0sol3 M40C9E WORKING A Practical Guide to Operational Collaboration between The World Bank and Non-governmental Organizations Operations Policy Department, World Bank March 1995 WORKING WITH NGOs c ~~~~~'*sl 11, I J3 I 99 _ _ _ _ _ _ _ _ _ I A PRACTICAL GUIDE TO OPERATIONAL COLLABORATION BETWEEN THE WORLD BANK AND NON-GOVERNMENTAL ORGANIZATION BY CARMEN MALENA NGO UNIT, OPRPG WORLD BANK I.,.) I I i tI Table of Contents FORWARD SUMMARY OF KEY POINTS 1. INTRODUCTION 11. WHY THE WORLD BANK WORKS WITH NGOs III. HOW THE WORLD BANK WORKS WITH NGOs IV. KEY ISSUES IN WORKING WITH NGOs A. Identifying an appropriate NGO partner B. Time issues C. Flexibility issues D. Financial issues E. Procurement and disbursement issues F. NGO-Government relations G. Importance of clearly defined roles and responsibilities H. Contractual/legal issues 1. Capacity-building ANNEX ES I. World Bank policies and procedures which refer to NCOs II. Operational Directive 14.70-InvJolvling NrGOs in Bank-Supported Activyities lIl. Informational resources of the NGO Unit, OPRPG IV. Sample methodology for conducting an NGO sector study V. Sample NGO selection criteria VI. Sample criteria for assessing the capacity of CBOs VII. PAPSCA procurement procedures VIII. Example of a simplified bidding contract IX. NGO Cell of the Bihar Plateau Development Project-Terms of Reference and Organizational Structure X. Example of a simplified contract with a village group (in French) LIST OF PROIECTS REFERRED TO IN THE GUIDE LIST OF BANK STAFF WHO PROVIDED INPUT BIBLIOGRAPHY 3 -A ForvNd rcl The purpose of this document is to flag key issues and describe emerging practices in the World Banks operational collaboration with non-governmental organization (NGOs). It is intended as a practical guide to help Task Managers better understand both the benefits and challenges of working with NGOs. The first three sections of the guide briefly introduce the develop- ment NGO sector, and outline why and how the World Bank works with NGOs. The fourth and final section identifies nine issues considered key to successful collaboration with NGOs. Case-studies are used to illustrate problems, best practices and lessons learned. A box at the end of each sub-section summarizes key points and, in some cases, indiicates suggestions for further reading. Included in the annex are practical resources such as a sample methodology for conducting an NGO sector study. as well as sample NCO selection criteria, bidding documents and contracts. This guide will be revised and updated over time and additional information and materials will be incorporated as they become available. Task managers and other Bank staff are encouraged to forward comments and suggestions to the NGO Unit of the Operations Policy Department (OPRPG). Contributions of case-studies, innovative practices and lessons learned which could be used to enhance future editions of the guide are particularly welcome. 5 6 - - - . - - - - Summary of Key Points 1. INRI)I)UOLL(ION *NGO is a broad term encompassing a wide array of diverse organizations. * The World Bank defines NGOs as "private organizations that pursue activities to relieve suffering, promote the interests of the poor, protect the environment, provide basic social services or undertake community development". . The World Bank collaborates with CBOs, national and international NGOs in a variety of different ways. * Achieving the full potential benefits of NGO involvement implies enhanced roles for NGOs earlier on in the project cycle. IL.WH IHF W()RLI) BANK WORKS WITH NGOs * NGO involvement can contribute to the sustainability and effectiveness of Bank-financed projects by introducing innovative approaches and promoting community participation. * NGOs can help expand project uptake and reach, and can facilitate greater awareness of diverse stakeholder views. III.Ho(TvI m WOnRII) B tNk WORIR%IHl NGOs> •NGOs are active contributors to the Bank's economic and sector work (ESW) and participate in lending activities from identification through to evaluation. * Currently, NGO involvement is most frequent during implementation. Evidence shows. however, that NGOs can provide particularly valuable input during project identification and design. • Where NGOs are expected to participate in implementation, they should also be consulted during design. IV.KiN IS SI! IN WO)RKIN(, wi[II NGOs A. Identifying an appropriate NGO partner * Selecting an appropriate NGO partner involves: i) gathering information about the NGO sector; ii) establishing relevant selection criteria. and; iii) choosing a suitable selection process. * Clear selection criteria should be established based on specific project needs. * Organizational capacity should be assessed according to an NGO's proven track record, not its stated goals. * It is important to identify 'capacity-building" needs and strategies. * Maximum transparency should be ensured in the selection process. __ 7 B. Time issues * Be prepared for possible extra staff/time needs early on in the project cycle. * Be aware of potential time lags/delays and the risk they pose to participatory processes. * Ensure NGOs have an adequate understanding of project time-frame and deadlines. C. Flexibility issues * Seek NGO/community input early on in the project cycle. * Establish clear mechanisms for responding to local views and needs. * Use mid-term review process to adapt project priorities/processes as necessary according to local input. * In areas where NGOs have a recognized comparative advantage. take steps to maximize their institutional autonomy. D. Funding issues * NGOs are generally cost-effective. They should not, however, be viewed as a "low-cost alternative" to other types of implementing agencies. * NGOs should not be expected to provide services free of charge or at lower than market rates (unless according to a co-financing agreement). * Clarify the expected status of NGO involvement (e.g.: informal unpaid advisor, paid consultant, contractor, etc.) from the outset. * Establish mutually acceptable fees and overhead costs. E. Procurement and disbursement issues * Use simplified bidding documents, where appropriate. * Consider the use of alternative procurement practices. * If necessary, make provisions for advance payments. * Provide training for NGOs in procurement and disbursement procedures. F. NGO-Government relations * Consider conducting a state-NGO relations study. * Keep in mind that government-NGO collaboration is not possible/ desirable in all cases. * Always seek government-NGO complementarity. * Understand how governmient policies influence the NGO sector and, where possible, promote an enabling environment for NGOs. G. Importance of clearly defined roles and responsibilities * Share all relevant project documents with participating NGOs. * Consider the appointment of an NGO liaison officer. * Organize a government-Bank-NGO information-sharing workshop. -8 H. Contractual/legal issues * Adapt standard contract agreements as necessary to meet specific needs of NGOs/comnmunity groups. * Write contracts in simple language. * Consider using a Memorandum of lJnderstanding or other alternative form of contract. 1. Capacity-building * Consult with NGOs on appropriate strategies to support their institutional development. * Where appropriate, build a training component for NCOs into project design. * Encourage partnerships between international and local NGOs. * Promote networking and information-sharing among NGOs. 9 - . - I ~~~ OL -- - -- - -1 1. INTRODUCTION 1~~~~~~~~~~~~~~~~~~~1 , .. tI~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ !~~~~~~~~~~~~~~~~~~~~~~~~~~~ 12 _ 1. I N I K()l l 1(I )N Since the 1970s, operational collaboration with NGOs has become an increasingly important feature of Bank-financed activities. Grow- ing collaboration with NGOs can be attributed to the expanding role and influence of the NGO sector generally, as well as increasing recognition within the World Bank as to the specific benefits which NGO involvement can bring to Bank-financed operations. Between 1973 and 1988, only six percent of Bank-financed projects involved NGOs. In 1993 over one third of all approved projects included some form of NGO involvement, and in 1994 this percentage increased to one half. These figures show the frequency of Bank-NGO collabora- tion, but give little indication of the quality or depth of that interac- tion. In many cases, the roles played by NGOs are quite minor and frequently limited to project implementation. Achieving the full potential benefits of NGO collaboration implies enhanced roles for NGOs earlier on in the project cycle. Official advice or guidelines for operational staff who work or seek to work with NGOs is presently limited.' World Bank policies and procedures have been developed to allow the Bank to work effectively with its principal partners-borrowing governments and for-profit private sector firms. As NGOs are in many ways distinct from both government and the private sector, standard Bank operational guidelines are not always well-suited to effective NGO collaboration. As a result, while operational collaboration with NGOs brings many benefits to Bank work, it also raises a number of issues and chal- lenges for operational staff. The purpose of this paper is to draNw lessons from past experiences of collaboration between the World Bank and NGOs which may be of practical use to operational staff. The paper is composed of four parts. Part I provides a general introduction to NGOs for those readers unfamiliar with the sector. Part 11 outlines the potential benefits which NGOs can bring to Bank- financed projects. Part Ill describes the specific roles which NCOs can play at various stages of the project cycle. Finally, Part IV identifies key issues faced by operational staff in working with NGOs and describes emerging practices. Definition-The World Bank defines NGOs as 'private organizations that pursue activities to relieve suffering, promote the interests of the poor, protect the environment, provide basic social services, or undertake community development".2 In wider usage, the term NGO can be applied to any non-profit organization which is independent from government. NGOs are typically value-based organizations 13 which depend, in whole or in part, on charitable donations and voluntary service. Although the NGO sector has become increasingly professionalized over the last two decades, principles of altruism and voluntarism remain key defining characteristics.; Categories of NGOs-The term NGO is very broad and encomii- passes many different types of organizations. In the field of develop- ment, NGOs range from large, Northern-based charities such as CARE, Oxfami and World Vision to community-based self-help groups in the South. They also include research institutes, churches, professional associations and lobby groups The World Bank tends to interact with two main categories of NGOs: i) operational NGOs- whose primary purpose is the design and implementation of develop- ment-related projects, and; ii) advocacy NGOs-whose primary purpose is to defend or promote a specific cause and who seek to influenice the policies and practices of the Bank. The focus of this paper is operational collaboration, as opposed to policy dialogue with NGOs. As a result, the emphasis here will be on the first of these groups. It should be noted, however, that these two categories are not mutually exclusive. A growing number of NGOs engage in both operational and advocacy activities, and some advocacy groups, while not directly involved in designing and implementing projects. focus on specific project-related concerns. Operational NGOs-The World Bank classifies operational NGOs into three main groups: i) community-based organizations (CBOs)-which serve a specific population in a narrow geographic area; ii) national organizations-which operate in individual developing countries, and; iii) international organizations-which are typically headquartered in developed cotintries and carty out operations in more than one develop- ing country.4 Throughout the 1970s and 1980s. most examples of World Bank-NGO collaboration involved internationial NGOs. In recent years, however, this trend has been reversed. Among projects involving NGO collaboration recorded in FY94, 40U involved CBOs, 70%/o involved national organizations and 10%/6 involved international organizations.' CBOs (also referred to as grassroots organizations or peoples' organizations) are distinct in nature and purpose from other NGOs. While national and international organizations are 'intermediary" NGOs which are formed to serve others; CBOs are normally "member- ship" organizations made up of a group of individuals who have joined together to further their own interests (e.g.: women's groups, credit circles, youth clubs, cooperatives and farmer associations). In the context of Bank-financed activities, national or international 14 NGOs are normally contracted to deliver services, design projects or conduct research. CBOs are more likely to be the recipients of project goods and services. In projects which promote participatory develop- ment, grassroots organizations play the key function of providing an institutional framework for beneficiary participation. Cl30s might, for example: be consulted during design to ensure that project goals reflect beneficiary interests; undertake the implementation of community-level project components; or receive funds to design and implement sub-projects. Many national and international NGOs work in partnership with CBOs-either channeling development resources to them or providing them with services or technical assistance. Such NGOs can play a particularly important role as intermediaries" between CBOs and institutions such as the World Bank or government. NGO Typologies--lndividual operational NGOs vary enormously according to their purpose, philosophy, sectoral expertise and scope of activities." A number of different NGO typologies exist. For example, NGOs have been classified according to whether they are more relief or development-oriented; whether they are religious or secular: whether they stress service deliveryv or participation and whether they are more public or private-oriented. Sources for further reading on NCO typologies are listed at the end of this section. NGO strengths and weaknesses-Because the nature and quality of individual NGOs varies greatly, it is extremely difficult to make generalizations about the sector as a whole. Despite this diversity. some specific strengths generally associated with the NGO sector include the following: - strong grassroots links; - field-based development expertise; - the ability to innovate and adapt; - process-oriented approach to development; - participatory methodologies and tools; - long-term commitment and emphasis on sustainability; - cost-effectiveness. The most commonly identified weaknesses of the sector include: - limited financial and management expertise; - limited institutional capacity; - low levels of self-sustainability; - isolation/lack of inter-organizational communication and/or coordination; - small scale interventions; - lack of understanding of the broader social or economic context. (Clark, 1991) 15 Size and influence of the NGO sector - Over the past several decades. NGOs have become major players in the field of international development. Since the mid-1970s, the NGO sector in both developed and developing countries has experienced exponential growth. From 1970 to 1985 total development aid disbursed by international NGOs increased ten-fold. In 1992 international NGOs channeled over $7.6 billion of aid to developing countries. It is now estimated that over 15 percent of total overseas development aid is channeled through NGOs. While statistics about global numbers of NGOs are notoriously incomplete, it is currently estimated that there is somewhere between 6,000 (Cezelius and Millwood. 1991, p. 282) and 30.000 (Dichter, 1991. p. 69) national NGOs in developing countries. CBOs across the developing world number in the hundreds of thousands. KEY POINTS_I NGO is a broad term encompassing a wide array of diverse organizations. - The World Bank defines NGOs as "private organizations that pursue activities to relieve suffering, promote the interests of the poor, protect the environment, provide basic social services or undertake community development". -e The World Bank collaborates with CBOs, national and international NGOs in different ways. - Achieving the full potential benefits of NGO involvement implies enhanced roles for NGOs earlier on in the project cycle. I FURTHER READING7 - David Brown and David Korten, Understanding toluntary Organizations: Guidelines for Donors. - Thomas Carroll, Intermediary NGOs. John Clark, Democratizing Development. - Milton Esman and Norman Uphoff, Local Organizations: Intermediaries in Rural Development. - David Korten, Getting to the 21st Century: Voluntary Action and the Global Agenda. 16 II. WHY 'THE WORLD BANK WORKS WITH NGOs -_ - - - - - - - - - - - - - 17 AL C- ; 0 11. WliY THE WORID BANK WOiR,I wNiii NGOs Operational Directive 14.70, entitled Involving NGOs in Bank- Supported Activities (See Annex II). states that "staff are encouraged whenever appropriate to involve NGOs. particularly local NGOs. in Bank-supported activities". The World Bank's interest in working with NGOs stems from experience which has shown that NGOs can contribute to the quality. sustainability and effectiveness of Bank- financed projects. For NGOs, collaboration in Bank-financed activities can represent an opportunity to scale-up their activities anid extend their impact beyond the micro level. Again, it must be emphasized that the NGO sector is extremely heterogeneous. While many NGOs are credible, competent and enjoy strong community ties, others may be inexperienced, inefficient or stronger in rhetoric than in action. A well-chosen NGO partner engaged in an appropriate maniner can bring the following contributions to B3ank-financed activities: Innovation-Given their small size and flexible nature, NGOs are generally well placed to develop and experiment with new approaches and innovative practices. Bank-financed projects have, on numerous occasions, incorporated or 'scaled up" successful NGO innovations. Oxfam's program otf water harvesting" in Box I Burkina Faso. for | o I) B \\I ST 'o )Id ( )Gt) I\\, A example, served as a In Ghana, the World Bank provided funds for model for Bank TechnoServe, an international NGO operating there sinice 1971. to scale-uip its commuLnitv- operations in soil and Ibased palm oil processing model. This model water conservation I was initially developed hy TechnoServe in 1986 throughout the Sahel. iin a pilot project in the village of Ntinanko then In 1988. CARE Canada replicated, using assorted donor funds, in five began a private sector other locations. Visiting Bank officials noted development proiect in that the mills were highly efficient and ideal for Peru,entitledTo f permitting local communities to capture added P o value tllro'ugh the conversion of low-value, Dev'elopment, which perisiable palm fruits into highi-value palm oil. involved the transfer of Moreover, as the majoritv of palm oil processors used equipment from are female, establishment of such mills was firms in developed recognized as highlv beneficial to rural wnomnen. couintries to small tInder a component of the Ghanal gricultural t Div'ersifica!ion Project. TechnoServe is now enterprises in the i implementing a five-year program to set up 601 developing world. I comml1u.nity-owned and operated, fee-for-service ! Impressed with the palm oil processing enterprises throughout the project's success, staff ioil palm growing regions of Ghana. This from the Bank's . commuunity-based agro-processinig model has Isince been cited bv the Governimlenit of Ghana as Private Sector Devel- 'a model wvorthv of replication in a wide range of opment Department products. 19 are currently working with CARE and a number of local NGOs to establish similar programs in Ghana and Zimbabwe. A further example of Bank support of NGO innovation in the agro-processing field is described in Box 1. Participation-Popular participation is increasingly recognized as an essential ingredient in achieving effective and sustainable development.9 NGOs have played an important role in promoting participatory approaches in Bank-financed projects. In approximately two thirds of X projects approved in recent years. the promotion of beneficiary participation was cited as the main rationale for seeking NGO involvement. For example, in Brazil, NGOs are hielping to ensure that local people play an active role in the decision-making processes of the Rondonia and Alato Grosso Natural Resource Alanaqement Projects. These projects have built on lessons learned from the earlier controversial Polonoroeste project. In the context of education projects in Chad, Guinea, and Pakistan, NGOs have assisted in the formation of village-level education committees and facilitated active community participation in the construction and maintenance of primary schools. See Box 2 for a description of the Balochistan Primary Education Project in Pakistan. While not all NGOs are participatory. NGOs typically work directly with local populations- promoting active beneficiary participation and stressing community ownership. Many NGOs offer experience in participatory project design and possess skills in areas such as participatory research. community mobilization, facilitation techniques and group dynamics.9 Box 2 PROM11 I N(, Co \¶Ml \NIM PAR I1 II'\TI( )\ IN Px I1 \N As a project preparation activity for the Balochistan Primary Education Proiect in Pakistan. the World Bank initiated a Community Schools Experiment. The main thrust of this pilot project was to promote local ownership" of the project through the formation of Village Education Committees (VECs). Village representatives elected to this committee were responsible for overseeing the construction of a village school, hiring a teacher, monitoring school attendance, providing on-going support and maintenance etc. A local NGO. the Society for Community Support in Community Education in Balochistan, plaved a keey role in facilitating the formationi of VECs. This NGO was contracted to go door-to-door in target communiities informing villagers about the project and assisting in the creation of VECs and the democratic election of VEC members. As the project focused on increasing girls' enrollment, the NGO discussed with parenits the importance of girls' education and the hiring of a female teacher. Over the two years of the pilot project, 116 VECs were established and over 116 new schools weere built. During a project review, it was discovered that female enrollment in pzarticipating villages was approxi- mately 67':%( compared to 13%X6 for Balochistan Province as a wlhole. 