The World Bank Mexico Higher Education Project (P160309) Note to Task Teams: The following sections are system generated and can only be edited online in the Portal. Combined Project Information Documents / Integrated Safeguards Datasheet (PID/ISDS) Appraisal Stage | Date Prepared/Updated: 20-Jan-2017 | Report No: PIDISDSA19523 Nov 02, 2016 Page 1 of 12 The World Bank Mexico Higher Education Project (P160309) BASIC INFORMATION OPS_TABLE_BASIC_DATA A. Basic Project Data Country Project ID Project Name Parent Project ID (if any) Mexico P160309 Mexico Higher Education Project Region Estimated Appraisal Date Estimated Board Date Practice Area (Lead) LATIN AMERICA AND CARIBBEAN 20-Jan-2017 16-Mar-2017 Education Lending Instrument Borrower(s) Implementing Agency Investment Project Financing Ministry of Finance and Secretaria de Educación Public Credit (Secretaria de Pública Hacienda y Credito Publico, SHCP) Proposed Development Objective(s) Strengthen the capacity for innovative teaching, collaborative applied research, and internal quality assurance across participating public higher education institutions Components Strengthening Innovative Teaching Practices in Teacher Training Colleges Strengthening Collaborative Applied Research and Innovative Teaching across Higher Education Institutions Strengthening of Indicators and Quality Assurance for Continuous Institutional Improvement Financing (in USD Million) Financing Source Amount International Bank for Reconstruction and Development 130.00 Total Project Cost 130.00 Environmental Assessment Category B - Partial Assessment Decision The review did authorize the preparation to continue Note to Task Teams: End of system generated content, document is editable from here. Nov 02, 2016 Page 2 of 12 The World Bank Mexico Higher Education Project (P160309) B. Introduction and Context Country Context 1. Mexico is a middle-income country with a per capita GDP of US$9,010 (2015), facing significant challenges to growth and development. After the 2008-09 global financial crisis, Mexico's economy rebounded quickly, reaching an average growth rate of 4.4% (2010-12). However, recent growth has been lower than expected, registering real GDP growth of 2.6% (2015). Importantly, scarce skilled labor and its impact on slow adoption of new technologies is also seen as important factors for slow productivity growth. 2. Implementation of an ambitious structural reform agenda introduced by the current administration has the potential to raise productivity and unleash growth in the medium term while reducing poverty and income inequality. A main priority for growth and development emphasized in both the reform process and the Mexico’s National Development Plan (NDP) is improving the quality of education at all levels, and reducing access and achievement gaps between rich and poor to increase relevant skills in order to spur long-term equitable growth. 3. Education is a key driver of growth. Studies show that a 10% increase in the quality of human capital is associated with a GDP increase of 0.87% (OECD, 2009). Mexico is one of the countries with the greatest growth potential in GDP to be gained from improvements in its education system. It is estimated that the impact on economic growth of improving educational quality in Mexico would be almost double that observed in other countries (OECD, 2009). The critical challenge is to create human capacity with the relevant skills necessary to innovate and help solve local and national challenges. Sectoral and Institutional Context 4. Mexico’s Public HE system is composed of a diverse range of sub-systems with differing levels of specialization, autonomy and access. These sub-systems include: (i) the largely autonomous Public University sub-system (Public Federal Universities, Public State Universities, Public State Universities with Solidarity Support, and Inter-Cultural Universities) offering degrees in a wide range of subjects; (ii) the highly- specialized Public Teacher Training sub-system (Teacher Training Colleges) offering university-type degree programs for all types and levels of teacher training; (iii) Public Technological Education sub-system (Technological Universities, Polytechnic Universities, and Federal and Decentralized Technological Institutes) offering university and two-year degrees in engineering and applied sciences; and (iv) the Public National Pedagogical University sub-system. Across all sub-systems, HEIs face significant challenges in achieving high quality and equity. 