the end of classroom training Participants’ on-the-job performance evaluated by mentors/supervisors 45 Poverty and Social Impact Analysis (PSIA) Courses Other Resources Contacts and Potential Trainers Poverty and Social Impact Analysis E-learning Course (PREM): PSIA User’s Guide: http://go.worldbank.org/XCVIKCB6Z0 http://go.worldbank.org/IJGPNA0J90 Contacts: TIPS (Tools for Institutional, Political, and TIPS Sourcebook:  Sarah Keener Social Analysis) E-learning course (SDV http://go.worldbank.org/EHV89WB7W0  Rodrigo Serrano-Berthet Dept.): http://go.worldbank.org/MGYN17BMX0 Social Analysis Sourcebook: http://go.worldbank.org/U3HTQOFX00 DPL Academy (3-day course offered through OPCS; includes session on PSIA): http://go.worldbank.org/Q4N86G8VP0 PSIA Learning Course during PREM Week 2010: http://go.worldbank.org/9U51ZVV1B0 Other courses offered by PREM: Joint SDV-PREM website on PSIA Potential instructor:  Public Finance Analysis and (http://go.worldbank.org/39I9SFVEJ0) –  Sabine Beddies Management includes searchable database of PSIA case  Dorte Verner  Medium Term Issues in Public studies, several PSIA-related publications, and  William Reuben (consultant) Finance Management information on events dealing with PSIA.  Making the Most of Your Public Expenditure Review http://go.worldbank.org/1HCN3DA3F1 Potentially useful course:  “Economics for non-economists� (4- day course offered through Asia Knowledge and Learning) 46 Core Training Area 7: Social Analysis and Risk Assessment Name of Course: Social Analysis Objective: In this course, SDV specialists will learn to apply their social analysis skills within the Bank context. Course participants will gain a broad understanding of the role, importance, and key elements of social analysis, and will learn to guide the preparation of effective social analyses. The course will cover a number of tools, methods, and approaches in social development, including broad and meaningful consultations with a variety of stakeholders, and will address both social assessments at the project level and broader social analyses at the country and sector levels. Course participants will become familiar with a variety of participatory methods and approaches to consultation, design, implementation, and monitoring. Finally, course participants will be able to integrate social analysis into all stages of the project cycle. Potential Topics and Skills Covered: Elements/instruments of social analysis Macro-social analyses (PRSP and CAS) Project level (social assessment) Consultation Various participatory approaches to project design, implementation, and monitoring (e.g. Participatory Rural Appraisal, mapping) Entry points to social analysis Social diversity and gender Institutions, rules, and behavior Stakeholders Participation Social risk Outputs of social analysis Social and Institutional Framework Participation Framework Risk Management Framework Integrating social analysis into the project cycle: PCD, PAD, PIP, supervision and monitoring Proposed Duration: 5 days Methodology: Formal coursework Case studies of social analysis Mentoring arrangement: Performing social analysis under supervision 47 Outside course work if available. 1 Follow-Up: Participation in ongoing workshops. Method of Evaluation: Participants evaluated by instructor(s) at the end of classroom training Participants’ on-the-job performance evaluated by mentors/supervisors 48 Social Analysis Courses Other Resources Contacts and Potential Trainers SDV Dept. website on social analysis (http://go.worldbank.org/UDVDOCK3X0). Contains various publications on social analysis at the World Bank, as well as information on tools for conducting  E-learning course: Poverty and social analysis. Social Impact Analysis (PREM)  E-learning course: Tools for World Bank Participation Sourcebook: Institutional, Political, and Social http://go.worldbank.org/ZMEIOTKDM0 Analysis (SDV Dept.) Social Analysis Sourcebook: Potential instructors:  Social Dimensions of Climate http://go.worldbank.org/U3HTQOFX00 Social Assessment: Brighton and Sussex Change Learning Module Universities (suggested by Quang Ngoc Bui) (consists of both face-to-face and Children and Youth Policy Toolkit: online training; contact Carina http://go.worldbank.org/9VTO2QSK61 Bachofen and Edward Cameron Youth-Responsive Social Analysis: A Guidance Note for more information; (http://go.worldbank.org/5PS93A28M0) http://go.worldbank.org/Z3RRG3TUG0) Gender and Development website (contains information on training and events, sourcebooks, and tools; http://go.worldbank.org/I2WWKU7KX0) Operational Risk Assessment Guidance Note on the Operational Risk Assessment Framework (ORAF): Risks to Achieving Results (http://intresources.worldbank.org/INTOPEX/Resources /587625-1278696954025/ORAF_Guidance7.1.10.pdf) Progress Report: Investment Lending Reform – Risk Based