20 _ Project Uptake-NGOs which work directly with local communities can play an important role in transmitting project information to beneficiaries and enhancing the uptake of project benefits. For example, project demand was initially low in the Trinidad and Tobago Population Project. When the Trinidad Family Planning Association became involved, its tWo clinics-due to their direct contact and strong rapport with local communities-were able to recruit half as many new family planning acceptors as all of the public sector clinics combined. In the Lusaka Squatter Upgrading and Sites and Services Project in Zambia , staff from the American Friends Service Commit- * tee went door-to-door ensuring that all residents understood the upgrading options and the physical and financial responsibilities that would accompany them. Creative media techniques including plays, radio broadcasts and a live band were also used to inform residents about how to take full advantage of the upcoming project. Project Reach-Extending project benefits to those who need it most is a challenging task. The poorest and most disadvantaged members of society are often the most difficult to reach-living in remote or transient situations and bevond the sphere of public service networks. NGOs (both CBOs based in poor communities and national organizations which work directly with vulnerable populations) have proved an effective (and sometimes the only) Box 3 institutional link to such F \i,iw)l\. IVizoit i Ri it II (ii N(.() groups. In Burkina Faso, Ni for example, NCOs were NGOs have plaved an important role in judged by a Bank introducing and expanding family planning services in Burkina Faso. One national NGO appraisal team to be alone, the ABBEF (I[Association Burkinahb "more effective than the du Bien-Etre Familial) operates through a public sector in reach- network of over 2,600 volunteers and 6 ing target groups" and family planning clinics throughout the played a key role in countrv. Due to weak government capacity in this sector, the Bank's current Burkina establishing contact Paso Population and AlDS Control Project with high risk groups relies heavilv on NCOs in the implementa- under the Popul(ation tion of this project. NCOs will participate in and AIDS Control soliciting the support of traditional Project. (Box 3) During practitioners who will be trained to the Guatemala Earth- diagnose sexually transmitted diseases and encouraged to refer patients to health quake Reconstruction facilities as necessary. The project also Project, FENACOAC. a includes the establishment of a Fund which federation of rural will provide grants to NGOs to carry out savings and loans community education and condom cooperatives, channeled distribution programs. 21 over $3.7 million to villagers in the form of micro-enterprise loans. Due to its extensive network of rural members, FENACOAC was able to penetrate large numbers of dispersed communities much more effectively than government or private sector banks. Sustainability-Past experience has shown that development sustainabilitv is enhanced when communities play an active role in project activities. Working through CBOs is an effective means of building community ownership and ensuring a long-term institu- *t tional presence in the community once the project is over. National or international NGOs which are not locally-based will often make a long-term commitment to the communities they serve and can provide a source of stability and sustainability, especially where governments are weak or prone to change. Studies carried out by the Operations Evaluation Department (OED) have revealed a correlation between beneficiary participation/NGO involvement and improved project sustainability''l Consultation and "voice"-NGOs have acted to encourage and facilitate direct consultation with project beneficiaries and affected parties and, in some cases, have represented these groups vis-a-vis government and the Bank. During preparation of the Bangladesh Jamuna Bridge Project, for example, the Bangladesh Rural Advancement Committee (BRAC) conducted a socio-economic survey of persons affected by the project, channeling information back to government officials. A second NGO, contracted to implement the resettlement plan, has taken on an informal 'watchdog" role, bringing specific concerns to the attention of project authorities. In the Itatparica Resettlement and Irrigation Project in Brazil, NGOs assisted in ensuring that the views of approximately 8.100 displaced families were represented and that adequate compensation was provided. A locally-based NCO participated in negotiations with the San Francisco Valley Hydroelectric Company and was able to improve the offers being made to resettled families with regard to the size of housing units and wages to be paid under the guaranteed employment program. Alternative Perspectives-The Bank is confronted with making decisions aimed at the 'overall optimal good". By offering a perspective which is unique from that of government or the private sector, NGOs can help to provide a mnore complete and balanced picture. NGOs have been particularly effective in drawing attention to environmental concerns and in bringing to the forefront the perspective of those whose political voice is weakest. Women, ethnic minorities and other groups who do not always enjoy equitable representation in formal 22 - . institutions often form NGOs in order to make their voices heard. Consulting and working through these groups can help to ensure that important issues related to gender. ethnicity. etc. are not over-looked in the development process. Box 4 NGOs RN Is UIRNMINIANL ANI) So( I XL C()N( [RN, IN INI)IN The Sardar Sarovar Darn and Power Prqject in India, informallv known as the Narimiada Dam project, is possiblv the Bank-finianced project which has sparked the most public controversy. NGO lobbying against the project centered on the displacement of local tribal groups. NCOs also criticized the project's environmental impact and the overall development model which they felt this project symbolized. Indigenous groups, national and international NGOs as well as research institutes. universities and media representatives became involved. As NGOs felt their concerns were not sufficiently addressed in the decision-making process, they began to agitate through demonstrations. publicity campaigns and pressure on the Bank to suspend funding. The major global campaign against the project which ensued became extremely time-consuming for Bank staff involved in the project who were obliged to respond to press articles, letters from NGOs and requests for informiationi from politicians in developed countries, the public and the Bank's executive directors. In 1993, the Bank loan for this project was withdrawin at the request of the Indian governmenit which is now completing the project on its own. NCO advocacy on this and similar projects, together with concerns of EDs and staff members, has contrib- uted to the examination and modification of the Bank's environmental and resettlement policies. The Bank now encourages NGO participation in resettlement planis and requires consultation with affected groups and local NGOs in all environmental assessments. NGOs and the Bank do not always agree on what constitutes good development. Some NGO critics are fundamentally opposed to the Bank and all that it does. Others, however, have raised specific project-related concerns based on their own field experience and contact with local populations and have shown a genuine interest in helping to correct potential problems. Experience has shown that. although such concerns are sometimes resented by Task Managers, they may be appropriate and accurate. It is important, therefore, that concerns submitted to the Bank by responsible NGOs with relevant local knowledge be taken seriously. It is useful to ensure that NGOs are accurately informed about the project in question and are given an opportunity to voice their views. In cases where local groups have raised issues or criticisms, it may be productive to formally include them in consultations and design decisions. When approximately sixty NGOs were denied participation in the redesign of an integrated rural development project in North East Brazil, they organized a 23 concurrent 'parallel forum" to publicly express their views and those of beneficiaries. The Narmada Dam in India is one example of the difficulties which can arise when NGOs feel that their concerns have not been adequately addressed. (Box 4) 0 KEY POINTS - NGO involvement can contribute to the sustainability and effectiveness of Bank-financed projects by introducing innovative approaches and promoting community participation. _ NGOs can help extend project uptake and reach, and can facilitate greater awareness of diverse stakeholder views. FURTHER READING a Michael Cernea, Nongovernmental Organizations and Local Development. ' William Nagle and Sanjoy Ghose. Community Participation in World Bank-Supported Projects. Samuel Paul, Community Participation in development projects: The World Bank Experience. 24 In z~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 0 0i a c 26__ 111. HOW THE WORLI) BANK WORKS WITH NGOs A. NGO Roles in Economic and Sector Work NGOs are active contributors to the Bank's economic an(d sector work (ESW), particularly in the environmental, social and poverty-related spheres. N(;Os have participated in ESW both in the capacity of researchers/analysts and as stakeholders in the development process. Poverty assessments-The World Bank is currently conducting poverty assessments in all borrowing countries. These assessmenits include: a poverty profile, an analysis of government policies and safety nets and a suggested strategy for poverty alleviation. In some countries, participatory' poverty assessments (PPAs) are beingg carried out which elicit the views of poor people themselves on these topics. NGOs have played a role in a large number of PPAs including, among others, those carried out in Ghana, Benin, Madagascar, Guinea, Cameroon and Rwanda.'' It is most common for some combination of academics, researchers, government staff and NGO staff to be involved. Due to their strong grassroots links and local language skills, NGOs have proved valuable partners in carrying out PPAs. National environmental action plans-NGOs have played an important role in the preparation and elaboration of a number of national environmental Box 5 action plans (NEAPs). In GANI \ N\110NA EI\, \,I,\ l A(HON IL\\ Kenya and Togo, NGOs were consulted along \vith In Guinea, the goverinimlent officially governmenit and private designated a national NGO (GuineilC Ecologie) to he responsible for the sector representatives in preparation of the country's NEAP. The identifying priority work included several specific studies and problem areas. flagging survevs as well as the formulation of a principal obstacles, and concrete 10 to 15 vear action plan. Both outlining action strategies. the govermilenit and the Bank have found the NGO's work satisfactory. A particulair In the case of Guinea, the advantage of NGO involvemenit in this NEAP was prepared task is that due to Guinee Ecologie's entirely by a national NGO, strong community ties and participatoiy JUdged by both govern- approacih, all parties involved feel ment and Bank staff to be contident that the final product accurately retlects the needs and opinioiis of the country's people. This approach did tion for the task. (Box 51 require extra Bank staff tine hoth in Once a draft of the Sri Washingtoni and in the field. However, the Lanka NEAP was prepared. Task Manager reports that it was worth NGOs were invited to the extra investment. - - - - - - - - - - - - - - 27 attend an open public meeting. The ability of smaller NGOs and community groups to participate was enhanced by translating a summary of the draft NEAP into local languages and by providing translation at the meetinig. Benefits of NGO involvement in ESW-NCOs were invited (along with government, donor and private sector representatives) to participate in workshops in Nairobi and Abidjan to discuss the Forest Strategy Paper lbr Sub-Saharan Africa. Aside from allowing NGO perspectives to be included in the strategy paper, these meetings helped to build consenisus and commitment to the plan among kev stakeholders. NGO involvement in the preparation of the India Family Planning Strategy, led to an analysis of government-NGC) collaboration being included in the study and resulted in the drafting of specific operational guidelines for government-NGO collaboration in family planning. Including NGOs. governments and donors in the preparation of the Morocco W1,omen in Development Strategy Paper ensured that a variety of perspectives were taken into account, and provided a valuable opportunity for exchange and dialogue among women's groups in the couLitry. In the production of the Brazil l4Eomen s Reproductive Health sub-sector analysis, an 'opposition' NGO was included in consultations. This led to a certain amouLit of conflict and debate but, in the end, differences were openly discussed and an environment for further collaboration was created. In the preparation of the Zimbabiwe Country Economic Alemorandum, a participating NGO helped to organize field visits and ensure that the mission had direct contact with the rural poor. *1 KEY POINTS - As stakeholders, NGOs can provide alternative perspectives in the preparation of ESW. - NGOs can provide support in conducting participatory ESW. . Involving NGOs in ESW can promote consensus-building. FURTHER READING i Andrew Norton and Thomas Stevens, Participation in Poverty Assessments. - Dan Aronson, Participation in Country Economic and Sector Work. 28 B. NGO Roles in Lending Activities The following table provides a summary of the specific roles which NGOs can play at various stages throughout the project cvcle. Each of the tasks described below requires specific skills and competencies (e.g.: participatory methodologies, technical knowledge, etc.) and individual NGOs must be selected accordingly. Levels of NGO exper- tise vary significantly by country and by sector and, therefore, the ability of NGOs to fulfill the tasks described below must be verified on a case-by-case basis. Recommendations for selecting an appropriate NGO partner are outlined in Section IV. NGO Ro(IES IN TI- PRO()IE( I C( LI Stage in Project Cycle Polential NGO Involvemilent Project Iclenlification - provicle advi(e/information on local conditions - plarticipate in environimlenital and social assessments - organize consultation,s with h)eneficiarnes/afte(tedl parties - transmit e\pressed needs'priorities of local comniullities to project staff - act as a source, model or sponsor ol project icleas - implement pilot prowje-ts Project Design - consultant to the government, to local comniunities or to the Bank - assist in promoting a l)articipatorv approach to project desigh - channel informationi to local p)opulations Financinig - cod-financier (in money or in kind) ot a projec t component -source ot funds for activities co)mplementary to the __________________________ proposed Bank-financed project Implementation - project contractor or manager (for clelivery of services, training, conistructioni, etc.) - promote Comml1llunlity participation in l)roject activities -finanicial intermiiecliar-y role - supplier of technical kiowledge to local henefiiciaries - a(lvisor to local comm1111un.ities on how to take acdvantage of project-financed goo(ds or services implemnentor of complermentary activities - leneficiary of an NGO fundinig mechianlisimi establishec hy the project Monitoring and Evaluation - NGO contracted to moniitor project progress or evaluate project results - facilitate participatory immoiitoring andl evaluation6 - incle)enclenit/u nsoIic teIl mc)nitoring a.nld evaluation 29 Project identification-During project identification. NGOs who are familiar with the area and enjoy links with local groups can provide valuable information about local conditionis and communiity priorities. During the identification mission of the Egylpt -Alatruh ANatural Resource Mlanagement Project. Bank staff held informal discussions with NGOs working in the project area, finding them to be an excellent source of information about social, cultural and environmietital conditions. In numerous cases, NGOs have provided project ideas, or existing NGO projects have served as a model for Bank-financed activities. The decision to introduce a poultry produc- tion component into the Turkey Fifth Livestock- Project. for example. was made after Bank staff visited a NGO poultry project in the Tarsus region of the country. Impressed with the success of the project, the Bank mission designed a project component based on the NGO model and then encouraged the government of Turkey to contract the NGO for its implementation. The resulting poultry production component. which provided technical and financial assistance to some 800 farmers in 12 regions of the country, was recognized as one of the most successful aspects of the project. Project Design-If NGOs are expected to participate in a Bank- financed project in a significant way. it is important that they have a say in the design of the project and in defining the terms of their involvement. Although numbers have risen in recent years, still only about half of projects involvinig NGOs approved in FY94 included NGO input during project design. In cases such as the Philippines hlealth Development Project. NGO involvement in project design was considered a crucial factor in achieving 'quality at entry" and suc- cessful implementation. There are hundreds of health-oriented NGOs in the Philippines. many serving the poorest members of society. The project aims to build partnerships between NGOs, local governments and the Department of Health. NGOs identify groups which are unserved or underserved, communicate the specific health needs of ploor households to government authorities and assist communities in preparing funding proposals for activities such as improved water supply, nutritional supplements and latrine construction. NGOs' active involvement during design was essential in defining effective and operational partnerships. tlpstream NGO involvemenit has also been a key factor in the design and implementation of the Ghana Second Health and Population Project. (Box 7) 30 Box 7 Upsiream NGO Involvemernt in the Ghania Second HealtIh an(d Population Project NGOs play a significant role in the health sector in Ghana and were actively involved throughout the Ghana Second Health and Population IProject. NGOs assisted in the identification of project compionenits. contributed to project design and participated along with the government in project negotiations. In the regions targeted by the project, it wzas discovered that all existing district hospitals were being managed by NGOs. As they would he the prinlcipal recipients of project benefits. their active participation in project design was considered crucial. Also NGo- rLmn hospitals were recognized to be more efficienit than government-run facilities (both in termis of staffing and other costs) and it was hoped that their involvement would provide lessons which could be more widelv applied. The only operative medical e(quipment maintenance system outside of the country's twc) major cities was also being run by an NGO- the National Catholic Secretar iat. In orider- to learnll from their expeerience. the NGO was invited to participate in the elaborationi of this elemenit of the project. NGO staff is also involved in implementing and monitoring the installation, repair and maintenance of medical equipment in district hospitals. Other NGO involvement in the project includes the provisioni of family planning services and the training of Ministry of Heialth workers. Formally established NGO-Ministrv of HealIth arrangemilents will serve as models for other regions and sectors. In the case of Category A projects (projects involving significant environmental impacts and requiring a full Environmental Assessment), Operational Directive 4.01 prescribes consultation with affected groups and NGOs during at least two stages of the Environmental Assessment process: i) during the preparation of terms of reference for the assessment, and: ii) once a draft assessment report has been prepared. Consultation over the course of the Environmental Assess- ment is also encouraged and is happening in an increasing number of projects. The consultations and their results should be documented in the assessment itself and in the project Staff Appraisal Report. Financing-Normally NGOs are hired as consultants or imple- menitinig agencies. In projects such as the Bolivia Integrated Hlealth Development Project, however. NGOs have contributed their own time, resources and/or facilities and have thus been considered as project co-financiers. In a few rare cases, large international NGOs or foundations have made cash contributions towards Bank projects. In 1989, Rotary International transferred $15 million to the Bank-the largest grant ever received from an NCO-to assist in the construction of a state-of-the-art polio vaccine production facility in China. Construction of the plant. expected to be operational by 1996, is 31 supervised jointly by the Ministry of Health, the Bank and Rotary. NGOs have also independently financed activities which complement or enhance the impact of Bank-financed projects. In Brazil. for example, NGOs purchased TV sets for a number of pre-schools in order to ensure that children would have access to the educational programs funded through the Bank's Innovations in Basic Education Project. Implementation-NGO involvemenit in project implementation is the most frequent form of Bank-NGO operational collaboration. The specific roles plaved by NGOs have included project management. service delivery, training and community development. As contrac- tors/service deliverers. NGO involvement has been particularly valuable in situations where government and/or private sector capacity is weak . In the Sierra Leone EasternA gricultural Devlelop- ment Project III, for example, CARE was contracted to implemenit a road construction component when it was recognized that govern- ment lacked the capacity to do so. CARE had considerable experience in building feeder roads and already possessed some of the necessary equipment. NCOs' most substantial involvemiient in project imple- mentation has been in the context of the numerous Social Funds (SFs) supported by the Bank.' (Box 8) Box 8 So( i.ll Fund(s Social Funds (SFs) are one mechanism wherebv World Banlk funds aire channeled to NGO sub-projects. A SF is a demand-driveni, multisectoral ftind that finianices simall. grassroots developimient stibprojects aimed at improving poor people's access to social services, employment opportu- nities