PROJECT INFORMATION DOCUMENT (PID) APPRAISAL STAGEdocuments.worldbank.org/curated/en/... · 4...

PNPM Peduli PID May 2011

PROJECT INFORMATION DOCUMENT (PID)

APPRAISAL STAGE

Report No.:75942 (The report # is automatically generated by IDU and should not be changed)

Project Name PNPM Peduli

Region East Asia Pacific Region

Country Indonesia

Sector Social Development

Project ID P126424

Implementing Agency TBD (To be Determined)

Environmental Screening

Category

B – Partial Assessment

Date PID Prepared 13 May 2011

Estimated Date of Appraisal

Completion

30 June 2011

Decision

Other Decision

I. Country Context

In President SBY’s second term, the Government adopted Indonesia's Medium-Term

Development Plan (RPJMN) 2010-2014, with the target of increasing economic growth to 7

percent and reducing the poverty rate to 8-10 percent by 2014. The RPJMN highlights the need

for growth with equity and a range of cross-cutting policies to ensure that development is both

sustainable and inclusive.

Indonesia managed to weather the global economic downturn of 2008-09 and regain its growth

momentum. The social impact of the global crisis was also limited in Indonesia. Despite strong

economic growth and falling poverty in the last decade, inequality is rising. The gap between the

poor and non-poor is also widening. The Gini coefficient has increased from 0.32 in 1999 to

approximately 0.41 in 2010. Growing intolerance of minority groups, including sexual and

religious minorities, threatens social cohesion and stability.

Social and economic exclusion, together with internalized and external stigmatisation prevents

marginalized individuals and groups from accessing the country’s mainstream development

programs. As a result, their needs remain invisible and opportunities for their participation and

contribution are limited. In addition they internalize this stigma and feel less entitled which

increases their sense of isolation from society. Positive engagement with the broader community

and government helps to influence perceptions about the potential of marginalized groups. This

in turn builds social harmony and social capital. In addition to being a Millenium Development

Goal (MDG), specific attention to marginalized women has a multiplier effect as it not only

promotes gender equality, but in turn brings about exponential social and economic benefits for

their families and wider communities.1.

1 Gender Equality as Smart Economics, A Work in Progress, World Bank, Washington 2011.

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized


II. Sectoral and Institutional Context

The Government of Indonesia’s National Program for Community Empowerment (PNPM

Mandiri) is the Government’s flagship program for poverty alleviation. It is a community-driven

development program that encourages local communities to participate in the planning process;

provides financial support to communities for direct and transparent funding of poverty-

alleviation activities; and enhances the partnership of central and local governments to best

provide services where most needed.

An AKATIGA study in 2010 on marginalized groups in PNPM Mandiri concluded that although

some marginalized groups received some benefits from poverty reduction programs, the broad

brush stroke of PNPM Mandiri was not able to effectively reach the most marginalized. They

were often left out of planning processes, or their needs and aspirations not reflected in

community decision-making.2 Marginalized individuals and groups are not always defined by

their economic status and can cross or overlap economic, cultural, religious, political and social

groups. These are the people with fewer assets, lack access to resources and information, have

lower levels of education, are poor and stigmatized for their sexual orientation or lifestyle choice,

of ethnic or religious minority, people living with disabilities and widows. But they are also

those who have limited access to services, social, economic and political life due to social

constructs. These individuals and groups lack resources, access to information and economic

opportunities, and confidence.

Since inception, PNPM Mandiri has been envisaged as a broad-based effort to reduce poverty.

Such an effort requires multi stakeholder participation and support for the program. This

includes the need for promoting greater involvement of civil society organizations (CSOs)3 in the

implementation of PNPM Mandiri. CSOs are recognized for their comparative advanTSGe in

reaching the most marginalized and working with and for these groups at the grassroots level in a

way that large poverty programs are often not able to.

The Government of Indonesia has a long and somewhat underappreciated track record of

cooperation with CSOs within PNPM Mandiri. From the time of its launch in 1998 (in form of

its precursor program, the Kecamatan Development Program - KDP), the program operations

and the participation of communities in PNPM Mandiri have been monitored by independent

journalists and CSOs. These entities were given “blind contracts” through PNPM Mandiri which

financed travel and publication costs, but required no prior review on behalf of the GOI for the

content of their reports. This mechanism supported the transparency of PNPM Mandiri’s

planning and implementation processes, and substantiated CSO’s in a de-facto “watchdog”

capacity. PNPM Mandiri has also had some limited experience in directly financing CSO

activities to further efforts to reduce poverty. There have been two pilot programs which provide

funding to the South Sulawesi CSO forum and to a church-based CSO in Papua. Similar

arrangements have led to the development of the large and highly successful Program for

Women Headed Households in Indonesia, or better known by its Indonesian acronym, PEKKA.

2 Akatiga (2010) Marginalization and PNPM Mandiri study.

3 Throughout this document, the term ‘Civil Society Organization’ and ‘CSO’ also refers to local Non-

Governmental Organizations (NGOs).


Although these pilot programs have had notable successes over the years, it has proven to be

challenge to coordinate their activities into a comprehensive poverty reduction strategy.

Global best practice shows that channeling resources through civil society organizations (CSOs)

that are working at the grassroots level with those that are marginalized enables the government

to engage with these individuals and groups. Under the facilitation of Indonesian CSOs,

marginalized groups are developing new skills; accessing services; learning about their rights;

and connecting with others (including the broader community and local government). Best

practice also shows that empowerment of citizens in this way requires a rights-based approach

rather than one only focused on meeting direct and immediate needs.

PNPN Peduli Project activities will directly support the World Bank’s Country Strategy Core

Engagement 3 - Community Development and Social Protection. Activities will foster inclusive

growth providing support services and technical assistance to marginalized groups currently not

able to access, or access easily, PNPM and other poverty reduction programs. The focus of the

CPS is investment in Indonesian institutions, including a focus on non-state actors, such as civil

society and community-based organizations. The project will provide capacity support to

Indonesian civil society organizations working on poverty reduction activities. Investment in

these institutions aims to improve accountability and build capacity of these non-state

organizations to meet Indonesia’s development objectives.

III. Project Development Objectives

In 2010, the Government of Indonesia conceptualized the PNPM Peduli program in response to

awareness that the broad brush stroke of PNPM program was not able to reach marginalized

populations4. The program is given strategic guidance from the Ministry for People’s Welfare

(Menko Kesra) and managed by the PNPM Support Facility (PSF).5 The program promotes a just

society where marginalised people are recognized, respected and valued with the freedom to act

and make choices about the quality of their lives.

The main development objective of PNPM Peduli is to strengthen the capacities of Indonesian

CSOs to reach and empower marginalized groups to improve their socio-economic conditions.

PNPM Peduli aims to fill gaps of government poverty reduction programs in reaching

marginalized groups by capitalising on the comparative advantage of local CSOs in reaching and

working with these groups. It seeks to tap into and learn from the innovative and inclusive

poverty reduction practices of Indonesian CSOs and strengthen their management capacities and

sustainability.

IV. Project Description

4 Akatiga (2010) Marginalization and PNPM Mandiri study. 5 The PSF is a mechanism established by the Government of Indonesia (GOI) and international development

partners to support PNPM Mandiri. Through the PSF, development partners provide high-quality, coordinated,

technical assistance, planning advice and dialogue, as well as targeted financial assistance to the GOI in its

management of PNPM Mandiri.


Program Components

The program will have the following components:

1. Grants. Under PNPM Peduli, grants will be awarded through a competitive selection

process by the PSF Trust Fund to around 3-4 Indonesian CSOs ( “Executing

Organizations” hereafter called EOs) that are either: a) national grant-making

organizations or NGOs working through a third-party (model A, or EO-A); or b) nation-

wide membership-based organizations working through their sub-national branches

(model B, or EO-B). Grants will have a co-financing component where the Executing

Organisation contributes either seed funding for activities or contribution in kind

(resources, staffing and so on). The contribution will be 5% on top of the total value of

the Grant Agreement. Contributions in kind will be based on their market value.

2. Sub-Grants. The EOs will then sub-grant to local CSOs (under EO-A) or allocate funds

to their sub-national branches (under EO-B) implementing poverty reduction activities

targeting marginalized groups. Thematic areas that can be considered for funding include:

livelihood support, access to governance, access to justice, education, health, water and

sanitation. Potential to expand the range of activities applicable under PNPM Peduli will

be reviewed at the end of the pilot phase (June 2012). Marginalized groups that will be

covered through the project are listed below in the Project Activities section. There will

be no geographic focus of the project, the focus being on reaching targeted marginalized

groups. However, EOs will have in place strategies for upscaling their reach and scope of

activities to ensure that CSOs/branches throughout most of Indonesia’s provinces are

eligible for sub-grants. Sub-Grants for direct support provided by Executing

Organisations to their implementing partners will comprise 80% of the total amount

allocated to their implementing partner.

3. Capacity-Building to Executing Organsiations. An important objective of PNPM

Peduli is to strengthen the capacities of Indonesian national and local-level CSOs.

Capacity-building support will be provided to EOs based on their specific needs. The

level and type of training for each EO will be assessed based on specific capacity

development plans. EOs will in turn be responsible for providing capacity-building

services to their sub-granted CSOs/branches. Support will be provided through

appropriate strategies including technical assistance, mentoring, on-the-job training,

workshops and seminar.

4. Capacity-Building to local CSOs/Branches. Capacity-building support will also be

provided to the sub-grant CSOs/branches. This will initially include developing activity

work plans and budgets, conducting monitoring and evaluation, and in reporting on sub-

grant funds and activities. The sub-granted CSOs/branches may also receive training on

issues such as fiduciary management, fundraising, proposal writing, organizational

learning, and governance and transparency. Capacity support provided by Executing

Organisations to their implementing partners will comprise 20% of the total amount

allocated to their implementing partner. This component will be implemented by Local

CSOs (for Model A), branches or affiliated organisations (for Model B) funded by sub-

grants awarded to them by EO. The activities should directly support poverty reduction


activities targeting highly marginalized groups. Sub-grants will support activities that

reach vulnerable groups not easily accessed through current poverty reduction programs,

such as PNPM. Poverty reduction activities are aimed to empower communities and

bring them together with the aim of reversing declining standards of living and poor

conditions. Of the programmatic costs, direct support comprises 75% of the sub-grant.

Program Phases

Phase 1 (pilot phase): January 2011 – June 2012. This phase will involve: the establishment

and signing of Grant Agreements between the World Bank and selected Executing

Organisations; provision of initial training to Executing Organisations; the establishment of sub-

grant/funding agreements between Executing Organisations and their selected partners; the

implementation of project activities by local CSOs/branches; and the provision of capacity

support to these local partners under the sub-grant/funding agreement. The pilot phase will have

a strong focus on learning and sharing and testing approaches to poverty reduction and reaching

marginalized groups. Executing Organizations and their implementing partners will support and

actively participate in the documentation of good practices and lessons learned managed by the

Technical Support Group (TSG). The end of this phase will involve an evaluation and review of

activities and extension of existing Grant Agreements – based on satisfactory performance - with

provision for additional funding to EOs for Phase 2. Executing Organisations will actively

participate in the review of the pilot phase that will inform full implementation of the project in

Phase Two. As required, the Operational Manual will be revised and fine tuned in preparation for

Phase Two.

Phase 2: June 2012 – 2014. Phase 2 will commence following evaluation of Phase 1, with

Executing Organisations continuing their existing sub-grant/funding agreements which will be

extended and additional funds allocated according to the proposed and approved Activity Plans

and linked budgets. Executing Organisations will implement their strategy to up-scale activities,

develop new partnerships and reach new marginalized groups, specifically focusing on gaps

identified through review at the end of Phase 1. Phase 2 will build on lessons learned and

recommendations from the review of Phase 1. Innovation and good practice will be brought to

scale. During Phase 2, PNPM Peduli will also seek to promote synergies between CSOs and

government programs and promote integration of innovative approaches to social inclusion of

marginalized groups into government poverty reduction government programs, including PNPM.

There will be no delay in the transition between implementation of activities Phase 1 and

continuation into Phase 2.

Program Design Approach

The pilot phase will be a “design implement” with a strong focus on learning by doing. The

results framework, program definitions, reporting templates and monitoring and evaluation

framework will be built in partnership with national CSO partners in the program start-up

promoting a participatory approach that builds on CSO experience and expertise and ensures

program mechanisms reflect the way grassroots CSOs work. An external review will be

conducted close to the end of the pilot phase to assess what’s working well and what can be built

on for Phase II to inform the design. It is expected that a results framework will be updated for


full implementation. The PDO and program outcomes may also be refined at this time and a full

baseline developed. The rationale for a “design implement” approach is that social inclusion and

marginalization is a new area of work and the first time the government and World Bank has

partnered with Indonesian CSOs to address issues of inclusion. The pilot phase will have a strong

focus on testing and learning what works and why.