Approach. ( http://go.worldbank.org/CGC5VFRSF0) 49 Core Training Area 8: Participation and Social Capital Name of Course: Participation and Social Capital Objective: In this course, SDV specialists will acquire skills and strategies to facilitate the participation of a wide variety of stakeholders in Bank-funded projects and to empower individuals and communities to define their own development priorities. Course participants will gain a broad understanding of what social capital is, why it is important, and the factors that contribute to the quality and quantity of a community’s social capital. They will also learn concrete tools to operationalize and measure social capital as an important development indicator. Finally, course participants will understand the intimate links between social capital and governance and social accountability issues. Potential Topics and Skills Covered: Social Capital: What is it and why is it important? Topics in social capital, including: Crime and violence Water supply and sanitation Health Education Measuring social capital Social accountability and civic engagement Social accountability tools and methods Participatory budgeting Independent budget analysis Expenditure tracking Participatory performance monitoring Tools and methods for participatory monitoring and evaluation Participatory Rural Appraisal Citizen report cards and community scorecards Participatory Poverty Assessment (PPA) Beneficiary Assessment Participation at different levels PRSPs and CAS Development Policy Lending Projects (investment lending) Proposed Duration: 3 days 50 Methodology: Formal coursework Mentoring Follow-Up: Participation in ongoing workshops. Method of Evaluation: Participants evaluated by instructor(s) at the end of classroom training Participants’ on-the-job performance evaluated by mentors/supervisors 51 Participation and Social Capital Courses Other Resources Contacts and Potential Trainers Social Capital website (http://go.worldbank.org/VEN7OUW280). Contains information on tools to operationalize and measure social capital. Social Capital Initiative: Working Paper Series http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTSOC IALDEVELOPMENT/EXTTSOCIALCAPITAL/0,,contentMDK:20 194767~menuPK:418848~pagePK:148956~piPK:216618~theSiteP K:401015,00.html Community of Practice on Social Accountability (COPSA; http://go.worldbank.org/GWIEC9TC60) Participation and Civic Engagement website: http://go.worldbank.org/FMRAMWVYV0 Community Driven Development – WBI Governance Team: Working within a Decentralized http://wbi.worldbank.org/wbi/about/ Framework (O; SDN) topics/governance Sourcebooks:  World Bank Participation Sourcebook: Melissa Williams http://go.worldbank.org/R3WF0ID3N0 Edward Bresnyan  World Bank Social Accountability Sourcebook Robert Chase (http://www.worldbank.org/socialaccountability_sourceboo k/)  Participation and Social Assessment: Tools and Techniques http://go.worldbank.org/N7INBJAZ00  Participatory Learning and Action Toolkit 52 Core Training Area 9: Consultations Name of Course: Consultations Objective: In this course, SDV specialists will learn to conduct effective consultations in order to contribute to comprehensive social analyses and to enhance the sustainability of development projects. Through consultations, SDV staff can identify the potential positive and negative impacts of projects. In addition, course participants will gain strategies to engage with, and ensure the inclusion of, a wide variety of project stakeholders. The course will cover the role and responsibilities of the Bank regarding consultations, the process of consultation (i.e., methods and tools, such as household surveys and focus groups, for conducting effective consultations), and the incorporation of consultation into all stages of the project cycle. Potential Topics and Skills Covered: Identifying potential impacts Identifying stakeholders and their interests Methods for conducting consultations (e.g., public meetings, interviews, focus groups, survey instruments). Incorporating results of consultation into project design and implementation Documenting and disseminating the results of consultations Proposed Duration: 3 days formal presentations and workshops. Methodology: Formal class or workshop (similar to existing courses available through QACU) Analysis of Case studies – reviewing IPPs and IPFs (possibly in group discussions) Mentoring/supervision by social safeguard specialist with experience in IP issues Follow-Up: Participation in ongoing workshops. Method of Evaluation: Participants evaluated by instructor(s) at the end of classroom training Participants’ on-the-job performance evaluated by mentors/supervisors 53 Consultations Courses Other Resources Contacts and Potential Trainers Consultations in Investment Lending: Guidance Note (March 2010; no URL