and income-generating assets. Such funds are often established in conjunction with economic recoverv programs to help mitigate the effects of adjustment on the poor and vulnerable. A large number of the *_$ subprojects financed by SFs are clesigned and implemenited by NGOs and in many cases NGOs are involved in design and administration of the SF itself. SF-tvpe projects have been implemented in a large number of countries including Bolivia. Ecuador, Guatemala, Haiti, HondLiras, Nicaragua. Ileru. Venezuela. Burundi, EIgypt, Guinea. Mali, Sao Tome and Principe. Senegal, Somalia and Zambia. Monitoring and Evaluation-NGO involvement in the monitoring and evaluation of Bank-finaniced projects has become increasingly common in recent years. In the Paraguaytl Caazapa Rural Develop- ment Project, for example, local NGOs were contracted to monitor the status of indigenous communities throughout project implemen- tation. The environimental assessment for the Ecuador Lower Guylanas Flood Control Project (carried out in close collaboration with local environmental NGOs) recommended that specific protective 32 _ _ measures be incorporated into project design. To ensure that these measures are adhered to and that governmental commitment remains constant, local NGOs have been invited to participate in a consultative group which will monitor the implementation of EA recommendations. Box 9 m oidu( ting, a "So( ial Aud(lit" in Ai-enlina Maternal and child mortalitv rates are high in Argentina compared to neighbor- ing countries of similar levels of development. In 1991. Argentina's Ministry of Health and Social Action introduced the Nationa.lMaternal Hlealth and Child Health and .Nutrition Program aind in 1993 the Bank made a loan to Argentina to suLpport the Ministry's efforts. Two large national NGOs-CARITAS and the Red Cross (selected according to their past experience and national coverage) are involved in the program. One of their kev roles is to participate in the design and implementation of a 'social audit'. The audit will use participatory mechanisimis to evaluate the accessibility and qualitV of existing services and to obtain feed-back from beneficiary communities as to how effectivelv the project is responding to their needs and how it could be improved. The objectives of the audit are to enhance project effectiveness and efficiency by i) creating mechanisms for community participation and feed-hack; ii) identifying problems/ shortcomings early on and making necessary modifications, and: ii) guaranteeing transparency in project implementationi and monitoring. A secondary objective of the audit is to strengthen the capacity of participating intermediarv NGOs and community-based organizations. The design phase of the auzdit included i training worksshops and human resource development activities for NCOs. - KEY POINTS - NGOs participate in Bank-financed projects from identification through to evaluation. e NGOs can be valuable sources of local knowledge during project identification and design. t If NGOs are expected to participate in implementation, they should be consulted during design. FURTHER READING o Lawrence Salmen and Paige Eaves, World Bank WIork with Nongovernmental Organizations. - Julie Van Domelen, "Working with NGOs" in S. Jorgenson et. al., Bolivia's Answer to Poverty, Economic Crisis and Adjstment: The Emergency Social Fund. - World Bank, Cooperation between the WVorld Bank and NGOs: Progress Report. - J. Kearns and J. Edgerton, Participatory Project Planning. - 33 34 - IV. KEY ISSUES IN WORKING WITH NGOs 3 i - - - - - - - - - - - - - _ 35 0a 0 365 IV. KLI k. IN WO)I\KIN(, vm NGOs The above sections have outlined the benefits which NGO collabo- ration brings to Bank-financed projects and the specific roles which NGOs can play throughout the project cycle. The following section discusses the challenges of working with NGOs and flags some key, operational issues which must be addressed in order to achieve effective collaboration.'4 " A. Identifying an appropriate NGO partner Perhaps, the most important ingredient for successful NGO collaboration is the identification of an appropriate NGO partner. Selecting an appropriate NGO involves: i) gathering information about the NGO sector, ii) establishing relevant selection criteria and iii) choosing a suitable selection process. i) Gathering information about the NGCO sector NGO directories/databases-A large body of information is available concerning NGO activity in specific countries, regions or sectors. A useful starting point for Task Managers who are unfamiliar with the NGO sector is the NGO database maintained by OPRPG. This database contains information on over 8,000 NGOs world-wide which can be identified according to country of origin, geographic coverage or sectoral specialization. The NGO UJnit of OPRPG also maintains a library containing NGO directories and sector studies from a large number of developinig countries. (See Annex III for a description of informational resources available from the NCO Unit, OPRPG.) A growinig number of universities, research institutes, international donors and foundations have NGO resource centers or maintain an NGO database. Task Managers have sometimes found these a valuable source of supplementary information. Within borrowing countries, studies and directories are frequentlv available from NGO umbrella organizations, local offices of multilateral, bilateral and other donors (e.g.: UNICEF, UNDP, Ford Foundation) or from the government ministry responsible for NGO liaison. Some resident missions also keep NCO directories on file. Key informants-The limitation of NGO directories is that they rarely provide qualitative information about the capacity and track record of individual NGOs and, due to the dynamic nature of the NGO sector, they are quickly out-dated. Interviews with key informanits such as national and international NGO umbrella organizations, 37 relevant government departments, in-country bilateral or multilateral representatives, international donors and foundations, academics. resident mission staff and NGOs themselves can provide useful and timely information regarding which organizations are most active and respected. Cross-checking inforrmation with more than one source helps to ensure validity. Sector reports-Bank sector studies represent another potential source of information about NGOs. In Colombia. for example, a study entitled NGOs and' Poverty Alleviation (FY89) was undertaken with the dual objectives of assessing the Colombian NCO sector and identifying a number of NGOs as possible collaborators in Bank operations. Similarly, a recent Zambia Gender Issues study (FY94) included a listing of donors and NGOs active in this area and an assessment of their institutional capacity. One of the most compre- hensive NGO sector studies undertaken by the Bank was conducted in Uganda (financed through the SPPF and a grant from GTZ).'5 The obiectives of this study were to: establish a profile of the NGO sector in Uganda, assess their effectiveness and efficiency, review factors facilitating/impeding their work and examine their potential for scaling up. The methodology used in the preparation of this sector profile is included in Annex IV. Project reports-NGO sector profiles are sometimes undertaken as a project preparation activity. During preparation of the Nepal Rural WVater Supply and Sanitation Project. for example, an international NGO with a long history of working in the country was contracted to establish a profile of NGOs active in this sector."' NGO sector studies have also been carried out in the context of the Brazil .Vorth East Rural Development Project, the Egypt Ernergencqy Social Fund, and the Tajikstan-Reconstruction Project (using a grant from the Participation fund). ii) Selection criteria Sample lists of criteria used in selecting NGOs for the Peru Basic Health and N'utrition Project and the Burkina Faso Food' Security and .Nutrition Project are included in Annex V. A field checklist and scoring system for assessing CBOs is found in Annex VI. In selecting individual NGOs for collaboration in Bank-financed the following factors should be taken into account: Credibility/Legal status-Verification of an NGO's legitimilate legal status is important. but not sufficient in confirming the organization's 38 credibility. Informal consultations with donors or other NGOs will usually quickly reveal groups which have been created primarily to receive foreign funds, which have a history of mismanagement. or which lack legitimate grassroots links. In order to ensure accouLIt- ability, Task Managers should verify that NGOs understand and practice sound accounting principles and that (where applicable) they have no objection to external auditing. In the case of social fund-type projects, the introduction of outside funds runs the risk of stimulat- ing a proliferation of new groups whose main goal is to gain access to Z available resources. In order to avoid such problems, some projects have established a requirement that participating NGOs have at least one year's operational experience. Representativity-The closeness of an NGO's ties to local communities and the extent to which beneficiaries consider the NGO a legitimate representative of their interests is an important criteria-both for CBOs and for national and international groups. In the case of membership organizations, it is important to consider what sectors of society are included,excluded and whether all members enjoy equal representation. Does a community association include both men and women? Does a * women's group include poor, landless and ethnic women? An assessment of the representativitv of national and international organizations should consider the level of accountability to local communities, structures to reach and consult with target groups, democratic and inclusive decision-making and responsiveness to beneficiary interests. In many cases, operational collaboration with the Bank will require an NGO to expand its activities beyond the specific geographic area where it has been working. Task Managers should recognize that establishing community ties and building mutual trust is a long-termn process. Projects involving the creation of new groups or the extension of NGO activities into areas where they have had no previous contact. should take this into account. Specific competencies-The strengths and competencies oft individual NGOs vary enormously. NGOs may have a specific sectoral or geographic specialization. They may focus on participatory techniques, service delivery, or both. It is therefore essential to determine which types of skills are required for the specific task at hand and to choose an NGO accordingly. In the Bangladesh Second Road Rehabilitation? and Yllaintenance Project, specific criteria were developed in order to select an NGO whose role would be to share information with project beneficiaries, represent beneficiaries' interests in disputes with authorities and consult affected parties in the production of a resettlement action plan. In additioni to adequate 39 human resources and technical expertise. NGOs were required to demonstrate familiarity with the project area, an established track record in grassroots interventions, and credibility with local popula- tions. In the end, only one NGO expressing interest in the project was found to meet the necessary requirements. A common mistake is to select an NGO which is competent at one type of task to do another. The Cameroon 4'estern Highlands Rural Development Project , for example, selected the Unzion des Coopiratives de CafeArabica de ° I Ouest (l.'CC.AO) as a project implementing agency, based on the Z organization's efficient management and its broad coverage of farmers in the project area. Success of the collaboration was limited, however, since ICC4AO's institutional expertise was to market coffee, -^< not to implement rural development projects. 7 Institutional capacity-It is important to verify that an NGO which is technically competent also has the required institutional capacity to meet project needs. This includes adequate staff, sound internal management, financial stability, sufficient facilities, equipment. vehicles, etc. With the exception of a few large international and national NGOs, the scale of NGO interventions is typically very small. *a WN'hat might appear a minor role to a Task Manager may represent a major undertaking to the selected NGO. Even when NCOs are optimistic about their ability to "scale-up", careful consideration should be given to proposals for collaboration which significantly exceed the scale of an NGO's past activities. Involving NCOs in a pilot activity can provide an opportunity to better assess their institutional capacitv. In some cases. "capacity-building" activities have been built into the project cycle in order to strengthen the scale and capabilities ,_ of existing NGOs (see Section 1). Proven track record-An assessment of NGO capacity should be based not on the organization's stated goals and interests but on its proven track record. Where possible, information provided by the NGO about its past activities and impact should be cross-checked with other sources. The most effective way of evaluating an NGO's track record can be to consult those most directly affected by the NGO's activities. In the Zambia Social Recovery Project. for example, beneficiary assessments were carried out to assess the effectiveness of NGO activities. An NGO's level of past experience in working with the Bank, government or other international donors is another factor which might be taken into account. Relationship with government-An NGO's relationship with government is a final factor which can be key to successful collaboration. 40 State-NGO relations are complex and are discussed in more detail in Section IVF. As a general rule, collaboration should be limited to NGOs which are non-political and do not engage in overt partisan political activities. Collaboration with NGOs that are considered opponents of the state can be problematic, as can collaboration with "GONGOs" ("government NGOs") which are effectively a creation of government and do not represent any independenit constituency. iii) Selection process Transparency-The manner in which NGOs are identified and selected for Bank-financed activities varies widely. In some cases. individual NGOs initiate collaboration by contacting the Task Man- ager or borrowing government directly. Alternatively, NGOs have been selected on a sole-source basis or have been invited to partici- pate in a competitive bidding process. Although it is sometimes desirable to identify particular NGOs for specific tasks, efforts should be made to keep the selection of NGOs as democratic and transparent r as possible-in order to ensure efficiency and fair competition. and also to avoid the inadvertent exclusion of NGOs which are smaller, remote or do not enioy direct links to Bank or government staff. Local v. international NGOs-Working through locally-based NGOs can be advantageous for a number of reasons: it contributes to the long- term development of the local NGO sector, it helps maximize the use of local labor and resources and is generally cost-effective. In cases where local NGO capacity is weak, however, collaboration with international NGOs may be the best alternative. Many international NGOs work with and through local NGO partners and can, therefore. play a valuable role as "intermediaries" between the Bank/government and smaller local organizations. The decision to work with local or international NGOs will depend upon the country situation and the particular needs of the project. In the case of the proposed Ethiopia Social Rehabilitation and Development Fund, there was some pressure to limit access to local NGOs only, based on the argument that they had closer ties to local communities. Ultimately, instead of excluding international NGOs. selection criteria were established which re- quired that all participating NGOs demonstrate sensitivity to local needs and acceptability to the communities concerned. Using umbrella groups as intermediaries-Identifying an appropriate partner can be a time-consuming process. In cases such as the Mali National Environmental Action Plan, responsibility for screening and selecting NGOs was entrusted to a national NGO federation. thus - - - - - - - - - - - - - -_ 41 Box 10 freeing Bank staff of the taskl of DI I H. \TIN(. TOiL \T, a'0 NCGO SI I( I101m 10 identifying 20-30 NGO with \ N m ioN,\ Um iX OI\0A\N1/At1()N relevant sectoral and regional The Bank was able to identifv NGOs experience. (Box 10) When interested in participating in the working through an intermedi- preparation ofVltali A'ational Environ- ary organization, however, care manfuil Action1 Plan by working through must be taken to ensure that a Malian federation of NCOs (the Comit6 the group is considered O de Coordiinationi des Actions des ()NGs. In the preparationi of the NEAP, the Bank objective and representative by z. felt that local-level environmiental the NGO sector. For example. cassessments could best be carried oUt by problems were encountered in local NGOs that were familiar with the Toqo Grassroots Develop- specific regions and enjoyed a trusting ment Initiative when it was relationship with locail communlities (both discovered that the NCO rural and urban). The federation was given resl)t)nsibilits for cdnatinig this federation selected to assist in gvnresponsibility for coordinaigti ttask. Using explicit selection criteria developing the project legiti- outlined bv the Bank, the federation has mately represented only about been contracted to identify, screen and one half of the countrvs NGOs. provide training to approximately 20-:30 Not wanting to be excluded from NU Os. These NGOs will conduct participatory environmenltal assessments in their specific region of the country. formed their own alternative Findings will then he submitted to the federation. claiming to be more federation to be compiled into one final legitimate and representative than report. the first. KEY POINTS - Consider conducting an NGO sector study during project preparation. . Establish clear selection criteria based on specific project needs. w Assess capacity according to an organization's proven track record, not its stated goals. . Consider possibilities for capacity-building. - Ensure maximum transparency in selection process. FURTHER READING - World Bank, Republic of Uganda: The Role of Nongovernmental Organizations and Community-Based Groups in Poverty Alleviation. 42 - _ B. Time Issues Extra staff-time up-front-Past experience has shown that projects with NGO collaboration may require the investment of extra time and/or staff resources early on in the project cycle. Adequate resources for tasks such as disseminating project information. identifying appropriate NGO partners and defining specific NGO roles and responsibilities should he taken into account when planning identification and appraisal missions. In the case of projects which foresee substantial NGO involvement, it may be desirable for an NGO advisor or a consultant familiar with the NGO sector to undertake these tasks. The NGO Unit of OPRPG maintains a roster of consultants with NGO experience. Alternatively. NGO advisors from the NGO Unit of OPRPG or from regional technical departments may be available to provide cross-support. (Contact the NGO Unit, OPRPG for further information). Extended field presence-It has been found that projects with substantial NGO involvement may require a staff presence on the ground beyond the typical two week mission. In the Semen Second Education Project, a consultant was hired to spend three months in the field thus allowing him to establish close ties with NGOs. ensure mutual understanding of project goals and work out a number of operational difficulties. An extended staff field presence was also identified as a major factor of success in the Zambia Social Recovery Project. (Box 11) Box 11 Box (oNG ,,OH)RAB IfA)N 1N Zv\oi;W \A, S( Di%iI I0V %I\IN .1 In Zambia. NGOs have a history of working with government on poverty- related projects and organizations such as UNICEF have established procedural precedents for government-multilateral-NGO collaboration. A staff member from the Bank's NGO Ulnit joined the identification mission of the Zambia Social Recovery Project, during which the GOZ agreed to a project involving NGOs in small scale infrastructural and social services suh-projects. An NGO Forum was established to represent the views of NGOs and to discuss implementation strategies, administrative procedures and ftunding mechanisms. Am important factor in ensuring effective liaison with NGOs during the planning stage was the extended presence of a consultant sensitive to NGOs who lived in-country for three months to work out operationial details and to maintain close contact with the NCO community. Administrative and bureaucratic delays-Many NGOs have commented that the most difficult aspect of working with the Bank and government is dealing with bureaucratic procedures and delays. Although time-lags and delays are a reality which all implementing 43 agencies face, they can be particularly detrimental to projects promoting participatory processes. Once communities have been mobilized and development "demand" created, delays in the delivery of goods and services not only break momentum and dampen enthusiasm, but cani also lead to a loss of credibility for the participat- iing NGO. In order to minimize problems resulting from time-lags, it is important to ensure that NGOs have a realistic understanding of the project's expected time-frame from the outset (including esti- mated lag-time between approval and implenmentation, typical time required for procurement and disbursement procedures, etc.). Short-term versus long-term goals-Some projects with NGO involvement have experienced a tension between short-term project goals aind long-term community developnient goals. In the Zambia Squatter Lpgrading Project, for example, two NCOs became involved with the specific purpose of promoting active beneficiary participa- tion with a view to long-term community development. Although this approacih was agreed to in principle. 13ank staff, who were concerned with meeting project deadlines, stipulated in the final agreement that if the collective self-help approach interfered with the predetermined project schedule contractors would be employed to carry out the work.'7 The PCR for this project states that although NGO activities were "widely acknowledged to have contributed to the success of thie project and the establishment of the basis for ongoing progressive development...the Banks' relatively short project cycle was not entirely compatible with the longer horizon oil which the other doniors' objectives are operationalized".' KEY POINTS - Be prepared for possible extra staff/time needs early on in the project cycle. - Be aware of potential time lags/delays and the risk they pose to participatory processes. - Ensure NGOs have an adequate understanding of project time-frame and deadlines. 