The approach to designing and setting up implementation structures for PNPM Peduli is also

about forging a new business model for grant making with CSOs. This is about finding the right

process that ensures that our quality, fiduciary, and safeguards requirements are met, while

keeping the transaction costs for the CSOs at a minimum. This will involve educating CSOs on

what information is required in the early stages, and building their capacity to provide that

information in a form that is understandable for the Bank. Practical strategies have involved

consultations to gain a better understanding of how these organizations work and providing

Proposal Writing Clinics to educate CSOs on the requirements of the Bank. In this way, project

implementation can maintain a ‘light touch’ approach by working through existing CSO systems

as far as possible to fully captialise on their strategic advantage in working with and for the most

marginalized. As well as a learning process for the Bank and CSOs, through the PNPM Peduli

model, the government anticipates it will learn from the innovative approaches to poverty

reduction captured and to look for strategies to replicate and upscale these practices in other

poverty reduction programs, including PNPM Mandiri.

V. Financing

Multi Donor Fund (JMC) US$ 4,215,000

Total - US$ 4,215,000

VI. Implementation

Government of Indonesia: Indonesia’s Ministry of People’s Welfare (Menko Kesra) is a key

decision maker concerning the overall direction of the Program and provides strategic and

operational oversight and guidance to the program through Pokja Pengendali. This includes

involvement in periodic reviews of the program and helping to draw in those ministries under its

coordination to support implementation of the Program and learn from the knowledge generated.

Strategic oversight is also provided by Indonesia’s National Agency for Development Planning

(BAPPENAS).

Joint Management Committee (JMC): JMC is the governing body of the PSF Trust Fund and

comprises representatives of Government and donors which provides periodic inputs on the

strategic direction and oversight of Peduli, reviews progress of the program. It also has the key

decision making role concerning the funding of the program, including approvals for any

additional financing required and new EO partners.

PNPM Support Facility (PSF): The PSF is guided by the Government of Indonesia and JMC in

making strategic decisions about the program based on program reports, learning and

consultation with implementing CSO partners, other stakeholders and the TSG. The PNPM


Peduli Coordinator based at the PSF manages the Grant Agreements with EO and recipients of

Innovations Grants, in accordance with World Bank Fiduciary Guidelines and Safeguards

requirements as set out in the Program Operations Manual. It is accountable for funds

disbursement and management, ensuring information flow to Government of Indonesia and JMC

and ensuring that decision making bodies have a full and open account of the Program’s progress

and issues arising. PSF is responsible for ensuring that EO and TSG are acccountable for their

their contractual and milestone obligations. It is the key decision maker regarding program

strategies, processes and tools which are developed in consultation with EOs and will address

any issues of misconduct or poor performance among EOs, Strategic Partners or TSG.

Technical Support Group: The TSG will be guided by the Program Operations Manual and

adhere to all governance provisions and program policies. While the TSG does not have

responsibilty for financial management, it must be fully aware of Peduli financial procedures and

requirements to the extent that it can report any identified issues to PSF for immediate action.

The TSG will become the main point of contact between the EO and the PSF and will have the

key decision making role regarding quality of implementation and reporting. The TSG will

address any issues of misconduct or poor performance among team members, other than cases of

fraud which are addressed by PSF.

Executing Organizations and CSO partners: Executing Organizations and their CSO partners are

guided by their Program Operational Manual (POM) and Project Management Manuals (PMM)

respectively which align with the Peduli POM and World Bank requirements. EOs will decide

their own program structures and implementation strategies and process, select their local

partners using agreed criteria and address any issues of misconduct or poor performance among

EO staff and/or CSO partners. Financial systems have been developed with EOs in line with

World Bank requirements and they are responsible for addressing any fiduciary issues with their

Partners. CSO partners are responsible for working in partnership with individuals and groups to

develop and implement activities working with the most marginalized.


This is shown pictorially below in Diagram 1.

Diagram1.

Grant Mechanism

PNPM Peduli will be implemented through two grant mechanisms:

Grant Model A. The World Bank will award Grants to Indonesian grant-making

organizations (Executing Organisations, EO-A) that provide support to and work through a

third party organization (ie. local CSOs). Grants will be used by EOs to: a) strengthen their

own management and operational capacity and b) provide sub-grants to local CSOs. The

sub-grants from EO-A to local CSOs will: a) support sub-grantees’ poverty reduction

activities with marginalized groups; and b) strengthen their management and

organizational capacity.