available, but can be found through Bank intranet search) Potential trainers:  John Garrison (contact Social Analysis Sourcebook: Mariana Felicio for more http://go.worldbank.org/U3HTQOFX00 information) EA: Consultation, Participation & TIPS Sourcebook: http://go.worldbank.org/EHV89WB7W0 Disclosure (F; QACU workshop)  International Association http://go.worldbank.org/XGVV8SG930) for Impact Assessment Participation and Social Assessment: Tools and Techniques http://go.worldbank.org/N7INBJAZ00 (contact Quang Ngoc Bui TIPS (Tools for Institutional, Political, and for more information) Social Analysis) E-learning course (SDV EA: Consultation, Participation & Disclosure (F; QACU; Dept.): http://go.worldbank.org/MGYN17BMX0 http://go.worldbank.org/XGVV8SG930 Social Analysis website (through SDV Dept.; contains explanations of various tools and methods, including ones for consultation): QACU contacts: http://go.worldbank.org/8921B8K420  Anna Wilczynski  Diane Flex Participation and Civic Engagement website: http://go.worldbank.org/FMRAMWVYV0 54 55 Core Training Area 10: Basic Bank Processes Name of Course: Basic Bank Processes Objective: In this course, SDV specialists will gain a strong understanding of basic bank processes and procedures. The course will cover a number of areas related to project design – for both investment projects and Development Policy Loans – and project management, including financial management, implementation status and completion reports, the Bank’s disclosure policy, communication in development, and trust fund management. Potential Topics and Skills Covered: Project design – investment projects and DPLs Fundamentals of Bank operations Financial management Procurement Disbursement eConsult Legal agreements Bank disclosure policy Communication in development Implementation status and completion reports Trust fund management Proposed Duration: Methodology: Follow Up: Method of evaluation: 56 General Bank Processes and Procedures Topic Category Courses and Other Resources OPCS Investment Lending courses (http://go.worldbank.org/MSHVBH2AU0):  Project Planning and Preparation -Investment Lending (F; 1 ½ days) Investment Projects  SWAps (F; 1-day course; OPCS) (including SILs, SWAPs, APLs) QACU Safeguards Training Program (http://go.worldbank.org/XGVV8SG930): Project  SWAps and Safeguards (F; QACU) Design Some topics covered in the May 2010 DPL Academy; (http://go.worldbank.org/Q4N86G8VP0):  Designing Development Policy Operations – Team Exercise Development Policy  Nuts and Bolts of Designing Development Policy Operations Loans  Poverty, Social, and Environmental Aspects of Development Policy Lending  Results Focus and Monitoring & Evaluation OPCS Fundamentals of Bank Operations: http://go.worldbank.org/FB18PLZ300  Fundamentals of Bank Operations (O; OPCS)  Fundamentals of Bank Operations Workshop (F; OPCS; 2-day course) Basic Orientation  Preparing ISRs: Project Starting October 2010, OPCS will begin training sessions on the (Select from among Management new ISR template: http://go.worldbank.org/PMOE15JPM0 these offerings) Course descriptions on Bank’s learning portal (http://mylearning):  ECA/AFR Implementing Projects for Results (F)  ECA Fundamentals of Bank Operations (F)  Project Management (O; Client Engagement and Team Learning) OPCS FM sector courses: http://go.worldbank.org/6YVWWLDDG0  Orientation Program in Financial Management (O; OPCS)  Project Financial Management for Task Leaders (F; OPCS FM sector) Procurement Training: Project http://go.worldbank.org/DP46B2D8Z0 Management  Fundamentals of Operational Procurement (F; OPCS – 3 days; Fiduciary Issues offered monthly) (continued)  Simple Procurement Methods Course (OPCS - ) Prerequisite : Fundamentals (see above). To be offered by OPCS from November 2010.  Writing Terms of Reference (TOR) in procurement (O; General Services)  Using eConsult (ISG): http://go.worldbank.org/OBCZKEPQH0 Disbursement courses:  ECA Clinics for Operational Staff (F; http://mylearning) 57  Essentials of Disbursement for Operations Staff (OPCS FM sector; http://go.worldbank.org/KBL8W4TXZ0)  Disbursement in the Evolving Business Model: Policy and Implementation (OPCS FM sector; http://go.worldbank.org/KBL8W4TXZ0) Introduction to Legal Agreements, covenants, subsidiary agreements. Project Note: there does not appear to be training regularly offered in this Management Legal Agreements area. (continued)  Legal Resource Center (in Legal VPU): http://go.worldbank.org/ISAHA91M10 Safeguards Policies Training Program (organized by QACU): http://go.worldbank.org/XGVV8SG930 Project  Access to Information Policy & Safeguards (F; QACU) Management Bank Disclosure  EA: Consultation, Participation & Disclosure (F; QACU) (continued) Policy  Safeguards Training for ECA ACS Staff (F)  Lessons Learned from Inspection Panel Cases (F; QACU)  Processing Integrated