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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Document of The World Bank FOR OFFICIAL USE ONLY INTERNATIONAL DEVELOPMENT ASSOCIATION PROJECT APPRAISAL DOCUMENT ON A PROPOSED CREDIT IN THE AMOUNT OF SDR 16.1 MILLION (US$ 24.8 MILLION EQUIVALENT) TO MONGOLIA FOR A THIRD SUSTAINABLE LIVELIHOODS PROJECT May 5, 2014 Social, Environment, and Rural Development Unit Sustainable Development Department East Asia and Pacific Region Report No: PAD385 This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its concerns may not otherwise be disclosed without World Bank authorization.

2 CURRENCY EQUIVALENTS (Exchange Rate Effective March 31, 2014) Currency Unit = Tugrug MNT 1,789 = US$1 US$ = SDR1 FISCAL YEAR January 1 December 31 ABBREVIATIONS AND ACRONYMS Aimag APA APL Bagh CIF CPS DA Dzud ERR ESMP FM GFMIS GOM IBL ICR IDA IFR IPP LDF LEWS MDF MIS MoED MOF MNT MTR NAMHEM NGO ORAF PBF PDO PHRD PIU PM&E PRM PPR Province of Mongolia Annual Performance Assessment Adaptable Program Loan Rural sub-district administrative unit Community Initiatives Fund Country Partnership Strategy Designated Account Weather conditions leading to high livestock mortality Economic Rate of Return Environmental and Social Management Plan Financial Management Government Financial Management and Information System Government of Mongolia Integrated Budget Law Implementation Completion Report International Development Association Interim Financial Report Indigenous Peoples Plan Local Development Fund Livestock Early Warning System Microfinance Development Fund Management Information System Ministry of Economic Development Ministry of Finance Mongolian Tugrug Mid-term Review National Agency for Meteorology, Hydrology and Environmental Monitoring Non-Governmental Organization Operational Risk Assessment Framework Performance-based Financing Project Development Objective Japan Policy and Human Resources Development Fund Project Implementation Unit Participatory Monitoring and Evaluation Pastoral Risk Management Post Procurement Review

3 PSC SDC SOE SLP SLP2 SLPO Soum SST TOR TTL US$ Project Steering Committee Swiss Agency for Development and Cooperation Statement of Expenditures Sustainable Livelihoods Program Second Sustainable Livelihoods Project Sustainable Livelihoods Program Office Rural district Soum Support Team Terms of Reference Task Team Leader United States Dollar Regional Vice President: Axel van Trotsenburg, EAPVP Country Director: Klaus Rohland, EACCF Sector Director: John Roome, EASSD Acting Sector Manager: Iain Shuker, EASER Task Team Leader: Andrew Goodland, AFTA3

4 MONGOLIA Third Sustainable Livelihoods Project TABLE OF CONTENTS I. STRATEGIC CONTEXT...1 A. Country Context... 1 B. Sectoral and Institutional Context... 2 C. Higher Level Objectives to which the Project Contributes... 4 II. PROJECT DEVELOPMENT OBJECTIVES...4 A. PDO... 4 Project Beneficiaries... 4 PDO Level Results Indicators... 4 III. PROJECT DESCRIPTION...5 A. Project Components... 5 B. Project Financing... 6 C. Series of Projects... 7 D. Lessons Learned and Reflected in the Project Design... 8 IV. IMPLEMENTATION...9 A. Institutional and Implementation Arrangements... 9 B. Results Monitoring and Evaluation C. Sustainability V. KEY RISKS AND MITIGATION MEASURES...11 A. Risk Ratings Summary Table B. Overall Risk Rating Explanation VI. APPRAISAL SUMMARY...13 A. Economic and Financial Analyses B. Technical C. Financial Management D. Procurement E. Social (including Safeguards) F. Environment (including Safeguards)... 16

5 Annex 1: Results Framework and Monitoring...18 Annex 2: Detailed Project Description...20 Annex 3: Implementation Arrangements...27 Annex 4: Operational Risk Assessment Framework (ORAF)...44 Annex 5: Implementation Support Plan...50 Annex 6: Status of Triggers...53 Annex 7: Financial and Economic Analysis...55

6 .... PAD DATA SHEET Mongolia Third Sustainable Livelihoods Project (P125232) PROJECT APPRAISAL DOCUMENT EAST ASIA AND PACIFIC EASCS Basic Information Project ID EA Category Team Leader Report No.: PAD385 P B - Partial Assessment Andrew D. Goodland Lending Instrument Fragile and/or Capacity Constraints [ ] Investment Project Financing Financial Intermediaries [ ] Project Implementation Start Date 01-Oct-2014 Expected Effectiveness Date 30-Sep-2014 Joint IFC No Series of Projects [ X ] Project Implementation End Date 31-Dec-2018 Expected Closing Date 31-Dec-2018 Sector Manager Sector Director Country Director Regional Vice President Iain G. Shuker John A. Roome Klaus Rohland Axel van Trotsenburg Borrower: Mongolia Responsible Agency: Ministry of Economic Development Contact: Mr. D. Erdenebayar Title: Head of Sector Development Policy & Coordination Division Telephone No.: (976) d.erdenebayar@med.gov.mn Project Financing Data(in USD Million) [ ] Loan [ ] Grant [ ] Guarantee [ X ] Credit [ ] IDA Grant [ ] Other

7 Total Project Cost: Total Bank Financing: Financing Gap: 0.00 Financing Source Amount BORROWER/RECIPIENT 0.00 International Development Association (IDA) SWITZERLAND Swiss Agency for Dev. & Coop. (SDC) Total Expected Disbursements (in USD Million) Fiscal Year Annual Cumulati ve Proposed Development Objective(s) The PDO is to improve governance and community participation for the planning and delivery of priority investments in rural areas of Mongolia. Components Component Name Cost (USD Millions) Capacity Building for Local Governance and Livelihoods Good Governance Performance-Based Support Program Project Management and Monitoring and Evaluation 3.60 Sector Board Agriculture and Rural Development Institutional Data Sectors / Climate Change Sector (Maximum 5 and total % must equal 100) Major Sector Sector % Adaptation Co-benefits % Public Administration, Law, and Justice Sub-national government administration 50 Mitigation Co-benefits %

8 .... Agriculture, fishing, and forestry General agriculture, fishing and forestry sector Health and other social services Other social services 20 Total 100 I certify that there is no Adaptation and Mitigation Climate Change Co-benefits information applicable to this project. Themes Theme (Maximum 5 and total % must equal 100) Major theme Theme % Environment and natural resources management 30 Other environment and natural resources management Public sector governance Decentralization 20 Rural development Rural services and infrastructure 20 Social protection and risk management Other social protection and risk management Social dev/gender/inclusion Participation and civic engagement 20 Total Policy Compliance Does the project depart from the CAS in content or in other significant respects? Yes [ ] No [ X ] Does the project require any waivers of Bank policies? Yes [ ] No [ X ] Have these been approved by Bank management? Yes [ ] No [ ] Is approval for any policy waiver sought from the Board? Yes [ ] No [ X ] Does the project meet the Regional criteria for readiness for implementation? Yes [ X ] No [ ] Safeguard Policies Triggered by the Project Yes No Environmental Assessment OP/BP 4.01 X Natural Habitats OP/BP 4.04 X Forests OP/BP 4.36 Pest Management OP 4.09 X X

9 . Physical Cultural Resources OP/BP 4.11 X Indigenous Peoples OP/BP 4.10 X 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 X X X X Legal Covenants Name Recurrent Due Date Frequency Safeguards X CONTINUOUS Description of Covenant The Recipient shall implement, and cause to be implemented, the Indigenous Peoples Plan and the Environmental and Social Management Plan in a manner satisfactory to the Association, and shall not amend, waive, suspend or abrogate such instruments or any provision thereof without the prior written agreement of the Association. Name Recurrent Due Date Frequency Good Governance Performance-Based Financing Description of Covenant X Yearly Good Governance Performance-Based Financing shall be provided to Soums under Part 2 (a) of the Project in accordance with the criteria and on the terms and conditions set out in the Project Implementation Manual. Name Recurrent Due Date Frequency Good Governance Performance Assessment Teams Description of Covenant X Yearly The Recipient shall, by December 1 in each year, contract independent Good Governance Performance Assessment Teams to carry the annual performance assessment of Soums under Part 2 (b) of the Project, and shall ensure that all members of such teams receive adequate training before carrying out such assessments. Name Recurrent Due Date Frequency Project Implementation Manual Description of Covenant 31-Dec-2014 The Recipient shall prepare and adopt the Project Implementation Manual in substance and form satisfactory to the Association

10 . Name Recurrent Due Date Frequency Local Development Fund X CONTINUOUS Description of Covenant If the legal framework for the Local Development Fund is proposed to be changed in a manner that may materially and adversely affect the operation of the Local Development Fund, the Recipient shall promptly inform and exchange views with the Association Conditions Source Of Fund Name Type SWTZ Co-financing Agreement Effectiveness Description of Condition The SDC Co-financing Agreement has been executed and delivered and all conditions precedent to its effectiveness or to the right of the Recipient to make withdrawals under it have been fulfilled. Source Of Fund Name Type IDA Project Implementation Unit Effectiveness Description of Condition The Project Implementation Unit has been established and the Project Coordinator has been appointed. Bank Staff Team Composition Name Title Specialization Unit Minneh Mary Kane Lead Counsel Lead Counsel LEGES Charles Annor- Frempong Senior Rural Development Speci Senior Rural Development Specialist Zongcheng Lin Consultant Senior Social Development Specialist Songling Yao Senior Social Development Spec Senior Social Development Specialist EASCS EASCS EASCS Junxue Chu Senior Finance Officer Senior Finance Officer CTRLN Robin Mearns Sector Leader Lead Social Development Specialist Sylvester Kofi Awanyo Yi Dong Lead Procurement Specialist Sr Financial Management Specia Lead Procurement Specialist Sr Financial Management Specialist AFTSN EASR2 EASFM Nathan M. Belete Sector Manager Sector Leader EASIS

11 . Andrew D. Goodland Senior Agriculture Economist Team Lead AFTA3 Gerelgua Tserendagva Procurement Specialist Procurement Specialist EASR2 Feng Ji Senior Environmental Specialis Environmental Specialist EASCS Erdene Ochir Badarch Operations Officer Operations Officer EASCS Jose Ramon R. Pascual IV Badamchimeg Dondog Non Bank Staff Senior Counsel Senior Counsel LEGCF Financial Management Analyst Financial Management Analyst EASFM Name Title Office Phone City Dennis Sheehy Rangeland Ecologist Alice Carloni Rural Sociologist Rome Blanca Amado Economist Rome Michael Hale David DeGroot Stefan Pfaeffli Rangeland Management Specialist Public Finance Specialist Decentralization specialist Locations Country First Administrative Division Location Planned Actual Comments

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13 I. STRATEGIC CONTEXT A. Country Context 1. Over the past two decades, Mongolia has been through a remarkable political, economic and social transition. In addition to a robust democracy with contested elections at central and local levels, other democratic institutions have also flourished with a free media and the emergence of community based associations and non-governmental organizations. The country is moving away from a highly centralized budgetary system and attempting to reduce the distance between citizens and policy makers. 2. Mongolia is currently going through a period of rapid economic growth as world class mineral deposits are mined. Mongolia s GDP grew by 12.4 percent in 2012 and 11.7 percent in While the economic growth is expected to soften in the coming years due to increasing size of the economy, Mongolia will likely remain one of the fastest growing economies in the world and also an attractive destination for foreign investment if the investment regime continues to be improved. This economic transformation will have profound effects on the society and economy and provide a powerful driver of change. The society and economy has traditionally been based on semi-nomadic herding of livestock with a largely rural population, which is a key part of the national identity and culture. However, the economy has shifted to be driven by several major mining projects which have quickly surpassed the livestock sector with respect to Gross Domestic Product (GDP) contribution. Although the livestock sector still accounts for approximately forty percent of employment, the sector (and with it the rural economy more generally) is rapidly losing its prominence. Economic opportunities are increasingly urban based and Ulaanbaatar, the country s capital, is growing rapidly as migrants from rural areas arrive searching to benefit from the rapid economic growth. 3. Mining booms often come with associated risks. These range from the Dutch Disease, with its exposure to commodity price volatility, an appreciating currency and inflation, and unemployment in the non-mining sector, to the natural resource curse, with rising corruption, deepening inequality, and social disruptions or even conflicts. A major challenge for the country is how to minimize and manage these risks and maintain stability, economically and socially. A major factor in this is how the country invests and distributes the significant revenues from the mining sector, including supporting those areas and communities not directly benefitting from mining revenues. The state s ability to do this will have consequences for the growth rate of the economy, the reduction of poverty and social inequality, the rate of urbanization and the achievement of social indicators. 4. While the mining-driven economy expands, rural areas are in danger of being left behind. Poverty rates are significantly higher among the population in rural areas (47 percent of households below the poverty line in 2008) than in urban centers (27 percent). While the overall rate of poverty in rural and urban areas has dropped considerably during the 2000s (the proportion of people living below the national poverty line has been almost halved between 2002 and 2008 when a consistent methodology is applied), the persistence of high poverty rates suggests that development challenges in rural areas in particular are still present. 1