5. Yet, Mexican HEIs acknowledge the importance of overcoming these challenges and further contributing to social and economic development. In that regards, The Mexico Education Reform aims to increase the quality of education and underscores the role of the Teacher Training sub-system, its colleges and its teachers. The Education Reform1, one of the most important reforms in the country’s recent history, focuses on three major changes: (i) the creation of the National Teacher Service (SPD), including new measures related to hiring, evaluating, training, and promoting of teachers; (ii) the establishment of an autonomous National Institute for Education Evaluation (INEE); and (iii) the creation of a management and operations 1 Which began phased implementation in 2015. Nov 02, 2016 Page 3 of 12 The World Bank Mexico Higher Education Project (P160309) system for educational institutions. 6. Improvement in the quality and relevance of teacher education in both Teacher Training Colleges and Universities requires new classroom practices, improved content, and an improved strategy to share new ideas across the system and SEP is adapting its institutional capacity support to Teacher Training Colleges in line with the National Education Reform. SEP is prioritizing and allocating its funding for Teacher Training Colleges based on a set of quality indicators, including participation in Academic Research Groups (CA), achievement of successful results by their graduates in the national teacher selection process, improvements in classroom practices, and accreditation of programs. The instrument used to allocate budget is the Plan to Support the Quality of Education and the Transformation of Teacher Training Colleges (PACTEN). Additionally, in its efforts to strengthen Teacher Training Colleges, SEP will reform teaching practices and curricula in these Colleges to be aligned with the new education model for Basic and Upper Secondary Education. 7. Translating collaborative research knowledge into education innovations in the classroom can lead to improvements in teaching practices and human capital more generally. Innovations are broadly defined as the development and implementation of new solutions to existing problems. While not the only form of innovation, integration of information and communication technologies (ICT), including digital or virtual laboratories, is often used as a proxy for a country’s ability to apply new solutions to education challenges. Mexico is one of the few LAC countries (8 out of 31) that still has not implemented nation-wide strategies to integrate ICT in all HEIs and has the lowest percentage (2%) of basic education teachers trained to teach using ICT facilities (UNESCO-UIS, 2012). A greater supply of education innovations in digital forms based on new research knowledge could increase relevance, quality and access to content and courses in HE, potentially increasing equal opportunities to those who have to date not participated in HE. Furthermore, increased research collaboration across HEIs would provide opportunities for more effective sharing of knowledge, improving both quality and equity across the HE system. 8. The HE System requires improved quality assurance and robust indicators to coordinate and monitor the variety of types of institutions financed by the Government. Under the umbrella of the Education System, a large number of government and non-government bodies are responsible for the planning, monitoring and evaluation of Mexico’s multifaceted HE System. Moreover, the range of development of internal (at the institutional level) quality assurance systems is very large between institutions and between sub-systems C. Proposed Development Objective(s) Strengthen the capacity for innovative teaching, collaborative applied research, and internal quality assurance across participating public higher education institutions. Key Results 1. Number of Teacher Training Colleges with at least one Community of Practice that implements and documents an educational innovation. 2. Number of courses that are designed or redesigned to incorporate education innovations as a result of the research of Academic Alliances supported by the Project. 3. Percentage of Academic Alliance projects that achieve their annual goals. Nov 02, 2016 Page 4 of 12 The World Bank Mexico Higher Education Project (P160309) 4. Number of participating Higher Education Institutions that have incorporated the quality indicators developed through the Project in their internal quality assurance model. D. Project Description 9. Component 1: Strengthening Innovative Teaching Practices in Teacher Training Colleges (US$6 million): The objective of the component is to strengthen innovative pedagogical practices that improve learning outcomes and to promote engagement and collaboration between teachers in Teacher Training Colleges and Public State Universities through the design, implementation, monitoring and systematic evaluation of communities of practice (CoP). 