Safeguards Data Sheet (ISDS) (F; QACU)  EA: Consultation, Participation & Disclosure (F; QACU; Project http://go.worldbank.org/XGVV8SG930) Management Consultation and  Managing Political Risk (F; offered through External Affairs; (continued) stakeholder analysis deals with stakeholder engagement; http://mylearning) Descriptions at http://mylearning:  Communication and GAC Implementation (F; EXT and Comm. Network)  Development Communications to Enhance Projects Design and Results (F) Project Management Communication in QACU workshop (http://go.worldbank.org/XGVV8SG930): (continued) Development  Project Communications Strategy in the Context of Safeguards (F) CommGAP website: http://go.worldbank.org/CQQNDNJW40 Descriptions at http://mylearning:  ECA Implementation Completion and Results (ICR) Report Project Workshop (F) Management Implementation  ECA/AFR Implementing Projects for Results (F) (continued) Completion Reports OPCS Course (http://go.worldbank.org/MSHVBH2AU0)  Implementation Completion and Results Reporting (F) 58 Trust Fund Learning and Program (http://go.worldbank.org/MWZVIIXNJ0) EAP-SAR RM Fundamentals of Trust Funds course -- HQ -- September 28 - 29, 2010; http://mylearning) Project Management Trust Fund OPCS FM Sector (http://go.worldbank.org/6YVWWLDDG0): (continued) Management  Financial Management for Trust Funds (TFs) & Development Grant Facility (DGF)-financed operations (F) Contact: Alaleh Motamedi (working on updating procurement training) Note: Face-to-face courses denoted by “F�; online courses denoted by “O� 59 Annex D- Monitoring and Evaluation Several indicators could be used for monitoring and evaluating the training and accreditation of SDV staff. It is important that everyone involved in the core training and accreditation program – from trainees to instructors to managers – be given the opportunity to evaluate its effectiveness. Those participating in the training could be supplied with questionnaires before, during, and after the program. The participants would use the initial questionnaire to indicate what they hope to achieve from the training program, the areas they least understand, and their preferred methods of learning. Throughout the program, the participants could also use questionnaires or other kinds of survey instruments to supply ongoing comments and questions to their instructors. After the program, a final questionnaire could be used to gather the participants’ feedback on the overall quality and effectiveness of the program, as well as the utility of specific content areas. In addition, the trainers themselves should be evaluated by trainees. This was a point of emphasis among some SDV staff, who noted that not all senior staff are necessarily good instructors and mentors. Recruiting effective, experienced, and knowledgeable trainers – and then having their performance evaluated – is an essential component of the training program. The trainees could also be evaluated both during and after the program. During training, instructors would likely be in the best position to evaluate the participants. In addition, managers could assess the effectiveness of the program, as well as the knowledge and skills of the trainees, through various means. They could, for example, administer some sort of written or oral examination (though see Annex X for staff reactions to this idea) or require the trainee to perform a task under supervision. In addition to the direct indicators presented above, it is critical that the training program be evaluated more indirectly – that is, through the actual job performance of SDV staff after their training. Several SDV staff suggested that an effective method of M&E would be to have the trainee’s performance on an unaccompanied mission evaluated by an instructor or mentor. In some sort of mentoring arrangement, for example, the mentor would be in the best position to evaluate the performance of the junior staff member. Whatever way it is measured, on-the-job performance is the best means of evaluating the core training program. 60 Annex E - Staff Attitudes about training and accreditation Many focus group participants and questionnaire respondents reacted strongly to suggestions of accrediting competence in SDV. Some were opposed to the very idea of accreditation, arguing that their academic and professional credentials, as well as their on-the-job performance, have effectively established their competence in SDV issues and methods. One focus group participant argued that caccrediting someone who already has an advanced degree in the social sciences does not make sense. Another believed that accreditation is an overly mechanical solution to problems that are inherently contextual, requiring sound judgment based on years of experience. One common reaction, expressed in both the questionnaires and focus groups, was that any kind of accreditation should be done at the time of hiring and in promotions to higher grade levels. After basic competence is verified in the hiring process, SDV specialists could then take additional courses to learn how to adapt their basic social science skills to specific tasks (e.g., social assessments). A few respondents felt that the Bank’s hiring practices have not ensured that all SDV staff are adequately trained in social science methods. Reflecting this view, one SDV specialist stated, “You cannot substitute accreditation for good HR management.� Many also felt that TTLs, not just SDV specialists, should be accredited in recognizing and dealing with social issues. Several people responded more favorably to the idea of accreditation in SDV, noting that they already undergo mandatory accreditation in such things as procurement and trust fund management. Others also believed that some sort of accreditation is necessary, but stressed the difficulties in designing and implementing effective methods of accreditation. A common view was that the standards for accreditation should be set sufficiently high; otherwise, accreditation could actually be counterproductive, in that it would suggest a degree of competence that does not exist. One focus group participant, likewise, argued that any approach to accreditation should clearly articulate what is being accredited. In her view, accreditation should not be used to label people as “experts� in social safeguards or broader social sustainability issues. Rather, accreditation should reflect a basic competence in certain core areas. The focus group participants were generally opposed to the idea of accrediting competence through oral or written examination. It is much better, many argued, to measure employees by what they have actually done, rather than requiring them to pass a test. Some believed that carrying out a task under supervision – and then having that task evaluated – is the best means of accreditation. Many focus group participants and questionnaire respondents agreed that some sort of mentoring arrangement (or a combination of modalities, one of which being mentoring) is the best way to ensure competence in SDV. Many, for example, advocated the use of field-based or experiential learning, in which junior staff accompany their senior colleagues on missions. The mentor could then rate the performance of the junior staff member. It was occasionally noted, however, that not all senior employees are necessarily good mentors. One questionnaire respondent felt that mentors should also be evaluated by their mentees. 61 Annex - F - Methodology The findings presented in this report are based in part on data and ideas collected from several sources, including questionnaires, focus groups, interviews, informal contacts, and the Bank’s intranet. A questionnaire (Annex F) was sent to all SDV staff, of whom 22 (as of July 2010) have replied. Several topics related to social sustainability and safeguards, as well as available training in these areas, were covered. Box 1 contains a brief summary of the content of the questionnaire Box 1 – Contents of Questionnaire 1. Primary social sustainability issues (e.g., gender, governance and accountability) encountered in the respondent’s work 2. Tools and methodologies (e.g., social assessment) important to the respondent’s work 3. Primary social safeguards issues (indigenous people, involuntary resettlement, cultural property) encountered in the respondent’s work 4. The safeguards issues least understood by TTLs and clients, respectively 5. Training materials (e.g., sourcebooks, PPT presentations) in specific social sustainability and safeguards issues familiar to the respondent 6. Trainers in specific social sustainability and safeguards issues familiar to the respondent 7. The best methodology for training SDV staff in core competencies 8. The best methodology for accrediting SDV staff in core competencies The questionnaire was structured in an open-ended manner. That is, it did not limit respondents to “yes- or-no� answers or merely indicating with a check-mark the issues important to them. After receiving the questionnaires, the most salient points were compiled in a single document and analyzed. In addition to the questionnaires, SDV specialists and TTLs provided valuable feedback in a series of focus groups. Three focus groups were held with the following composition and number of attendees: 1. SDV specialists with expertise in social safeguards (11 participants) 2. SDV specialists, not necessarily with expertise in safeguards (9 participants) 3. TTLs whose work deals significantly with social issues (5 participants) The focus groups each lasted approximately 1 ½ hours and were all semi-structured discussions of a wide range of topics and methods in social development. The participants received handouts of PPT slides, intended to guide the discussion and stimulate responses, as well as to provide space for additional comments. 