Grant Model B. Through a separate process, the World Bank will also award Grants to

Indonesian nation-wide organizations (Executing Organisations, EO-B) that provide

support to and work through sub-national branches of their organization. Grants will be

used by EO-B to: a) strengthen their own management and operational capacity and b)

allocating funding to their sub-national branches. The funding from EOs to their sub-

Pokja Pengendali (BAPPENAS )

Technical Support Group (TSG)

Executing Organization

(work thru 3rd

party org)

CSO

PSF Secretariat (World Bank)PNPM Peduli Coordinator


(work thru 3rd

party org)


(work thru sub-national branches)


work thru sub-national branches)

CSO CSO Sub-national branch

Sub-national branch

Sub-national branch

Sub-national branch

Indicate Grants/Sub-GrantsIndicate Lines of Technical Assistance

Operational Oversight

Beneficiaries

Indicate Contract

GRANT MODEL A GRANT MODEL B

CSO


national branches will: a) support poverty reduction activities of sub-national branches

with marginalized groups; and b) strengthen their management and organizational capacity.

Grant Eligibility

In order to be eligible to receive PNPM Peduli Grants, the Executing Organisation under Grant

Model A and B must as a minimum be legally registered entity that has a legal basis for

operation in Indonesia; must be working across more than one province; must be working with

more than one of the target marginalized groups; and must be supporting a range of poverty

reduction activities. In addition, the specific requirements include:

Fiduciary

Have existed as an organisation for the past two years and have documented external

audit reports for the past two years;

Have an Operation Manual outlining clear standard financial and operational procedures

for program and financial management;

Be willing and able to establish a separate account in the name of the Project or have an

accounting system to adequately separate Project funds; and

Be willing and able to be audited by an external independent auditor on an annual basis

for the duration of the Grant Agreement.

Grant Model A: Capacity and Experience

Established and strong working partnerships with local CSOs working supporting poverty

reduction activities to targeted marginalized groups;

Able to identify potential CSO projects and activities consistent with the objectives of

PNPM Peduli in reaching the most marginalized;

Demonstrated experience strengthening the capacity of local CSO networks evidenced by

reference letters from recipients for recent programs;

Demonstrated experience in grant making to local CSOs and existing grantees carrying

out relevant project activities;

Capacity and willingness to upscale support for local CSOs over time through increased

number and reach of sub-grants;

Demonstrated staffing and resources that will be allocated (either existing or contracted

for the project purposes) to ensure on-granting is well managed;

Grant Model B: Capacity and Experience

Have established sub-national branches of the organisation supporting poverty reduction

activities to targeted marginalized groups;

Established and strong working partnerships with local grassroots and community groups

at the sub-national level working in poverty reduction in the priority themes evidenced by

long term engagement, identification of potential partners and projects and demonstrated

understanding of local poverty reduction activities;

Propose projects that will be carried out by their sub-national branches that target the

most marginalized groups, propose a logical implementation strategy for activities,

propose a credible M&E systems and sound budget;

Capacity and willingness to upscale support for sub-national branches over time through


increased number and reach of sub-grants;

Demonstrated staffing and resources that will be allocated (either existing or contracted

for the project purposes) to ensure on-granting is well managed;

Governance Requirements

Have a credible and transparent organisation structure that ensures decision-making

processes are consultative and the Board decisions and operations are transparent to

members and beneficiaries.

Grant Recipient Selection Process

The PNPM Peduli team will prepare a number of documents to support the process of selection

and appointment of Executing Organisations. These include: mapping and short listing

documentation to invite shortlisted eligible organizations to submit full proposals, Selection

Criteria for Executing Organisations, Terms of Reference (ToR) for Executing Organisations,

Financial Proposal Template, Technical Proposal Template, Appraisal Criteria for Executing

Organisations, CSO Selection Worksheet (which will include a financial and procurement

assessment), and PNPM Peduli Operational Manual. The selection process for Executing

Organisations will involve the following steps, shown pictorially below:


Sub-Grant Eligibility

In order to be eligible to receive PNPM Peduli Sub-Grants or funding agreements, organisations

under Grant Model A as a minimum the organisation must:

Fiduciary Requirements

Be a registered entity recognised either within their community or have a legal basis for

operation;6

Be able and willing to show accounts for the past year;

Be able and willing to be audited annually by an external independent auditor for the

duration of the Sub-Grant Agreement; 7

Be willing and able to use the Executing Organization’s grant instruments (Financial and

6 Organisations that are not registered can obtain a letter from the local government or confirming their that they are

recognised as an organisation carrying out activities as they claim.. 7 For smaller organisations who have not participated in an external formal audit, training will be provided in

preparation for the first audit at the end of the 12 month period.