44- C. Flexibility Issues A commonly cited comparative advantage of NGOs is their "flexibility". One facet of this flexibility is responding to local needs and priorities rather than imposing a pre-determined development program; another is adapting activities on an on-going basis according to changing circumstances and lessons learned. Although it is sometimes argued that NGO collaboration will bring increased flexibility to Bank- financed activities. the reality is that once NGOs enter into formal collaboration with the Bank or government, they frequently find that their own capacity to operate in a flexible manner is restricted. Box 12 Ell( IN(, I INi )RI'(PRIIN(, L()( XI VII\ . IN i1II P IIIIlI'INI, In designing a protected parks program in the Philippines, the government and Bank sought to take into account the rights of indigenous peoples who were dependent upon the natural resources of the identified areas. The Philippine government passed legislation recognizing the tenure and livelihood rights of indigenous communities located within the proposed park areas. During project design. local NCOs facilitated lengthy consultations with indigenous communities. These resulted in substantial modifications to the original program. Local management boards representing indigenous interests were given primar-y authority to determine appropriate trade-offs between environmental protection and sateguardinlg the livelihoods of local inhabitants. A project comnponent to support alternative inconie-earninig options was introduced. When the indigenous popuilation of one of the four major areas expressed strong resistance, the governi-nent antd Bank agreed to choose an alternative site. Source: l l orld Bank, 5Pth .AoiivrSir2: Working wtith NCOs. 1.9.94. Responding to local needs-NGOs can play an important role in eliciting the views of local people and communicating their expressed needs and priorities to project staff. This information is only useful, however if it comes early enough on in the project cycle to influence project objectives and goals and, if project staff is willing and able to adapt the project accordingly. NGO involvement, in and of itself, is no guarantee that a project will be more "tlexible". NGOs can facili- tate an enhanced awareness of local needs. This , however, will have little impact unless appropriate project mechanisms are in place to ensure that local feed-back is incorporated and acted upon. (Box 12) Upstream involvement/partnership-The most successful examples of Bank-NGO collaboration are those in which NGO involvement comes early on in the project cycle and NGOs are treated as partners in the development process, not simply as hired contractors or service delivery agencies. Partnership implies: consultation concerning 45 developmenit objectives and goals. mutual transparency and shared decision-making. Many of the comparative advantages associated with NGOs are directly linked to their unique approach to development. [Jnless NCOs are allowed to contribute to development planning and apply their own strategies and processes, the potential benefits of NGO collaboration will not be realized. In areas where NGOs are judged to possess clear comparative advantages (e.g.: in projects emphasizing beneficiary participation. community mobilizationi and poverty alleviation), it can be most effective to introduce mechanisms which allow NGOs to design and implement their own programs. Project modifications-Once a Bank loan becomes effective, it can be complicated and time-consuming to make any substantial modifications to the project. Even a revision of project budget categories can be an arduous process. In some cases of Bank-NGO collaboration. partici- pating NGOs accustomed to working in a "flexible" manner have become frustrated when their attempts to introduce mid-course changes or corrections have been refused. Creative Task Managers have found ways to permit mid-course adaptations and even revise project priorities when deemed necessary. For example, credit agreements have been written is such a way that allows project priorities to be "restructured" within certain budget categories. Mid- term reviews have also been used to `re-orient" project priorities, in some cases going so far as to modify the credit agreement. Flexibility in timing-For communities to "own" the development process they must be allowed to establish and control the pace of project activities. NGOs generally establish their project schedule in collaboration with beneficiaries and allow for flexibility in deadlines and sequencing. For this reason. Bank-financed projects involvinig NGO and/or commu- nity participation have tended to require more flexibility in terms of timing than is generally allowed for in mnon-participatory" projects. KEY POINTS a- Seek NGO/community input early on in the project cycle before goals and priorities are finalized. '- Establish clear mechanisms for responding to community input. Use mid-term review process to adapt project priorities/ processes as necessary according to local input. - In areas where NGOs have a recognized comparative advantage, take steps tomaximize their institutional autonomy. 46 _ _ _ _ D. Financial Issues Cost-effectiveness of NGOs-The low cost of NGO participation is cited as an advanitage in Operational Directive 14.70 and is often mentioned as a rationale for working with NGOs. In the case of the Second Liberia Education Project, for example, CARE constructed primary schools at a cost estimated to be 30 percent less than for-profit contractors. Overall, however, the record is mixed and there is no reliable empirical evidence to show that NCOs implement projects at a lower cost than other agencies. In fact, by investing resources in participatory approaches, emphasizing the development of long-term sustainable systems and extending reach to marginal areas, projects with NGO involvement may prove more expensive in the short term. Long-term cost-effectiveness must be assessed according to the quality and sustainability of NGO interventions. not only their direct costs.'" | Box 13 1. [DE GI: \\ I 1 T) -i\i( \i A'.',i \( F 1) 11E) IfA ot, s OW, VI! C OVltls iN B)i m\1 In Bolivia. an IDF grant of $117,000 was used to develop the management skills and institutional capacity of indigenous organizations. This grant recognized the importance of overcoming the structural obstacles which have traditionally impeded the tlow of development benefits to indigenous peoples and prevented their direct participation in Bolivia's development process. The grant financed an initial consultation with members of indigenous organizations to identify the social needs of their people, followed by a series of workshops and practical training in project management, accouLiting. finanicial procedures, communication negotiation skills. etc. A participatory monitoring and evaluation system was put in place to assess the impact of the workshops on indigenous organizations. Organizations participating in the training program included, among others: Asamblea del Pueblo Guarani. Central de Pueblos Indigenas de Beni, Central Indigena Regional de la Amazonia Boliviana and Federacion de Ayullas del Norte de Potosi. The activities undertaken withi the grant to contribute to the government's and the Bank's overall objectives of supporting poverty alleviation, indigenous socio-economic development. protection of the environment and institutional strengthening. A similar program was also carried out in Chile with an IDF grant of $68.000. Models of financing NGO collaboration-The World Bank does not directly fund NGOs.'" The most commoni way for an NGO to receive project funds is as a paid consultant or contractor to the borrowing government or to the Banlk. During project preparation. the Bank sonmetimes makes small grants to NGOs from its administra- tive budget to fund studies and consultations. Sources of financing for NGO involvement in operations include: loan proceeds, 47 consultancy trust Box 14 funds, the Project FBNox I(. NG.() INI INIIU 14(ANDA Preparation FORI-IRN R[HXIIIIAI1iI)N P14)I[( I Facility, the Institutional CARE, a U.S.- hased international NGO was contracted as the executing agencv for the farm forestry component Development of the L'ganda Forestry Rehabilitation Project. CARE Fund, the Global had worked successfully with the Forestry Department Environment in the past, encouraging the development of self-help" Facility and nurseries, providing technical assistance and eventually supervision transferring responsibility on to the Ministry. Besides i the regular contractual agreement between the GOUJ and CARE for the execution of the farm forestry component, In some cases, the government also transferred advance funds from NGO activities are the Special Project Preparation Facility to CARE to funded by co- allow it to carry on its operations until the IDA credit financing from became effective. DANIDA provided financing through other bilateral, the Ministryv of the Environment to CARE for vehicles and equipment, and CARE itself financed some nmultilateral or administrative costs. During implementation, the international NGO proposals made at appraisal regarding financing and donors. In a accounting were unfortunatelly not accepted by the micro-enterprise Ministry. Subsequent approval and dishursement * - 5 development procedures proved unworkable and a large portion of a project in Pakistan, the component was, as a result, eventually canceled. for example, a separate $2.8 million grant from the Netherlands provided direct funding to NGOs. Frequently, as in the Uganda Forestry Rehabilitation Project, a combination of different financial arrangements are used to fund NGO involvement. (Box 14) Grants to NGOs Bank-financed projects sometimes include mechanisms for channeling funds to NGOs in the form of grants. T'he most prominent example of this is the Bank's numerous social fund-type projects, which award relatively small grants to individual CBOs and NGOs for the implementation of specific sub-projects. (See Box 8) In some cases, project agreements have granted larger amounts of money to specific NGOs for broader activities. In the Ghana Second Health and Population Project, for example, a bilateral agreement approved grants of $0.8 million and $2.3 million respectively to the National Catholic Secretariat and the Planned Parenthood Association of Ghana. Outside of the project cycle, a number of special programs exist whereby the World Bank grants relatively small amounts of money to NGOs for specific purposes: * The llWorld Bank Small Grants Program was created in 1983 to promote dialogue on international development issues of particular 48 - - - - - - - - - - - - - - concern to the World Bank. The program supports conferences, seminars, publications, networking activities, and other information- related activities for which small organizations frequently lack adequate funding. While all types of institutions are eligible to apply, most grants are allocated to NGOs. Grants range from $2,500) to $30,000 and average approximately $12,000. The program disburses a total of approximately $500 000/year. For more information, contact Peter Hemsch, EXT. * The Bank's Special Grants Programn has provided fundinig support to NGOs in the context of the World Summit for Social Development (in Copenhagen, March 1995) and the Fourth World Conference on WVomen (in Beijing, September 1995). In both cases. the funds are being used to facilitate the participation of developing country NGOs and to support the 'parallel" conferences which NGOs organize in conjunction with each official event. For further informa- tion. Bank staff can conitact the Secretariat to the Special Grants Program Oversight Committee. The Special Grants Program also futids the tvo following initiatives of the Population, Health and Nutrition Department. *The SafeAlotherhoodSpecial Grants Program began in 1988 to support activities related to the Safe Motherhood Initiative (which called for a fifty percent reduction in maternal mortality and morbidity by the year 2000). It provides funding for maternal health advocacy, research and interventions. International organizations, such as WHO, have been financed to provide country and regional support for program planning, technical guidelines and information dissemination, while small NGOs have been supported for innovative strategies and approaches. For further information, contact Kirrin Gill, PHN. T The Population AGOs Special Grants Program seeks to identify and strengthen the capacities of small, grassroots indigenous NGOs working in population-related fields in developing countries, and funds initiatives which exemplify new, integrative approaches to demand creation and service delivery. Priority activities are divided into two main areas: i) improving family planning programs, and ii) realizing linkages between social development and fertility decline. In FY94, program was expanded to meet the special needs related to the 1994 Interinational Conference on Population and Development in Cairo in September. Further information is available from Chantal Worzala, PHN. * The Private Sector Development (PSD) Department recently developed and launched a Small nd Miledium Enterprise (SMIE) Pilot Initiative which aims to raise $8-10 million from donors and will consist of three joint programs with NGOs active in SME development. The principal objectives are i) to gain practical knowledge about the - - 49 institutional arrangements of successful SME development projects; ii) to assist participating NGOs to expand their programs, and; iii) to apply lessons learned to the Bank's lending operations and donor SME support programs. Three successful NGO initiatives-represent- ing 3 different approaches - have been identified for the pilot: CARE Canada Tools for Development, Women's World Banking Best Prac- tices and Enterprise Network Initiative, and FUNDES Enterprise Centers. The selection was based on the NGOs' positive track record. their strong local presence, sustainable, cost-effective and efficient operations, high client outreach capacity, and innovative and replicable program design. As a follow-up to the 1993 Hunger Conference sponsored by the Bank, the creation of a Consultative Group to Assist the Poorest of the Poor:A Mlicro-Finance Program is currently under consider- ation (at the time of print, a proposal was awaiting Board review). The objectives of the proposed fund are i) to increase learning and dissemination of best practices for delivering financial services to the very poor, and: ii) to support and expand sustainable micro-finance and micro-enterprise initiatives. A variety of institutions will be eligible for financing from the proposed fund including NGOs. credit unions, cooperatives and private business associations. * The Global Environmental Facility Small Grants Program (administered by UNDP) supports community-based activities by CBOs and NGOs in developing countries. The program currently operates in 28 countries and, as of July 1994, has awarded almost 200 grants totaling US$10 million. The program emphasizes decentralized decision-making and promotes activities which will lead to an iincrease in community-level responsibility. The maximum size of individual grants is $50,000. Lack of resources for NGO-related activities-A widely recognized obstacle to increased NCO collaboration in Bank-financed projects is the lack of Bank resources available for the types of activities normallv carried out by NGOs. Because Bank policy strongly supports collaboration with NGOs. the demand for such resources has steadily increased in recent years. Two attempts to respond to this demand for resources have included the creation of the Participation Fund and the Fund for Innova- tive Approaches in Human and Social Development. The Participation Fund was established in July 1993 to encourage participator' approaches in Bank activities. This $300,000 fund, which financed proposals from operational units on a 50/50 match basis. was entirely committed within six months. A significant number of the activities which received support from the Participation Fund included some form of 50 - -- NGO involvement. See Box 15 for a description of the Bank's current Fund for Innovative Approaches in Human and Social Development. Box 15 FL NI) [OR IN\IV 1I\1 AL',R(JAM( IIS IN Hum\\ \Ni) SO( I V I()W''dI NI In July 1994, a fund of $2 million was established to support innovative approaches in human and social development. The main purpose of this fund is to improve the quality of Bank operations in areas which have vet to be mainstreamed into the Bank's operational work-specifically with regard to promoting participation (including the involvement of CBOs and NGOs) and undertaking social assessments. The fund is available to both regional and central vice presidencies and can be used for either operational or internal capacity-building purposes (NGOs cannot apply directly to the fund). Intended as a supplement and not a substitute for regular departmental budgets, an important requirement is that all allocations must be matched on a 50/50 basis with regular budget funds. 'he primary rationale for the fund arose from growing evidence that uneven financial and technical support are major disincentives for Task Managers who wish to widen stakeholder involvement or improve social analysis. A second reason for the fund is to encourage innovation. Task Managers who wish to undertake new or innovative work are currently heavily dependent on trust funds. The Fund for Innovative Approaches in Human and Social Development will reduce the need for Task MZanagers to seek external resources. The fund has currently been approved for FY95 only. Its continuation in FY96 is subject to senior management decision. More information on the fund can be obtained from the Participation Unit of OPRPC. Confusion over NGO status-The fact that NGOs sometimes co-finance projects or contribute advice or services for free has led to some ambiguity as to when and how much NGOs should be paid for their services. In some cases, project staff have assumed that NGO collabo- ration would come free of charge, while the NGO's expectation was to be treated as anv other consultant or contractor In other circum- stances, NGOs have freely contributed time and resources during project preparation phases with the implicit expectation. however. that they would be contracted during implementation. In order to avoid misunderstandings, questions related to fees, overhead costs, the NGO's exact status and expected future roles should be openly discussed from the outset. In the case of informal consultations, Bank staff should keep in mind that although many NGOs are willing to provide information and advice, their staff time is also of value and they can only invest so much without compromising their own operations. Unless participating as a co-financier, NGOs should not be expected to provide services free of charge or to accept fees lower than those of other professional consultants/contractors. - 51 Overhead costs-Overhead costs vary significantly among indi- vidual NGOs. and are not always calculated in the same manner. Some NGOs are accustomed to working with bilateral donors who are willing to cover certain types of recurrent and/or core costs which the Bank cannot. It is important for Task Managers to ensure that NGOs understand what constitutes legitimate overhead costs for the Bank and how various fees and costs should be categorized. For example. specific costs related to participatory processes should be identified as such (not included in a general overhead category). International NCOs with headquarters in developed countries should be advised that borrowing governments may be less willing to cover overhead costs in "headquarters' than those incurred in-country. Local NGOs with limited experience in dealing with donors sometimes fail to include any overhead costs in their initial proposals and, as a result, find it difficult to satisfactorily fulfill project commitments. When NGOs are hired as consultants, the use of a lump-sum contract can often simplify the process. There are currently no specified guidelines for overheads when NGOs are acting as implementing agencies and agreements have been worked out on a project-to-project basis. It has been suggested that collaboration could be facilitated by establishing clear * standards for acceptable NGO overheads in different types of projects. KEY POINTS - NGOs are generally cost-effective. They should not, however, be viewed as a "low-cost alternative" to other types of implementing agencies. - NGOs should not be expected to provide services free of charge or at * lower than market rates (unless according to a co-financing agreement). - Ensure mutual understanding of the status of NGO involvement (e.g.: informal unpaid advisor, paid consultant, contractor. etc.) from the outset. - Establish mutually acceptable fees and overhead costs. FURTHER READING - Soniya Carvalho, Social Funds: Guidelines for Design and Implementation. *- World Bank, Socioeconomic Development Funds: A Guideline for Design and Implementation. - Guidelines of the Fund for InnovativeApproaches in Human and Social Development (available from the Participation Unit, OPRPG). - Global Environmental Facility, Participation by Non-Governmental Organizations in the Global Environmental Facility. 