62 In addition to the focus groups, about ten people were interviewed individually. Several of these interviews were intended to gain perspectives not adequately represented in the focus groups and questionnaires. It became clear, for example, that SDV specialists with experience preparing DPLs had not been sufficiently sampled. This deficiency was at least partly corrected through individual interviews. A large number of informal contacts (via email, over the phone, and in person) provided additional information on a variety of topics. With one exception (an interview with several members of the Inter- American Development Bank), all of the focus group and interview participants, as well as all questionnaire respondents, were World Bank Staff. The authors have also taken stock of existing training courses and other modalities, as well as training materials (e.g., PPT slides), in SDV topics. Information about these resources came through the questionnaires, focus groups, individual interviews, and informal contacts. In addition, the authors undertook a comprehensive search of the Bank’s intranet for courses and training materials in SDV topics. Among the websites visited were those of the regional VPUs, PREM, QACU, SDN, SDV Department, WBI, HR, the Bank’s Learning Portal, and the DPL Academy. Many of these units have also posted PowerPoint presentations and other training materials on their sites; these materials (primarily those used in the past three years, i.e. from FY08 to FY10) were systematically collected. In addition, LCR-SAT has compiled a directory of nearly 200 PPT presentations on social sustainability and safeguards issues. This directory is an invaluable storehouse of materials for training in SDV (Annex X). Finally, biographical information on SDV staff was collected with the assistance of the Human Resources Department. The information collected includes formal education (highest degree obtained) and grade.1 . 1 The authors learned that data on staff qualifications is not extensive and what exists is possibly not reliable. Data on degrees held, background, employment history, languages spoken and other biographical data available on the Bank’s Intranet are self-reported and are open to varying reporting standards. As reported below, a comparison was made between staff mapped to SDV on the assumption that most of them are trained as non-economist social scientists. However, there are many exceptions. Some SDV staff are trained in economics, international relations and other fields as well as the more traditional sociology, anthropology, political science. A comparison was made to economists on the Bank’s staff by using the subset of staff mapped to PREM as a proxy for staff trained in economics. Clearly, the comparison between staff mapped to SDV and those mapped to PREM is only as valid as the assumptions made. 63 Annex G - A Brief Foray into the Sociology of Knowledge in the World Bank A strong, well-trained SDV staff is essential to the successful fulfillment of the Bank’s mandates and policies regarding social development. Staff are practically unanimous in stating that the most effective training tool is actual participation in operations as part of task teams -- in other words, on-the-job training. This view is held by relatively new staff, more experienced staff, and by persons involved in training efforts. It is held by both producers and consumers of Social Development analysis. One issue raised frequently by SDV staff is a perception of bias against inclusion of SDV staff on operational teams. (See Annex I for a detailed discussion of this issue). SDV staff are seen as young, idealistic, inexperienced, and their inputs are seen as impractical and time-consuming. There is a close identification between SDV staff and the triggering of social safeguards, an area fraught with negative feelings. As a consequence SDV staff are frequently not included on Operational Teams or they are included at the last minute when the possibility for a meaningful input is greatly reduced. There was widespread agreement among SDV and other staff tht experience in project design as far upstaream as possible is highly desirable. This is inhibited, to some extent, by staff attitudes and also by the overload of work. To some extent, SDV staff have difficultyacquiring pracical experience, partly because there are perceptions and informal practices that preclude SDV staff from full participation in project design and preparation. Social development, with its close identification with the social safeguards, is seen by many TTLs as a brake on efficient project preparation and SDV specialists are often looked upon with some suspicion. As a consequence, SDV specialists may not participate in preparation until it is already well advanced. It is important, therefore, that Bank staff and management become convinced that SDV staff are not problems but problem solvers. 64 Annex H -- Example of a Field Based-Workshop Program (Brasília, Brazil July 2010) DAY 1 Presentations: o Introduction and general aspects of Bank safeguards o Aspects of implementation of Environmental Management Plans in urban infrastructure projects o Regarding the discussion of environmental safeguards Group Work Case Studies – Environmental area Presentation of working group results and general discussion DAYS 2 and 3 (morning) Presentations:  Involuntary Resettlement Policy - Basic Principles  Involuntary Resettlement - Legal Framework  Technical aspects of design and implementation of Involuntary Resettlement Plan  Consultation and Participation  Presentation of two projects involving good resettlement practices  Case Studies - Social aspects  Presentation of working group results and general discussion Main lessons learned from the workshop During these presentations other groups had an opportunity to express views, and the Bank team was able to provide specific comments aimed at improving the application of safeguards. Key lessons concerning safeguards compliance during Project implementation The following items were judged to be the key points which needed to be addressed and resolved in the course of implementing environmental and social safeguards. (a)Institutional Capacity  Importance of exchanging experiences, with examples of good practices and problems faced  Difficulty with subjectivity in the environmental classification of projects  Need for training managers in safeguard policies. (b)Legal Framework  Need to clarify the safeguard equivalences between Brazilian law and Bank safeguards (if possible, documenting them)  Incompatibility between Brazilian environmental legislation and Bank safeguards  Safeguard policies generally understood, but many doubts remaining about how to implement such policies in actual projects (c) Project Management o Difficulties encountered in the licensing process and problems with the environmental agency o The need to integrate technical and engineering project concepts with environmental and social analyses at the design and implementation stages (the importance of integrated analysis of alternatives) (d) Policy decisions not consistent with technical aspects. o Lack of prioritization of environmental and social components in the project works o Suggestion to make works disbursements contingent on the effective undertaking of social and environmental activities o Need for greater presence of the Bank during implementation, to guide and discuss technical, social and environmental aspects o Need for improved definition and strengthening of institutional arrangements o Need to strengthen social work targeted at resettlement  Project scope to be in line with funding sources and implementation timelines. Abridged from the Original. Courtesy: Kennan Rapp 65 Annex I - Budget The following Tables (see below) present a preliminary budget for providing training for accreditation to SDV staff over a four year period, starting in FY 2011 and ending in FY 2014. This is based on the assumption that it will be possible to reach agreement during FY 2011 and to begin offering advanced training in Core Social Development areas during FY 2011. The costs are based mainly on the assumption that training will be developed and given by specialists inside and outside the Bank. The budgets do not distinguish between variable costs for external consultants and the cost of staff weeks of Bank staff. This will depend on the mix of specialists who will be recruited to provide the training and also their availability. The staff weeks allocated to each topic can be divided among several specialists or a few. The number of staff weeks is highest during the first year when the courses are developed and training materials prepared. Resources are provided for junior-level consultants or JPAs who would do the organizational work of setting up training programs including reserving rooms, arranging for audiovisuals, registering trainees, securing video hookups for trainees not located in field offices, training materials, etc. A modest budget is also provided for video connections, materials and refreshments. The original spreadsheets from which the tables were made are available so that different values can be easily plugged in. The budget does not include the cost of mentorship although this would be an important part of many, if not all, of the advanced training programs. The reason for not including mentors is that there is (or has been) a separate source of funds for mentors that – presumably –the SD network can access. The costs of mentoring