1.Mapping of eligible

organisations using criteria

and ranking. Verification of

mapping with CSO experts.

Short-listing of eligible

organizations invited to

submit pre-proposal forms.

2. Pre-Proposal Submission. Organisations meeting basic

criteria submit form outlining

core requirements related to

their operations and structure.

Organisations meeting all

criteria invited for full proposals.

3. Initial Meeting on Full

Proposal. Shortlisted

potential EOs receive a

project briefing and have

opportunity to ask questions

about proposal process or

project.

4. Proposal Writing Clinic

for shortlisted organisations to

educate them on required

information for proposal

sTSGe in the correct Bank

format.

.5. Technical Evaluation

Committee. TEC established

(inviting government WB

experts and selected CSO

experts) to assess proposals and

select Executing Organisations.

6. Financial and Procurement

Assessments & Procurement

Plan for Executing Organisation

involving anti-corruption and

safeguards teams.

Recommendations made to

Legal Team.

7. Grant Agreement Drafted

by Legal Team incorporating

recommendations. Grant

Agreement finalised with

organisation. Activities begin.


Management Manual) and to meet their fiduciary and reporting requirements;

Be willing and able to establish a separate account in the name of the Project;

Capacity and Experience

Have strong community partnerships demonstrated by long term engagement and strong

understanding of the poverty issues in their working environment;

Be currently engaged in poverty reduction activities working with marginalized groups;

Have a clear strategy presented for how they target and work with the most marginalized

groups; and

Propose activities that demonstrate a logical implementation strategy, and sound budget.

Governance and Accountability Requirements

Have a clear organisational structure in place

Have mechanisms to involve beneficiaries in decision-making and poverty reduction

activities (this may include involvement in monitoring and reporting activities, planning,

developing proposals, attendance at organisational meetings and how they make

information readily available through newsletters, open meetings and so on).

Under Grant Model B, Executing Organisations, as nationwide organisations, will have internal

mechanisms to work with branches or affiliated organisations and select suitable partners.

Executing Organisations will ensure eligible activities are selected with suitable branches that

meet the following:

Fiduciary Requirements

That the branch implementing the activities is officially connected to the Executing

Organisation;

Be able and willing to show accounts for the past year;

Be able and willing to be audited annually by an external independent auditor for the

duration of the Funding Agreement; 8

Have financial and management systems in place from the Executing Organization’s (i.e.

using the EOs Financial and Management Manual/systems) and have demonstrated

ability to meet their fiduciary and reporting requirements;

Be willing and able to establish a separate account in the name of the Project;

Capacity and Experience

Have strong community partnerships demonstrated by long term engagement at the local

level and strong understanding of the poverty issues in their working environment;

Be currently engaged in poverty reduction activities working with marginalized groups;

Have a clear strategy presented for how they target and work with the most marginalized

groups; and

Propose projects that demonstrate a logical implementation strategy, and sound budget.

8 For smaller organisations who have not participated in an external formal audit, training will be provided in

preparation for the first audit at the end of the 12 month period.


Governance and Accountability Requirements

Have a clear organisational structure in place and mechanisms to involve beneficiaries in

decision-making and poverty reduction activities (this may include involvement in

monitoring and reporting activities, planning, developing proposals, attendance at

organisational meetings and how they make information readily available through

newsletters, open meetings and so on).

Under both grant models, the selection process for all sub-grants will follow the existing systems

of the Executing Organisations but ensure that local partners meet the basic criteria above and

selected poverty reduction activities are in line with the objectives and priorities of PNPM Peduli

in reaching the most marginalized. Process for selection of partners and activities must be well

documented and transparent. Executing Organisations may carry out a mapping exercise of

existing and new partners to identify potential poverty reduction activities, and they will be

responsible for providing capacity support to local partners to support them in the development

of proposals with well planned timelines, realistic budgets and quality monitoring and evaluation

frameworks.