14 B. Sectoral and Institutional Context 5. Rural Mongolia presents many development challenges. Mongolia is one of the most sparsely populated countries in the world, making the provision of adequate and good quality services, infrastructure and communication challenging and costly. Further, as much of the rural population is engaged in semi-nomadic herding, often living far from settlements, there are additional difficulties in the outreach of services. Economic opportunities (away from mining areas) are largely restricted to the livestock sector and, within this sector, mostly restricted to extensive forms of production dependent on access to pastureland, which is a fragile eco-system subject to degradation if over-grazed and mis-managed. The system is also highly vulnerable to the severe climate characterized by harsh, cold winters, which can cause high rates of livestock mortality (dzud). 6. In 2001, following two years of particularly hard dzud, when close to one third of all livestock in the country died, the Government of Mongolia (GOM) and the World Bank embarked on a partnership to address these challenges and to reverse the low levels of public and private investment flowing to rural communities. In the years preceding 2001, public expenditure had largely been restricted to recurrent costs with minimal capital expenditure to support public infrastructure. Access to credit, especially for herder households was also limited. In 2002, the World Bank Board approved the first phase of a three-phase Adaptable Program Loan (APL) focusing on three major interventions: pastoral risk management, micro-finance outreach to deepen access to finance, including for livestock insurance, and community driven infrastructure and basic services development. This project is the third and final phase of this initiative. 7. The first phase (pilot phase) of the program ( ) successfully demonstrated new approaches to livelihood support, focusing on rural areas, with the establishment of community development funds (the Local Initiatives Fund) which introduced the concept of community participation in the identification and implementation of priority investments, the Microfinance Development Fund (MDF), and developed new approaches for pastoral risk management. The feasibility of index-based livestock insurance was explored under the project and a separate IDA project - The Index-based Livestock Insurance Project - was approved in May 2005 and has developed an innovative commercial insurance product now available nationwide, and widely acknowledged as good practice for index-based insurance. 8. The second phase (scaling-up phase) of the Program ( ) further developed and improved the approaches piloted under phase I and rolled the program out nationwide and provided considerable benefits to communities across the country. Up to 2013, over 6000 subprojects were financed from the community development funds, the majority in the education and health sectors. The Implementation Completion Report (ICR) reported that 84 percent of citizens (nationwide) were satisfied with the outcomes of these investments, and 86 percent satisfied with the procedures (for identification, implementation and supervision) and 86 percent felt that the investments were in line with their priorities. The participation of households in the project increased considerably, with high local meeting attendance rates. A Livestock Early Warning System (LEWS) has been scaled up and is now functioning nationwide and has been transferred to government. Pastureland management and risk planning is being conducted nationwide. As of 2011, 69 percent of herders were taking actions to mitigate pasture risks, and 66 percent perceived improvements in local pasture conditions. The MDF has lent over US$42 2

15 million to financial intermediaries, with over 40,000 sub-borrowers, and is now a self-financing entity which is on track to transition into a stand-alone financial wholesale facility by the end of Program objectives set for micro-finance outreach have been met. 9. The third phase of the program would support the further institutionalization of the program s approaches. In this regard, the country has taken several significant legislative and policy initiatives to increase resource flows to rural areas and provide increased economic opportunities. In December 2011, Parliament passed the Integrated Budget Law (IBL), a major reform of public budgetary and expenditure system. The law became effective from January 1, 2013, and includes fiscal decentralization with far greater responsibility placed at the local level. In recognition of the fact that most local governments in Mongolia lack significant own revenue bases, the IBL also established a formula-driven intergovernmental transfer mechanism, the Local Development Fund (LDF). LDF s provide predictable and sizeable funds to support local capital investment in public infrastructure and services at soum level 1. The Law specifies eligible areas for investment and also includes a negative list. Eligible expenditure includes pasture management related investment which should enable rural soums to enhance risk management and protect local pasture. Furthermore, the Law explicitly specifies that local governments must utilize LDF allocations in accordance with citizen priorities as identified through a robust process of community participation in budget preparation and execution, a major step forward in the empowerment of citizens and a major reform of the citizen-government relationship. 10. The Government is also launching a new Soum Program to support local economic development. This was initiated through a Cabinet decision in February In this regard, the Ministry of Economic Development (MoED) has defined a number of core activities to implement the Soum Program, defining tiers of infrastructure requirements for public service provision and for economic activity. Through the implementation of medium term investment plans, soums are expected to move from basic levels of infrastructure to more developed levels supporting private sector activity. The focus of the Program is more on economic development than the LDF, which focusses on public infrastructure and public service delivery. 11. While the IBL is aimed at promoting fiscal decentralization, good governance, community participation and equity, the mechanism does not provide specific incentives for improved local government performance. In this respect, the LDF allocations could get considered as entitlements, and experience has shown both in Mongolia and many other countries that in the absence of incentives and effective central monitoring and evaluation, revenue sharing often leads to sub-optimal utilization of decentralized fiscal resources. The Soum Program is new and requires strengthening and capacity building at the soum level to develop infrastructure which creates an enabling environment for private sector development. 12. The project would focus on supporting participatory processes and building capacity in the governmental structure to successfully implement the new LDF and the Soum Program. In particular, it introduces an incentive mechanism to promote good governance at the soum level, rewarding those soums that embrace the participatory processes and incorporate good practice 1 Administratively, rural areas of Mongolia are divided into soums, of which there are currently

16 elements into their planning, budgeting, execution, monitoring and evaluation and fiduciary processes. C. Higher Level Objectives to which the Project Contributes 13. The proposed project would be consistent with the Country Partnership Strategy (CPS) discussed by the Board on May 17, The proposed project cuts across all pillars of the CPS, and will be one of the key investment operations to achieve the CPS desired outcomes. 14. The CPS is focused on three key pillars. The first pillar is to enhance Mongolia s capacity to manage the mining economy sustainably and transparently. A major fiscal transfer mechanism is now in place with the passage of the IBL and additional transfers may be made under the Soum Program. Under this pillar the Bank supports the government in designing and implementing policies and systems for a more robust, equitable and transparent management of public revenues and expenditures, including the roll-out of the decentralization plan for a more participatory and equitable budget that reflects local needs and priorities. The second pillar aims to build a sustained and diversified basis for economic growth and employment in urban and rural areas, consistent with the aims for the Soum Program. The third pillar addresses vulnerabilities and growing inequality through improved access to services and better service delivery, safety net provision and improved disaster risk management. The agenda to have more responsive and accountable local service delivery through a strengthening of participatory processes is directly related to the aims of the community initiatives activities under the Sustainable Livelihoods Program and now institutionalized through the LDF. II. PROJECT DEVELOPMENT OBJECTIVES A. PDO 15. The Project Development Objective is to improve governance and community participation for the planning and delivery of priority investments in rural areas of Mongolia. Project Beneficiaries 16. As for the previous phase of the program, the principal beneficiaries would be rural citizens throughout Mongolia, who would benefit from improved local governance and the implementation of Local Development Funds and Soum Program. PDO Level Results Indicators 17. The PDO level indicators are as follows. The full Results Framework is Annex 1. (a) Percentage of soum citizens surveyed agreeing that LDF is meeting local priorities, disaggregated by gender; (b) Percentage of soums that qualify for the Performance-based Financing; (c) Nationwide household participation rate at bagh citizens public meetings to discuss soum budget priorities, disaggregated by gender. 4

17 III. PROJECT DESCRIPTION A. Project Components Component 1: Capacity Building for Local Governance and Livelihoods (US$11 million) 18. The objective of this component would be to build the capacity at local and national levels for the implementation and further development of the Government s programs and mechanisms for supporting rural development. 19. At the local level, Soum governments will be challenged to effectively manage the significant increases in governance responsibilities and investment planning and execution delegated through the IBL and Soum Program. The project would provide to local authorities and communities, training and technical assistance related to the implementation of the Local Development Fund and Soum Program, in the areas of medium term planning, community participation, budget preparation and adoption, budget execution including procurement and supervision, reporting, monitoring and evaluation and pastureland planning and management. 20. This training and technical assistance would primarily be delivered through Soum Support Teams (SSTs), based in each aimag (province). These teams would be provided with technical backstopping from national Technical Assistance providers, which would support the development of training curricula and materials and training of trainers. This system should enable close and frequent contact between the aimag level teams and the soum authorities and citizens. The SSTs and technical support would be funded with SDC co-financing. 21. At the national level, the project would provide technical support to central public administration organizations in charge of economic and finance issues related to the development and implementation of the Soum Program and Local Development Fund. For the Soum Program, which is still a piloting stage, technical assistance would be provided to MoED to elaborate and scale-up the program. This could include the review and assessment of the piloting phase of the Soum Program, the development of guidelines, manuals, rules and regulations governing the program as it scales up, and the strengthening of national level systems for the administration and monitoring of the program. Component 2: Good Governance Performance-Based Support Program (US$21.6 million) Component 2.1: Performance-based Financing (PBF) (US$20.7 million) 22. As an incentive for good governance, the project would support the provision of Good Governance Performance-Based Financing (PBF) to soums for the financing of activities under the Local Development Fund. The objective of the PBF would be to enhance good governance in the entire budgeting process starting with financial and policy planning, including budget preparation and adoption, budget execution, accounting, reporting, internal and external control and public scrutiny. Financing and execution of public capital investments at soum level and below is an important part of the budgeting process. Particular importance would be given to citizen participation, alignment of soum budgets with bagh citizen priorities and citizen satisfaction with the LDF process and outcomes. Based on a soum performance monitoring system, all soums will be rated annually by independent assessors against a set of agreed performance indicators. Those soums meeting or exceeding agreed targets would receive a 5

18 percentage of the prior year s LDF allocation as budget support in the following financial year. Currently it is proposed that this top-up would represent approximately twenty five percent of the previous year s allocation, though this would be reviewed during the project and revised if necessary. PBF will be disbursed to qualifying soums through Treasury systems along with LDF allocations. Component 2.2: Annual Performance Assessments (US$0.9 million) 23. The project would carry out Annual Performance Assessments (APAs) of soums for the purposes of determining the allocation of Good Governance Performance-Based Financing. The assessment and ranking of soum performance would be outsourced to a politically neutral third party (Good Governance Performance Assessment Teams). The project would finance the training of these APA teams. This sub-component would be supported by SDC co-financing. Component 3: Project Management and Monitoring and Evaluation (US$3.6 million) 24. A Project Implementation Unit (PIU) would be established for SLP3 within MoED. The third component would support this implementation structure, financing the costs of staff, related expenditures and the M&E, procurement and FM functions. M&E support would be supported by SDC and include developing a Management Information System (MIS) for the LDF, and conducting a baseline, mid-term and end of project impact assessment. B. Project Financing 25. The project would be supported by the use of the Investment Project Financing instrument in the amount of US$24.8 million equivalent, and a Swiss Agency for Development and Cooperation (SDC) grant in the amount of US$11.4 million equivalent. Specifically the SDC funds would support the SSTs including technical backstopping under Component 1, the APAs and training under Component 2 and support to the MIS and M&E under Component 3. These funds will be placed under the existing trustee level trust fund (TF072009). This will require amending the current Administration Agreement with SDC, which will be formalized and signed after Board approval of the IDA credit. Once the Administration Agreement is amended and signed, a new Grant Agreement will be signed with the Government of Mongolia. The signing of the Grant Agreement and meeting all requirements for its effectiveness is included as an effectiveness condition for the IDA Credit. Project Components Project cost IDA Financing % Financing 1. Capacity Building for Local Governance and Livelihoods 2. Good Governance Performance based Support Program 3. Project Management, Monitoring and Evaluation Total Baseline Costs Physical contingencies Price contingencies Total Project Costs Front-End Fees Total Financing Required