52 - - - - - - - - E. Procurement and Disbursement Issues2l International Competitive Bidding-[lnder existing E3ank policies. international competitive bidding (ICB) is the preferred method of procurement. Local competitive bidding (LCB) is allowed when projects are small and foreign bidders are unlikely to be interested. Ulnfortunately, ICB procedures effectively exclude most NGOs and other local organizations whose smaller size and limited capacity prevents them from competing on an international scale. When NGOs 7 have been required to use [CB in their role as implementing agency for a Bank-financed project. they have found the procedures cumber- some and time-consuming. NGOs involved in the Uganda Program to o Alleviate Poveerty and the Social Cost of Adjustment, for example, were obliged to meet the procurement requirements of both the Bank , and the government of Uganda, resulting in a 34-step procurement process for any item over $1,000. A description of this lengthy process, which led to serious delays in project implementation is outlined in Annex VIlIl.2 Local competitive bidding (LCB)-Projects such as the Ethiopian Social Rehabilitation Fund have developed simplified LCB documentr- for use by NGOs and other local organizations. A sample of one such document is included in Annex IX. In Senegal, an intermediary agency called AGETIP (Agence d'Execution de Travaux d'lnteret Publique) was created to facilitate the LCB process (Box 16) Based on the AGETIP experience, similar institutions have been established in Burkina Faso, Benin, Chad, Gambia. Madagascar. Mali, Mauritania and Niger. I Box 16 |Mi I [\I IrVl\, I_ B 1H lRi); N \ INI IR'1'i!1 i ., un A, Procurement contracts for the Senegal Second Public 11brks an7d Employment Project are handled by AGETIP (Agence d'Execution de Travaux d'lnteret Publique). AGETIP's operational manual provides simple bidding documelits for LCB which are designed to ensure adequate competition among local contractors without requiring them to prepare a complex proposal. The core of the procurement procedure is local advertising which invites all contractors registered in the AGETIP roster to bid. The contract is written in simple language, describing the nature and scope of the work and proposinig reference prices. AGETIP's entire bidding and procuremenit process takes two months, compared to over six months wheni undertaken by the government administration. I AGETIP's clients include private firms. N(;Os. commullity associations and youth groups. 53 Alternative procurement practices-In "special cases", Bank policy allows for the use of alternative procurement practices such as local shopping (based on comparing at least three price quotations), direct contracting (no competitive process) or force account (use of the borrower's own personnel and equipment). These methods are normally allowed only in cases where works are small, scattered or remote: where quantities of goods or services cannot be defined in advance or where there are no interested contractors. Operational Directives 4.15 and 14.70, and the newly proposed 3.17, allow for "flexibility" in projects with social objectives or NGO or community involvement. L The use of alternative procurement methods, such as local shop- ping, can facilitate the involvement of local businesses and NCOs and the use of local labor. For example, in the case of a small community infrastructure project, it could be desirable to directly hire an NGO to undertake construction using paid community labor rather than employing a standard competitive bidding process. In some cases, such as the India ANational Sericulture Project and the China Irrigated Agriculture Intensification Project, community labor has been employed through a broad interpretation of the concept of "force account". Projects such as the Zambia Social Recovery Project demonstrate how a creative use of ICB, LCB as well as alternative procurement practices can help to ensure competition and efficiency while facilitating NGO and community participation. (Box 17) Box 17 = ~~~~~~~~~~~PRO(H tI Rl1tlNI IN it iF Z\MiIixSO(I 5((A1Ri( mi Ri Vk()i[( 1: _ X~~~~~~~~~~A BAN( IN(,i EiiXIN( ),AX(( M) NlIMI M1111 AN I) PAR MII I 10I(N The average size of sub-projects in the Zambia Social Recovery Project (see also Box 11) was $30,000 and many sub-projects were much smaller than this. The NGOs and communitv groups implementing the sub-projects were highly decentralized and located in remote areas of the country. From the perspective of project implementation, it was inefficient and unrealistic to ask these sub-project committees to follow formal [CB or LCB procedures for such small sums of money. In order to balance competitiveness and project efficiency, the project developed guidelines which promoted the use of ICB and LCB when possible, hut made it permissible to use local shopping. In accordance with Bank policy, civil works contracts were combined to form packages of $250,000 and purchases of goods and services were "lumped" together into $100.000 packages so that both could be procured under ICB. Where this "lumping" strategy was not feasible. LCB was used. For amounts under $30.000, NGOs and community groups wvere allowed to use prudent local shoppinig measures, obtaining three or more quota- tions from local suppliers. In practice, "lumping" proved difficult and the vast majority of sub-projects used local shoppinig. 54 _ Provision of advance funds-O.D. 14.70 states that "special measures may be required to ensure that NGOs have sufficient liquidity to carry out the contract". While private contractors normally work Box 18 on an expense reimburse- kivi - Hi it i )u N l ,,,,I I ment cycle. most NGOs In the Alla/i Health Development Project. maintain limited capital an NGO based in Burkina Faso-ADAlIA reserves and are unable to (LAssociation pour le Developpement operate without advance d'une Architecture Naturelle et d'un funds. As in the Mali Health tJrbanisme Africain) was contracted to Development Project, construct a number of health centers. Although ADAUA's NGO status was failure to address this. recognized by the Bank, the Government situation can lead to project of Mali treated the organization as a delays and financial difficul- private contractor. The government ties for participating NGOs. expected ADAUJA to spend money and be (Box 18) reimbursed from the project fund. The realitv was, however, that ADAIJA lacked capital reserves and could not subsist Advance pavments can be without advances. As a result, there were made as long as they are cumulative delavs in construction and provided for in project disagreements over pre-agreed sched- contracts. The opening of a ules. Relations with local communities Special Account (SA), a also suffered when, due to lapses in revolving account which funding, local laborers went unpaid for months at a time. While ADAUA was provides advances in local technicaliv sound, its financial manage- and foreign currencies, is ment and accounting capacities were not now fairly common-place. well-developed, leading to significant Normally, however. only one unaccountable losses. SA is permitted per project. In some cases. such as the Ethiopia Emergency Recoiery and Reconstruction Project. the opening of a separate SA for NGO or community-related procurement has been found to facilitate disburse- ment. In projects with substantial community-level involvement, multiple SAs may be permitted if the project is structured accordingly. The Cameroon Food Security Project and the Benin Natural Resources Project both used Second Generation Special Accounts (SGSAs), which permit advance payments from the SA to separate project accounts. SCSAs are permitted by O.D. 12.00, but only under "exceptional circumstances" and require clear and well-defined control features. SGSAs require the approval of the director of the Loan Department, which must be sought before the completion of appraisal. Delays in Disbursement-Because NGOs' capital reserves are generally very low, delays in the disbursement of project funds can be particularly problematic. When delays occurred in the Indonesia 55 1ogyakata Rural Development Project, an indigenous NGO which had been contracted to construct water storage containers, not only had to interrupt its construction activities, but found itself unable to pay wages to local laborers for their work. In projects such as the Zaire Ituri Livestock Development Project, disbursements to NGOs have been held up due to delays in the deliverv of borrowing government counter part" funids. Stipulating 'in-kind" govermilent contributions (e.g.: salaries, utilities, etc.) can help to alleviate this problem. If the borrowing country is willing to guarantee repayment of loan funds by an NGO, then payments can be made directlv available to the partici- pating NGO, thus avoiding bureaucratic delays. Ensure NGOs understand procurement/disbursement practices- Care should be taken to ensure that all parties involved are well- informed about procurement and disbursement procedures prior to signing an agreement. Credit agreements should be written in clear and simple language and . where possible, made available to all participating parties. Some Task Managers have also used simplified bidding documents and provided training to NGOs on procurement methods and practices. In the Albania Rural Povertq Alleviation Pilot Project, for example, traininig was provided to commune members who had been directly contracted to carry out infrastructure sub- projects. It is also useful to ensure that staff in the project implemen- tation unit are fully familiar with procedures and can provide guid- ance and advice to participating NGOs if necessary. KEY POINTS * Use simplified bidding documents, where appropriate. _ Consider the use of alternative procurement practices. i_ If necessary, make provisions for advance payments. i Provide training for NGOs in procurement and disbursement procedures. FURTHER READING + Gita Gopal and Alexander Marc, Study of Procurement and Disbursement Issues in Projects with Community Participation. _ World Bank, Procurement in Africa: Issues and Solutions. _ Samuel Voorhies, Working with Govemment Using World Bank Funds: Learning from the Uganda Orphans and Health Rehabilitation Program. 56 F. NGO-Government Relations NGO involvement in Bank-financed operations implies a trilateral working relationship between the borrowing government. NGOs and the Bank. It can be argued that ultimately NCO relations with governmenit are more important to successful collaboration than NGO relations with the Bank. For this reason, it is extremely impor- tant for a Task Manager to have some knowledge of the borrowing government's overall perspective of the NGO sector as well as its relationship with specific NGOs or groups of NGOs. Understanding NGO-government relations-State-NGO relations vary enormously from country to country and from regime to regime. In some situations, NGOs are viewed as clear opponents of the state and relations are no less than hostile. In other cases, government and NGOs may share similar goals and work closely with each other. C Between these two extremes are governments which may tolerate the z NGO sector without being particularlv supportive or which might ally themselves with certain NGOs while opposing others. Given the enormous heterogeneity of the NGO sector, a government's relationship with any individual organization depends greatly upon that organization's specific activities, purpose, ideology and institutional or personal ties. The NGO U_nit of OPRPG has produced an issues paper (Clark, 1993) and an Initiating Memorandum for a series of country-level studies on State-NGO relations. Designed and implemented in conjuniction with C[)s, these studies are intended to provide a general overview of the NGO sector as well as essential information about State-NGO relations in that country.'; At the time of writing, one study looking at the policy environment in which NGOs function has been com- pleted in LUganda and two are underway in Bangladesh and Indonesia. State-NGO relations have been explored in the context of a number of Bank studies and reports. In the preparation of Sri Lanka s Poverty Assessment, for example, a working paper was produced which examined key areas of government-NGO collaboration, and included an analysis of government policy towards NGOs as well as recommen- dations for promoting an enabling environment. Another report entitled A Study of Non-Governmental Organizations in Cameroon and C6te divoire was undertaken to assess NGO-government rela- tions and to appraise the capacity of NGOs more generally. The NGO sector in both of these countries was found to be quite weak and the report gives a number of recommendations as to how the Bank, in collaboration with government, could provide additional support. 57 Unwillingness of NGOs to work with government and vice versa- It is not always appropriate to encourage government-NGO collaboration. In some situations, the leading NGOs and government have a conflictual relationship. In other circumstances. NGOs risk losing their credibility or autonomy by accepting government funds. In projects such as the Chad Sociail Development Action Project, NGO involvement has been made a condition of project effectiveness. This approach has been used successfully in a number of situations where NGO collaboration was deemed particularly important. Little is to be gained, however, from pressuring unwilling governments into involving NGOs by making it a project condition. Collaboration is unlikely to be productive unless both parties enter into the agreement willingly. As demonstrated by the Guatemalan Social Investment Fund, the Bank is not always well-placed to act as mediator in a conflictual situation. (Box 19) j ol -_ _ _,__ __ __ __ _ - e; ~~~~Box 19 Tiii (T,C, %!i U\i SlI ---A NC() Iuioi,[( iI\ In 1987, ASINDES, the largest NGO consortium in Guatemala, entered into discussions with the World Bank and the Government of Guatemala (GoG) regarding the creation of a SIF. Given the country's history of repressive regimes, NGOs had little experience in interacting with government and were hesitant to work closely with the new democratic government. [)espite their initial fears, ASINDES members recognized the important potential henefits of the SIF and ultimately agreed to participate in the design and implemelitation of the Fund. Initially, participating NGOs viewed the Bank as an objective mediator between themselves and government. When contlict and disagreemnent between NGOs and the GOG led to project delavs, however, NGOs were disap- pointed that the Bank seemed to lose its obiectivity as a negotiator and clearly side with the GOG'. (PACT. 1990, p. 24). A study of the experience prepared by an intermiediary NGO concludes that the Bank "can encourage governments to be more receptive of NGOs. but it is unsuited to assume the role of mediator. especiallv in conflictual situations ... asl ...its organizational. intergovernmental structure and its customary experienice will incline it powerfully toward supportinlg governmenits in disputes with NGOs." The study goes on to recommend -that the Bank should seek to facilitate government-NGO relations at a imore general level, rather than attempting to work out complex relations within a time-bound, project-specific context. Source: PACT ]Y990. Seeking government-NGO complementarity-In situations where government agencies are weak or inoperative, NGOs have represented a viable institutional alternative. NGOs have also been called uponl to deliver services in specific areas where government capacity is weak. Ideally, NGO collaboration should aim to complement, not by-pass, 58 - -_ government efforts and to contribute to long-term institution-building. Particularly when the implementing agency is an international NGO, working in partnership with relevant government line ministries should be stressed. In Ghana, for example, the international NGO TechnoServe has been contracted under the Bank's Ruracl Finance Project to strengthen the capacity of the government's Department of Cooperatives. Working hand-in-hand with DOC staff, TechnoServe Business Advisors have trained their counterparts in business planning, financial management, credit management and the other skills needed to help rural communities establish and manage commercially viable, cooperatively-owned enterprises. In some cases. governments may view NGOs as "competitors" and be unwilling to share project resources and/or the credit for project benefits with NGOs. The PAVSCAD experience in Ghana. for example, provides an illustration of government reluctance to give up "ownership" over a Bank-supported development program. (See Box 20). C z Box 20 VURI I) PPANK-NCO VAxINIKIHI IN' .HNNA P4,44SCAD was launched in Ghana in 1988 with the objective of protecting vulnerable groups during the initial phases of structural adjustment. During program preparation, it was agreed that NGO participation would be an important factor. The World Bank resident mission established close contact with the Ghana Association of Private Voluntary Organizations in Develop- ment (GAPVOD). and together they organized activities to inform NGOs about the upcoming program and solicit their input. Representatives from GAPVOD and other NGOs were included in a program Task Force. NGOs were also invited to participate in a donors' conference which resulted in financial commitments bv multilateral and bilateral donors of over $85 million. tJltimately. however, NGO involvement in the program was much less significant than originally planned. Although the government agreed in principal to channel resources through NGOs. in practice it proved politically advantageous for government to maintain control over program resoLirces and to be able to take credit for program benefits. NGOs were initially expected to play a key role in a Community Initiatives Project. In order to support its decentralization plan, however, the government ultimately chose to work through its own district assemblies. A mid-term evaluation carried out in 1990 found that, with the exception of a large food-for-work project undertaken in the north of the country by Amasachina (a Ghanaian NGO) and the Adventist Development Relief Association, most proiect components had, in fact, been fully taken over by the government. Supporting an enabling environment-The policy environment within which NGOs function is a key factor in determining the strength and effectiveness of the sector. The major means whereby government policy influences NGOs are listed in Box 21. It has been argued that one of the most effective ways for the Bank to support NCOs is by using its influence with governments to promote an 59 enabling environment. In the India Integrated KtWershed Development and the Nepal Bhairawta Lumbini Groundwater Irrigation III projects. for example. the Bank facilitated the legalization of CBOs in order to allow them legitimate ownership of project activities. A number of other Bank projects have led to creation of NGO liaison line agencies. The Bank can also promote state-NGO relations by creating incentives for government staff to work with NGOs and by Box 21 sponsoring fora for (G)%\rIl\1O1 ()'III 11 KN ) IFI] N(.0 ()01 - dialogue and information- l 'i HO INMI I sharing. In the Sri Lanka The principal avenues whereby governments Health and Famil& influence the operational environment for Planning Project, for NGOs include: - the nature and quality of govemance example, Joint traiNing (freedoms of speech anid association): < was provided for NGO and - the legal framework (registration, o government staff in reporting requirements, etc.): z Information-Education- - taxation policies and duty exemptions Communication (IEC) for NGOs; techniques. In addition. a - operational collaboration with NGOs: series of aniiual workshops - public consultationi and inforimiationi- sernes of annual workshops shariuig with NGOs were organized to bting - government roles in coordinating gv government and NGO NGO activities; personnel together to - governmenit funding of NGOs: discuss on-going strategies - regulation of foreign donations to NGOs. _ ~~~~~~~~~~~~~~~~~~~~~~~sourceS: Clazrk 1.9.').,. and implementation plans. KEY POINTS * - Consider conducting a state-NGO relations study. - Keep in mind that government-NGO collaboration is not possible/ desirable in all cases. Y Always seek government-NGO complementarity. 5 Understand how government policies influence the NGO sector and, where possible, promote an enabling environment for NGOs. FURTHER READING - John Clark, The State and the Voluntary Sector. _ PACT, The Negotiation of the Guatemalan Social Fund: An NGO Perspective. - John Farrington and Anthony Bebbington, Reluctant Partners? Nongovernnental Organizations, the State and Sustainable Agricultural Development. Anthony Bebbington et. al., NGOs and the State in Latin America. - John Farrington et. al., NGOs and the State in Asia. - Kate Welland et. al., NGOs and the State in Africa. - Michael Bratton, The Politics of Government-NGO Relations in Africa. 60 - - - - - -- - -- - - - - - G. Importance of clearly defined roles and responsibilities Establishing and maintaining an effective trilateral working relationship can be a complex task. A number of projects have experienced difficulties due to a lack of communication amonig government, NGOs and the Bank and a lack of clarity concerning specific roles, responsibilities and lines of authority. Communication/information-sharing-It is important to ensure that 7 participating NGOs have access to project documents which relate to their collaboration. Wherever possible, credit agreements and procurement documents should be shared with NGOs. Projects with substantial NGO involvement have usually appointed an official NCO liaison person and established institutional mechanisms to ensure on-going communication throughout the project cycle. In the Bihar Placteaui Development Project, for example, an NGO Cell made up of a sociolo- gist/anthropologist and an office manager was created. The terms of reference of this cell and its place in the project structure is included in Annex X. In the case of the PAPSCA project in Uganda. participat- ing NGOs were unclear as to where they could go for information and to whom they should report. Frustrated with their inability to obtain clear information from the in-countrv project office, one NGO eventually placed a staff person in Washington with a mandate to liaise directly with the Bank. Box 22 illustrates the difficulties which can arise when clear communication behtveen all parties is not ensured. Pre-implementation trilateral consultations-Govermiient-Bank-NGO consultations early on in the project cycle serve to clarify respective roles and responsibilities and establish trust between the three groups. Allowing NGOs to participate in defining the terms of their collabora- tion helps to ensure that identified roles are appropriate and realistic. Experience has shown that it is useful to reach a general agreement on the project context and broad objectives, before detailing NGO involvement. In the case of the Burkina Faso Food Security and N,utrition Project, an NGO advisor from the Africa Technical Department joined the identification team and played a key role in facilitating Government- Bank-NGO working relations. A project working group (composed of government, NGO and Bank representatives) met over a three day period to reach consensus concerning overall project objectives, institutional arrangements, administrative structures, financial terms and technical matters. Details concerning communiity contracts. mechanisms of beneficiary participation, disbursement procedures, and the specific responsibilities of national and provincial-level project committees were also agreed upon. Other projects have found 61 it useful to hold an implenienitationi workshop at effectiveness to explain procedures and prepare yearly action plans. Box 22 Tilil I\uuI(u I Dio F:x\ TlmTu R\1[ (I\\ I \N \11(\ From 1987 to 1989. OEF International (a Washington-based NCGO) collaborated with the Bank on the developmenit of an innovative water and sanitation project. Invited bv the Task Manager ITM) to participate in the design and appraisal stage of the project, OEF assumed that it wvould also be involved in the implemilentation of the project. Throughout this process OEF communicated exclusively with the TM who it assumned was the ultimate authority on its involvement in the project. During a third preparation mission. OEF learned from the TM that it would have to independently negotiate a contract with the government of Mexico. but continiued to assume that its participation during implementation was a given. Following project approval. OEF was advised by the TM to travel to Mexico to obtain contracts for technical assistance with two participatiig parastatal agencies. OEF drew up contracts \with the parastatals, but when i_ it approached the state planning agency for approval was accused of attempting to impose itself on the governmenit. An evaluation report drafted by OEF states: "OEF mistakenly believed that the TM's desire to include an NGO like OEF was equivalent to a decision by all parties to do) so. OEF never comprehenided unltil late in the process that it would have to negotiate on its own its role in implementation with governmeit. Nor did OEF ever understand who was the key contact with authority for negotiation decisions within the governmenit...The ambiguity of the NGO's status vis-a-vis the Bank and the GOM caused much confusion and fettered communication between and among all three parties to the project." In the end, this project did not reach implemenitation as it was superseded by another Bank-financed regional development program. .S;ource: OEF h/ternmtional, 1.990. KEY POINTS - Share all relevant project documents with participating NGOs. Consider the appointment of an NGO liaison officer. _ Organize a government-Bank-NGO information-sharing workshop. FURTHER READING - World Bank, India: Bihar Plateau Development Project, Staff Appraisal Report. OEF International, Women, Water and Development in Mexico: A Case Study of NGO Collaboration in a World Bank Project. 