are primarily staff-weeks of senior staff who serve as mentors as well as travel to allow trainees to accompany their mentors or missions in the field. It is difficult to predict the costs involved in such programs, but it could easily add up to costs on the order of magnitude of $100,000 per year. This number is used below as very rough indicators of costs. The total cost estimate for advanced training is summarized in the following table (see below for the basis of these figures). Year Formal Training Mentorship and Total Travel FY2011 $100,000 $50,000 $150,000 FY2012 $48,000 $100,000 $148,000 FY2013 $52,500 $110,000 $162,500 FY2014 $52,500 $100,000 $152,500 TOTALS $253,000 $360,000 $613,000 This rough estimate of costs would probably require about $613,000 in variable costs for the full period. This includes an estimated $360,000 for mentoring and associated travel. The reader should take note that these numbers are indicative only and may not correspond to the actual costs of training. 66 SDV TRAINING FOR ACCREDITATION - ESTIMATED ANNUAL BUDGET - YEAR 0* Year 0 (FY 2011) Senior Materials, Junior Total for Consultants Refresh- unit cost Consultant unit cost Year 0 and Senior ments, or JPA (USD) Staff Video Charges Rate Staff Rate Core Social Development Areas Staff Weeks (USD) Weeks (USD) Kit USD Poverty Assessment 1 $6,000 2 $1,600 $200 $9,400 Social Analysis 1 $6,000 2 $1,600 $200 $9,400 Inclusion and Social Equity 1 $6,000 2 $1,600 $200 $9,400 Issues in Governance 1 $6,000 2 $1,600 $200 $9,400 Issues in Climate Change 1 $6,000 2 $1,600 $200 $9,400 Workshop on Social Sustainability 1 $6,000 2 $1,600 $200 $9,400 Safeguard Policies Involuntary Resettlement 1 $6,000 2 $1,600 $200 $9,400 Indigenous Peoples 1 $6,000 2 $1,600 $200 $9,400 Environmental Safeguards 1 $6,000 2 $1,600 $200 $9,400 Safeguards Workshop 2 $6,000 2 $1,600 $200 $15,400 TOTAL $100,000 This table omits costs for mentoring including salary and travel. 67 SDV TRAINING FOR ACCREDITATION - ESTIMATED ANNUAL BUDGET - YEAR I* Year I (FY 2012) Senior Materials, Junior Total for Consultants Refresh- unit cost Consultant unit cost Year I and Senior ments, or JPA (USD) Staff Video Charges Rate Staff Rate Core Social Development Areas Staff Weeks (USD) Weeks (USD) Kit USD Poverty Assessment 0.5 $6,000 1 $1,600 $200 $4,800 Social Analysis 0.5 $6,000 1 $1,600 $200 $4,800 Inclusion and Social Equity 0.5 $6,000 1 $1,600 $200 $4,800 Issues in Governance 0.5 $6,000 1 $1,600 $200 $4,800 Issues in Climate Change 0.5 $6,000 1 $1,600 $200 $4,800 Workshop on Social Sustainability 0.5 $6,000 1 $1,600 $200 $4,800 Safeguard Policies Involuntary Resettlement 0.5 $6,000 1 $1,600 $200 $4,800 Indigenous Peoples 0.5 $6,000 1 $1,600 $200 $4,800 Environmental Safeguards 0.5 $6,000 1 $1,600 $200 $4,800 Safeguards Workshop 0.5 $6,000 1 $1,600 $200 $4,800 TOTAL $48,000 68 This table omits costs for mentoring including salary and travel. 69 SDV TRAINING FOR ACCREDITATION - ESTIMATED ANNUAL BUDGET YEAR II* Year II (FY 2013) Senior Materials, Junior Total for Consultants Refresh- unit cost Consultant unit cost Year II and Senior ments, or JPA (USD) Staff Video Charges Rate Staff Rate Core Social Development Areas Staff Weeks (USD) Weeks (USD) Kit USD Poverty Assessment 0.5 $6,500 1 $1,800 $200 $5,250 Social Analysis 0.5 $6,500 1 $1,800 $200 $5,250 Inclusion and Social Equity 0.5 $6,500 1 $1,800 $200 $5,250 Issues in Governance 0.5 $6,500 1 $1,800 $200 $5,250 Issues in Climate Change 0.5 $6,500 1 $1,800 $200 $5,250 Workshop on Social Sustainability 0.5 $6,500 1 $1,800 $200 $5,250 Safeguard Policies Involuntary Resettlement 0.5 $6,500 1 $1,800 $200 $5,250 Indigenous Peoples 0.5 $6,500 1 $1,800 $200 $5,250 Environmental Safeguards 0.5 $6,500 1 $1,800 $200 $5,250 Safeguards Workshop 0.5 $6,500 1 $1,800 $200 $5,250 TOTAL $52,500 This table omits costs for mentoring including salary and travel. 70 SDV TRAINING FOR ACCREDITATION - ESTIMATED ANNUAL BUDGET - YEAR III* Year III (FY 2014) Senior Materials, Junior Total for Consultants Refresh- unit cost Consultant unit cost Year III and Senior ments, or JPA (USD) Staff Video Charges Rate Staff Rate Core Social Development Areas Staff Weeks (USD) Weeks (USD) Kit USD Poverty Assessment 0.5 $6,500 1 $1,800 $200 $5,250 Social Analysis 0.5 $6,500 1 $1,800 $200 $5,250 Inclusion and Social Equity 0.5 $6,500 1 $1,800 $200 $5,250 Issues in Governance 0.5 $6,500 1 $1,800 $200 $5,250 Issues in Climate Change 0.5 $6,500 1 $1,800 $200 $5,250 Workshop on Social Sustainability 0.5 $6,500 1 $1,800 $200 $5,250 Safeguard Policies Involuntary Resettlement 0.5 $6,500 1 $1,800 $200 $5,250 Indigenous Peoples 0.5 $6,500 1 $1,800 $200 $5,250 Environmental Safeguards 0.5 $6,500 1 $1,800 $200 $5,250 Safeguards Workshop 0.5 $6,500 1 $1,800 $200 $5,250 TOTAL $52,500 This table omits costs for mentoring including salary and travel. 71 72