10. Component 2: Strengthening Collaborative Applied Research and Innovative Teaching across Higher Education Institutions (US$120 million): The objective of the component is to strengthen collaborative applied research and innovative teaching across academic research groups and promote the formation of long-lasting cutting-edge academic alliances among public HEIs. 11. Component 3: Strengthening of Indicators and Quality Assurance for Continuous Institutional Improvement (US$4 million): The oobjective of the component is to improve the internal quality assurance indicators and systems of participating HEI’s in support of continuous improvement and to conduct impact and process evaluations of the Project. E. Implementation Institutional and Implementation Arrangements 12. The General Directorate of University Higher Education (DGESU), General Directorate of Higher Education for Education Professionals (DGESPE), and the Office of the Sub-Secretariat of Higher Education within SEP would implement the Project. DGESU and DGESPE would jointly coordinate Component 1 through establishment of a Coordination Committee, DGESU would coordinate Components 2 and 3, and the Office of the Sub-Secretariat of Higher Education would implement the impact evaluation in component 3. Project activities would be carried out by State HEIs in compliance with the agreements with SEP. 13. Components will be implemented as follows: For component 1, a joint Coordination Committee would be formed to organize, monitor and evaluate activities. The Committee would be led by the General Directors of DGESPE and DGESU and be composed of 3 staff members from each office (for a total of 8) who would be responsible for the design, implementation, monitoring and evaluation of CoPs. Component 2 would be managed by DGESU as part of their ongoing management of the 3 programs from which funding for component 2 would be reallocated – PRODEP, PFCE, and ProExoEES. Component 3 would be managed by DGESU. 14. Nacional Financiera, S.N.C, I.B.D. (NAFIN) would act as the financial agent for the Borrower, managing loan disbursements and overseeing and supporting project implementation. Nov 02, 2016 Page 5 of 12 The World Bank Mexico Higher Education Project (P160309) Note to Task Teams: The following sections are system generated and can only be edited online in the Portal. . F. Project location and Salient physical characteristics relevant to the safeguard analysis (if known) The Secretariat of Public Education (Secretaría de Educación Pública, SEP), through the Sub-secretariat of Higher Education (Subsecretaría de Educación Superior, SES), would issue a number of calls for proposals, inviting Higher Education Institutions to submit applications to participate in a 4 year program. The Project therefore will be implemented in the regions in which the beneficiary higher education institutions are located. The risks and potential impacts on the environment for this Project are considered low and only related with the procurement of informatics and communication technological equipment needed for the implementation of component 2. The adaptation of physical infrastructure involved in each participating institution might have some impact on the environment (adaptation refers mainly to ICT infrastructure for connectivity and access to computers – refitting rooms to allow air conditioning, cabling, projectors, etc.). Due to these circumstances, operational policy 4.01 Environmental Assessment was instituted. Since the execution of each proposal would be independent, an Environmental Management Plan was instituted as a safeguard instrument, focused on the proper handling of electronic waste and other waste generated during the infrastructure adaptation. The EMP includes, conservation, reuse, recycling and adequate disposal of Special Management Waste. The guidelines and national legal framework are established through the General Law for the Prevention and Management of Waste and NOM- 161 SEMARNAT-2011. Similarly, it is expected that Intercultural universities and Teacher Training Colleges with indigenous populations will participate. The IPPF is designed to foster communication about the Project in these communities and monitor their participation. G. Environmental and Social Safeguards Specialists on the Team Dora Patricia Andrade,Francisco Peyret Garcia SAFEGUARD POLICIES THAT MIGHT APPLY Safeguard Policies Triggered? Explanation (Optional) This project is rated as Category B. Operational Policy OP/BP 4.01 Environmental Assessment is triggered and the project will only Environmental Assessment OP/BP 4.01 Yes develop an Environmental Management Plan EMP, focused on the proper handling of electronic waste and other waste generated during the infrastructure Nov 02, 2016 Page 6 of 12 The World Bank Mexico Higher Education Project (P160309) adaptation, which includes, conservation, reuse, recycling