62 _ H. Contractual/Legal Issues Unwillingness or inability of NGO to enter into a legally binding contract-in some cases. NGOs may be reluctant or incapable of entering into a standard contractual agreement. In such cases. a Memorandum of lJnderstanding (MolJ) or Convention signed with government or an executing agency maya be more appropriate. In the India National Cataract Blindness Control Project, for example, a participating NGO which was reluctant to take on the risk of contrac- tual liability signed a MoU defining it as an equal partner with the executing agency. According to the specified terms, the NGO was under no formial legal obligation and would be paid for its services upon verification of performance. Alternative agreements-Different forms of contractual agreements with NCOs might be necessary depending upon the specific nature of . their collaboration in the project. In the Peru Basic Health and NVutri- tion Project, for example. NGOs were contracted by both cooperative I agreements and service contracts dependilng upon the Box 23 nature of their participation PMd B'si( HL[ roi \.Nn NIuI1IT1(kN 0 in the project. Cooperative PRoilo T agreements were used in cases The objective of this proiect is to where NGOs were contracted improve the quality and accessibility of to deliver government health and nutritional services, with an supplies (e.g.: the distribution emphasis on poor women and childreni. of medicines or vitamins) or Over 250) health-oriented NGOs are active in Peru and over 61) have In cases where the government ac tiv in Peuadoe0hv operations in the project area. Given the and NGO used their respective high level of NGO expertise in this resources on the same project sector and generally positive relations componenit (e.g.: NGO with govermiient, it is anticipated that organization of village-level NGOs will play a major role in project implementation. They will be responsible training by a government for 75%Ii of training and research nurse), while service contracts activities, 4()' of education and were used when an NGO was communication and 20(%./, of service contracted to carry out a delivery. In order to promote effective discreet project activity (e.g.: participation. NGO input was incorpo- training community workers). rated at an early stage. Durinig project preparation a commission made up ot See Box 23 for a description peaait oinsii iid po sgovernment, donor and NGO represen- of NGO involvement in this tatives was formeed to discuss project project. objectives and strategies. 63 Simplified contracts-A number of projects have adapted or simplified standard contract models for use with NGOs and/or community-basec organizations. An example of a simplified contract betweeni a project authority and a village grouLp is included in Annex X. The operations manual of the Zambia Social Recovery Project contains further examples of simplified contracts. KEY POINTS _ Adapt standard contract agreements as necessary to meet specific needs of NGOs/community groups. - Write contracts in simple language. - Consider using a Memorandum of Understanding or other alternative form of contract. FURTHER READING e Gita Gopal, Guidelines for Identifying and Addressing Legal Issues in Designing Projects with Community Participation (forthcoming). 1. Capacity-Building In addition to enhancing the effectiveness of Bank-financed projects, Bank-NCO collaboration also presents an opportunity to build the capacity of the NGO sector. The building of social capital -and the emergence of a strong civil society are essential ingredients in achieving long-term, sustainable development at the national level. Enhancing the capacity of indigenious NGOs through operational * collaboration may well generate a development impact which surpasses immediate project goals. Provide training-One way the Bank can contribute to the capacity- building of NGOs is through training. In the A`epal Rural lWlater Supply and S'anitation Project, for example, NGOs selected to work with communities followed a seven day training course on participatory research techniques, gender sensitivity and group dynamics. This initiative was financed by the Japanese Trust Fund and is judged to have nmde an important contribution to the success of the project while also developing the skills and capacities of participating NGOs. 'Training in participatory techniques will also be offered to NGOs involved in carrying out environmental assessments for the prepara- tion of Mali's Environmental Action Plan which receives bilateral funiding from Germiany. In both of these cases, training sessions are organized and conducted by leading NGOs. 64 _ Promote NGO partnerships-International NGOs are frequently larger and enjoy greater access to human and capital resources than do their national counterparts. Although it is natural to seek out partners which are strong and competent, it is Ilso important to support the growth of the indigenious NGO sector. One way to achieve this is by pairinig larger/stronger NGOs with smaller/weaker ones. In the &'nin Food Secairity Project. for example, international NGOs were required to work in partnership with local groups. (Box 24) In sucIh cases, it can be useful to stipulate specific capacity-building strategies and goals. Box 24 IN I0 RN 0I IN o\ NGO() S( il'oil} I ~I,( DO(.\o Sml Oh( NI/ \i Ii )Ns ThIe Bei7in Food( Secritt Prciect hegan with a two year pilot phase, Iuring which international andt locail NG(s were contracted to provide services to comm11un_ities in micro-proiect identificationi, design anid implcmenitationi. D)uring the pilot it was found that while locial NGUs were enthusiastic anld coompeteit, their participation in the project was inilihited bv a lack of sufficielnt staff antd vehicles and, in somie cases, a la1ck of experience in project design. Internationial NCOs ha d less difficultv in thalt thev tended to enjov higher levels of huiman anltd masteriail resources ianid a longer record of field experience. At the enid of the pilot NGOs, governmient and do*Inors camile together at a workshop to desigin a larger proiect. In order to contribute to the long-term developnienit of the local NG0) sector, it was decided thait intenilational NGQs Would nIot u(.ldertake proiect activities independently hut raither WoUld wvork in partnership with a newer and weaker local NGO. providinig informational, techinical antd logisticatl suLpport aned facilitating technology transfer. I , _ __ ________- . Foster information-sharing-Another way the Bank can contribute to NGO capacity-buildinig is by supporting inforniationi-sharing and networking activities ami0ong NGOs. Oine example of this is the Madagascar Participation Review. With $211)0.(0) from the World Bank's Participation Fund, an initiative was undertaken in Madagas- car to coinduct a review( of participatory development practices at the grassroots level. The review team, composed of NGOs and academics. will assess five successful NGO projects and then hold workshops and traininig sessions to share best practices among NG( )s and donors. Capacity-building efforts outside of the project cycle-NG() capacity-buiIdinig activities have also been undertaken outside of the project cycle. For example, the Economic [)evelopment Institute (EDI). which has traditionally provided sectoral and mlanagemilent training to governmenit stzff an(d policymakers from developinig countries, now frequently includes NGO representatives in its courses. The EDI has also initiated several programs specifically for the NGCO sector. 65 Since June 1992 EDI has been sponsoring a pilot program to help African NCOs strengthen their long-term programming skills. The overall objective of the program is to develop a methodology for assisting NGOs through a combination of training and follow-up support. The follow-up consists of organization-based consultancies to assist the NGOs in applying tolls and skills presented in the workshops. To date. 21 NGOs from Benin. Burkina Faso, Mali and Niger have participated in training workshops. EDl's partner in this program is Innovations et Reseaux pour le Developpement (IRED), an international network of NGOs and community organizations. In Latin America, EDI sponsors another NGO capacity-building program called FICONG. (See Box 25). Box 25 _ iosrllllll~~~N,IIII (),% I1t SIU .1111 NI.N(. NND) C WV'\ VNr B ti III) I (, MI,1 EDI launched the FICOiVG (Fortalecimiento Institfuciottal y Capacitacidn Lpara Orqanizaciones non Cubernamentales) program in 1991 in collaboration with the Latin American branch of the International Institute for the Environment and Development (IIED). The aim of FICONVG is to assist NGOs working in urban poverty in Latin America and to promote dialogue on urban poverty issues among NGOs and between _ them and municipal governments. The program is a multiyear effort financed bv EDI and other international donors. During a typical vear, NGOs that comprise the FICOANG network deliver more than 30 semi- nars, workshops and courses. In addition, the program publishes several thematic journals, books and training materials. To date. over 500 NGOs and local governments have participated in FICOANG s activities. EDI's assistance will be reduced on a declining basis over the coming years so that the program can become self-sustaining. i Over the past five years, EDI has worked with NGOs in piloting a number of innovative and participatory women's grassroots management training programs. These have included the Homens.Aanagement Training Outreach Program (lV41TOP) in Nigeria; Femmes et Formation a la Gestion Appliqu& (FEFGA) in Senegal and Burkina Faso, and; 1'omen 's Enterprise Management Training Outreach Program (11'EMTOP) in India. Local teams in each country have assessed the management training needs of grassroots women's groups engaged in income-generating activities and micro-enterprise; adapted or developed new training materials to address the needs of this (largely illiterate) population; conducted training; provided on-site follow-up training support, and: monitored and evaluated training results and outcomes. Future work involves the consolidation of materials, institutionalization and expansion of existing programs and the introduction of new pilots in other regions. 66 -- KEY POINTS - Consult with NGOs on appropriate strategies to support their institutional development. Where appropriate, build a training component for NGOs into project design. - Encourage partnerships between international and local NGOs. - Promote networking and information-sharing among NGOs. FURTHER READING o Alan Fowler et. al., Institutional Development and NGOs in Africa: Policy Perspectives for European DevelopmentAgencies. 7 _67 FOO1 NO IS 'A list of Bank policies and procedures which make reference to NCOs is included in Annlex 1. -COperational Directive 14.7, 7/kh1nolrsinq NonjoiennnentalOrqazi:tions in Ban?A--siplportdcl.4ctiAaities, Washington: Wonrld Baiik, 1989. 'NG(I)s are alterinatively referred to as PVos (private voluntary organizationsi. noni-lprofits, charitable organizations or third suctor organizations. 'Againi, the distinctionis hetweeni these caitegories are not entirely clear-Cut. For examtiple, grassroots organizations have, in sonie cases, expanideud to the national or suh-nationial level; independent local ofices of international organiza - tions somietimiies fuLiction. in effect. as national organizations, and: some NCO()s based in developinig countries miav cover anl entire region or suh-regionl. World Bank. Cooperation betuwen the llb,rld/ Bank anml NGOs: 1.994 Proqress Report. Wtshiiiigtoni: World Bank, 1994. A rana1e of vriaibles whichi should he taken into account when identifying and assessino indivicluail NGos are discusseed in section IV.A.ii. See bihliography for full references of suggestions for further readinig. 'Participati(,on is defined hv the VWorld( Baink Learninig (.roup on Participatorv [)evelopnment as "a process through wtthich stakehlolders intlueLnce zand share control overl development initiatives, decisions and(l resources which affect themi'". For more information. see World Bank. The ll orlcl BanAk and Participation. Washington: World Baniik, 1994. See World BLank. Participation Sourcehbok (forthcominiiigi. See, for example. World Bank, O)I Precis Ahimber 7,.1,1l1Lnuary I1995. For furthier informationi, see A. Nortoni and T. Stephens. Participa?tioni i7n Poi 'crtq 1.-ssessmen its, 1994 anldl World Bank, Cooperation between the, 1lt-nrcl Bank and A(;().s: 1.9,')' Pro (qreSs RcT01frt. I Statistics comiipiled by the NG() Ellit, ()I'RIG show that NG() involvement duoring implementation is still the inost commiiii:on forim of of collahoration. In 1994, 86(h o \!'NU,> Ri , wi, I' i;., 1. The NGO Unit of OPRPG maintains the following informational resources: * a computerized NGO profiles database, containing information on over 8,000 organizations; * a computerized reference collection of over 700 NGO directories and reports; * a computerized database of Bank-financed projects involving NGOs including approximately 800 projects: * a Bank-NGO technical dossier of "sample" materials illustrating ways in which the Bank is working with NGOs: * individual NGO files containing brochures, annual reports. etc. for over 1,100 organizations and over 100 country files containing NGO- related materials; and * a publications collection of research papers, reports and other documents on NGOs, popular participation, structural adjustment, poverty alleviation, and social investment funds. 2. The informational resources of the NGO Unit provide an institutional memory of Bank-NGO contacts. Task Managers can, for example, use the database as an initial tool to identify potential NGO partners. The NGO Unit has a varied clientele consisting of Bank Operational, Policy, Adminis- trative, and Legal staff: Executive Directors: the IMF; UNDP and other sister UN agencies: bilaterals; governments: universities; international NGOs; national NGOs; consulting firms; the media: and individuals. 3. The NGO Unit maintains four computerized databases and three collections of manually retrievable files: (i) ANGO Profiles Database. It can identify NGOs by country, sector, type of NGO, and numerous other fields. Bank staff can use this database, for example, to generate targeted mailing lists to send newsletters or surveys to selected NGOs, or to identify short lists of NGOs to be visited in the course of Bank work. Each profile contains at a mini- mum the organizations name and address. Preferably, profiles contain much more extensive informa-tion including contact names, sectoral activities, background, organizational purpose, and previous experience with funding agencies including the Bank. (ii) NGO Directories Database. Catalogues over 700 NGO directories, inventories, and country-and sector-specific reviews of NGOs, that 82 have been done by the Bank as well as by other organizations. These are recorded on a Paradox software program from which directories can be accessed by region, country, sector and publisher. (iii) Bank-ANGO Projects Database. Lists all Bank-financed, NGO- associated projects identified since FY73. 800 through the end of FY94. It can be sorted by manv different variables, including region, country, sector. type of NGO, form of involvement, and rationale for involvement. This database supports the ongoing monitoring of trends and patterns in Bank-NGO opetational collaboration. (iv) NCO Consultants Roster Database. Lists over 375 Consultants. These are recorded on Paradox software, and each Consultant can be searched on country, sector, and language qualifications. These Consultants are either known to a member of the NGO Unit or have been recommended by another staff member or a reliable NGO contact. A recent resume is available for each Consultant on the roster. (v) Bank/lNtGO Technical Dossier Collection. It contains documents which can serve as models for Bank staff seeking increased NGO involvement in Bank-financed projects. The dossier includes ex- amples of, among other things: * exemplary cases of NGO collaboration in Bank-financed projects; * mechanisms of NCO participation in specific projects; * contractual agreements with NGOs involved in Bank-financed projects: * NGO survevs and inventories; * models of other donors trying to increase the potential for collabo- ration with NGOs; * evaluations of NGO projects and institutional capabilities; * NGO participation in environmental assessments: and * options for NGO financing, including the Small Grants Program. (vi) NGO Files Collection. This contains correspondence, memoranda, annual reports, and other information on NGOs with which the Bank has interacted. The files are organized alphabetically by country in the NGO Resource Center. These sometimes contain additional backup information to the NGO Profile Database. General country files also exist for organizing country-specific papers or for filing materials on NGOs for which a separate organizational file has not been opened. 83 (vii) Publications Collection. About 150 papers anid reports on NGO- related issues/themes that have been prepared by Bank staff. NGO members of the NGO-Bank Committee, and other NGOs are in the collection. The collection includes, for example, the brochure, liow the World 13ank Works with Non-Governmental Organizations, and the Annual Progress Report to the Bank's Board on "Cooperation Between the WVorld Bank anrd NGO.' 4. The NGO Resource Center (Room S-13-018X) ma'y be visited during normal office hours. Materials may not be removed from the Center, but xerox facilities are avzailaible. Arthur Thomas. is availahle by appoint- ment to assistant in accessing information. Requests from thie various NGO computer-ized databases may be addressed to Arthur Thomnas by telephone (ext. 31151) or by E-Mail. 84 ANNEX IV. SAN.11X MI IHo)I11()(O ()[R COND 11WN(, AN NCO St( I(K Sit m 1wr,,t" [ii timo -:1 )i A.n, T,, H,wl t)i N(,()', \N I ,s IIR-1;>I (RI1) 1's P,\ P,A,I RI I I\1lxIHINo) A. Methodology for Analyzing the NGO Sector Objective To make comprehensive, up-to-date information on the NCO sector in IJganda available and accessible. Outputs 1. Definition and description of NGO sector, including: * organizational and functional characteristics of NGOs * origins and motivations * geographic coverage * range of activities * extent and nature of resources deployed * sources of funding and other support * extent of governmentofficial agency collaboration 2. Classified listing of development NGOs. with basic information on each, including if available: - name and address * legal status * date of formation * type(s) of activity * geographic coverage • present number of staff * CLurrent annual expenditure * sources of funding and other support * links with government and/or official agencies 3. Action plan for establishing and maintaining NGO database, covering: * data to be stored * data collection and verification methods - access facilities * confidentiality safeguards * ownership and control * hardware and software requirements * preliminary implementation plan and budget Activities 1. Establish working definition of "development NGO" for the purposes of this study and its intended consequences. … - - - - - - - - - - -_-_- 85 2. Identify, review, and analyze information in existing files and records, including those held by: * National Board for NGOs * Aid Coordination Secretariat, Office of PM * Aid Managemenit Department, MFEP * NGO network and 'umbrella' organizations-e.g. DENIVA (Devel- opment Network of Indigenous Voluntary Agencies). UCOBAC (Uganda Community-based Association for Child Welfare), NAWOOU (National Association of Women's Organizations of Uganda) * Official agencies-e.g. UNICEF, UNDP, World Bank. CIDA, DANIDA 3. Devise practical, functional method of classifying NGOs. 4. Set up rudimentary NGO database on MFEP(AMD) computer. 5. Identify potential users of NCO database and analyze their informa- tion needs. 6. Determine design factors for appropriate NGO database. B. Methodology for Analyzing NGO Operating Environment Objective To identifv factors in the operating environment of NGOs in Uganda that facilitate or impede their work. Outputs 1. Segmentation and description of NCO operating environment. including the following components: * statutory and regulatory * governmental and administrative - economic and financial * physical and infrastructural • social and cultural * political 2. Analysis of positive and negative factors in NGO operating environment. 