INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized I. Basic Information Date prepared/updated: 04/03/2006 INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE Report No.: AC Basic Project Data Country: Ecuador Project ID: P Project Name: (APL1) Bono de Desarrollo Humano Task Team Leader: Carolina Sanchez Estimated Appraisal Date: April 10, 2006 Estimated Board Date: May 25, 2006 Managing Unit: LCSPE Lending Instrument: Adaptable Program Loan Sector: Other social services (60%);General education sector (20%);Health (20%) Theme: Social safety nets (P) IBRD Amount (US$m.): IDA Amount (US$m.): 0.00 GEF Amount (US$m.): 0.00 PCF Amount (US$m.): 0.00 Other financing amounts by source: BORROWER Environmental Category: C - Not Required Simplified Processing Simple [] Repeater [] Is this project processed under OP 8.50 (Emergency Recovery) [ ] No [ ] 2. Project Objectives The broad objectives of the Bono de Desarrollo Humano program (BDH) are to reduce poverty and promote human capital investments among poor families through the provision of direct monetary transfers and incentives for households to invest in human capital. World Bank assistance under the proposed APL would aim to contribute to these ultimate objectives of poverty reduction and human capital development among poor families. Within that broader context, the development objective of the proposed APL is to consolidate the role of the BDH as a conditional cash transfer program and of SelBen as a targeting tool for social programs, while supporting the development of an effective country social protection strategy to reduce poverty and to foster investments in human capital among poor households. The program will help sustain and strengthen the wellestablished and reasonably successful BDH program and will help ensure protection of the fiscal space for the monetary transfers made under the BDH to poor families. Phase 1 of the APL would support the transformation of the BDH into an effective cash transfer program that protects the vulnerable and fosters investment by poor families in human capital. Effectiveness would be assessed in terms of: (i) the targeting and coverage of benefits; (ii) efficacy of the transfer and co-responsibilities to foster

2 investment by beneficiary families in human capital; and (iii) the capacities of involved institutions (including PPS staff, sectoral ministries, service providers, and beneficiary groups) to manage the program efficiently, to monitor results, and to evaluate impacts. 3. Project Description The proposed APL will have two phases. The first phase for US$80 million in Bank financing will extend over three years. During this phase US$5 million will finance technical assistance and other institutional strengthening activities in component 1, while the remaining resources will be disbursed under component 2. Phase 2 of the APL would consolidate and deepen the reforms initiated during phase 1, and if possible would further improve the design of the BDH program based on knowledge and experience gathered under Phase 1. The project would support two components: Component 1: Institutional strengthening, consolidation of BDH reform and improved articulation of BDH within a comprehensive social protection strategy (US$5 million). This component seeks: (i) to strengthen the core institutional structure of the BDH; (ii) to support the consolidation of reforms in several of the program s key activities and processes; and (iii) to explore and pilot linkages with complementary programs to protect and provide opportunities for poor and vulnerable households in Ecuador. For this purpose the project will support activities in the following priority areas: a. Institutional strengthening: The objective of this subcomponent is to ensure that the technical, institutional and legal conditions necessary to guarantee a successful implementation of the BDH reform program are in place. b. Consolidation of BDH reforms. The objective of this subcomponent is to accompany and support the implementation of ongoing BDH reforms, while promoting access to program information and knowledge among BDH beneficiaries, administrators and others. c. Mechanisms for BDH beneficiary self-sufficiency and sustainable graduation and articulation of BDH within a social protection strategy. The objective of this subcomponent is to support the identification and evaluation of initiatives to improve program effectiveness and to help BDH beneficiaries gain access to complementary programs and services with the goal of promoting sustainable BDH graduation strategies. The subcomponent also contemplates actions to integrate the BDH and other programs within a broader social protection strategy whose implementation could be supported under the second phase APL. Component 2: Protection of cash transfers to the poor to foster investments in health, nutrition, and education. (US$75 million). Component 2 would support and protect the transfers themselves, while at the same time providing a performance-based incentive for achievement of results from the institutional strengthening activities. It also creates a strategic alliance between the two main agencies

3 involved in the project, the PPS and the MoF, so that the latter has strong incentives to support the former in achieving or even exceeding program implementation goals. Specifically, this component would finance per transfer incentive payments, disbursing against BDH transfers to households with children ages 0-16 and subject to education and/or health co-responsibilities. The value of these disbursements would be tied to overall project performance: as key Performance Milestones (supported by activities under component 1) are achieved, the amount of the per transfer incentive payments would increase. 4. Project Location and salient physical characteristics relevant to the safeguard analysis National scope. 5. Environmental and Social Safeguards Specialists Ms Pilar Larreamendy (LCCEC) 6. Safeguard Policies Triggered No Environmental Assessment (OP/BP 4.01) Natural Habitats (OP/BP 4.04) Forests (OP/BP 4.36) Pest Management (OP 4.09) Cultural Property (OPN 11.03) Indigenous Peoples (OP/BP 4.10) Involuntary Resettlement (OP/BP 4.12) Safety of Dams (OP/BP 4.37) Projects on International Waterways (OP/BP 7.50) Projects in Disputed Areas (OP/BP 7.60) II. 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: The project triggers the Bank s indigenous Peoples Policy OP/BP4.10, which requires an IPP to ensure that indigenous and Afro-Ecuadorians peoples participate in and benefit in a culturally appropriate way. As part of project preparation, an IPP was prepared by the Government of Ecuador in collaboration with a Social Specialist from the World Bank. The proposed project will make efforts to (a) ensure the registrations of indigenous and Afro-Ecuadorian peoples to be benefit from the project; and (b) monitor the participation receipt of benefits of such population, supporting culturally appropriated social control by such beneficiaries (See Annex 10 of PAD).