and adequate disposal of Special Management Waste. The EPM would incorporate mechanisms for monitoring and recording, consultation with stakeholders and the grievance mechanism, which are essential for compliance with the OP. These activities only involve procuring and replacing equipment necessary for the implementation of the activities that would be defined by each participating alliance of institutions (universities or schools that participate in the call for proposals). Replacement or obsolescence of equipment that would generate electronic waste and require special handling would be observed in accordance with the national law. In 2010 SEMARNAT conducted a very complete assessment of the status of e-waste in Mexico and has updated the General Law for the Prevention and Management of e-Waste as well as developed an official policy guide for e-waste management (NOM- 161 SEMARNAT-2011). The application of this safeguard instrument would be included in the operational manual. The universities benefiting from the Project will report on the status of any e-waste disposal in their reports to SEP. This policy is not triggered given that the Project will Natural Habitats OP/BP 4.04 No not support interventions near o in reserves or natural habitats. This policy is not triggered given that the Project will Forests OP/BP 4.36 No not support interventions in forest This policy is not triggered given that the Project will Pest Management OP 4.09 No not support acquisition or use of pesticides. This policy is not triggered given that the Project will Physical Cultural Resources OP/BP 4.11 No not affect physical cultural resources Indigenous Peoples OP/BP 4.10, the Borrower, through the General Coordination of Intercultural and Bilingual Education (CGEIB), would be Indigenous Peoples OP/BP 4.10 Yes responsible for implementing the measures related to this policy. The Project would develop a communication strategy to raise awareness of the Project and the call for proposals for Components 1, Nov 02, 2016 Page 7 of 12 The World Bank Mexico Higher Education Project (P160309) 2 and 3. An objective of the communication strategy would be to increase the participation of Intercultural Universities, of whose student population come from rural and indigenous communities. The borrower undertook a rapid social assessment to inform the IPPF in coordination with the General Coordination of Intercultural and Bilingual Education (CGEIB) that coordinates Intercultural Universities in the country. A regulatory framework was included in the IPPF and no gaps between OP 4.10 and existing framework were identified. The application of this safeguard instrument would be included in the operational manual. A consultation process for the IPPF took place with each of the Directors of the major sub- systems in the country which include the public state universities (includes the intercultural universities); the teacher training colleges; the technical institutes; and the pedagogical universities. The IPPF was also shared for comments with the Comisión Nacional para el Desarrollo de los Pueblos Indígenas (CDI). This policy is not triggered given that the Project will Involuntary Resettlement OP/BP 4.12 No not represent a risk in terms of population resettlements or access to natural resources. This policy is not triggered given that the Project will not support the construction or rehabilitation of Safety of Dams OP/BP 4.37 No dams nor will support other investments which rely on the services of existing dams This policy should not be triggered because the Projects on International Waterways No proposed Project will not affect International OP/BP 7.50 waterways. This policy should not be triggered because the Projects in Disputed Areas OP/BP 7.60 No proposed Project will not affect disputed areas as defined under the policy. KEY SAFEGUARD POLICY ISSUES AND THEIR MANAGEMENT A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: There is no significant or irreversible impacts related with the Project. Nov 02, 2016 Page 8 of 12 The World Bank Mexico Higher Education Project (P160309) 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: There is no indirect potential impact caused by the Project. The mitigation measures comply with local Mexican law. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. N/A 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. The Borrower, through the General Direction of Higher Education Studies (DGESU) and General Directorate of Higher Education for Education Professionals (Dirección General de Educacion Superior para Profesionales de la Educación, DGESPE) will be responsible for the development and implementation of Safeguard Policies. The environmental risk is considered Low. Due to these circumstances, operational policy 4.01 Environmental Assessment would be instituted. Since the execution of each proposal would be independent, an Environmental Management Plan would be instituted as a safeguard instrument, focused on the proper handling of electronic waste and other waste generated during the infrastructure adaptation. The EMP includes, conservation, reuse, recycling and adequate disposal of Special Management Waste. The EMP follows the guidelines and national legal framework that is already established through the General Law for the Prevention and Management of Waste and NOM- 161 SEMARNAT-2011. The social risk is also low, Physical Cultural Resources OP/BP 4.11 and Involuntary Resettlement OP/BP 4.12 do not apply for this Project. Indigenous Peoples OP/BP 4.10 is triggered and an IPPF focusing on a communications strategy for the Intercultural University system and monitoring of their participation has been prepared by the Borrower. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. The main beneficiaries of the Project will be State Higher Education Institutions, professors at State Higher Education Institutions, students at State Higher Education Institutions, students at Upper Secondary Education Institutions and their families, public and private employers, and the general public. The EMP has been developed in compliance with national regulations on e-waste management, the dissemination process has taken place with the staff of the directorates of the SEP. The Borrower disseminated the IPPF and EMP in DGESU website and among SEP Directors responsible for the various higher education sub-systems and indigenous peoples organizations in the country, Link: http://www.dgesu.ses.sep.gob.mx/documents/correo. B. Disclosure Requirements OPS_EA_DISCLOSURE_TABLE Environmental Assessment/Audit/Management Plan/Other For category A projects, date of Date of receipt by the Bank Date of submission to InfoShop distributing the Executive Summary of the EA to the Executive Directors 17-Jan-2017 18-Jan-2017 "In country" Disclosure Nov 02, 2016 Page 9 of 12 The World Bank Mexico Higher Education Project (P160309) Mexico 19-Jan-2017 Comments Instrument was disclosed on DGESU website: http://www.dgesu.ses.sep.gob.mx/documents/correo OPS_I P_DIS CLOSURE_TAB LE Indigenous Peoples Development Plan/Framework Date of receipt by the Bank Date of submission to InfoShop 17-Jan-2017 18-Jan-2017 "In country" Disclosure Mexico 19-Jan-2017 Comments Instrument was disclosed on DGESU website: http://www.dgesu.ses.sep.gob.mx/documents/correo C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OPS_EA_COMP_TABLE OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? Yes If yes, then did the Regional Environment Unit or Practice Manager (PM) review and approve the EA report? Yes Are the cost and the accountabilities for the EMP incorporated in the credit/loan? Yes OPS_I P_COM P_TABLE OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework (as appropriate) been prepared in consultation with affected Indigenous Peoples? Yes If yes, then did the Regional unit responsible for safeguards or Practice Manager review the plan? Yes If the whole project is designed to benefit IP, has the design been reviewed and approved by the Regional Social Development Unit or Practice Manager? NA OPS_ PDI_ COMP_TAB LE Nov 02, 2016 Page 10 of 12 The World Bank Mexico Higher Education Project (P160309) The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Infoshop? Yes Have relevant documents been disclosed in-country in a public place in a form and language that are understandable and accessible to project-affected groups and local NGOs? Yes All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Yes Have costs related to safeguard policy measures been included in the project cost? Yes Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Yes Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? Yes CONTACT POINT World Bank Robert J. Hawkins Senior Education Specialist Javier Botero Alvarez Lead Education Specialist Borrower/Client/Recipient Ministry of Finance and Public Credit (Secretaria de Hacienda y Credito Publico, SHCP) Implementing Agencies Nov 02, 2016 Page 11 of 12 The World Bank Mexico Higher Education Project (P160309) Secretaria de Educación Pública Salvador Jara Guerrero Subsecretario de Educacion Superior salvador.jara@nube.sep.gob.mx FOR MORE INFORMATION CONTACT The World Bank 1818 H Street, NW Washington, D.C. 20433 Telephone: (202) 473-1000 Web: http://www.worldbank.org/projects APPROVAL Robert J. Hawkins Task Team Leader(s): Javier Botero Alvarez Approved By Safeguards Advisor: Practice Manager/Manager: Yves Jantzem 20-Jan-2017 Country Director: Jutta Ursula Kern 20-Jan-2017 Note to Task Teams: End of system generated content, document is editable from here. Nov 02, 2016 Page 12 of 12