3.Analysis of problems and opportunities regarding NGO operating environment, including those related to: 86 * Facilitation and promotion: (e.g. tax concessions. import duty, sales tax, income tax, etc.). * Immigration: (e.g. entrv permits, passports, advice and guidance. information * Support services * Representation and arbitration . Regulation: (e.g. registration and criteria of acceptability, restric- tion and/or direction of activities, returns and reports, institutional and procedural arrangements). * Coordination: (e.g. nature and extent of desirable coordination of NGO activities one with another, and of NGO activities with government and other agency activities; levels of coordination; location of responsibility and authority for coordination; institu- tional and procedural arrangements). * Accountability: (a) extent of accountability to government, benefi- ciaries. donors; (b) types of accountability, e.g. financial, social. operational: institutional and procedural arrangements: GO (governmental/official agency)-NGO collaboration, e.g. nature and extent of desirable GO-NGO collaboration; modes of collaboration; institutional and procedural arrangements. Activities 1. Investigate, by interview, questionnaire, group discussion, or other appropriate means. NGOs' and others' (government, official agencies, qualified observers) perceptions of the NCO operating environment. 2. Identify and review any documented previous analyses. deliberations. proposals, etc.. related to the NGO operating environment. e.g.: * Proceedings of the Sub-committee of the Aid Coordination Com- mittee (the "NGO monthly meeting" convened by the Aid Coordina- tion Secretariat, Office of PM). * Proceedings and report of the Vice-President's Select Committee on NGOs, and associated meetings. - Proceedings of the National Board for NGOs. 3. Identify and review structures and statutory instruments, rules and regulations, practices and procedures that help to create the NGO operating environment. 4. Make several field visits with NGOs to observe programs and projects in operation. and to check field staff's and beneficiaries' perceptions of the NGO operating environment. 87 C. Identifying Improvement Opportunities Objective To identify policies and strategies, structures anid mechanisms, adoption of which may enhance the efficiency and effectiveness of NGOs and assist fuller realization of any comparative advantage they may possess. Outputs 1. Analysis of options and approaches for supporting and strengthening the NGO sector and improving its operating environment, including assessment of: * acceptability * practicality * affordability 2. Suggestions for structures and mechanisms for operating, adminis- tering, and managing the proposed National Community Action Trust. Activities 1. Identify and investigate any recent initiatives to promote or procure changes in government policy and procedures-, collaboration and partnership between NGOs, government, and official agencies; scaling up: replication; or any other means of augmenting and making full use of the NGO sector's potential to contribute to national development in general and poverty alleviation in particular, e.g.: • PAPSCA * Vice-President's Select Committee on NGO's * Non-Governnmental Organizations Registrationi Statute 198'3. an(d Regulations 1990, the National Board for Non-Covernmental Organizations. 2. Review literature on NGO sector experience in other countries, with particular reference to government policv and NGO-government-official agency collaboration. 3. Identify and analyze issues arising from information and results produced by tasks (1) and (2). 88- 4. Solicit ideas from, and discuss possihilities with. representatives of NGOs, goverinment and official agencies, concerning options and approaches for supporting and strengtheniing the NGO sector and improving its operating environment. St) 'RCE: \\orId Bank. A'o10l bic of luilda: 77w Ru/c olA(;Os cu (unnuuui/-baScd (inutps in Pur/qR Al/cr/a/inn. Repujrt No. 122fi2-U(. Washington: World Bank. Eastern Africa IhOartuellt. Population & I LnIaln Resources Division. 89 ANNiEX V. S%\wii1 NG10) 'fim( iio\Cs1ell A. Peru: Basic Health and Nutrition Project For an NGO to be considered to participate in an activity of the Peru Basic Health and Nutrition Project, it should comply with minimum requirements which support its operation and participation. Legal bases which support its operation and participation in the field of health and nutrition: * Legal entity. * Registration as an NGO in the Ministry of Health (information should be updated at the time of the request for proposals). * In the case of a joint proposal in association with another NGO or similar institution, signed document of agreement. The other NGO or similar institution should also comply with the same legal bases. Qualifying Criteria 1. Operational and Contracting Capacity: * Physical infrastructure and vehicles available in Project areas. Information and communication system (i.e. telephone) available in offices. • Human resources (directors, professionals. technical and administra- tive personnel) with job stability and/or contracted (with date of entry in NGO). Indicate specializations. Indicate which human resources will be assigned to the activity to be contracted with the Project. * Administrative capacity which ensures management of resources and timely compliance of activities (accounting systems in place, adminis- trative procedures used, list of suppliers, bank account statements, most recent sworn income tax declaration). * Capacity to present guarantees (bank, assets, etc.). - Balance sheets and audits for the year prior to the request for proposals. 2. Experience: * Number of years NGO in operation. * Number of years working in Project areas. * With respect to all the NCOs' activities, a list indicating the assignment of directors and personnel to each activity (first and last names). * Specifically in the areas of health and nutrition, a list indicating the assignment of directors and personnel to each activity (first and last names). 90 * Evaluation reports which indicate results obtained, positive or negative, in each of the experiences mentioned. * Prior work and capacity to coordinate and integrate with the commu- nity. the Ministry of Health, other NGOs and related entities. 3. Strategic and Methodological Proposal: * Strategic proposal (way of approaching and carrying out activities in the context of community development, taking into account ease of replication or adaptation and approach to follow to achieve sustainabilitv of activities at Project completion. * Operational plan for activities under NGO's responsibility: * proposed methodologies and processes * stages considered * schedule of activities * resources assigned to Project (in case of human resources, indicate first and last names, specializations or occupation). * Budget: percent of budgetary resources assigned to: * personnel assigned to activity * material inputs * administrative expenses * overhead expenses SOl RCE.: Peru Basic Health and 2Nvu/rifion Project, Staff .4ppraisal Report. 91 B. BURKINA FASO: Projet de Securite Alimentaire ed de Nutrition Criteres de Selection des ONGs 1. Etre une ONG oeuvrant ati Burkina Faso et etre reconnue commne telle par le Bureau de Suivi des Organisations Non Gouvernemnentales (BSONGL) 2. Avoir fourni la fiche d'identification et postuler a la selection pour la mise en oeuvre du Projet. 3. Avoir ete formee ou prete a etre foriene aIuX methodes d'idenitification, de preparation eL de presentation des projets ainsi qu'a Ia tenue des compte d'un projet. 4. Avoir ete torrie ou prete a etre formee a Ia lamtiode GR'AP de facon a diffuser en particulier des messages d'education nuitritionnelle et pouvoir participer a une canipagne intensive de communication de personne a personne selon la methode GRAAP et la methode communautaire. 5. Disposer d'un personnel remplissant les criteres minimaux d'aptitude a suivre les formations en gestion de projets et a la methode GItRAP (volet education nutritionnelle). 6. Fournir les preuves de son experience. de sa viabilite (nom. date de creation, province, type d'activities. principaux projets executes resultats. population, couverte, structure. nombre d'employes) et toutes autres informations permettant cle juger de Ia qualite des prestations de l'ONG. SY WtRCE: Abd-e,d [)raho. 92 XN NEX VI. S XM11I I C(Ii IIRI A I(I Avt,IN.I(, rfi C \1'( [IN (I C (B. The following checklist contains questions which should allow you to assess the strengths and weaknesses of a community organization. For each question the answer signifying the ideal situation is scored with a 5. the worst situation is scored with a 1. You should base your score for each question on as wide a variety of sources as possible. Where a question is not applicable score (1 and recalculate 'Xo at end of each component. A. Internal 1. Purpose 1.1 For the members is the organization's purpose: unclear clear 1 2 3 4 5 1.2 Is the purpose: contestecf uncontested 1 2 3 4 5 1.3 Is the purpose chosen: unrealistic realistic 1 2 3 4 5 1.4 Is the purpose legitimately chosen by the membership? not at all completely 1 2 3 4 5 SCORE: /20 X 100 = ".O 2. Identity 2.1 Does the organization show an individual identity in what it does? not at all very mnich 1 2 3 4 5 2.2 Is the organization: induced incligenous 1 2 3 4 5 2.3 Who "owns" and controls the organization? oLtsidlers members 1 2 3 4 5 - - - - - - - - - - - - - 93 2.4 Is mutual social control operating? not at all very much 1 2 3 4 5 SCORE: /20 X 100 = (Yo 3. Structure 3.1 Is leadership legitimately selected and controlled by members? not at all very mLich 1 2 3 4 5 3.2 Are tasks defined consistent with purpose? not at all very mUch 1 2 3 4 5 3.3 Are tasks allocated according to member's skills? not at all very much 1 2 3 4 5 3.4 Does the structure serAve the interests of: an indiviclual all members 1 2 3 4 5 3.5 Are all needed skills present: not at all completely technical 1 2 3 4 5 administrative 1 2 3 4 5 managerial 1 2 3 4 5 implementing 1 2 3 4 5 3.6 Are decisions taken consultatively? not at all verv much 1 2 3 4 5 3.7 Is the organization tailored to its purpose? not at all very much I 2 3 4 5 3.8 Do member's experience decision-making as being equitable? not at all very much 1 2 3 4 5 SCORE /55 X 100 = % 94 4. Systems and procedures 4.1 Does the organization have a proven capability to effectively: not proven proven set priorities 1 2 3 4 5 plan 1 2 3 4 5 direct & manage 1 2 3 4 5 co-ordinate 1 2 3 4 5 budget 1 2 3 4 5 implement 1 2 3 4 5 evaluate 1 2 3 4 5 document 1 2 3 4 5 learn & chanige 1 2 3 4 5 4.2 Does the organization have a proven capability to effectively: select 1 2 3 4 5 assess 1 2 3 4 5 train 1 2 3 4 5 reward & censure its staff? 1 2 3 4 5 4.3 Do the systems and procedures serve the interests of: an individULlal evervone 1 2 3 4 5 4.4 Do the systems and procedures protect against mismanagement? not at all completely 1 2 3 4 5 4.5 Do systems function to mediate in conflict situations? 1 2 3 4 5 4.6 Is the information required to function: not at all always correctly chosen 1 2 3 4 5 systematic collected 1 2 3 4 5 actually usecl 1 2 3 4 5 shares with those concerned 1 2 3 4 5 4.7 Is information used as a tool of power by the leadership? always not at all 1 2 3 4 5 SCORE /105 X 100 = % 95 5. Motivation and incentives 5.1 Does the organizationi offer a variety of incentives? not at all very much I 2 3 4 5 5.2 Are members motivated? riot at all very mLich I 2 3 4 5 5.3 Are incentives equitablv allocated? not at all very muci 1 2 3 4 5 5.4 Are incentives positively comparaible with similar organizations? not at all veryn muLcI 1 2 :3 4 5 5.5 Have members expectations of the organization been fulfilled? not at all very muLch 1 2 :3 4 D 5.6 Are the incentives sustainable? not at all very much 2 :3 4 5 5.7 Is the timing of benefits what the members wzant and need? not at all very mnLIch 1 2 3 4 5 6. Resources 6.1 What is the source of the resources the organization depends on? exterinal internal human 1 2 3 4 5 financial I 2 3 4 5 natural environimient 1 2 3 4 5 capital eCIlIipmenit 1 2 3 4 recUrrent finance 1 2 3 4 5 recUrrent materials 1 2 3 4 5 6.2 Is external resoLirce dependence: very high very lowv 1 2 3 4 5 96 6.3 Is supply of resources: very insecute very secure 1 2 3 4 6.4 Do the resources used negatively affect "ownership" by the commLunitv? very much not at all I 2 3 4 5 6.5 WVill the needed resources eventually be self-generated? not at all completely 1 2 3 4 D 7. Technologies 7.1 How do the technologies affect the physical environment? clegrade no effect enhance 1 2 3 4 5 7.2 How do technologies affect dependence on the external environ- ment (economic, physical)? increase tno effect cdecrease 1 2 3 4 5 7.3 How do technologies affect work burdens on particular social groups (e.g., women)? increase reduce 1 2 3 4 5 7.4 How do technologies affect vulnerability of particular social groups (e.g.. womeni landless)? increase recluce 1 2 3 4 5 7.5 Are the technologies appropriate for the organization's: very little very muLch purpose I 2 3 4 5 idlelntity 1 2 3 4 skills 1 2 3 4 5 managemlent capacity 1 2 3 4 5 97 7.6 Have the technologies chosen given the expected: very little very much short term benefits 1 2 3 4 5 long term sustainable henefits 1 2 3 4 5 SCORE: /50 = 8. Harmony 8.1 Are all the organizational components interrelated in a positive way? very little very much 1 2 3 4 5 8.2 Is the organization effective? 1 2 3 4 5 8.3 Is internal conflict: frequent unconmmon 1 2 3 4 5 8.4 Are all components taken into account when changes are made? not at all always 1 2 3 4 5 B. External 1. Performance 1.1 Does the organization achieve its purposes and objectives? not at all always 1 2 3 4 5 1.2 Do the achievements compare well with similar organizations? not at all always 1 2 3 4 5 1.3 Are indirect positive effects to be seen outside of the organization due to its activities? not at all always 1 2 3 4 5 98 1.4 Is the organization's efficiency: very low very high 1 2 3 4 5 SCORE: /20 X 100 = °i Notes: In your analysis of the scores please bear in mind that: 1. The different components are not necessarily of equal importance in determining how a particular organization functions. 2. The score will reflect the stage of development of the organization and of the project. SOlRCE: .41an Fowler, (date unknown) 99 o : ' o -- ICB (Internal Competitive Bidding)/LCB (Local Competitive Bidding)* C Suipplier(s) ' 1 32A 25 Press I> 111 S ~~~~~~~~1 3(Local l'apers) External Consultants Evallation (LCBonl) to assess Committee I specifications (WV, PAPSCA, CTB) | World Bank 5 PCMU World Vision I W Project Washington 14 (PAPSCA) is (Kampala) (Gulu,Rakal, etc.) 4 ~~~~~~~~~~~~~~~~~~~~~.......34ff Ad \'ertisinlg , I .'_ _ _ _ _ _ (ICE onlyl) |' ---- 4 ~ ~ ~ ~ ~ ~ . 25 + I 3, 19 24 '2~~~ ~ ~ ~~~~~ ' . .9 . 29 Suippliers .Minsr f 75Ministry of Bank I Planning -- Finiance (TreaSUrV) Bank of 21 ,...'.' > Payment for each reque-st, 1 dJa to, 7 months Uganda - *--- Tax exemptions, 2 to 12 weeks 0 CTB advertbsement process, 30 to 45 days Major difterence between ICB and LEE: Waie cr request to procure and approve, I to 4 weeks Advertising period f ICe - 45 days, LCB D-30 days Deli%rv of goods: ICB - 3 months, LCB - I imionth At least 3 months delis ery fir items procured through ICB, 1 month for LCB Estimated timiie to complete procurement proceduire is 8 1/2 to 24 months. The - For shopping method (off-shclf, no adv ertising), 1-4 weeks chart does inot show where itemils get stick or go back anid forth between areas. See attached key for explanation and timt linle for each step. ApproximaIcte lime 1aken for Stel) No. KEY FOR THE CHART ladi step 1 The projects requisition for supplies is forwarded to the Programmne Manager. 2 The request to procure using a particular 2-6 weeks procUrement methocl is forwardecd by Worlcl Vision to the PCMU for approval and onwardl transnmission. This goes with the tender docu- ment and the proposed invitation for bids (IFB). 3 The enclorsed request ancd documenitation 1-7 Days is transmitted by the PCMU to the Task Manager - World Bank. 4 The Task Manager -World Bank -is 45 Days responsible for adlvertising the IFB in the lIN BLIsiness Journal. This only applies to the ICB procurement methocl. 5 Approval to procure is returned by the 2-4 Weeks World Bank back to the PCMU. 6 Transmission of the approval by the 1 -7 Days PCMU to World Vision. 7 The copy of the tender CIocumnent is sent 1 -2 Days bv World Vision to CTB for their information. CTB endorses the IFB before it is put out in the local press. They also conifirmii the date for bid opening. 8 The signed IFB is returned to World Vision. 1 Day 9 World Vision places the IFB advert in the 30-45 Days local papers i.e. New Vision ancd VVeekly Topic. 1 E Eligible bidders submit their bids to CTB 30-45 IDays fti pul)lic opening. 'I The openied bids are passed byl CTB to I - 3 Days the Evaluation Committee wvhich is comprised of members from CTB, PAPSCA and World Vision. 12 The Evaluation Committee forwards the 1-3 Weeks evaluation report to the PCMU for verification. 1 3 PCMU sencis the evaluation report witlh a 2-7 Days covering letter to CTB, for consideration. 14 CTB approvals and/or any cqueries are 1 Week channelecl to PCMU-PAPSCA. 15 PCMU sencds the CTB approval and 1-2 Weeks evaluation report to the Task Manager for further approval. - -_-_ _ _ _ _ _ - - - - - - - - 101 1 6 The VVorlcl Bank approval to awarcl contract 2-4 Weeks to the best bidder is sent hack to the PCMU. 1 7 PCMU sencls notification of award to the 2-7 Days supplier, a copy to Worlcl Vision. 18 On receipt of the notification of awarcl, 1-14 Days the supplier contacts World Vision to sign the contract ancd to provide a performance bondc(, a necessary requirement before payment is done. 1 9 World Vision sends a copy of the signed 1 Day-3 Weeks contract ancl the performance bond to the PCMU 20 PCMU submits an application for payment. 21 The application is endorsed and forwarclecl by the Permainenit Secretary for Planning, to Ministry of Finanice. 22 Ministry of Finance, having finalizecl the formalities in their office, transmits it to Bank of Ugancla. 2 Weeks- 23 Bank of Uganda transfers the necessary 7 Montlhs funds to the suppliers bank. 24 Bank of Ugandca confirnms to PAPSCA, the transfer of fulIds to the supplier's bank. It is really the responsibility of the PCMU to follow uLp and obtain this confirnmation wlheni available. 25 PCMU notifies World Vision of the payment. 26 World Vision requests the supplier to 1 Day provide dlocumenitation, i.e., bill of ladling, iinvoice, etc., necessary for obtaining sales and cluty tax exemption. 27 Supplier avails the above informationi to 2-3 Weeks World Vision. 28 Worlcl Vision forwarcls application for tax 1 Day exemption to the PCMU. 29 PCMU forwarcis the endorsecl application 1-3 Days to the Permalnenit Secretary, Ministry of Planning. 30 The application, endorsed by the 2-7 Days Permanent Secretary, is theni sent to the Ministry of Fiina nce. Nobody, whosoever, is allowed to endorse the application on behalf of the PS. In case he/she is traveling, then it has to wait for his/her return. 102 31 Ministry of Finance provides the tax 1-3 Months exemption to World Vision. 32 World Vision avails the tax exemption 1 Day to the suppliers. 33 The supplier clears the goods and delivers 1 Week- them to World Vision. 3 Months 34 World Vision distributes the goods to her 1-2 Weeks projects. The maior difference in the procedures really lies in: a) advertisement Total Min- b) delivery schedule 34 Weeks-104 Weeks 8 1/2 months-26 months 2 years The ICB procurement method requires an advertisement period of at least 45 days. and LCB requires at least 30 days. An allowance of at least three months is given for delivery of items procured through the ICB method and one month for LCB. Whereas, these two methods involve advertisement. LIB and shopping do not. Bids are solicited directly from preferred suppliers. The delivery period varies from two weeks to three months. depending on which method is used. Othenrise, all the other steps appiv for all procurement methods. The flow chart assumes that there is a smooth flow between points, irrespective of time taken. However, this is not always so. In some instances there has been repeated movement back and forth. which is attributed to a) the need for further information/clarification in respect of technical specifications. and tender offers: b) loss of documentation: and c) poor tender response. The following are some examples: 1. 13ehveen step 1 and 2, repeated movement has been caused by the fact that what the projects request for is not exactly what is available in the market and/or there exist better alternatives. The procurement team therefore, avails the details and liaising with the Project Managers to determine the most suitable technical specifications, for the items required. This also involves liaising with appropriate technical personnel, to be able to obtain the right technical specifications, for the items required. This has particularly been the case with the required nine (9) motorcycles. 2. Between steps 13 and 14. there are times when CTB requests to know why we require to procure a particular item and not the other. For instance, in the case of the radios, they objected to direct contracting from 103 a single source-Codan UK-and insisted that quotations for other types of radios, also be provided and, even then, whien the quotations were availed, they sent them to Posts and Telecommunications Office for verification of offers and advice. This step may be represented by a dotted line between CTB and consultants. This cost us a time lapse of one month. Similarly. the projects required maize seed of Kenya Hybrid, but CTB queried this requirement on the grounds that there is another type of hybrid produced in the country. At the same time, they declined to award to those who bid but required that the seeds be bought from the Ministry of Agriculture. This constituted loss of much time considering that we had already gone through the tendering process and this particular Ministry did not bother to bid in the first place. Therefore, it meant we had to start the procure- ment process all over. This is also true of the agriculture chemicals whici we needed to procure, and whereby a tender had been put out. 3. In some instances. we have gone as far as step 14 in the procurement process and then had to start all over again, fromy step 2. A good example is that of the required motorcycles. vehicles, seeds, and chemicals. Response was so poor that any awards were not possible. There were completely no offers for motorcycles. Through the PCMU, another request to procure using shopping method had to be obtained for the motorcycles and tw,(o vehicles. whereby it was granted. The balance requirement of two vehicles had to be readvertised. After advertising the tender for seeds and chemicals, the response was also poor and we have had again to shop for the requirement. 4. Because the payment process has been overstretched, some docu- menits have been misplaced in the PCMU's office-extra copies of the documents have had to be provided. This has been true of the docu- ments for radios, bicycles and construction materials (iron sheets). Similarly. in respect of radios, there was a time we had to provide another set of documents to CTB because they had lost their copies. KEY: W,VV-World Vision WB-World Bank IFB-Invitation for Bids PCMU-Project Coordinating and Monitoring Llnit CTB-Central Tender Board ICB-International Competitive Bidding LIB-Limited International Bidding LCB-Local Competitive Bidding PS-Permanent Secretary SOi.'RCE: Ioorhies, 19.93 104 ANNFX VIII. F\1X0t'll ()I ( SINMP'1I Uu1)B 13IoI (C1)\1RN(1 The following is a simplified form of competitive bidding which was tested in the pilot of the Ethiopian Social Rehabilitation Fund (ESRF). It was used by community groups who were expected under their respective contracts to hire contractors through competitive bidding. When the community groups lacked adequate institutional capacity. the PIt provided or arranged to provide administrative support. The process was also simple enough to encourage the participation of local based contractors. Sometimes it was possible to require such contrac- tors to hire labor from the community. Further, the process is more transparent, increases accountability, and above all encourages com- petitive commercial practices at grassroots level. The process was found useful for construction contracts for standard infrastructure like small primary schools, latrines, sewerage systems, primary health centers. In Ethiopia, the average price of such contracts was less than US $50,000. In the case of rural infrastructure, a variety of standard designs approved by the concerned Government Bureau were provided. This has also been done in Senegal and helps communi- ties to price the contract without much technical assistance. The decision among the various bids in Ethiopia was made by a committee consisting of the office bearers of the community group which is called the Microproject Committee, the technical advisor or NGO if any and a representative of the Fund. In Ethiopia. this was the microproject officer who appraised and supervised the microproject. The documents are based mainly on the documents used in ESRF, but also rely on similar processes used in Gambia, Niger and Senegal. The documents have been cleared with the legal department and the procure- ment officers within the Bank as illustrative documents. But they will have to be reviewed for validity within the specific regulatory system of the Borrower. The documents should be translated into the local language for use hy community groups and small scale entreprenieurs. …105 INSTRUCTION TO BIDDERS 1. Description of Works 1.1 The works to be executed under this contract include construction of , (hereinafter referred to as "The Works"). 2. Cost of Bidding 2.1 The bidder shall bear all costs associated with the preparation and submission of his tender and the . hereinafter referred to as "The EMPLOYER" will in no case be responsible or liable for these costs. regardless of the conduct or outcome of the bidding process. 3. Eligibility and Qualification Requirements 3.1 This invitation to tender is open to all domestic bidders that shall provide evidence satisfactory to the Employer of their eligibility and of their capability and adequacy of resources to carry out the contract effectivelv. 4. Site Visit 4.1 The bidder is advised to visit and examine the site of works and its surroundings and to obtain for himself on his own responsibility all information that may be necessary for preparing the tender and entering into a contract. The costs of visiting the site shall be at bidder's own expense. 5. Content of Tendering Documents 5.1 The set of tender documents issued for the purpose of tendering includes the following: 1) Instruction to Bidders 2) Special Conditions of Contract 3) Technical Specifications 4) Bill of Quantities 5) Form of Agreement 6) Drawings 5.2 The bidder is expected to examine carefully all instructions, conditions, forms, terms, specifications, and drawings in the tendering documents. Failure to comply with the requirements of tender submis- sion will be at the bidder's own risk. 106 6. Clarification of Tendering Documents 6.1 A prospective bidder requiring anv clarification of the tender documents may notify the Employer in writing or by cable at the Employer's address indicated in the invitation to tender. The Employer will in genuine case respond in writing or by cable to any request for clarification which he receives earlier than 1 l days prior to the deadline for the submission of bids. Written copies of the Employer's response (including a description of the inquiry but without identifying its source) will be sent to all prospective bidder who have pursed the tender documents. 7. Amendments to Bidding Documents 7.1 At any time prior to the deadline for submission of tenders. the Employer may. for any reason, whether at his own initiation or in response to a clarification requested by a prospective bidder, modify the tender documents by the issuance of an Addendum. 7.2 The Addendum will be sent in writing or by cable to all prospective bidder who have purchased the tender documents and will be binding upon them. Bidders shall promptly acknowledge receipt thereof by cable to the Employer. 8. Language of Tender 8.1 The tender prepared by the bidder and all correspondence and documents relating to the bid exchanged by the bidder the Employer shall be written either in English or local languages. Supporting documents and printed literature furnished by the bidder with the tender may also be in the same language. 9. Documentation Comprising the Tender 9.1 The tender to be prepared by the bidder shall comprise the following: the Form of Tender and Appendix thereto; the Tender Securitv, the Bill of Quantities, the information on Eligibility and Qualification and any other material required to be completed and submitted in accordance with the Instruction to Bidders embodied in these bidding documents. 10. Tender Price 10.1 The rate and prices quoted by the bidder shall be fixed for the duration of the contract and shall not be subject to adjustment on any account except as otherwise provided in the conditions of the contract. 107 11. Tender Validity 11.1 Bids shall remain valid and open for acceptance for a period of days after the date of tender opening prescribe in Clause 16. 12. Format and Signing of Tender 12.1 The bidder shall prepare one original and two copies of the documents comprising the tender as described in subclause 9.1 of these Instruction to bidders, bound with the volume containing the Forn of Tender, and clearly marked "ORIGINAL" and "COPY" as appropriate. In the evenit of any discrepancy between these documents, the original shall prevail. 12.2 The original and copies of the tender shall he typed or w ritten in indelible ink and shall be signed by person or persons duly authorized to bind the bidder to the contract. Proof of authorization shall be furnished in the form of a written power-of-attornev, which shall accompany the bid. All pages of the bid where entries or amendments have been made shall be initialed by the person or persons signing the bid. 13. Sealing and Marking of Tender 13.1 The bidder shall seal the original and each copy of the bid in separate envelope. duly markiniig the envelopes as 'ORIGINAL" and "COPY" ats appropriate, and foirward both to the Employer. 13.2 The envelopes containinig the original and the copy 1) be addressed to .... 2' bear the following identification i) Bid for ____ ii) Ref. No. ____- iii) Name of microproject iv) the word "DO NOT C)PEN BEFORE 14. Deadline for Submission of Tender 14.1 Bids must be received by the Employer at the address specified above not later than . Any bid received by the Employer after the _will be returined unopened to the bidder. 15. Tender Opening and Evaluation 15.1 The Employer will open the bids, in the presence of all bidders or their duly authorized representative who choose to atteid, at 108 at the following location . The bidders' representatives who are present shall sign a register evidencing their attendanice. 15.2 Prior to the detailed evaluation of bids, the name of the bidder and total amount of each bid, and of any alternative bids if they have been requested or permitted. should be read aloud and recorded when opened. The Employer should ascertain whether the bids meet the eligibility requirements have been properly signed; are accompanied by the required securities; are substantially responsive to the bidding documents; have any material errors in computation: and re otherwise generally in order. 15.3 If a bid is not substantially responisive. i.e.. it contains material deviations from or reservations to the terms, coniditionis and specifica- tions in the bidding documents, it should not be considered further. The bidder should not be permitted to correct or withdraw material deviationls or reservations once bids have been opened. 15.4 The factors that will be taken into considerationi in evaluating the bids include: general experience in similar projects (5-10%-.6); adequacy of proposed work plan incluiding methodology, involvement of commu- nities. logistics, and innovative suggestions (20-40%: professional qualifications of key personnel, knowledge of local conditions. language, and training experience (if relevant) (40-60(,o). 16. Award of Contract 16.1 The Employer will award the contract to the bidder whiose bid hias been determined to be substantially responsive to the bidding docu- ments as stated above, and who has offered the lowest Evaluated 13id Price. provided further that the bidder has the capability and resources to carry out the contract effectivelv. 16.2 Prior to the expiration of the period of the bid validity prescribed by the Employer, the Employer will notify the successful bidder in writing that his bid has been accepted. This "Letter of Acceptance" shiall name the SUm11 of which thie Employer will pay to the contractor in consideration of the executioll, completion and maintenance of the works by the contractor as prescribed by the contract. (hereinafter and in the condition of contract called 'The Contract Price") 16.3 Along with the notification to the successful bidder that his bid has heen accepted. the Employer will also send the Form of Agreement provided in the bidding documents. incorporating all agreements between the parties. 109 16.4 Within [ ] days of receipt of the Form of Agreement, the success- ful bidder shall sign the Form and return to the Employer. 16.5 The Employer may reject all bids. All bids should not be rejected and new bids invited on the same specifications solely for the purpose of obtainiing lower prices, except in cases where the lowest evaluated bid exceeds the cost estimates by a sLibstantial amount. Rejection of all bids is also justified when bids are not substantially responsive or there is lack of effective competition. If all bids are rejected, the Employer should review the causes justifying the rejection and consider making either revisions in the specifications or modifications in the microproject or both before inviting new bids. SOURCE: Mlarc, A. and G. Copal., 1994 110 ANNEX IX. I NI)iN: N(,() G CLl 01i ii nB3i%iR Pi \i[XE L)D\I\IwI%t1i PROi I Terms of Reference NGO Cell 1. The NGO Cell will function under the control of the Project Director. The cell will consist of a SociologistVAnthropologist and an Office Manager. The specific responsibilities of the NGO/Environmental Cell will include the following: i. ensuring representation of NGOs in various committees as prescribed; ii. establishing a system for regular consultation and exchange of information with NGOs and beneficiary groups. This should include the convening of half-yearly NGO workshops and publication of a newsletter at the project level and holding meetings with NGOs at the district level on a regular basis. The consultation and communica- tion process should include discussion of project concepts, innovative ideas, environmental and other issues and dissemination of informa- tion on ongoing, proposed and completed project activities. The cell may fulfill this responsibility partly through NGOs on a contract basis: iii. identifying activities to be implemented by NGOs and to be included in the Annual Plans in consultation with the RDC, Project Director, DCs/DDCs, implementing line agencies and NGOs. iv. standardizing methodologies, procedures and norms for the major field activities such as beneficiary organization and field training to be implemented during the year; v. negotiating wNith NGOs for implementation of the identified activities, field proposals for the same and for activities identified by NGOs which fall within the purview of project activities and oversee the processing of these proposals. Finalize the Annual Plan and the Annual Budget. The Annual Budget should also include a provision of 2010%o of the estimated budget for identified activities for NGO activities which may be identified during the course of implementing the annual plan; vi. regular monitoring and evaluation of NGO activities being imple- mented with financial assistance from the project with concerned line agencies, DDCs and hired consultants; …~~~~~~~111 vii. review all specific investment proposals of the project with respect to participatory process and social concerns. The review of participa- tory processes should include a check on whether the prescribed participatory processes for planning have been systematically carried out. The social review should examine all investment proposals in the block for a specific component to ensure that as a group of investment activities, they have been designed to primarily benefit SC, ST groups; viii. monitor the social impact of al project activities, highlight the positive impact and suggest corrective measures if negative impacts are identified: ix. maintain a database on NGOs and Beneficiary Organizations in the project area: and x. prepare annual reports with specific reference to NCO and people's participation in project activities, social and environmental impacts and mitigating measures. 112 INDIA Bihar Plateau Development Project Organogram Government of Bihar Steering Development Commissioner Committee Tribal Administration Project Executive Regional Development Committee Commissioner Project Implementation F Unit (PIU) 3 Plnnn Project Director M&E Cell NGO Cell AdtCl l mplezmentation |Implementation | | roject Cel | Zilla Parisnad District Dy. Commissioner Planning and Field Staff Development Unit Development I l Council (10) Block Blc Staff Panchayat l | Field Staff l l BokSaf Sarniti (67)l l Village Lj Village Panchayat| l Panchavat Samiti Aam Sabha mI Government Officials mI | People's Representatives/NGOs/Government Officials Source: Bihar Plateau Development Project, Staff Appraisal Report. … - - - - - - - - - _ 113 ANNEX X. E\vAlPII 0or A SIMRLIFIflI) CON1 RA( 1 kVITH A VIU .ACE GROui' (Bt RKINA F xSo) CONTRAT TYPE ENTRE LES GROUPEMENTS VILLAGEOIS, LES SERVICES D'ENCADREMENT (CRPA ET DPET) ET LE PROGRAMME SPECIAL CES-AGF DANS LE PLATEAU CENTRAL POUR L'EXECUTION DES OPERATIONS DE CONSERVATION DES EAUX ET DES SOLS, D'AGROFORESTERIE ET D'INTENSIFICATION AGRICOLE 1. Objet Amenagement de Conservation des Eaux et des Sols des Champs regroupe du GCV de ........... (superficie estimee a......... ha). situe a ................... .quartier . I. Consistance des Travaux Les travaux d'amenagement comprendront: Des travaux collectifs de protection du perimetre (protection amont) - foss6 ou muret de garde par exemple - correction des oueds, blocage des ravines, etablissement des diguettes, traitement des exutoires etc.) III.Engagement du Programme Le Programme s'engage a: 1. Etablir avec les exploitants un projet d'execution de l'amenagement (delimitation, choix des techniques, ouvrages prevus, le volume de travail, calendrier etc.); 2. Assurer la formation technique de cinq delegues choisis par le groupement; 3. Remettre au G.V les lots de petit materiel prevu; 4. Tenir a la disposition des exploitants groupes pour i'lachat au comptant des charrettes de transport; 5. Effectuer le trace et le piquetage des courbes de niveau; Sur demande du G.V: 114 - 6. Effecturer un labour (et/ou un sous-solage) sur le trace des ouvrages prevus (fosses) ou banquettes): 7. Aider au transport des pierres de la carriere a I'amenagement pour la confection des ouvrages collectifs si le projet d'amenagement necessitate tin approvisionnement important avec un carriere situ6e des distances de 0.5 a 5 km. IV. Engagement du Groupement Villageois (Hommes et Femmes) 1. Designer cinq dclegues qui seront formes aux techniques de CES (notement au trace des courbes de niveau au oyen du niveau a eau) et seront responsables de l'execution des travaux,; 2. Fournir la main d'oeuvre necessaire a l'execution de l'amenagement pendant la periode prevue, notamment: * Par le ramassage ou 1'extraction des pierres, si necessarie leur chargement danis le vehicule de transport et leur mise en oeuvre pour la construction des ouvrages; * Pour l'execution des ouvrages collectifs prevus d'accord parties. 3. Veiller a ce que les delegu6s villageois formes donnent aux exploitants les conseils et appuis techniques pour l'execution d'am6nagement anti-erosifs dans leur propre parcelle. notamment le trace des courbes de niveau; 4. Organiser les prets des lots d'outils en fonction des besoins des exploitants; 5. Assurer un entretien suffisant des ouvrages collectifs et des parcelles familiales des exploitants; 6. Organiser I recolte des graines d'Andropogon pour la vegetalisation des diguettes. si elle a ete prevue par le projet d'amenagement en leur semis a l'amont des fosses ados; 7. Apporter un appui aux equipes mobiles d'appui pour la realisation des travaux. SOURCE: Abdou Drabo, AFT … - - - - - - - - - - - - - 115 11166 - - - - - - - - - - - - I LIST OF PROJECTS 1 I REFERRED TO IN THE GUIDE 1 i~~~~~~~~~~~~~ 1~~~~~~~~~~~~~ 9-~~ ~~~~~~~~~ _ _- _ _- _ _- _ i 11188 - - - - - - - - - ! 1>! {1 I';\ i X ,11u ; ; ,( R N1A RL II RR IO II) I\ It111 SI 1)) Albania Rural Poverty Alleviation Pilot Project Argentina Maternal Health and Child Health and Nutrition Program Bangladesh Jamuna Bridge Project 13angladesh Second Road Rehabilitation and Maintenance Project Benin Food Security Project Benin Natural Resources Project Bolivia Integrated Health Development Project Brazil Innovations in Basic Education Project Brazil Itaparica Resettlement and Irrigation Project Brazil Mato Grosso Natural Resources Management Project Brazil North East Rural Development project Brazil Rondonia Natural Resources Management Project Burkina Faso Food Security and Nutrition Project Burkina Faso Population and AIDS Control Project Cameroon Food Security Project Cameroon Western Highlands Rural Development Project Chad Social Developmenit Action Project China Irrigated Agriculture Intensification Project Ecuador Lower Guyanas Flood Control Project Egypt Emergency Social Fund Egypt Matruh Natural Resource Management Project Ethiopia Social Rehabilitation Fund Ghana Program to Mitigate the Social Costs of Adjustment Ghana Seconid Health and Plopulation Project Guatemala Earthquake Reconstruction Project Guatemalan Social Investment Fund Guinea Equity and Schoo lImprovement Project Guinea National Environmental Action Plan India Bihar Plateau Development Project India Integrated Watershed Development Project India National Cataract 131indness Control Project India National Sericulture P'roject India Sardar- Sarovar- Dam and Power Project Indonesia Yogyakata Rural Development Project Liberia Second Education Project Mali Health Development Project Nepal Bhairawa Lumbini Groundwater Irrigation III Project Nepal Rural Water Supply and Sanitation Project Pakistan Balochistan Primary Education Project Paraguay Caazapa Rural Development Project Peru Basic Health and Nutrition Proiect Philippines Ilealth Development Project 119 Senegal Second Public Works and Employment Project Sierra Leone Eastern Agricultural Development Project Ill Sri Lanka Health and Family Planning Project Tajikstan Reconstruction Project Togo Grassroots Development Initiative Trinidad and Tobago Population Project Turkey Fifth Livestock Project Uganda Forestry Rehabilitation Project U!ganda Program to Alleviate Poverty and the Social Cost of Adjustment Yemen Second Education Project Zaire Ituri Livestock Development Project Zambia Lusaka Squatter Upgrading and Sites and Services P'roject Zambia Social Recovery Project Zambia Squatter Upgrading Project 120 - - - - - - - - - LIST OF BANK STAFF WHO PROVIDED INPUT 1 I _ i~~~~_2 122.- - - - - - - - -- The author would like to thank the following Bank staff who provided input during the preparation of this document or earlier drafts: Helen Abadzi. SAIPH Barbara Lausche. ENVDR Myrna Alexander; LATSO Alexandre Marc. EC4HR Michael Bamberger. ESP Kris Martin. EXTDR Lynne Bennett, ASTHR Elizabeth Miller, SA2DR Nicholas Bennett, Accra, Ghana Caroline Moser, TWTIRD David Berk, AF3PH Deepa Naravan. ENVSP Bhuvani Bhatnagar, ENVSP Andrew Norton, AFTHR Mark Blackden, AFTHR Maria Nowak, EC2AN Mar otry-Anie Bromhead, ECIAE Barbara Parker, SASVP Soniya Carvalho. ESP William Partridge, LATEN Catherine Cassagne, AFIA(G Robert ProuLt, AFIPH Arie Chupak. EAIAN Jennifer Rietbergeni-McCr-acken. OPRPG Johin Clark, OPRPG Lawrence Salmen, ENVSP Maria Donoso Clark. S.2PH Stanley Scheyer, ASTHR Nat Colletta. AF2PHJ Mary Schmidt. Consultant Cynthia Cook, AFI DR TeresaSerra, LA3EV Jean-Paul I)ailly, AFICO Elizabeth Shields. EDIDM Gloria Davis. ENVSP Andrea Silverman. l1A2NR Jerri Dell. EDI Jerry Silverman. AFTES Hugo Diaz. SA3CI Bachir Souhlal, MN2AG Lea Donaldson. SA3EI Susan Stout, EA3PH Abdou Drabo. AFTHIR Roger Sullivan, AFTCB Ann Duncan, SA3PH JulieVan Domelen, LAIHR Jim Edgerton. EDIDM Peter Watson, AF5IN Paul Francis. ASTHR Leila Webster, PSI) Claudia Fumo, OPRPG Aubrey W'illiams, OPRPG Christopher Gibbs, OEDDI Mvla Williams. CTRVP Michael Goldberg. ASTHR Mark Woodward. AFIPH Mary Lisbeth Gonzalez, LATEN Willem ZiJp. AGRTN Gita Gopal, AF2PH Scott Guggenheim, Jakarta. Indonesia John Hall, AF5AG Phil Hazelton, LA3NR Barbara Herz, SA31PH Alf Jerve. ASTHR Charlotte Jones-Carroll. EAPCA Pollv Jones, LAIMR Steen Jorgenson. AF6HR Elizabeth Katz. LA2NR Olav Kjorven, ENVLW Maritta Koch-Weser. ASTEN 123 124 _ . BIBLIOGRAPHY _125 126 - AbdLuihadi. Nural. The KuwaitiN,VGOs: Their Role in AidFlous to Developing Countries. Workinig Paper Series 524. Wklashington: The World Bank, Policy and Review Department, October 1990. Aronson, Dan, Participation in Country Economic and Sector llobrk. Paper prepared for the World Bank Workshop on Participatory Development. May 1994. 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