19 C. Series of Projects 26. The Government launched the Sustainable Livelihoods Program in 2002 as a 12-year program to be implemented over three phases, under an IDA Adaptable Program Loan, now superseded by Series of Projects. The Program had the overall objective as follows: target groups and individuals adopt improved livelihood strategies that build and maintain human, social, financial, physical and natural capital while reducing vulnerability to shock. 27. The Program was designed to introduce and demonstrate new and innovative approaches to rural development in risk and vulnerability reduction, increased community participation and decentralization and to stimulate rural financial markets and products. These geographicallyfocused pilots (SLP) would then be gradually refined and scaled up nationwide (SLP2) and ultimately institutionalized for sustainability (SLP3 this project). This was an ambitious Program which implied long term policy and institutional transformations with a gradual shift from project-centric approaches to full main-streaming and institutionalization. 28. Performance under the first two phases was satisfactory. The first phase of the Program (SLP) closed in 2007 after a twelve month extension. SLP2 became effective in April 2008 and closed on June 30, SLP2 was extended by 18 months with Additional Financing approved in June The Program, originally intended to last for a total of twelve years, is now revised to 16 years, since both phases were extended. SLP2 was extended with the Additional Financing to scale-up the results of the project and to provide additional time for Government to finalize and Parliament to approve the new IBL, which forms the basis for the final phase. 29. At the end of the two phases, in terms of increased community participation and decentralization, the project demonstrated the value of community driven fund utilization which resulted in the Parliamentary approval of the IBL. The law includes fiscal decentralization with far greater responsibility placed at the local level. Of particular relevance is the inclusion of a new mechanism for transfer of funds to the soum level via LDFs modeled on the program-based Community Initiative Funds. The Law also requires community participation in the selection of local priorities. In terms of pasture management and risk management: (a) the project approach of a participatory process of needs identification and planning consolidated at the soum level has become government policy as stated in the Agency for Land Administration, Geodesy and Cartography regulation for pastureland planning and management; (b) LEWS has now been transferred to National Agency for Meteorology, Hydrology and Environmental Monitoring, and further technical assistance is being supported under a PHRD-financed project, Mongolia: Improving Disaster Risk Management (TF011184); (c) the Index-based Livestock Insurance for risk management was spun out of the first phase and now is an independent project, which itself is going through an institutionalizing process; (d) in 2010, the Parliament approved the National Livestock Program, which includes pasture management and risk management as key components, with approaches that are consistent with the approaches developed under the Program; and (e) the IBL explicitly makes pasture management a function of local government and eligible for funding under LDFs, thus creating a mechanism for local pasture needs to be identified and financed from the local budget, as had been demonstrated under the second phase project. 7

20 30. In terms of microfinance, since the start of the program in 2002, the project: (a) supported the emergence of several well-regarded micro-finance intermediaries (most prominent being the Khan Bank and XacBank); (b) enhanced access to rural financial services with reduced collateral requirements; (c) resulted in a broader range of products being offered lower costs of financing; and (d) has lent in excess of US$42 million, including to Non-Bank Financial Institutions (NBFIs), which play a vital role in microfinance outreach especially to non-bankable clients. The project has shown the value of having an apex-type organization (providing wholesale lending and non-lending services such as capacity building), and options are being explored by the MDF Board (with representation from the MOF, Mongol Bank and the Financial Regulatory Commission) to create an independent entity. 31. The performance of SLP2 against the ten specific triggers that were required to be met to proceed to the third and final phase is rated as Satisfactory, and provides a solid justification for the final institutionalization phase project (Annex 6). (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) Institutional innovations with demonstrated success introduced nationwide: Achieved; Legislative and policy reforms adopted and implemented for pasture land management: Achieved. Integrated Budget Law passed embedding project approach for pasture management and National Livestock Program approved; Program evaluated and issues to be addressed identified: Achieved; At least 75% soums prepare, finance and implement pasture land management plans: Achieved. Done by all soums; Pastoral risk management strategies successfully tested: Achieved. Demonstration completed in selected soums; Substantial improvement in micro-finance outreach (20% population in select aimags have access): Achieved. Loan recipients target exceeded by 32%; 60% citizens satisfied with the mechanism and outcome of CIF investments: Achieved. More than 80% citizens satisfied; 90% public facility sub-projects evaluated as good: Achieved; 100% rated as good; Local herders and governments taking risk management action in response to LEWS: Partially achieved. Higher level of acceptance expected after LEWS is transferred to National Agency for Meteorology, Hydrology, and Environmental Monitoring; MDF achieves institutional self-sufficiency: Partially Achieved. Discussions are underway between industry and MDF Board to select an appropriate institutional model. D. Lessons Learned and Reflected in the Project Design 32. The major new feature of the project compared to the previous phases is the introduction of PBF. The lessons learned from implementing performance-based grants internationally indicate that performance grants are effective at bringing about institutional change. A combination of minimum conditions and performance measures has provided local governments with strong incentives to improve key institutional performance areas like planning, budgeting, financial management and project implementation, but also more broadly in areas of good 8

21 governance. A key lesson is that minimum access conditions and performance measures need to be clear and easy to measure objectively and that their number should be kept at a minimum. Another lesson is that in order to be credible, the system needs to have clear, transparent and objective formulae for PBF allocation. 33. A general lesson from implementing local government projects is that, in order to be sustainable, they need to be mainstreamed into the policies or they will remain as enclave operations without having the benefits accrue to the local government as a whole. Two options for delivering this have been considered: i) to co-mingle funds with the LDF and therefore subject to country systems; or ii) to operate a separate IDA financed window for the LDF top up. The former may carry more risk and may present a greater implementation challenge, however, lessons show that this is a preferred approach as it is more consistent with the aims of institutionalization. 34. Capacity building for local government and communities needs to be long term, reinforcing key skills and knowledge through repeated and frequent training. Intensive but short term trainings are less efficient, not least because staff turnover can be high at the local level leading to the rapid loss of skills. Locally based trainers are able to provide more consistent and constant support to local administrators and this provides a stronger model for capacity building. This structure does require effective back-stopping and oversight from the national level, however, with training materials which are well prepared and clearly presented. IV. IMPLEMENTATION A. Institutional and Implementation Arrangements 35. A Project Implementation Unit (PIU) will be established within MoED for the day to day management of the project and would be overseen by a Project Steering Committee (PSC). Implementation would be guided by a comprehensive Project Implementation Manual (PIM), which will include detailed institutional arrangements at national, aimag and soum levels; policies and procedures for the internal financial management of the project; detailed procedures for centrally managed procurement to be conducted under the project; arrangements for monitoring and evaluation; and detailed arrangements for the institutional arrangements and implementation of Components 1 and The Steering Committee at central level will be comprised of all the relevant government agencies. The Steering Committee will focus on providing oversight of project implementation and ensuring sectoral coordination. The Committee would meet at least twice per year and be maintained throughout the project implementation period. Specific responsibilities would include the review and approval of annual work plans submitted by the PIU, review and approval of semi-annual implementation progress reports, provision of technical guidance to the PIU, including if required, proposed changes to the Project Implementation Manual. The membership of the Project Steering Committee will include at least the following ministries (or their successors): MoED, MoF, Cabinet Secretariat, Ministry of Industry and Agriculture, Ministry of Health, Ministry of Education and Science, Ministry of Environment and Green Development, and Ministry of Population Development and Social Protection. It is proposed that the Project 9

22 Coordinator of the PIU serve as the Secretary of the PSC and that representatives from the World Bank and SDC in Ulaanbaatar participate in the meetings as observers. 37. The PIU will be in charge of the day-to-day management of all project activities, including procurement, financial management, safeguards compliance and monitoring and evaluation. It would lead the preparation of annual project implementation plans, semi-annual progress reports, annual financial management reports, project baseline, midterm and completion reports. The PIU would be staffed by a Project Coordinator and include staff responsible for procurement, financial management, disbursement, and monitoring and evaluation. The PIU would comply with the GoM guidelines for the implementation of projects financed by international development assistance. 38. For Component 1, the PIU would be responsible for the recruitment of the SSTs, and subsequent supervision of these teams, and for the procurement of providers of technical backstopping and training for the SSTs and additional technical assistance, as required, for support to national level institutions. Under Component 2, the PIU would be responsible for the arrangements for the Annual Performance Assessments, including the contracting of independent assessment teams, and for organizing the Working Group, to be established each year to review the findings of the APAs, determine the level of PBF to be allocated and agree the soums which have qualified to receive these top-up funds. The Working Group would report to the Steering Committee. 39. The PIU would coordinate with the Local Development Fund Division within the Fiscal Policy and Planning Department of MoF, created in February 2013 during a reform of the Ministry. The LDF Division has the primary responsibility for the implementation of the LDF, which includes the determination of the size of the general LDF (based on the formula provided in the IBL) and the calculation of the allocations to aimags and soums. The LDF Division also has the lead role in the preparation and revision of the LDF Guidelines, which are under development to provide detailed guidance to aimag and soum level authorities for LDF operations. Under SLP3, the LDF Division would have a key role in the projects: i) to review the adequacy of training and guidance materials to be utilized by SSTs for capacity building at soum level to ensure consistency with the LDF Guidelines; ii) to be a member of the Working Group to review the findings of the APAs; and iii) to support the development of the MIS for the LDF, which would be housed in the Division. 40. Partnerships: The project will be co-financed and implemented in close collaboration with the Swiss Agency for Development and Cooperation (SDC) and the IDA. Specifically, SDC would finance the majority of the Good Governance sub-component of Component 1, the Annual Performance Assessments under Component 2 and M&E functions under Component 3. In this regard, both SDC and IDA will have observer status on the Project Steering Committee. B. Results Monitoring and Evaluation 41. SLP3 would support the establishment of an MIS within MoF, to track soum participatory processes, budget preparation, budget execution/procurement, disbursement, financial management, reporting, as well as performance and results indicators in connection with IBL. In addition, the PIU would establish and operate an MIS and M&E system for the PBF. The MIS 10

23 developed under SLP2 would need to be modified to make it appropriate for this task. In particular, there would be a need to transition from a sub-project based tracking system to a system for tracking of soum level budget planning, financing and execution, along with related procurement, financial management, M&E and reporting with the eventual migration of the project-based M&E system to the government program. In addition, in support of IBL implementation, an MIS would be established and installed in every soum to feed into the systems installed at aimag and central level. The aimag level MIS would be overseen by the aimag based SST. The central MIS would be operated by the PIU on behalf of MoF. Under SLP3, a further TA contract would be needed to refine the system. 42. In addition to the information generated through the MIS, results and impact information would be derived from conducting a baseline, mid-term and end-of-project surveys. This would supplement the annual performance assessments conducted at each soum by independent agencies, which would include environmental audits and procurement audits. C. Sustainability 43. As this is the final phase of the Sustainable Livelihoods Program, the overall objective emphasizes institutionalization and therefore sustainability of the approaches that have been developed and demonstrated under the program. The focus on Technical Assistance is designed to maximize sustainability. As noted above, IDA funds will be channeled through a government public budget instrument. This co-mingling of funds is an effort to incentivize country systems. Unless the IBL is repealed or amended, the LDF will continue beyond the project without Bank support. 44. MoF has established an LDF Division, which is responsible for the operational aspects of the LDF for example, determining the annual allocation of the LDF. During the project, the LDF Division will gain additional experience, including the revision of LDF guidelines as required. While it is almost certain that continuing training and development will be required after project completion, at this stage it is not possible to assess the timing of such requirements or what areas of training will be needed most and by whom. The project will aim to ensure that all soum governments are capable of managing LDFs according to the law. The implication is that if continuing training is needed after project completion it will be more limited in scale, occasional rather than continuous, and more targeted in terms of skills and knowledge and location or soum (some will need more than others, some none at all) than under SLP3. Discussions with government on such matters, and how best to deal with them, will commence once sufficient experience has been gained to make for informed discussion. V. KEY RISKS AND MITIGATION MEASURES A. Risk Ratings Summary Table Stakeholder Risk Implementing Agency Risk Rating Moderate 11

24 - Capacity Substantial - Governance Substantial Project Risk - Design Moderate - Social and Environmental Low - Program and Donor Low - Delivery Monitoring and Sustainability Substantial Overall Implementation Risk Substantial B. Overall Risk Rating Explanation 45. Overall risk is Substantial. The project is directly linked to the new and emerging policy and institutional mechanisms for rural development which are based on the principles of decentralization and community engagement. Political commitment for the LDF and Soum Program is currently strong, though could waver if the initiatives do not achieve intended objectives or if objectives for local economic and social development shift. The project aims to increase the likelihood of successful implementation of the LDF and Soum Program through monitoring, capacity building at local and national level, and technical assistance to further refine the initiatives to meet local needs. 46. The ratings also reflect the considerable challenge of moving the program from what is essentially project based (under the first two phases), to direct support of the government s fiscal transfer mechanism (LDF) and associated institutional framework. This requires a much higher dependence upon government structures for project implementation, and specifically much of the responsibility for the implementation of the LDF (including PBF) rests with local authorities, which have capacity constraints and may struggle in the early years to disburse LDF funds and utilize them in accordance with the law. The capacity building under component 1 is designed to address this with frequent training and follow-up. The effectiveness of the capacity building will itself be influenced by the quality of technical assistance providers at the aimag level, and additional technical back-stopping has been included to support the SSTs. 47. At the central level, a new PIU is to be established under the MoED. This would be the first World Bank financed project implemented by this relatively new ministry, created in This does raise risks associated with the lack of experience of engaging with and managing IDAfinanced projects and will require close supervision. Successful project implementation will also require cross-agency collaboration. In particular, as the project is under MoED, while the LDF administration is under MoF, this will require close coordination. The Steering Committee is expected play a key role in ensuring this collaboration is achieved. 48. The project design is straightforward, though carries moderate risk. A detailed Project Implementation Manual would be prepared and is included as a dated legal covenant. For the PBF the most critical role will be played by the independent evaluators conducting the annual APAs, which will need to provide transparent and fair assessments of all soums. This will 12

25 require strong oversight from the PIU, the APA Working Group and ultimately the Steering Committee. VI. APPRAISAL SUMMARY A. Economic and Financial Analyses 49. While the benefits of fiscal decentralization are expected to be significant, they are not easy to quantify, as disbursements will not be linked to specific investments on the ground, and the actual choice if investments will results from the annual local planning process. An ex ante economic analysis of LDF-funded activities is therefore not possible. 50. Theoretical benefits of a decentralized provision of infrastructure and services include: (i) improved allocative efficiency, from better response to local needs and a strengthened and more transparent budgeting process); (ii) improved productive efficiency, given that community involvement in public investment usually results in lower costs and enhanced sustainability, and (iii) decreased corruption, as suggested by case studies across a sample of countries. Empirical data can be extracted from SLP1 and SLP2 s experiences under the Local Initiatives Fund (LIF) and Community Initiatives Fund (CIF), as the type of investments are similar to what are anticipated under LDF. The ICR from SLP2 found that, in a sample of CIF financed subprojects, the interventions accrued significant benefit for project beneficiaries. Sub-projects Economic Rates of Return (ERR) ranged from 13 percent for ultrasound machines to 69 percent for vehicle bridges. The overall ERR for the subprojects under review was 33 percent. 51. SLP3 will also provide technical assistance and continued support for local governments and on PRM planning and related investments being supported under LDF. The economic benefits of a nationwide institutionalization of pastoral risk management plans and the improvement of rangeland management would consist of a drastic reduction in animal mortality, especially in the event of a dzud, and a significant increase in animal weight and quality of its by-products. Models prepared for the financial and economic analysis of previous phases of SLP indicate how a stabilization of animal mortality would justify the overall investments on the entire project. B. Technical 52. The core design feature of the project is the introduction of PBF to incentivize good performance of local authorities in the implementation of LDFs. This approach is based on similar approaches in other countries which have supported improved local governance. Technical features of the approach include: a. Choice of PBF indicators: these need to be meaningful, straightforward to measure and easily comparable between soums. The initial set of indicators selected meet these criteria and measurement should be possible through a review of documentation with an objective rather than subjective check list. A dry-run of the assessment would be conducted in the first year and adjustments to the indicators, weighting and measurement methodology adjusted as required. 13

26 b. Size of PBF: The project has been designed with a proposed PBF equivalent to approximately 25 percent of the previous year s LDF allocation. This is consistent with international experience and deemed large enough to provide incentives for authorities to try to achieve the targets. c. Complementary technical assistance: One of the key lessons of local government support projects is to allocate sufficient funds for technical assistance and capacity building which should be a long term commitment with regular trainings and support provided from the service providers to the local government and communities. The proposed design, through SSTs with technical backstopping, provides a workable model to achieve this. d. Disbursement through treasury system: PBF would be disbursed through the treasury system and mingled with LDF funds. This mechanism, although carrying additional fiduciary risks, shifts the approach that was used under SLP2 with a parallel project financing facility to an approach fully integrated with the LDF. This approach gives the best chance to achieve full institutionalization of those approaches demonstrated under the previous phases on the program. C. Financial Management 53. The responsibility for managing the Bank loan proceeds and other financial management arrangements for the Project will be held primarily by MoED and the PIU to be established at MoED with some involvement from the MOF in the areas of project disbursement. The Bank conducted a financial management capacity assessment at MoED and actions to strengthen its capacity in the areas of the project financial management will be put in place once the PIU is established (which will be an effectiveness condition). The FM assessment carried out to date has concluded that with implementation of these proposed actions, the project financial management arrangements will satisfy the Bank s minimum requirements under OP/BP Annex 3 provides additional information on Financial Management. 54. Disbursement arrangements: IDA funds for PBF would be disbursed against eligible expenditure of LDFs in the previous budget year as follows. The annual assessment of LDF performance would both identify whether soums qualify for PBF and also identify LDF expenditures from the previous year which meet Bank eligibility criteria. So long as the sum of LDF eligible expenditures is at least 25 percent of the total expenditure, then IDA funds can be disbursed for those soums which qualify for PBF. This disbursement would be reflected in the LDF allocation in the following year. It should be noted that as the IBL already stipulates the types of investment that are eligible for LDF financing, and these are consistent with IDA eligibility, it would not be possible for soums to qualify for PBF without having at least 25 percent of LDF expenditure consistent with Bank eligibility criteria. Note that this is based on the initial proposal that PBF would be 25 percent of LDF, which would be reviewed during implementation and adjusted if necessary. D. Procurement 55. The amendments to the Public Procurement Law of Mongolia that became effective from October 2012 shifted the responsibility for processing public procurement of national and regional importance from the line ministries to the newly established professional procurement 14

27 agency i.e., the Government Procurement Agency. Each year, after approval of the State Budget, Cabinet establishes a list of projects and contracts of national and regional importance and for which the GPA will be responsible for procurement. Line ministries and local governments are responsible for the procurement of goods, works and services which are not included in the Cabinet s list. 56. Considering the nature of this project, in that around 60% of the project resources will go directly to the soum LDF and the major portion of the rest of the resources are envisaged for capacity building activities, it has been agreed that the MoED will have overall oversight for the central level procurement under the project. MoED will have direct responsibility for processing central procurement for technical assistance, capacity building and consultants for various assignments and studies including M&E, integrated technical/procurement and financial audits. MoED is a new ministry established in 2012 and it does not have experience in implementing Bank financed projects or handling high value procurement. The local governments in the aimags and the soums will be responsible for decentralized procurement for subprojects for common pool goods, public goods and civil goods for basic social and infrastructure services to be financed under the LDF. 57. The key risks for central level procurement under the project are: a) the large workload of MoED doubled with the low capacity of its staff and unfamiliarity with Bank procedures; (b) inadequate planning and scheduling to ensure that the project activities can commence and be completed as planned; (c) inadequate procurement oversight mechanism; and (d) possible elite capture and political interference in procurement and/or preference for specific service providers/suppliers/consultants. 58. The risks associated with LDF procurement management are: (i) The local governments lack the necessary capacity in terms of staff and skills in planning, infrastructure delivery, public procurement and contract management; (ii) the potential large number and range of subprojects with a multiplicity of actors; (iii) the scattered locations of the subprojects in remote areas with poor communications; (iv) inadequate capacity and competition in local construction industry; (v) inadequate planning and scheduling to ensure that construction can commence and be completed within the short construction season in Mongolia; (vi) inadequate supervision of local governments by central Government; (vii) possible elite capture and political interference. 59. Mitigation measures agreed with MoED include: (i) MoED to hire a qualified Procurement Officer under TOR acceptable to the Bank; (ii) continuous capacity building in procurement and contract management for MoED and local government administrations to be financed under the project; (iii) technical assistance in procurement and contract management to be financed under the project; (iv) a user friendly procurement handbook acceptable to the Bank to be developed as part of the PIM and adopted to guide project implementers at the central level and subnational level; and (v) annual independent verification/procurement audits with reports to be disseminated all officials responsible for processing and approving procurement and payments under the project. 15

28 E. Social (including Safeguards) 60. Based on experience and lessons learned from the first two phases of the project on institutionalization of decentralized fiscal resources through community participation processes, the SLP3 will further reduce the vulnerability of rural communities and enhance the security and sustainability of herder households livelihoods throughout the country. To ensure the project benefits to be fairly shared among all target communities and households, especially the poorer and marginalized ones, the SLP3 would build upon the PIM from the SLP2 and would be adapted to the implementation of the LDFs. A Guideline on community participation has already been approved by GOM and is guiding the process of priority investment identification at the soum level. 61. As its scope is the same with the second phase of the project, the SLP3 will be carried out nationwide including the areas populated with the Kazakh groups and Tssatan groups who have been identified as Indigenous Peoples as per the definition of OP4.10. The Tsaatans and Kazakhs have characteristics that may restrict their ability to participate in, and benefit from, SLP3. Therefore, OP4.10 thus applies to the SLP3 as it did in the second phase from which the Project Indigenous Peoples Plan (IPP) was developed. The SLP3 will continue to follow the existing IPP, while updating the IPP on behalf of the Kazakh and Tssatan communities based on their demand-led consultation and participation in the project context of the third phase. As a result, special planning measures have been incorporated for project activities in Bayan Olgii and Khovd aimags where the Kazakh live, to ensure equitable Kazakh representation in decisionmaking as well as their access to documentation in Kazakh language. Meanwhile, for the Tsaatan communities in Khuvsgul aimag, some more specific measures have been updated and incorporated into project design to ensure that traditional Tsaatan communities have an equitable opportunity to participate in project processes and to benefit from project activities. The IPP also set up the grievance mechanism applying to Kazakh and Tsaatan communities, which, together with the IPP implementation, would be monitored closely at the soum level. The updated IPP was locally disclosed to the public on March 28, 2013, and disclosed in the InfoShop on April 11, Gender: The LDF does not specifically target women or any disadvantaged social group. The most critical opportunity for the participation of women in the prioritization of local investments and the allocation of budgetary resources comes through the bagh meetings which are the key point for communities to voice their views on local development. Through SLP2, good practice has been established to include gender disaggregated data for participation rates and project beneficiaries. This would be continued in the third phase. Furthermore, in order to incentivize the participation of women, the percentage of women attending bagh meetings is included as a performance criterion for the allocation of PBF. F. Environment (including Safeguards) 63. The project design will not trigger new safeguards policies or changes of environmental category. As same as the SLP2, the project has been assigned an EA category B. Applicable safeguard policies for the project are: (i) Environmental Assessment (OP4.01); and (ii) Natural Habitats (OP4.04). 16

29 64. Environmental Assessment (OP4.01). An Environmental and Social Assessment (ESA) was conducted for the SLP2. It is expected that SLP3, under LDFs, would have similar impacts as the previous project. Overall, the project is expected to generate significant environmental benefits. It would not have any potential large scale, significant and/or irreversible environmental impacts. However, the project carries similar risks/impacts on environmentally sensitive areas, land degradation and water resources due to the broader geographical scope of the project and its relation to policies and institutional development. 65. Natural Habitats (OP4.04). Mongolia s pasture lands are natural habitats in the sense that they conform to the definition in OP4.04 on Natural Habitats as land and water areas where (i) the ecosystems biological communities are formed by native plant and animal species, and (ii) human activity has not essentially modified the area s primary ecological functions. Even though pasture lands are outside the formal protected area system (the primary definition of critical natural habitats ) they can have significant national and global biodiversity value. Similar to SLP2, the project, if not managed well, could have adverse impacts on these natural habitats. 66. Environmental and Social Management Plan. The project will implement mitigation measures which have been proved effective under previous projects. The ESMP has been updated to reflect the experience and lessons learned, and specify the mitigation measures, the monitoring plan (e.g. monitoring on land degradation and water resources), institutional arrangement, capacity building activities, and the budget for the ESMP implementation for the project. 67. Public Consultations and Information Disclosure. Environmental aspects of the project and the draft ESMP have been discussed with a wide range of stakeholders (e.g. affected people, NGOs, agencies) in Ulaanbaatar, in aimags and soums and their opinions taken into account. The final ESMP has been publicly disclosed on websites, as well as at public places (e.g. libraries) on March 28, 2013, and disclosed in InfoShop on April 9,

30 Annex 1: Results Framework and Monitoring MONGOLIA: Third Sustainable Livelihoods Project Project Development Objective (PDO): Core To improve governance and community participation for the planning and delivery of priority investments in rural areas of Mongolia. PDO Level Results Indicators* Unit of Measure Baseline Frequenc y Data Source/Meth odology Responsibility for Data Collection Description (indicator definition etc.) Indicator One: Percentage of soum citizens surveyed agreeing that LDF is meeting local priorities, disaggregated by gender Indicator Two: Percentage of soums that qualify for PBF Indicator Three: Participation: nationwide household participation rate at bagh citizens public meeting to discuss soum budget priorities, disaggregated by gender Intermediate Results: x percenta ge percenta ge percenta ge Unit of Measure TBD by baseline survey in % (60%) - 80% (80%) Annual n/a 10% 30% 50% Annual 23% (not available) 25%+ (of which at least 50% are women) 28% (of which at least 50% are women) 28%+(of which at least 50% are women) 30%(of which at least 50% are women) Baseline Baseline, MT and final impact assessments Annual performance assessment PIU PIU Annual MIS PIU Frequenc y Data Source/Meth odology Responsibility for Data Collection Measures the extent to which LDF is being responsive to local priorities. This will be disaggregated by gender. The figures in parentheses refer to total female population surveyed. Measures the number of soums that meet or exceed the standards as assessed by the APAs. PBF will be awarded on 2016, 2017 and Measures community participation on the budget preparation process. Baseline figure is the current attendance records to bagh meetings to discuss other matters. Records will be disaggregated by gender from Description (indicator definition etc.) Indicator One: Awareness: Percentage of bagh citizens aware of what is eligible under the LDF, disaggregated by gender x percenta ge TBD by baseline survey in % (40%) - 80% (80%) PY 3 and 5 MT and final Impact Assessment PIU Measures the effectiveness of LDF information dissemination undertaken by soums in compliance by IBL guidelines. This will be disaggregated by gender. The figures in parentheses refer to total female population surveyed. 18

31 Indicator Two: LDF disbursement: Total LDF capital investment budget disbursed percenta ge n/a % % % %207 Annual Annual financial statements PIU-MoF treasury department Total capital investment disbursed against total budget allocation. Baseline will be set in % yearly increases are set as target. Indicator Three: PRM: Percentage of surveyed herders satisfied with soums pasture management plan percenta ge TBD by baseline survey in % - 60% PY 3 and 5 MT and final Impact Assessment PIU Measures the effectiveness of the participatory processes to prepare pasture land management plans. Indicator Four: PRM: % of LDF financing soum pasture management plan activities percenta ge n/a 15% 20% 25% 30% Annual MIS, Annual performance assessment PIU Monitors the institutionalization of pasture land management plans by monitoring the % of LDF funds spent on PRM countrywide every year 19

32 Annex 2: Detailed Project Description MONGOLIA: Third Sustainable Livelihoods Project 1. The project will be implemented in all 330 soums in 21 aimags throughout the country. The project will support Government s new initiatives to support rural development, specifically the Integrated Budget Law (IBL, adopted in December 2011), focusing on the good governance objectives and intergovernmental transfers established through the Law. Support would also be available to create capacity for the implementation of the Soum Program under the MoED. 2. The Project Development Objective is to improve governance and community participation for the planning and delivery of priority investments in rural areas of Mongolia. SLP3 will mainstream lessons learned and systems developed in the two preceding phases of the project in Government of Mongolia (GOM) systems expediting a full handover when the adjustable program credit concludes in Context: Local Development Fund (LDF) 3. In December 2011 the Parliament of Mongolia adopted the Integrated Budget Law (IBL), which will become effective in The IBL introduces a formula based allocation of revenue sharing, transfers from state to local governments, and it also categorizes the transfer types into financial support transfer, revenue sharing transfer, and conditional (or earmarked) transfer. The new law also provides the variables used for transfer allocations from the General Local Development Fund (GLDF) to local governments in the form of Local Development Funds (LDFs). The LDFs will transfer significant capital budget to the local level through formulabased block grants reserved for priority investments. 4. One of the most important changes introduced by the IBL is the provision of citizens participation in the budgeting process. The law defines that the governors of the community (Bagh and Khoroo) should conduct open surveys on the investments, programs, projects and activities to be implemented by the LDF, then prioritize and select the projects and activities in the People s Assembly (khurals). Finally, they should be reflected in the budget proposal of the respective jurisdiction and submitted to the upper level Assembly (Soum and District Assembly). The latter would then discuss and approve it. 5. The GLDF will be constituted by 25 percent of domestic VAT, 5 percent of mineral royalty, international and national donations, and the basic budget surplus coming from the local level. The GLDF is a part of the state budget that should be allocated to each local jurisdiction by formula, and the transfers allocated from the GLDF will form the LDF as part of the local budget at each jurisdictional level. 6. At the minimum 60 percent or a higher portion of the GLDF must be allocated to the Soum and District LDFs by considering the allocation criteria stated in the law such as the local development index, population, population density, remoteness, territorial size, and local tax incentive. 7. The basic revenue source for the LDFs will be the revenue sharing transfer from the GLDF. Initially, the amount of the transfers to the Capital City, specific Aimags, Soums and 20

33 Districts is to be determined on the basis of the above mentioned indicators. The preliminary suggestion for the weighting of the indicators is as following: Local development index 20 percent Population 30 percent Population density, remoteness, and territorial size 20 percent Local tax incentive 30 percent GLDF 25% of domestic VAT 5% Royalty Donations LDF of Aimag and Capital City Transfer from lower level budget LDF of Soum and District 60 percent and higher protion of the GLDF 8. The IBL itself also provides a list of activities which are prohibited to be financed by the LDFs. Funds from LDP prohibited to be spent on: - Programs and activities not articulated in the law; - Spending for political parties and NGO; - Celebration other than national Naadam; - Activities not of common interest; - Issue loans, guarantees with local consequences; and, - Expenditure not approved and reflected community opinions. 9. Beginning with the 2013 GOM budget, funds will be transferred to local governments based on the above formula. In 2013, the GOM budget allocated about $188.2 million equivalent to local governments, including $31.2 million to Ulaanbaatar, $62.8 million to aimags and $94.2 million to soums, or about $285,000 on average for each soum. The amount of annual LDF transfers will change in line with the revenue streams noted above. 10. The IBL lays out a clear calendar for local governments both aimag and soum to carry out participatory planning and implementation of local improvements funded through the LDF transfers. The IBL provides that programming of LDF revenues must be driven by a bottom-up, participatory process to be carried out every year. Soum Program: 11. Government is also launching a new Soum Program to support and soum development though medium-term development plans for investments in line with overall development strategy of the Government. This was initiated through a Cabinet decision in February In this regard, the Ministry of Economic Development has defined a number of core activities to implement the Soum Program, which are consistent and need to be coordinated with the LDF: 21

34 (i) Medium Investment Plans for Action: Investment and local economic development plans of action covering four years allocations of resources. (ii) Community participation: To establish coherent mechanisms to enable active participation of communities to discuss issues and priorities for rural development and addressing development issues. Plans of Action for Investments will be laid down on basis of community prioritization. The overall emphasis in on local development by local communities for local communities Component 1: Capacity Building for Local Governance and Livelihoods (US$11 million) 12. The main objective of the component is to support implementation of the IBL s good governance objectives by building rural local government capacity. The primary target groups are soum local governments and the communities they represent, though support would also be provided to central authorities to further develop and support central capacity for implementation. 13. The LDF allocations, especially to soums, constitute very significant increases in discretionary investment resources. Most soums have very limited experience with planning and implementing significant investments, with the CI component of SLP2 being the main source of previous exposure. Moreover, GOM recently adopted a Procurement Law that transfers significant responsibilities to soums, and key responsibilities for health and education are also being transferred to soums through line agency performance contracts. Starting in January 2013, therefore, the country s soum local governments have faced a wide array of new challenges. 14. With respect to the Soum Program, the project would provide methodological and technical support to Government to implement the program through building capacities of local governments and communities on participation, identification, monitoring and evaluation. MoED would also receive support for the development of guidelines, manuals, rules and regulations based on the good experiences and lessons learned by implementation of SLP and LDF. This multi-sectoral cooperation with governmental institutions and the role of SLP3 in the local development and local capacity building processes will be a foundation for positive and constructive expansion and advancement of soums in near future. The vision of these collaborations is to create good governing structure with transparent and accountable mechanisms towards betterment and encouragement of lives for local citizens. 15. To address the capacity building requirements of soums, the SDC has expressed its intent to co-finance a recipient-executed trust fund with about $11.4 million. The PIU will manage the key activities to be supported by the trust fund. The objective of capacity building at soum level is twofold, touching political and administrative decentralization. Politically, the objective is to make participative processes in soums strong and functional in order to elicit citizen s preferences and make sure that soums respond to these preferences. Administratively, the objective is that soums have an effective, efficient, transparent and robust governance that is strategy-oriented, lawful and accountable at the same time. This would be in compliance with the relevant laws and regulations on the country, not only the IBL, but also those covering procurement, financial management and environmental management. To support this, training would be delivered in relevant topics, including: 22

35 (a) (b) (c) (d) (e) (f) Community participation; Medium term planning; Budget preparation and adoption; Budget execution/performance/ procurement; Reporting/M&E and MIS/community supervision; and, Pastureland management and risk management planning. 16. Soum Support Teams: building on the successful soum coordinator model supported through SLP2, multidisciplinary teams of experts will be based in aimags to provide hands-on coaching to soum local governments and communities. The teams will include experts in community participation, financial management / budget preparation, budget execution / procurement, monitoring and evaluation / reporting and pastoral management. SSTs will be supported for up to 4 years through At central level, specific expertise would be recruited to provide technical backstopping for the SSTs, support for development of training curricula and training of ST members. Curricula will be revised and redeployed annually based on findings from the Annual Performance Assessments (see below) and recommendations from SSTs. Component 2: Good Governance Performance-Based Support Program (US$21.6 million) 17. SLP3 will utilize IDA funds to provide incentives for good governance improvements by soums through performance based financing (PBF). The grants will be awarded to soums that meet or exceed standards as measured through the Annual Performance Assessments (APAs). The APAs would be financed from SDC support. 18. The APAs would be carried out against an agreed set of indicators. The initial list of indicators has been selected and weighted as below see table below. This may require further refinement. In the first year of project implementation (2015) a dry run of the APA will be conducted which will provide useful information to review and revise if necessary the set of indicators and their weighting. 19. APAs will be completed by the first week of February each year. The detailed methodology for the annual assessments will be included in the Project Implementation Manual. The core areas for assessment, in line with IBL requirements and internationally recognized decentralization good practices, include: 1) clear evidence that each soum has carried out effective community consultation processes as described in the IBL and LDF guidelines leading to identification of real priorities for investment of LDF transfers; 2) full incorporation of community priorities in each soum budget; and, 3) successful budget execution to meet community priorities. 20. In order to carry out timely and effective APAs of all 330 soums it is anticipated that about 4 independent organizations will be contracted to cover about 80 soums each. These organizations must be adequately resourced to employ and support 5 or more assessors to carry out the APAs. Once selected in by early 2015, the contracted organizations will receive training from assessment experts to ensure uniformity in execution of the APAs. The soums to be 23

36 assigned to each assessment organization will not be made public until immediately before commencement of the assessments in late December each year. 21. Assessment contractors will be assigned to soums in which the contractors have no vested interests. Soum Support Teams (SST) will be responsible for encouraging soums to have all required information readily available by the end of December of each year. Contracted performance assessors will visit soums as is most sensible given conditions in each aimag. Soum governors will sign the draft performance assessments as they are completed during the field visits. Once signed by the governors, the assessments will not be subject to any further modification. It will be very important, therefore, that soums are prepared to be assessed any time during January of each year. 22. The organizations contracted to carry out the APAs will, by the end of the first week of February every year, provide consolidated reports and scores for each soum to an APA Working Group including representatives from MoED, MOF and selected local government experts, with IDA and SDC representatives as observers. The working group will, by the second week of February each year, review the reports and scores and compile the list of soums qualified to receive PBF for that year. This would be presented and approved by the PSC. 23. The list of soums qualifying for PBF will be agreed by the working group and publicized before the end of February each year. In addition, the size of PBF support would be decided, dependent on the number of qualifying soums and resource availability. Based on international experience, for the first year of the PBF in 2016, is it recommended that PBF be 25 percent of each qualified soum s 2015 LDF allocation. The percentage and/or amount of PBF awards in subsequent years may be modified as agreed by the PSC. Component 3: Project Management, Monitoring and Evaluation (US$3.6 million) 24. A Project Implementation Unit (PIU) would be established for SLP3 under the MoED. The third component would support this implementation structure, financing the costs of staff, related expenditures and the M&E, procurement and FM functions. 24

37 Performance Criteria for Annual Performance Assessment Parameter Indicator Data source/ Means of verification Targets Score Attendance rate at bagh citizens public meeting to discuss soum budget priorities Bagh meeting minutes, bagh meeting report (M&E form 1), signatures on list of households attending bagh meeting Rural soums: at least 25%; 10 15% 1. Participation HH investment priorities surveyed according to IBL guidelines (yes/ no) SST reports, completed surveys, analysis of coverage by % of soum population and rural baghs, tabulation of the actual priorities from the surveys Full compliance 2 15% 15% 2. Budget planning 3. Budget execution (implementation) 5% 4. Reporting 10% 5. Financial management Compliance with IBL guidelines on information dissemination and transparency (Y/N) Percentage of bagh eligible priorities included in soum capital investment budget PRM capital investment proposals that are consistent with ALAGAC regulation #497 Compliance with procurement law provision on CSO/citizen participation in tender evaluation committees % of annual soum LDF allocation disbursed Satisfactory completion of capital investments Timeliness, completeness and accuracy of reports; organization of the record keeping Revenue efficiency External audit of capital investments (Y/N) Compliance with audit recommendations Attendance at meetings where information is disseminated, reports from community supervisors, monitoring reports Full compliance 3 SST analysis; 3rd party assessment At least 80% 10 Soum land management plan, investment proposals in soum budget MIS / SST reports, tender evaluation com. minutes, CSO/citizen reports Annual financial statements Project completion reports / MIS Full compliance 5 Full compliance 5 At least 80% of allocated funds; At least 80% of soum capital budget completed by end of fiscal year Monitoring of the soum records by SST, PIU Full compliance 5 Annual financial statements Tax revenue at least 80% of projection Audit reports Completed 2 Audit reports, records by SST, PIU, aimag governor's finance department Compliance % 6.M&E/MIS Citizen satisfaction: - with budget process - with investment outcomes PM&E reports, third party assessment, citizen evaluation reports At least 60% satisfied with process, at least 75% satisfied with outcomes 8 25

38 10% 7. Environment 10% 8. Social Community supervisors and evaluators in place and functioning satisfactorily Community supervisor and evaluator reports, SST reports At least 20 voluntary citizen supervisors and evaluators trained and well-functioning Environmental screening carried out for capital investments in line with environmental law EIA reports Full compliance 10 Gender equality Bagh meeting report At least 50% women 5 Compliance with social safeguards (ethnic and land acquisition) 10% 9. PRM Soums stocking rate Annual performance assessment Full compliance 5 Annual performance assessment, livestock census, soum management plan Actual =< 120% of the annually assessed stocking rate 100%

39 Annex 3: Implementation Arrangements MONGOLIA: Third Sustainable Livelihoods Project Project Institutional and Implementation Arrangements 1. The institutional structure for the project would be similar to the previous to phases with the PIU reporting to a Project Steering Committee (PSC). The PIU will be established within MoED and overseen by the PSC. The PIU will be in charge of the day-to-day management of all project activities, including procurement, financial management, safeguards compliance and monitoring and evaluation. It would lead the preparation of annual project implementation plans, semi-annual progress reports, annual financial management reports, project baseline, midterm and completion reports. The PIU would comply with the GoM guidelines for the implementation of projects financed by international development assistance. The PIU would be sufficiently staffed to carry out the management of the project, including a Project Coordinator, a coordinator for the SSTs, and procurement officer, a financial management officer and a M&E officer. Additional staff may be added if required, including for communications, pastoral management, safeguards and disbursement. 2. Implementation would be guided by a comprehensive Project Implementation Manual (PIM), which will include: detailed institutional arrangements at national, aimag and soum levels; policies and procedures for the internal financial management of the project; detailed procedures for centrally managed procurement to be conducted under the project; arrangements for monitoring and evaluation; and detailed arrangements for the institutional arrangements and implementation of Components 1 and The Steering Committee at central level will be comprised of all the relevant government agencies. The Steering Committee will focus on providing oversight of project implementation and ensuring sectoral coordination. The Committee would meet at least twice per year and be maintained throughout the project implementation period. Specific responsibilities would include the review and approval of annual work plans submitted by the PIU, review and approval of semi-annual implementation progress reports, provision of technical guidance to the PIU, approval of PBF allocations to qualifying soums, and reviewing and agreement proposed changes to the PIM. As part of this the PSC would review the specific criteria including weighting for the APAs. 4. The membership of the Project Steering Committee will include at least the following ministries (or their successors): MoED, MoF, Cabinet Secretariat, Ministry of Industry and Agriculture, Ministry of Health, Ministry of Education and Science, Ministry of Environment and Green Development, and Ministry of Population Development and Social Protection. It is proposed that the Project Coordinator of the PIU serve as the Secretary of the PSC and that representatives from the World Bank and SDC in Ulaanbaatar participate in the meetings as observers. 27

40 5. For Component 1, the PIU would be responsible for the recruitment of the SSTs, and subsequent supervision of these teams, and for the procurement of providers of technical backstopping and training for the SSTs and additional technical assistance, as required, for support to national level institutions. Under Component 2, the PIU would be responsible for the arrangements for the Annual Performance Assessments, including the contracting of independent assessment teams, and for organizing the Working Group, to be established each year to review the findings of the APAs, determine the level of PBF to be allocated and agree the soums which have qualified to receive these top-up funds. The Working Group would report to the Steering Committee. 6. The PIU would coordinate with the Local Development Fund Division within the Fiscal Policy and Planning Department of MoF, created in February 2013 during a reform of the Ministry. The LDF Division has the primary responsibility for the implementation of the LDF, which includes the determination of the size of the general LDF (based on the formula provided in the IBL) and the calculation of the allocations to aimags and soums. The LDF Division also has the lead role in the preparation and revision of the LDF Guidelines, which are under development to provide detailed guidance to aimag and soum level authorities for LDF operations. Under SLP3, the LDF Division would have a key role in the projects: i) to review the adequacy of training and guidance materials to be utilized by SSTs for capacity building at soum level to ensure consistency with the LDF Guidelines; ii) to be a member of the Working Group to review the findings of the APAs; and iii) to support the development of the MIS for the LDF, which would be housed in the Division. Financial Management, Disbursements and Procurement Financial Management 7. The Project financial management risk is High. Mitigating measures identified below will be implemented during before LDF performance-based grants financed from the Project funds are programed to start disbursing (in 2016). Implementaton of the mitigating measures will lower the FM residual risk to Substantial. Significant weaknesses A PIU for the project is yet to be established. Actions - The project PIU should be established and a qualified financial staff should be appointed. Responsible Person MoED Completion Date Prior to project effectiveness Project staffs lack of experience and knowledge of Bank operations - An FMM should be prepared as part of the PIM to lay out details of the project financial management procedures e.g. chart of accounts, including account description and use. MoED/PIU Dated covenent for the PIM included in Financing Agreement The PIM should also include the format for LDF expenditures to 28

41 be reported for financing from the Good Governance Performance Grants. Readiness of the project s accounting and financial reporting arrangements - Design manual accounting registers to manually record project transactions for the purposes of preparing the IFRs until the accounting and financial reporting system is implemented. MES/Project FM specialist Dated covenent for the PIM included in Financing Agreement - IFR formats need to be developed and agreed by the Bank (annexed to the PIM) 8. Under the proposed project, certain procedures employed under the SLP2 are intended to be mainstreamed into the Government s own processes and procedures. Other important SLP2 procedures and controls, however, will be discontinued and replaced by new ones used by the Government for the LDFs. Consequently, either through mainstreaming SLP2 processes or the design of new LDF processes, SLP3 will substantially move to the use of country systems (UCS). The majority of Project funds will be budgeted, accounted, reported and audited as part of the state budget. Funds will be transferred through the Government Financial Management and Information System (GFMIS), a country-wide electronic payment and settlement system. Thus, many activities and controls implemented under SLP 1 and 2 would be implemented through Government institutions, processes and systems. However, the institutions at both the central and decentralized levels, as well as the processes to channel and control funds at the local level are still in an early phase of operationalization. This is a key factor in the high Project FM risk rating. 9. As a result of the above, the MoED will need to work closely with a PIU to be established under the Ministry to ensure that appropriate implementation arrangements are established for the project in compliance with the existing rules and regulations governing LDFs as well as the budgeting and treasury operations for the state budget. In addition, since MoED does not have any prior experience implementing IDA financed projects, the Bank task team will need to work closely with the Ministry and the PIU on building the relevant project financial management capacity. 10. The IDA Credit proceeds for Components 1 and 3 will flow from the Bank into the project Designated Account (DA), jointly managed by the MoED/PIU and MOF. For Component 2, the Bank will disburse to the Government LDF account in the GFMIS. At the decentralized level, each soum will have a designated LDF account within the GFMIS. The institutional structure for monitoring the use of funds by soums is currently being defined. 29

42 Budgeting 11. The PIU will prepare an annual budget inclusive of all project activities and obtain an approval for it from the project Steering Committee and the Bank. Also, funds under Component 2 will need to be reflected in the state budget as part of the LDF allocation to aimags/soums. The PIU will need to work closely with MOF to reflect the relevant project funds in the Government budget. Budget vs. actual variance analysis will need to be conducted for the project on a semiannual basis by the PIU as part of the project IFRs. Funds flow 12. For Components 1 and 3 (mainly technical assistance and project management) funds will be transferred from the US$ DA to a PIU-managed Operating MNT Account from which payments will be made to contractors. 13. For Component 2 LDF expenditures, the Government of Mongolia will use its own resources to pay LDF program expenditures. Government funds will be transferred from the central State Treasury LDF account to dedicated soum LDF accounts from where soums will make payments to contractors and suppliers. Soums will report the use of these resources by preparing soum LDF budget execution reports that will serve as the basis for the annual Bank reimbursement that will be made to the central LDF account at the State Treasury. The Bank will reimburse and finance approximately 25% of qualifying soum 2015 LDF expenditures in early 2016 (March or April) providing cash flow to the Government of Mongolia for the transfer of 2016 LDF performance-basis grants (top-ups) to soums that qualify for PBF by meeting or exceeding agreed targets identified in the soum performance evaluation to be carried out in January 2016 by third parties. This process will be followed during each year of the Project. Accounting and Financial Reporting 14. The PIU will centrally manage and handle the project financial accounting and reporting, hence it will be responsible for recording the project accounts, preparing project financial statements and retaining documentation supporting disbursements as well as preparing withdrawal applications during the life of the project. The PIU will obtain monthly soum LDF budget execution reports for preparing SOEs for the PBF category to support disbursement from the Bank. By consolidating the monthly soum LDF execution reports, the PIU will prepare a consolidated LDF expenditure report for each of the qualifying soums for the purposes of 25% reimbursement of the prior year respective LDF expenses from the Bank. 15. The PIU will either adopt the Management Information System a computerized accounting and management information system previously used by the SLPO for recording and accounting for project expenditures or purchase other appropriate software for the tasks. For Component 2, the project will also account for the relevant expenses based on qualifying soum LDF budget execution reports 16. The Bank does not mandate a format for annual financial statements, however, where a Borrower prepares financial statements on a modified cash basis, the Bank encourages the 30

43 adoption of formats laid out in the International Public Sector Accounting Standards (IPSAS), and Financial Reporting under the Modified Cash Basis of Accounting, in order to monitor and fully reflect any non-cash transactions and payables. Therefore, the PIU will adopt the modified cash basis of accounting for preparing financial statements. The project financial statements will include the following: Balance Sheet of the Project; Statement of Sources and Uses of Funds by Project Components; Statement of Implementation of Credit Proceeds; Statement of Designated Account for the Credit and Notes to the financial statements. 17. The interim unaudited project financial statements should be prepared and furnished to the Bank by the PIU no later than 45 days following each semester (due dates will be August 15 and February 15), in form and substance satisfactory to the Bank. 18. Throughout the project implementation period, especially during the initial stage, the task team will closely monitor the project accounting and financial reporting processes to ensure complete and accurate financial information on the project is provided in a timely manner. Internal Control 19. Appropriate internal control procedures and practices will have to be established under SLP3. These include, but are not limited to: Component 1 and 3 payment processing and internal controls, preparation of Bank Withdrawal Applications and supporting documentation, and project accounting and financial reporting. As for activities under Component 2, the Government s internal control policies and procedures will be applied but the Government will need to establish supervision and monitoring functions specifically for the LDF operations, including the aimag level Soum Support Teams, and clarify the MoED PIU s involvement in monitoring of the LDF activities. 20. For Component 2 activities, an additional control measure will also be utilized that is annual LDF performance reviews by independent third parties to determine which soums would qualify for the top-up. In order to evaluate LDF performance, the independent third parties will be provided with a uniform assessment framework. The evaluation criterion financial management as currently proposed needs to be clarified and the specific measurements need to be defined. Audit Arrangements 21. The Government of Mongolia will identify auditors acceptable to the Bank for the project annual audits in accordance with terms of reference satisfactory to the Bank. The detail and format of Government of Mongolia reporting on LDF expenditures is being defined. Consequently the audit TOR may need to be customized for this project to certify that the eligible expenditures included in the LDF expenditures reported to the Bank equal or exceed the amount of Bank financing. 31

44 22. The annual audit report of project financial statements will be due to the Bank within 6 months after the end of each calendar year for review. This requirement will be stipulated in the project financing agreement. The responsible agency and timing are summarized below: Audit Report Submitted by Due date Consolidated project financial MoED PIU June 30 of each calendar year statements Disbursement Arrangements 23. Four disbursement methods: advance, reimbursement, direct payment and special commitment are available for the project. The primary disbursement method for Components 1 and 3 will be advances. The disbursement method for Component 2 will be reimbursement. 24. A segregated designated account (DA) in US$ will be set up for the project and managed jointly by the MoED PIU and MOF for Components 1 and 3. Reimbursement under Component 2 will be made to the LDF account at the State Treasury. 25. Supporting documents required for Bank disbursement under the different disbursement methods will be documented in the Disbursement Letter to be issued by the Bank. The PIU will be responsible for documenting to the Bank expenses incurred with advances under Components 1 and 3. Traditional Statements of Expenditures (SOEs) will be used for this purpose. It will also handle preparation of documentation for the performance grants. It is anticipated that customized SOEs will be used for this purpose, consisting principally of standard GFMIS reports. Government of Mongolia reporting on the use of LDFs is still in the design phase. Specific reports and formats to be used will be agreed with the Bank prior to lifting of the disbursement condition relating to Component Under Component 2, the Bank will reimburse approximately 25% of the LDF s preceding year s eligible expenditures for qualifying soums that meet or exceed agreed targets. (Annual LDF reimbursement ceilings are advisable to avoid excessively fast or slow disbursement of the IDA Credit.) 27. The soum performance evaluation will be carried out once per year and the Bank will consequently reimburse LDF expenditures once per year. This will provide soums timely financing to avoid seasonal issues that can restrict work on infrastructure investments. Reimbursement of expenditures already incurred also reduces the risk of Bank financing ineligible expenditures. The first reimbursement of LDF expenditures in 2015 should provide sufficient time for LDF institutions, processes, systems, controls and reporting to be implemented and refined and for the Bank to assess their implementation and readiness before Bank financing of the PBF under Component Eligibility of expenditures under Component 2 at the soum level is not foreseen as a major Project issue. The Project encompasses almost all LDF investment activities at the soum level making almost all soum LDF expenditures eligible a priori. The Government of Mongolia 32

45 has also created a black list of expenditures that would similarly not be eligible under Bank financing. Mis-procurement could result in some ineligible expenditure. However, there should be a wide margin between total soum LDF expenditures and the effective percentage of soum LDF expenditures that the Bank finances (up to 25%). 29. The Bank loan proceeds will be disbursed against eligible expenditures (taxes inclusive) under the agreed disbursement categories as shown in the following table: Disbursement Category Allocated IDA Amount (million US$) Allocated SDC TF Amount (million US$) Disbursement Percentage (1) Goods, non-consulting services, consultants services, Training, and Incremental Operating Costs (2) Good Governance Performance-Based Financing Total Financing Required Retroactive financing for payments for eligible project expenditures incurred on or after July 1, 2013 with the total amount not to exceed USD 500,000 is available under the project. 30. Annual LDF performance reviews by independent third parties; audits of the LDFs as part the state budget audit; and the supervision and monitoring function to be established by the Government/MoED PIU will serve as means for ensuring eligibility of the expenses incurred under the LDFs and thus the performance grants provided from the project. Procurement 31. MoED will have direct responsibility for processing central level procurement for technical assistance, capacity building and consultants for various assignments and studies including M&E, integrated technical/procurement and financial audits. MoED is a new ministry that does not have experience in either implementing Bank financed projects or handling high value procurement. 32. The local governments in the aimags and the soums will be responsible for decentralized procurement for subprojects for common pool goods, public goods and civil goods for basic social and infrastructure services to be financed under the LDF. 33. The key risks for the central level procurement under the project are: a) the large workload of MoED doubled with the low capacity of its staff and unfamiliarity with Bank procedures; (b) inadequate planning and scheduling to ensure that the project activities can commence and be completed as planned; (c) inadequate procurement oversight mechanism; and 33

46 (d) possible elite capture and political interference in procurement and/or preference for specific service providers/suppliers/consultants. 34. The risks associated with LDF management are: (i) The local governments lack the necessary capacity in terms of staff and skills in infrastructure delivery, public procurement and contract management; (ii) the potential large number and range of subprojects with a multiplicity of actors; (iii) the scattered locations of the subprojects in remote areas with poor communications; (iv) inadequate capacity and competition in local construction industry; (v) inadequate planning and scheduling to ensure that construction can commence and be completed within the short construction season in Mongolia; (vi) inadequate supervision of local governments by Central Government; (vii) possible elite capture and political interference. 35. The procurement capacity and risk assessment rates the project overall procurement risk as High. 36. Mitigation Measures. In order to mitigate the risks at the central level the following actions were discussed and agreed with MoED: (a) A qualified procurement officer for the PIU is hired by MoED (b) A user friendly procurement manual that describes accountability and responsibility of all parties and all steps of the procurement process is developed and agreed; (c) agree on a training program (internal/external) for MoED to be implemented over the life of the project that is both relevant and practical; (d) involve technical staff and users in preparation of specifications terms of reference; (e) ensure procurement planning is realistic and ensure all parties concerned keep to the agreed schedule and (f) provide just-in-time advice and implementation support to the relevant beneficiaries. 37. Mitigation measures at the local level: (i) A user friendly procurement handbook to be prepared by consultants hired by MoED to guide procurement under the LDF; (ii) MoED to organize training of local governments, NGOs and CSOs in procurement and contract management; (iii) Various intermediaries including consultants, public entities, NGOs, CSOs to provide hands-on support to local governments and communities in planning, procurement and contract management; (iv) Independent Monitoring Agents to be hired by MoED to monitor subproject implementation under the LDF; (v) Demand side accountability mechanisms established and defined in the LDF manual (including participation, public announcement of funds received and spent; announcement of business opportunities and contract awards); (vi) Complaints mechanism to be established and defined in the LDF Manual; (viii) integration of financial, technical and procurement audits with monitoring and evaluation. 38. Applicable Guidelines. Procurement will be carried out in accordance with the Guidelines: Procurement of Goods, Works and Non-Consulting Services under IBRD Loans and IDA Credits & Grants by World Bank Borrowers dated January 2011; and Guidelines: Selection and Employment of Consultants under IBRD Loans and IDA Credits & Grants by World Bank Borrowers dated January 2011 and the provisions stipulated in the Financing Agreement. 39. Procurement Arrangements 34

47 a. Works and Supply and Installation. No ICB works or supply and installation contracts are expected to be procured under the project by MoED. However, if there are any such contracts Bank s SBD shall be used. Sample bidding documents acceptable and agreed with the Bank shall be used for all NCB. b. Goods and non-consulting services procurement. Goods to be procured by MoED under the project will include computers, office and field equipment for project supervision and monitoring. The Bank s SBD shall be used for all ICB. Sample bidding documents agreed with the Bank shall be used for all NCB. c. Selection of Consultants. The project will finance various consulting services assignments to be contracted by MoED for awareness and communications, specialized technical services, capacity building, monitoring and evaluation, engineering, procurement, contract management, integrated technical and fiduciary audits for LDF subprojects. The Bank s SRFP shall be used for all consulting services contracts with consulting firms. d. Training and Workshops. The MoED shall prepare learning plans as part of annual work plans for Bank review and no objection. The plan shall include details of the learning event including description, leaning objectives, indicators, type (e.g. workshop, conference, meeting, focus group discussions, and study tour), target group, number of participants details of trainers, location, dates, cost breakdown and other details as the Bank may request. Any modification to the plan requires Bank review and no objection. 40. Procurement for sub-projects to be financed under the LDF. Local governments will conduct the procurement for the sub-projects financed from the LDF in accordance with the procedures described in the Procurement Handbook. In 2013 the GOM budget allocated about $188.2 million to local governments, including $31.2 m to Ulaanbaatar, $62.8 m to aimags and $94.2 m to soums, or about $285,000 on average for each soum. However, due to the budget revenue shortage the LDF allocation was short of 10%. The local governments use communitydriven development approaches to select appropriate social and infrastructure services, and resource management activities for financing. These include common pool goods (e.g. management of pasture and small scale irrigation systems); public goods (e.g. local road maintenance), and civil goods (e.g. public advocacy and social monitoring). Two or more local governments may decide to procure their requirements together. For public goods that span many communities, the local government(s) may decide that procurement will be better managed at a higher level i.e. soum, aimag or central government level. Local governments may at their choice employ consultants or agents to handle procurement. 41. The procurement/consultants selection procedures to be described in the hand book include national bidding, local bidding, shopping, off-the-shelf purchase, direct contracting, community force account, Selection Based on the Consultants Qualifications and, Single-Source Selection. The Handbook will also describe the circumstances for the use of each method. The Procurement Handbook will also provide links to various supporting documents relating to the handling of procurement including format for a simplified procurement plan, simplified bid documents/requests for proposals and forms of agreements for works, goods and services, a format for reporting on procurement and contract progress. The Handbook will also include provisions for technical assistance, procedures for maintenance of records, and the roles, 35

48 functions and responsibilities of local government, communities and MoED integrated technical, procurement and financial audit requirements. 42. Procurement Plan. The MoED has prepared a procurement plan for contracts to be centrally procured by the MoED during the first 18 months of project implementation. The procurement plan has been agreed with the Bank. It will be made available in the projects Database and on the World Bank s external website. The procurement plan will be updated annually or as required to reflect implementation needs and improvements in institutional capacity. 43. Thresholds for Procurement Methods and Prior Review. The procurement plan for the contracts to be procured centrally by MoED shall set forth those contracts which are subject to prior review by the Bank. The contracts procured by the local governments from financing from the LDF are not subject to Bank prior review. The prior-review thresholds in the table below are indicative. Table. Procurement Thresholds Goods Works Consulting Services Prior Review Thresholds (US$ million) First 2 NCB goods contracts irrespective of value and all contracts 0.2 First 2 NCB works contracts irrespective of value and all contracts 0.5 First contract for each selection method and all contracts 0.1 provided by firm, 0.02 for SSS (individual and firms) Procurement/Selection Method Thresholds (US$ million) ICB NCB Shopping QCBS QBS CQS SSS 0.3 <0.3 < <3.0 <0.2 Note: (a) refers to No Threshold. (b) All Direct contracting subject to prior review. 44. Frequency of Procurement Supervision. Procurement Supervision by the Bank will be carried out once a year. The Bank will review the integrated technical/financial/ <0.3 --

49 procurement/progress reports project on the use of LDF funds prepared by the independent assessment teams/monitoring agents. Procurement post review (PPR) for contracts procured centrally by MoED will be carried out once a year. The sampling ratio will be at least 1 in 5 contracts. Procurement for contracts financed under the LDF and procured by local governments will be audited every year by the Inspectorate of the Ministry of Finance or by independent auditors appointed by MOF under TORs satisfactory to the Bank. The Bank will review the LDF procurement audit reports, and retains its right to directly conduct post reviews during project implementation as may be needed. Environmental and Social (including safeguards) Social (including safeguards) 45. The SLP3 would be centered on supporting the implementation of the Integrated Budget Law (IBL), and specifically supporting the implementation of Local Development Funds (LDF) which would be newly created under the IBL with the same nature of community-driven investment priorities as the Community Initiation Funds (CIF) did under the SLP2. Based on experience and lessons learned from the second phase of the project, therefore, the SLP3 would further reduce the vulnerability of rural communities and enhance the security and sustainability of herder households livelihoods throughout the country. To ensure the project benefits to be fairly shared among all target communities and households, especially the poorer and marginalized ones, the SLP3 has continued the Project Implementation Manual under the SLP2 and especially adapted it to design and implementation of the new LDF on the soum level, by means of regulating LDF allocation in accordance with citizen priorities as identified through a robust process of community participation in local government budget preparation and execution. 46. OP 4.10 Indigenous Peoples. There are more than 30 ethnic groups in Mongolia, of whom the Khalkh make up the majority and comprise over 90% of the population. The majority of Mongolia s ethnic minority groups share similar customs, traditions and systems of production as the Khalkh, with the exception of the predominantly Muslim and linguistically differentiated Kazakhs in western Mongolia, and traditionally nomadic reindeer-herding Tsaatan peoples in the north. These two exceptional ethnic minority groups have been identified as Indigenous Peoples as defined by OP4.10 Indigenous Peoples. 47. With the same nature and scope with the second phase of the project (SLP), the SLP3 as the third phase would be also carried out nationwide covering 330 soums in total in the country, of which Tsagaannuur Soum of Khuvsgul Aimag in the far north was the Tsaatans hometown and the soums in Bayan Olgii and Khovd Aimags in the westernmost are mainly populated with the Kazakhs. OP4.10 hence applies to the SLP3 too, as it did in the second phase from which the Project Indigenous Peoples Plan (IPP) was developed. The SLP3 will continuously follow the existing IPP while updating it on behalf of the Kazakh and Tssatan communities based on their demand-led consultation and participation in the project context of the third phase. 48. The Tsaatan who speak Mongolian dialect traditionally live in the taiga (boreal) forest in Tsagaannuur Soum, the only soum with the Tsaatan population in Mongolia. Their traditional livelihoods are based on reindeer breeding with plentiful lichen in the mountain forests, such that 37

50 they travel by reindeer, consume their milk, use the hides for clothing and shelter, and consume the meat of the older animals that are no longer suitable for transport or milk production. Nowadays only a few Tsaatan maintain their traditional alpine lifestyle, about 274 people in 64 households in 3 tribes, while the majority (less than a thousand) who identify themselves as being of Tsaatan descent live around the soum center and lower areas adopting the same livelihoods as the neighboring Khalkhs. Those alpine Tsaatan are particularly vulnerable owing to their low population, decline in traditional livelihoods, high incidence of poverty and geographic and economic marginalization. 49. The Kazakh as Turkic origin are the largest ethnic minority group in Mongolia, comprising 4.3 percent of the total. While language differences and their Islamic beliefs may make ethnic distinctions, Kazakh livelihoods are not significantly different from those of the Mongol subgroups. The majority of Kazakh population (over 100,000 people) lives concentrated in Bayan Olgii and Khovd aimags. As most Kazakhs there do not speak or read Mongolian to a level of proficiency that would allow them to participate in project activities in Khalkha, it becomes a major concern to ensure that Kazakhs are adequately represented in decision-making processes, and that both written and verbal project information is available in both Mongolian and Kazakha languages. 50. The project social assessment (SA) was conducted since the SLP2 preparation, with project information dissemination campaign in the broad project areas in general and with the free, prior and informed consultation in Tsagaannuur Suom of Tsaatan and Bayan Oligii and Khovd Aimags of Kazakh in particular. Workshops and focus group discussions were held among different Tsaatan population and Kazakh groups, as well as with a range of NGOs, government stakeholders and other specialists, to solicit their views and aspirations on the project activities. Repeated rounds of consultation and participation have also continuously gone with the SLP s community-based decision-making approach, such as in the case of Tsaatan s customary decision-making process based on tribal meetings where appropriate. Meanwhile, the project also carried out social safeguard review to confirm and further the robust functions of the meaningful consultation and informed participation in ensuring broad support from those IP communities. 51. Based on the extensive consultation and intensive SA exercise, the project Indigenous Peoples Plan (IPP) was developed under the project second phase and has been also updated on behalf of the Tsaatans and Kazakhs based on their community-led participation during preparation for the project third phase. The participatory framework has been set for the Tsaatans and Kazakhs in view of their own cultural characteristics, and their beneficial action plan has been closely linked to the LDF activities based on their own decisions and choices during project implementation. 52. As identified from the Tsaatans consultation, the principle issue is that those who maintain traditional lifestyles in remote areas would be excluded from participating in project decision-making processes, and hence would not be afforded equitable opportunities to benefit. Furthermore, for the remote Tsaatans, traditional tribal decision-making processes differ from other citizens khurals. 38

51 53. In view of these concerns, four specific measures have been incorporated into project design to ensure that traditional Tsaatan communities have equitable opportunity with the project activities, such as selecting a Tsaatan LDF community facilitator, alternative method for submission of LDF proposals, adequate presentation of Tsaatans in Bagh decision-making meetings and their representative in the overall soum meetings. 54. In the meantime, planning measures that were adopted in the first two phases of the project to ensure equitable Kazakh representation in decision-making and also their access to documentation in Kazakh language, have been further strengthened for the SLP3 as recommended by the social safeguard review, including appointment of project staff and community mobilizers to be proportional to the ethnic distribution of population, and project guidelines, implementation manuals, periodic progress summaries and other relevant information to be fully available or/and predominantly in Kazakh. 55. The IPP also set up the grievance mechanism applying to Kazakh and Tsaatan communities, which, together with the IPP implementation, would be monitored closely at the soum level and reported to the national PIU twice a year in the project M&E system. The IPP was disclosed to local public in both Mongolian and Kazakha, in the libraries and LDF offices on the aimag level, beside among the local ethnic minority groups, on March 28, 2013, and sent to the InfoShop on April 11, OP4.12 Involuntary Resettlement. This project does not envisage any land acquisition or population resettlement. In principle, the project would support the process of pastoral management planning and supporting local communities by introducing approaches to improve pastoral management and conservation of grassland resources, as reflected in its all three phases thus far. At the PCN stage of the project third phase (SLP3), it was preliminarily considered that participating soums and herder groups may be offered secure tenure over pastureland in return for maintaining livestock stocking densities at a certain level (in line with assessed carrying capacity). While this is potentially positive approach to pasture management, it may exclude herders from pastureland which is currently open access. However, during project preparation this proposal on secure tenure over pastureland was found unrealistic in the current Mongolian context of customary social contract on pastureland. Moreover, as the project social assessment pointed out, there are risks that more secure usage or possession rights over grazing land could result in escalated rather than decreased conflict over land use and would reduce herders options for responding to adverse weather. For these reasons, the SLP3 would not adopt any approaches leading to these kinds of results; and would follow the same way in improving pastoral management under the first two phases avoiding issuing possession or usage contracts for pasture tenure. It is therefore thus concluded that there would be no access restriction to natural resources, and OP4.12 is not triggered under the SLP3. Environment 57. The project design will not trigger new safeguards policies or changes of environmental category. As same as the SLP2, the project has been assigned an EA category B. Applicable safeguard policies for the project are: (i) Environmental Assessment (OP4.01); and (ii) Natural Habitats (OP4.04). 39

52 58. Environmental Assessment (OP4.01). An Environmental and Social Assessment (ESA) for the SLP2 were prepared by a consultant team from ERM (UK) in Given the project finances the same types of activities, it is expected that the project would have similar impacts as the previous SLP2 project. Overall, the project is expected to generate significant environmental benefits. It would not have any potential large scale, significant and/or irreversible environmental impacts. However, the project carries risks/impacts on environmentally sensitive areas, land degradation, and water resources due to the broader geographical scope of the project and its relation to policies and institutional development. 59. Similar to the SLP2, the project could have a positive environmental impact on reduced land degradation. But the project, if not managed well, has the potential to degrade land, biodiversity as well as surface water and groundwater resources through the effects of livestock, over-extraction from rehabilitated or newly-created wells, surface water capture facilities and localized pollution from sheep/goat dips. Although the impact of increased extraction of groundwater from the relatively shallow wells is probably negligible, there may be a cumulative effect of wells on groundwater recharge. Despite the focus of the project on a sustainable distribution of livestock, there is a risk that herders will seek to increase their numbers of stock. More livestock in combination with an adverse distribution of livestock would have implications for land degradation, biodiversity and water resources. 60. Natural Habitats (OP4.04). Mongolia s pasture lands are natural habitats in the sense that they conform to the definition in OP4.04 on Natural Habitats as land and water areas where (i) the ecosystems biological communities are formed by native plant and animal species, and (ii) human activity has not essentially modified the area s primary ecological functions. Even though pasture lands are outside the formal protected area system (the primary definition of critical natural habitats ) they can have significant national and global biodiversity value. The project, similar to the SLP2 project, could have adverse impacts on these natural habitats. 61. Environmental and Social Management Plan. The project will implement those mitigation measures which have been proved effective under previous projects. The ESMP has been updated to reflect the experience and lessons learned, and include carefully designed mitigation measures. A series of mitigation measures include, among others: a) Each soum has prepared its Pastoral Management Plan in accordance with the Guidelines approved by the Agency for Land Administration, Geodesy and Cartography, including maps of the location of environmentally-sensitive areas (such as degraded areas, areas of importance for threatened wildlife, and watersheds of critical importance for downstream drinking water supplies). The project will support capacity for preparation of PRM plans and maps to avoid impacts on sensitive areas. b) The current Environment Guidelines and screening system will be incorporated into the LDF project screening process, updated to reflect the experiences learned from the previous projects. c) Simple Environmental Codes of Practice (ECOP) for small scale of construction would be applied to the LDF, consistent with current environmental regulation, e.g. the revitalization of existing wells, renovation works on different facilities (schools, health care center), improvement of cultural centers, recreational facilities and storage facilities for animal feed and fodder. 40

53 d) The project will continue to conduct an annual Environmental Audit to review the performance of the ESMP implementation as part of Annual Performance Assessments. Performance with respect to environmental regulation application will be included in the criteria to qualify for PBF. e) The project will develop local level capacity to implement the ESMP, through the Soum Support Teams. 62. The updated ESMP specifies the monitoring plans, such as monitoring on land degradation and water resource, institutional arrangement, capacity building activities, and the budget for the ESMP implementation for the project. 63. Public Consultations and Information Disclosure. Environmental aspects of the project and the draft ESMP have been discussed with a wide range of stakeholders (e.g. affected people, NGOs, agencies) in Ulaanbaatar, in the sample aimags, soums and at the consultation workshop. Their opinions have been taken into account in the project design and the ESMP. The final ESMP was publicly disclosed on local website, as well as at public places (e.g. libraries) on March 28, 2013, and in the Infoshop of April 9, Monitoring & Evaluation Results Monitoring and Evaluation 64. The recently passed Integrated Budget Law (IBL) establishes the core principles for fiscal decentralization through its formula driven mechanism, the Local Development Fund (LDF). However, the IBL does not provide specific incentives for improved performance of local governments, nor does it address their capacity building requirements. Moreover, no system for assessing local government performance is currently in place in Mongolia. This provides an opportunity for the methodologies developed under SLP to become embedded in local governance, including community engagement and participation in local development. In this context, the SLP3 will: (a) assist the Mongolian government to develop an M&E system capable of assessing good governance in connection with the roll-out of the IBL, and (b) institutionalize a participatory M&E system, building on experience gained under the previous two phases of SLP. PIU will take overall responsibility for developing and carrying out the M&E system on government s behalf until the end of the SLP3, when it is expected to be taken over by MoF. 65. The overall objective of SLP3 is To support improved rural local governance and effective service provision by building capacity and institutionalizing community participation in the planning and delivery of priority improvements. The M&E system for SLP3 will comprise a set of qualitative and quantitative indicators that monitor outcome and implementation progress, with focus on the overall LDF performance and responsiveness to local priorities, and citizen s engagement in the budgetary process. 66. Local government performance will be evaluated annually through Annual Performance Assessments (APAs) carried out by independent experts. The core areas for assessment, in line with IBL requirements, include the following categories: (i) citizen participation (ii) budget preparation, (iii) budget execution (implementation), (iv) reporting (v) financial management and (vi) citizen feedback. Further, the APAs will also be designed to monitor compliance with 41

54 environmental and social safeguard policies of government and World Bank. In particular, soums will be required to demonstrate their observance of the Mongolian government law on environmental impact assessment as a prerequisite to be eligible for a performance-based grant, and ethnic minorities such as Kazakhs and Tsaatan reindeer herders will be given special attention, in compliance with WB safeguard policies on indigenous peoples. 67. To enhance the focus on empowering citizens to monitor the use of public funds, SLP3 will continue the Participatory M&E (PM&E) approach already established countrywide in SLP2. The aim is to institutionalize the system, supported by unpaid, volunteer Community Supervisors and Evaluators, as an integral part of the official process for implementing the LDFs. 68. Institutional Arrangements. PIU will take overall responsibility for carrying out the LDF monitoring on MoF and government s behalf. Under SLP3, responsibility for PM&E will rest with the Supervision Committee of the elected soum Citizens Representative Khural (CRH). Overall LDF budget performance information will be provided by soum government offices to SSTs and aimag government offices. In parallel, soums will undergo Annual Performance Assessments (APAs), conducted by one or more external consulting firms, that will use a uniform standard to give an equal chance for any well-performing soum to qualify for Performance-based Grants. Another consulting firm will be contracted to carry out a baseline, mid-term and end-of-project evaluation surveys. 69. The MIS system from SLP2 will be adapted to generate information on SLP3 key performance indicators. The main differences with SLP2 are that: (1) the MIS will be upgraded to monitor the whole soum capital investment budget instead of the progress of SLP individual sub-projects, and (2) an MIS will be specially developed and installed in every soum to feed the information into the systems at aimag and central level. The MIS will provide genderdisaggregated data, to facilitate analysis of benefits to women relative to men. It will also include some qualitative and quantitative data derived from PM&E. 70. Information will be collected through various instruments in addition to the APAs (such as soum annual financial statements, mid-term and final impact assessments, citizen surveys and internal reports of community monitors and evaluators) and used to award well-performing soums with PBF and to guide annual realignment and refocusing of training and other capacity building efforts. 42

55 Role of Partners (if applicable) 71. The project will be co-financed and implemented in close collaboration with the SDC and the IDA. In this regard, both SDC and IDA will have observer status on the Project Steering Committee. 43

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