Executing Organisations will be responsible for carry out capacity assessments of local

CSOs/branches selected will work in partnership to develop Capacity Development Plans that

will be carried out for the duration of the sub-grant/funding agreement. Executing Organisations

can use existing templates within their organization to establish funding agreement but must

ensure they include standard World Bank clauses for grant agreements as outlined in the

project’s Operational Manual. Executing Organisations will also be responsible for providing

standard training on PNPM Peduli and relevant World Bank guidelines on financial

management, procurement, safeguards and anti-corruption as outlined in the project’s

Operational Manual.

PNPM Peduli Activities

There are two broad types of activities supported by sub-grants/funding to local branches under

PNPM Peduli. Support will be provided for activities that address specific and identified needs

of a marginalized individual or community and directly provide for this need. This may include

providing equipment for disabled persons or medicine for people suffering from infectious or

terminal diseases, access to public and/or private services, and access to economic opportunities.

Here the ultimate objective is to assist individuals to improve their situation and condition so that

they can fulfill their own potential.

Support will also be provided for activities that empower individuals to participate in order to

effectively advocate or articulate their individual needs to those who can influence outcomes.

This may include activities that focus on strategies for marginalized individuals to become

involved in community planning and decision-making processes. Here the ultimate objective is

to have the specific needs or aspirations of marginalized individuals heard and addressed, and to

integrate into mainstream society so that they can fully participate.

Ineligible Activities


Sub-grants will not support the following: revolving funds; micro-credit programs; charity nor

provide welfare payments; activities banned by PSF donor policies or by Indonesian law;

government programs, which PSF finances through Windows 1 &2; political activities; purchase

of land; activities involving major construction works; and the purchase of large items that are

not part of a broader project or activity approved for funded under PNPM Peduli.

Target Groups

Individuals and communities supported by project activities may include, but are not limited to:

street children, orphans, exploited children who may be sexually abused, youth in conflict with

the law or suffering drug abuse, female-headed households, victims of domestic violence and of

community abuse, sex workers, victims of conflict, people living with HIV and AIDS, people

living with disabilities related to leprosy, poor ethnic minorities, handicapped persons and other

disabilities, garbage collectors, peddy-cab drivers (bajaj and becaks), domestic workers subject

to exploitation, poor migrant workers, trafficked persons, transgendered persons, street beggars,

landless farmers, rural fisher folk, poor plantation laborers and poor indigenous peoples.

Accountability Mechanisms

Downward accountability to these marginalized groups will be ensured through: mechanisms

developed by selected CSOs and sub-national branches to involve beneficiaries in project

planning, reporting, monitoring and evaluation; projects selected that are based on community

needs and target activities to meet these identified needs; collection of stories and case studies to

document and share good practice in downward accountability across the project network

managed by the Technical Support Group (TSG) supported by the Executing Organisations and

local CSOs/branches; a survey conducted of beneficiaries to provide feedback to the project

cycle managed by the TSG and supported by local CSOs/branches; and a complaints handling

mechanism developed and managed by the TSG making communication about the project

accessible at all levels, including beneficiaries and the general public.

Grant and Sub-Grant Sizes

An initial USD 4 million has been allocated to the start-up pilot phase to support activities

managed by EOs. Grants awarded to EOs will not to be of a value greater than the annual

amount the EO has previously programmed under other donor funded projects. Sub-grant sizes

will vary depending on size and capacity of local CSOs as well as activities being carried .It is

expected that the sub-grants will vary between USD 20,000 up to USD 100,000.

VII. Safeguard Policies (including public consultation)

PNPM Peduli is a pilot project under the PNPM umbrella, with the main Government

counterparts, Menko Kesra and Bappenas, providing strategic oversight to the program. The

safeguards framework therefore builds upon the lessons learned from safeguards management in

PNPM under the umbrella guideline of Implementation Guideline of Social and Environmental

Safeguards (IGSES), which similarly funds small-scale projects at the local level. The updated

IGSES with several improvement and updates will be used as reference for the implementation

of PNPM Peduli.


There are no significant long-term potential impacts expected to be triggered by this project.

PNPM Peduli is implemented by Executing Organizations which are responsible for screening

possible environmental and social impacts of their sub-grant activities during planning. If any

impacts are identified they are provided with supervision and guidance for developing and

implementing measures to mitigate the impacts. Specific guidelines for environmental

management and Indigenous People safeguards issues will be referred to updated IGSES 2012.

The safeguards screening, implementation and reporting will be outlined in the PNPM Peduli

Operational Manual and reference to these guidelines will be included in the sub-grant manuals.

The World Bank will provide initial safeguards training to EOs and will continue do so during

project implementation. Following the provision of train-the-trainer training EOs may be in a

position to provide safeguards training to their sub-grantees so that they have the capacity to

manage any potential safeguards risks. Close supervision and monitoring from the Task Team

and safeguards team is being provided during project implementation, specifically for safeguards

compliance.

In the initial start-up the World Bank will conduct a safeguards assessment of the EOs’ capacity

to identify and mitigate safeguards risks. This will be followed by safeguards training on

safeguard policies and how to manage potential environmental and social risks. The PNPM

Peduli Operational Manual will include specific environmental and social guidelines for

screening site-specific impact. The EOs’ progress implementation reports will contain a section

on safeguard implementation for applicable cases.

As most projects will be small-scale, there are no large-scale, significant, or irreversible impacts

anticipated to occur from these activities. Most of the sub-grants in PNPM Peduli will be

focused on capacity and skills training to marginalized beneficiaries, advocacy, legal aid and

participatory governance. The few sub-projects that will involve minor construction will follow

solid engineering designs and construction practices modeled on lessons learned from the PNPM

safeguards approach. Any potential negative environmental impacts will therefore typically be

negligible, site-specific, small in scale and can be managed locally by adopting screening criteria

and adequate mitigation measures as outlined in the Operational Manual and specifically in the

Environmental and Social Codes of Practices (ECOPs).

Several of the sub-projects specifically target indigenous people with the aim of improving their

economic and social conditions. All sub-grant projects, including those working with indigenous

peoples, are expected to be prepared with free prior and informed consultation; with broad

community support throughout the project cycle, in design, implementation, monitoring and

evaluation. These processes are described in the sub-grant proposals and tracked through

quarterly reports (templates developed by the program). The Indigenous Peoples Planning

Framework will contain the principles and elements for identifying potential negative impacts, a

framework for implementing free prior and informed consultation with the effected indigenous

communities in each stage of the subproject cycle; institutional arrangements for screening

project supported activities, evaluating their effects on indigenous communities; and monitoring

and reporting arrangements.


Safeguard Policies Triggered Yes No

Environmental Assessment (OP/BP 4.01) X

Natural Habitats (OP/BP 4.04) X

Forests (OP/BP 4.36) X

Pest Management (OP 4.09) X

Physical Cultural Resources (OP/BP 4.11) X

Indigenous Peoples (OP/BP 4.10) X

Involuntary Resettlement (OP/BP 4.12) X

Safety of Dams (OP/BP 4.37) X

Projects on International Waterways (OP/BP 7.50) X

Projects in Disputed Areas (OP/BP 7.60) X

VIII. Contact point at World Bank and Borrower

World Bank Contact: Kevin Tomlinson

Title: Task Team Leader

Tel: (62) 213148175

Email: [email protected]

Implementing Agencies

Association for Community Empowerment Komplek Depkes, Jl. H. Umaidi No. 39 A, Rawa Bambu 2 Rt.010 Rw. 007, Pasar Minggu, South Jakarta Tel. +62 21-85912967; 85912945 Contact person: Dra. Titik Hartini, M.Si (Executive Director) Kemitraan Jl. Wolter Monginsidi No. 3 Kebayoran Baru South Jakarta 12160 Tel. +62 21-72799566 Contact person: Wicaksono Sarosa (Executive Director) Lakpesdam/NU Jl. H. Ramli No. 20A Menteng Dalam, Tebet Jakarta 12870 Tel. +62 21-8298855, 8281642, 83796120 Contact person: YahyaMa'shum (Chairman of Board)

IX. For more information contact:

The InfoShop

The World Bank

1818 H Street, NW

Washington, D.C. 20433

Telephone: (202) 458-4500

Fax: (202) 522-1500

Web: http://www.worldbank.org/infoshop

mailto:[email protected]

PROJECT INFORMATION DOCUMENT (PID) APPRAISAL STAGEdocuments.worldbank.org/curated/en/... · 4...

Documents

Transcript of PROJECT INFORMATION DOCUMENT (PID) APPRAISAL STAGEdocuments.worldbank.org/curated/en/... · 4...