4 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: The project is design to avoid adverse impacts. It is expected that with the coresponsibilities, school attendance (and, possibly, attainment) and nutritional status of young indigenous and Afro-Ecuadorian children would further improve. 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 full IPP was prepared and discussed with the government with technical assistance from the World Bank, to incorporate the participation of indigenous peoples during project design and particularly during implementation, monitoring, and evaluation. The borrower s capacity to address social issues appears to be adequate in terms of the Social Assessment. The project operational manual includes necessary arrangements for staffing, and training the PPS in accordance with the social criteria and procedures established. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. Target beneficiaries include the bulk of the Indigenous, Afro-Ecuadorian, and mestizo population, living in extreme and high poverty conditions in rural and urban areas of the country. The proposed project will support the Government's own program, and as such builds on prior consultations carried out with key stakeholders. In addition, as part of preparation of the proposed project, joint consultations have been carried out by the Social Protection Program of the MBS, and representatives of the Consejo de Desarrollo de las Nacionalidades y Pueblos Indigenas del Ecuador (CODENPE), the Corporación de Desarrollo Afroecuatoriana (CODAE), the National Directorate of Indigenous Health (D.N.S.P.I.) of the Ministry of Health and the National Directorate of the Intercultural Bilingual Education (DINEIB) at the Ministry of Education, and with technical assistance from the World Bank. The objectives of the consultations were threefold: (a) to assess the perceptions and expectations of beneficiaries and non-beneficiaries of the BDH; (b) to address lessons learned, particularly for the Indigenous and Afro-Ecuadorian beneficiaries, and those excluded due to geographic, linguistic isolation; and (c) to make suggestions to improve the operational procedures and manner of delivery of the BDH. The social assessment shows that the program is well received by the majority of the population. Specific suggestions to eliminate the inefficiencies in the mechanisms of registration and delivery of cash transfers in rural areas, particularly in isolated areas, have been taken into consideration and included in the project implementation plan. The Project will support the program reforms to ensure that the implementation of the coresponsibility is based on consultative and participatory methods, and in this context,

5 periodic consultations have been designed into the project with emphasis on Indigenous Afro-Ecuadorian people. The outcomes of these consultations have been used as key inputs for the preparation of the Indigenous Peoples Plan. Drawing from the lessons learned from these consultations, as well as from the results of the program s impact evaluation, the minister of Social Welfare has proposed a social outreach strategy to ensure the inclusion of the vulnerable groups of the population, and that ethnic and racial characteristics are taken into consideration. Specific actions have been included in the project design to ensure that: (i) the screening of beneficiaries incorporates ethnic variables; (ii) access to birth certificates and IDs (cã dulas) by beneficiaries in isolated areas is facilitated; (iii) training and capacity building of the most vulnerable beneficiaries considers language and cultural characteristics; (iv) a participatory social accountability system is put in place, including the implementation of social controls mechanisms with emphasis on inclusion of indigenous and Afro- Ecuadorian communities; and (v) that the procedures for filing claims and grievances are widely communicated in a culturally appropriate manner. Finally, the Monitoring and Evaluation sub-component of the project will help the program monitor that indigenous peoples practices, their organizations, and their language are taken into consideration during project implementation and that corrective actions are put in place as needed. In addition, to the extent possible, evaluations will strive to assess variations in results among people of different ethnicities. The IPP was finalized and will be made public in Ecuador and through the Bank sinfoshop prior to appraisal B. Disclosure Requirements Date Indigenous Peoples Plan/Planning Framework: Date of receipt by the Bank 03/15/2006 Date of "in-country" disclosure 03/15/2006 Date of submission to InfoShop 04/04/2006 * If the project triggers the Pest Management and/or Cultural Property, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework (as

6 appropriate) been prepared in consultation with affected Indigenous Peoples? If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? If the whole project is designed to benefit IP, has the design been reviewed and approved by the Regional Social Development Unit or Sector Manager? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank s Infoshop? 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? All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included in the project cost? Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? D. Approvals Signed and submitted by: Name Date Task Team Leader: Ms Carolina Sanchez 03/31/2006 Environmental Specialist: Ms Pilar Larreamendy 03/31/2006 Social Development Specialist 11/01/2005 Additional Environmental and/or Social Development Specialist(s): Approved by: Regional Safeguards Coordinator: Mr Reidar Kvam 11/01/2005 Comments: Sector Manager: Ms Helena G. Ribe 04/04/2006 Comments: