CASA1000 CSP TAJIKISTAN POM

CASA1000 CSP TAJIKISTAN POM
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APPROVED
By the World Bank
CASA1000 COMMUNITY SUPPORT PROJECT (CSP)
FOR REPUBLIC OF TAJIKISTAN
PROJECT OPERATIONS MANUAL
NATIONAL SOCIAL INVESTMENT FUND OF TAJIKISTAN
PROJECT MANAGEMENT UNIT FOR ELECTRO-ENERGY SECTOR

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TABLE OF CONTENTS
TABLE OF CONTENTS 2
ABBREVIATIONS AND ACRONYMS 5
CHAPTER 1: INTRODUCTION AND PROJECT OVERVIEW 8
1.1. I
NTRODUCTION AND BACKGROUND 8
1.2. PROJECT DESCRIPTION 9
1.3. GEOGRAPHIC COVERAGE AND BENEFICIARIES 11
1.4. ROLES AND RESPONSIBILITIES OF NSIFT AND ESPMU 12
1.5. LEGAL FRAMEWORK FOR IMPLEMENTATION 13
1.6. GUIDING PRINCIPLES 14
1.7. STRUCTURE OF SUBPROJECT CYCLE 15
1.8. HOW TO USE THIS PROJECT OPERATIONS MANUAL 16
CHAPTER 2: GENERAL PROJECT INFORMATION 19
2.1. I
NTRODUCTION 19
2.2. ESPMU SCOPE AND COVERAGE – SUBPROJECTS TO IMPROVE RURAL ELECTRICITY IN THE CORRIDOR OF IMPACT AND BORDER
AREAS 19
2.3. NSIFT SCOPE AND COVERAGE – SUBPROJECTS TO IMPROVE SOCIO-ECONOMIC INFRASTRUCTURE IN THE COI 22
2.4. NSIFT SCOPE AND COVERAGE –SUBPROJECTS TO IMPROVE SOCIO-ECONOMIC INFRASTRUCTURE IN BORDER AREAS 24
2.5. NSIFT COMMUNITY ACTORS AND ROLES IN THE CDD SUBPROJECT CYCLE 25
2.6. NSIFT CAPACITY BUILDING PROGRAM TO IMPROVE LOCAL GOVERNANCE 28
CHAPTER 3: NSIFT COMMUNITY SUBPROJECT CYCLE AND HOW-TO MANUAL 34
3.1. P
HASE 1: OUTREACH, COMMUNITY MOBILIZATION, AND CAPACITY BUILDING 39
3.2. PHASE 2: PARTICIPATORY NEEDS ASSESSMENT AND SUBPROJECT SELECTION 47
3.3. PHASE 3: SUBPROJECT DEVELOPMENT 53
3.4. PHASE 4: SUBPROJECT IMPLEMENTATION – COVERED IN THE SUBGRANTS MANUAL 57
3.5. PHASE 6: PARTICIPATORY OPERATIONS AND MAINTENANCE AND HANDOVER 65
3.6. ADDENDUM: CYCLE 4/YEAR 4 YOUTH INVESTMENTS 67
3.7. ADDENDUM: BORDER-AREA INVESTMENTS 69
CHAPTER 4: PROJECT MANAGEMENT 74
PART A: NSIFT PROJECT MANAGEMENT 74
4.1. I
NTRODUCTION 74
4.2. OVERVIEW – IMPLEMENTING ARRANGEMENTS NATIONAL AND LOCAL LEVELS 74
4.3. NSIFT STAFFING STRUCTURE 76
4.4. STAFF INTEGRITY STANDARD 79
4.5. STAFF DEVELOPMENT 82
4.6. PREPARATION OF THE ANNUAL WORK PLAN AND BUDGET 83
4.7. REPORTING 84
4.8. BENEFICIARY FEEDBACK MECHANISM 85
PART B: ESPMU PROJECT MANAGEMENT 89
4.9. I
NTRODUCTION 89
4.10. OVERVIEW – IMPLEMENTING ARRANGEMENTS NATIONAL AND LOCAL LEVELS 89
4.11. THE MAIN OBJECTIVE AND TASKS OF SE “ESPMU” 90
4.12. ORGANIZATIONAL STRUCTURE OF SE “ESPMU” 91
4.13. PROJECT IMPLEMENTATION CORE TEAM 93
CHAPTER 5. COMMUNICATIONS 99
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5.1. SUBCOMPONENT DESCRIPTION 99
5.2. OBJECTIVES, SCOPE, AND PARAMETERS 100
5.3. METHODOLOGY OF DEVELOPING THE COMPREHENSIVE COMMUNICATION STRATEGY 100
5.4. IMPLEMENTING THE COMMUNICATION STRATEGY-COMMUNITY MOBILIZATION AND ENGAGEMENT 112
5.5. DETAILED ACTION PLAN FOR STRATEGY IMPLEMENTATION 115
CHAPTER 6. MONITORING AND EVALUATION 118
6.1. I
NTRODUCTION 118
6.2. RESULTS MONITORING AND EVALUATION ARRANGEMENTS – NSIFT AND ESPMU 118
6.3. RESULTS CHAIN 120
6.4. OBJECTIVES, SCOPE AND PARAMETERS 121
6.5. M&E PROCESSES 122
6.6. ACTIVITIES AND PROCEDURES 123
6.7. INDICATOR DESCRIPTIONS 135
CHAPTER 7: ENVIRONMENTAL AND SOCIAL SAFEGUARDS 145
7.1. I
NTRODUCTION 145
7.2. ENVIRONMENTAL SAFEGUARDS 146
7.3. SOCIAL SAFEGUARDS 147
7.4. SAFEGUARDS TASKS DURING PLANNING AND PREPARATION 148
7.5. SAFEGUARDS TASKS DURING CONSTRUCTION AND IMPLEMENTATION PHASE 155
CHAPTER 8: PROCUREMENT MANAGEMENT 162
8.1. G
ENERAL 162
8.2. PROCUREMENT PLANNING 162
8.3. PROCUREMENT METHODS 163
8.4. NOTIFICATION, PUBLICATION OF PROCUREMENT ANNOUNCEMENTS AND RESULTS OF SELECTION 168
8.5. BID EVALUATION COMMITTEE 168
8.6. CONTRACT MANAGEMENT AND MONITORING 169
8.7. CONFLICT OF INTEREST 174
8.8. DUE DILIGENCE CONCERNING THE BANKS SANCTIONS POLICIES AND PROCEDURES. 175
8.9. PROCUREMENT-RELATED COMPLAINTS 175
8.10. STORAGE OF PROCUREMENT DOCUMENTATION 176
CHAPTER 9: FINANCIAL MANAGEMENT AND DISBURSEMENT ARRANGEMENTS 178
9.1. I
NTRODUCTION 178
9.2. BUDGETING AND PLANNING 178
9.3. ACCOUNTING POLICIES, PROCEDURES, AND SYSTEM 179
9.4. FINANCIAL REPORTING 181
9.5. INTERNAL CONTROL SYSTEM 181
9.6. ENSURING INTERNAL CONTROL 184
9.7. TRAVEL EXPENSES 186
9.8. RATE FOR ACCOMMODATION AND PER DIEM 186
9.9. INTERNATIONAL BUSINESS TRIP 186
9.10. FIXED ASSETS ACCOUNTING 187
9.11. WRITING-OFF OF FIXED ASSETS 187
9.12. INVENTORY PROCESS 187
9.13. MAINTENANCE OF VEHICLES AND FUEL 187
9.14. INSURANCE OF NSIFT’S PROPERTY AND VEHICLES 188
9.15. PAYROLL 188
9.16. PAYMENT FOR TRAINING 189
9.17. PROJECT INCREMENTAL OPERATING COSTS 190
9.18. CONTROLS OVER BANK GUARANTEES 191
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9.19. FILING AND ARCHIVING PROCEDURES 191
9.20. CONFLICT OF INTEREST AND FRAUD REPORTING 192
9.21. FUND FLOWS 192
9.22. DESIGNATED ACCOUNTS 193
9.23. CASH TRANSACTIONS 194
9.24. TENDER ACCOUNTS 195
9.25. DISBURSEMENTS 195
9.26. AUDITING ARRANGEMENTS 198
ANNEXES 200
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ABBREVIATIONS AND ACRONYMS

BFM Beneficiary Feedback Mechanism
BT Barqi Tojik
CASA1000
CASA1000 MDTF
CDA
Central Asia South Asia Electricity Transmission and Trade Project
CASA1000 Multi-Donor Trust Fund
Community Development Adviser
CDD Community Driven Development
CDF Community Development Fund
CEP Committee for Environmental Protection
CoI Corridor of Impact
CSP CASA1000 Community Support Project
DA Designated Account
DFID UK Department for International Development
DRM Disaster Risk Management
EA Environmental Assessment
EIRR Economic Internal Rate of Return
ESIA Environmental and Social Impact Assessment
ESMF Environmental and Social Management Framework
ESMP Environmental and Social Management Plan
ESPMU Project Management Unit for Electro – Energy Sector
FCV Fragility, Conflict and Violence
FGD Focus Group Discussion
FM Financial Management
FY Fiscal Year
GoT Government of Tajikistan
GRM Grievance Redress Mechanism
GRS Grievance Redress Service (WB)
IA Implementing Agency
IDA International Development Association
IE Independent Evaluation
IFR Interim Financial Report
IPF Investment Project Financing
ISP Implementation Support Plan
JPC Jamoat Project Commission
JDP Jamoat Development Plan
KfW German Bank of Reconstruction
Km Kilometer
kV Kilovolt
kW
kWh
LED
M&E
MIS
Kilowatt
Kilowatt hour
Light Emitting Diode
Monitoring and Evaluation
Management Information System
MoF Ministry of Finance
NGO Non-Governmental Organization
NPV Net Present Value
NSIFT National Social Investment Fund of Tajikistan
NSP
O&M
OP
Afghanistan’s National Solidarity Program
Operations and Maintenance
Operational Policy (WB)

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PCB Polychlorinated Biphenyl
PDO Project Development Objective
POM Project Operations Manual
PPSD Project Procurement Strategy for Development
RPF Resettlement Policy Framework
SEE State Ecological Expertise
SGM Subgrants Manual
SS Substation
TFP Training and Facilitating Partner
UNDP United Nations Development Programme
USAID US Agency for International Development
VPC Village Project Committee

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CHAPTER 1:
INTRODUCTION AND PROJECT OVERVIEW

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CHAPTER 1: INTRODUCTION AND PROJECT OVERVIEW
1.1. Introduction and Background
The purpose of this Project Operations Manual.
This Project Operations Manual (POM) is intended for
staff of the Project Implementing Agencies, the National Social Investment Fund of Tajikistan (NSIFT) and
the State Enterprise Project Management Unit for Electro – Energy Sector (ESPMU), and other project
stakeholders to guide the implementation of the Central Asia South Asia Electricity Transmission and
Trade Project (CASA1000) Community Support Project (CSP). The contents of this POM will also be
shared with participating Hukumats, Jamoats, Mahallas, community groups and inform relevant training
materials. Revisions (including deviations, modifications or additions) to the procedures set out in this
POM, and its Annexes, must be submitted for non-objection to the World Bank. This POM should be
read in parallel to the Sub-Grant Manual for the CSP which will guide subproject implementation.
Background and project rationale. This project is a part of the CASA1000 family of projects being
implemented in Central Asia and South Asia – and refers to the Community Support Project developed
to support the CASA1000 Transmission and Trade project. The Tajikistan portion of CASA1000
transmission line (of about 170-km) extends from Sughd province in the north bordering the Kyrgyz
Republic, to Khatlon province in the south, covering eight districts and 24 Jamoats. The Transmission
Line 3-km corridor of impact (CoI) (i.e. 1.5 km on either side of the TL) includes communities that are
economically and socially vulnerable with limited access to public infrastructure and services, including
winter energy shortages. As the high-voltage CASA1000 transmission line will not itself provide
electricity to communities located nearby, and to share in the benefits expected from the CASA project
and create a supportive environment for the project, Community Support Projects (CSPs) are being
implemented in all four countries party to CASA1000, including Tajikistan, as a means to mitigate social
risk and maximize the socio-economic benefits of the energy investments. Specifically, the CSPs will be
predicated on a community driven development approach to ensure that local investments are tailored
to community needs and enjoy broad support, and will each establish a longer-term benefits-sharing
mechanism, the Community Development Fund, to benefit communities and individuals located within
the area of the CASA1000 project through a portion of project revenues from the energy
exported/imported during the commercial phase of CASA1000. Each CSP thus aims to put in place the
foundation for community engagement in planning, decision-making, implementation, and monitoring
and evaluation of local investments.
Project Development Objective. The Project Development Objective of CSP is to engage communities in
the development of social, economic and electro-energy infrastructure in order to enhance services,
livelihoods and inclusion in target villages near the CASA1000 Transmission Line.
The PDO-level results
indicators will measure access to improved electricity, social infrastructure improvements, and
economic/livelihoods infrastructure, and the voice/empowerment, inclusion and social cohesion created
by the project. PDO indicators will also measure satisfaction with the CSP as a solution to local impacts
of the CASA1000 Transmission Line. Indicators will be disaggregated by age and gender where possible.
The PDO indicators – The PDO indicators in the Results Framework (see Annex 1.1) are:
Percentage of target communities with improved access to social and economic infrastructure as a
result of project support (target: 90%)
People provided with new or improved electricity service (corporate results indicator) (target:
120,000)
Percentage of beneficiaries in target communities who report that their engagement in decision
making over project investments was effective (target: 70% total/ 70% women)
Percentage of young (women and men) beneficiaries who report that their role/voice in local
governance has been enhanced as a result of project support (target: 70% total/ 70% young women)

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Percentage of beneficiaries in target communities who report that the CSP is an effective response to
the local impacts of the CASA1000 Transmission Line (target: 70%).
1.2. Project Description
The project is structured around four components, with subcomponents, as follows:
Overview of CSP Component 1: Rural Electricity Supply Improvements
Component 1
focuses on improving the quality of electricity supply in two target areas of the country: (i)
the estimated 60 villages that lie within the CoI in the northern, central and southern segments of the
Transmission Line as it passes through Tajikistan; and (ii) selected villages in the district of Isfara of
Tajikistan, located near the Transmission Line as it passes through the Batken Region in the Kyrgyz
Republic. Energy-Related project management, monitoring and evaluation (M&E), and Communications
of ESPMU is included in this Component.
Subcomponent 1A: Village Electricity Supply Improvements in the Corridor of Impact Subcomponent
1A will fund improvements to the quality and reliability of electricity supply in CoI villages, by upgrading
village-level infrastructure. Given the target village locations, all improvements will involve connections
to the grid (not alternative forms of energy). Most work will involve: (i) replacement of old/installation
of new 10 kV/0.4 kV transformers;
1 (ii) replacement of deteriorated wood poles with concrete poles;
and/or (iii) replacement/installation of new 10 kV lines and 0.4 kV self-supporting insulated lines.
At completion, the assets funded under Component 1 will be inspected by BT and subsequently moved
to the BT balance sheet. BT will thence be responsible for the operation and timely maintenance of all
new equipment and infrastructure as part of BT’s regular practice for asset operations and maintenance
(O&M), as defined by the BT statute, and legal and normative acts.
Subcomponent 1B: Isfara-1 Substation and Village Electricity Supply Improvements in Border Areas
Subcomponent 1B will provide financing for the design and construction of a 110/10kV substation that
1
Given budget constraints, Barqi Tojik will prioritize replacement/installation of transformers based on asset condition
and technical requirements needed to achieve improvements in the quality and reliability of supply.
Component 1: Rural Electricity Supply Improvements (BT/ESPMU)

1A
1B
1C
Village Electricity Supply Improvements in the Corridor of Impact
Isfara-1 Substation and Village Electricity Supply Improvements in Border Areas
Energy-related Project Management, Monitoring and Evaluation and Communications

Component 2: Community-led Investments in Socio-Economic Infrastructure (NSIFT)

2A
2B
Subgrants to Communities in the Corridor of Impact
Subgrants to Communities in Border Areas

Component 3: Community Mobilization, Capacity Building, and Local Governance (NSIFT)

3A
3B
3C
3D
Community Mobilization, Youth Engagement and Capacity Building
Support for Social Accountability and Transparency
Capacity Building for Improved Local Governance
Supplemental Facilitation and Capacity Building for Border Communities

Component 4: Project Management, Monitoring and Evaluation, and Communications (NSIFT)

4A
4B
4C
Project Management and Coordination
Monitoring and Evaluation
Communications

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will provide electricity to residents in and around the settlement of Vahdat, and increase the supply to
the townships of Vorukh and Chorkuh. Specifically, investments in new supply-level 10(6) kV/0.4 kV
transformers, and the installation of new 10(6) kV lines and 0.4 kV self-supporting insulated wire will
help BT to meet load growth efficiently, address load supply constraints due to congestion in the
distribution system, reduce losses, and improve the reliability and quality of the power supply. These
investments will supply power to the newly-created settlement of Vahdat (2,700 households), and to
neighboring Mahalla 14 and 15 (1,500 households) and Mahalla Nuravshon (500 households).
Finally, the subcomponent will support intra-village electricity supply improvements in the border areas
of Vorukh and Chorkuh.
Subcomponent 1C: Energy-Related Project Management, M&E, and Communications. ESPMU project
management, M&E and communications for the implementation of the electricity-related
subcomponents is included in the project as Subcomponent 1C.
Overview of CSP Component 2: Community-led Investments in Socio-Economic Infrastructure
Component 2
finances sub-project prioritized by communities to improve social and economic
infrastructure in the CASA1000 Transmission Line Corridor of Impact and in border areas of Vorukh and
Chorkuh contiguous with the subdistricts receiving support from the CSP in the Kyrgyz Republic.
Subcomponent 2A: Subgrants to Communities in the Corridor of Impact. Subcomponent 2A will
finance subgrant allocations to villages to support priority small-scale socio-economic infrastructure
investments in the villages in the 24 Jamoats traversed by the CoI. Communities will follow the
participatory and inclusive decision-making processes set out in Component 3A. There will be two cycles
of subgrants for investments in socio-economic infrastructure, facilities, and services to be carried out in
Years 2 and 3 of the project. In Year 4, residual funds will be made available for Jamoat-level investment
in youth-led activities.
Subcomponent 2B: Subgrants to Communities in Border Areas. Groups of Mahallas in the townships of
Vorukh and Chorkuh will benefit from two subgrant allocations to finance village socio-economic
infrastructure subprojects and border development investments.
2 Communities will decide the
proportion of investment committed to the border development investments described in
Subcomponent 3D (a target of 30 percent will be established).
Overview of CSP Component 3: Community Mobilization, Capacity Building and Local Governance
Component 3
will support the mobilization of communities and youth, and local capacity building in the
CoI and Isfara target areas. This will include the financing of activities that support participatory needs
assessment, planning and prioritization, implementation and monitoring of communities, targeted
support for youth engagement, and innovative social accountability mechanisms as well as capacity
building for good local governance.
Subcomponent 3A: Community Mobilization, Youth Engagement and Capacity Building. The aim of
Subcomponent 3A is to build capacity for CDD so that communities are empowered and mobilized,
genuinely engage in decision making over the use of their project subgrant allocations and remain
engaged throughout each subproject cycle. Activities will ensure that village investment decisions
directly involve, and are inclusive of, all community members (including women, youth and the elderly)
and are responsive to their needs. It is intended that this will establish a new, participatory model for
2
NSIFT will work with the Jamoats and Mahallas in the early stages of the project to establish how the Mahallas
will be combined for funding.

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community-driven village investment in Tajikistan.
Subcomponent 3B: Support for Social Accountability and Transparency. Subcomponent 3B will
support a number of social accountability measures to enhance subproject oversight and promote
transparency and accountability in the project. The social accountability approaches envisaged in the
project aim to: (i) ensure that all local actors are accountable to the beneficiary communities for
delivering on project objectives; (ii) build the capacity of local actors, including youth, to play a role in
exacting accountability; (iii) allow for complaint and response; and (iv) feed into project monitoring
processes through a transparent and structured process of community feedback and action.
Subcomponent 3C: Capacity Building for Improved Local Governance. Subcomponent 3C will finance
capacity building activities for Jamoat and quasi-government actors. Target Jamoats will also be
provided with facilities and equipment for the use of the JPC (including computers, printers, office
furniture and conference room furniture for meetings). Capacity building activities will include the
Leaders of Mahalla Committees, Jamoat councilors and Administrators, JPC members.
Subcomponent 3D: Supplemental Facilitation and Capacity Building for Border Communities.
Subcomponent 3D will finance the incremental costs of supporting border development investments in
the higher-risk border and enclave communities in the townships of Vorukh and Chorkuh in Isfara.
Thisadditional support will include: (i) building the capacity and resilience of local institutions with a
focus on border area risks; (ii) engaging youth from border villages in investment planning; and (iii)
promoting dialogue and strategic planning on border area development.
Overview of CSP Component 4: Project Management, M&E, and Communications
Component 4
will finance Project Management, M&E and Communications costs for NSIFT.
Subcomponent 4A: Project Management and Coordination. Subcomponent 4A will finance the
incremental costs of NSIFT for overall project coordination, management, and supervision of
implementation, and the overall MIS, procurement, and FM, including project audits and BFM.
Subcomponent 4B: Monitoring and Evaluation. Subcomponent 4B will support M&E activities to track,
document, and communicate the progress and results of the project. M&E will be conducted by an M&E
team established in NSIFT responsible for overall compilation of progress and results and funded under
this subcomponent.
Subcomponent 4C: Communications. A CSP Communications Action Plan will be developed by NSIFT
and ESPMU in the POM, with the specific aim of: (i) building village-level support for CASA1000 by
improving community understanding; (ii) establishing trust in the CSP and managing expectations by
transparently communicating CSP scale, scope, and eligibility; and (iii) providing a communications
platform for messaging related to the broader CASA1000 project. The target audience will include
community members, VPCs and Mahalla committees, Jamoat councils and JPCs.
1.3. Geographic Coverage and Beneficiaries
Geographic Coverage.
The project will be implemented in all Jamoats with villages that lie within the
CASA1000 CoI, defined as 1.5 kilometers from either side of the CASA1000 Transmission Line. There are
60 villages in the CoI, traversing 24 Jamoats and 14 districts in the regions of Sughd, Khatlon, and the
Region of Republican Subordination. In addition, the project will support target border areas in Isfara
district in Sughd region, including Vorukh and Chorkuh townships near the CASA1000 Transmission Line
in Kyrgyz Republic (see Map 1 below). It is estimated that about 130,000 people live within the CoI, and
the project population of the target areas in Isfara district in Sughd region is 73,000. See village lists at
Annex 1.2. At the institutional level, BT, ESPMU, NSIFT, and 26 local administrations (24 Jamoats and

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two townships) will benefit from the project through capacity building aligned with their institutional
responsibilities.
Map 1.1: CSP Target Communities
1.4. Roles and Responsibilities of NSIFT and ESPMU
The project will be coordinated through a CASA1000 CSP Working Group established under the
Chairmanship of the Minister of Energy and Water Resources. The Working Group will be responsible for
overall coordination with other parts of the GoT, coordination on CASA1000 and CSP issues, and will be
mobilized to address blockages in project implementation. A representative of NSIFT will join the
Working Group prior to effectiveness, to strengthen coordination (See Annex 1.3 for TOR of the Working
Group).
Barqi Tojik (BT) through the ESPMU will execute Component 1 of the project. Implementation of all the
remaining components of the project will be delegated by the MoF to NSIFT. Given its mandate to
rehabilitate and maintain local energy transmission and distribution networks operated through its local
electric networks at the province, district, and village levels, BT will have overall responsibility for
Component 1. As is well-established practice, BT will delegate implementation of the project to the
ESPMU through the Project Implementation Agreement. ESPMU will be responsible for the
procurement, FM, technical supervision, and M&E related to Component 1.
NSIFT will serve as the Implementing Agency for Components 2, 3, and 4, including all procurement, FM,
technical supervision, and M&E. Launched in 1997 by order of the GoT, and established in 2002, NSIFT
has functioned for 20 years as an implementing agency for local-level development projects funded by
donors. It is supported with premises and utilities by the GoT and is directly under its control. NSIFT will

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manage all aspects of the project associated with community driven development(CDD), ensuring
overall compliance with the provisions of the POM. The below table (Table 1.1) provides an overview of
the roles and responsibilities of NSIFT and ESPMU for various aspects of project implementation.
Table 1.1. CSP Implementation – Roles and Responsibilities – NSIFT and ESPMU

Activity ESPMU NSIFT
Community
Mobilization
• participate in orientation meetings and
provide information about Component 1 for
Cycle 1
• participate in Village meetings and
presenttechnical assessment on
electrification investments Component 1 for
Cycle 1
• lead the full community mobilization
processes for Cycles 1,2,3,4 described in
Chapter 3
Subproject
implementation
• designs for electrification investments
Component 1
• tender documents and procurement
process for electrification investments for
Component 1
• supervision and monitoring of Component
1-related contracts
• acceptance of the goods/equipment and
construction works for Component 1 and
transfer to BT
• designs for socio-economic infrastructure
investments for Component 2
• tender documents and procurement
process for Component 2 as described in
SGM
• support communities in supervision of
sub-project contracts
• monitoring of acceptance of the
goods/equipment and construction works
and putting on balance
M&E • project results framework
reporting/electricity-related indicators
• semi-annual, annual reports to WB
• provide data for evaluation firm for
baseline, mid-line and end-line evaluations
• data transfer to NSIFT for MIS entry on
electrification investments
• data transfer to NSIFT for BFM entries on
electrification investments
• project results framework reporting
• semi-annual, annual reports to WB
• hiring the evaluation firm for base-line,
mid-line and end-line evaluations, oversee
evaluations, submit report to the Bank
• implementation/oversight of MIS and BFM
systems for CSP (including data entry for
Components 2 and 3)
Environmental
and Social
Safeguards
• following safeguards indicated in Chapter
7
• following safeguards indicated in Chapter
7
Communications • provide inputs to, and support
implementation of, Communications
Strategy and Action Plan
• approval of communication materials
• participation in Communications Working
Group
• support of communications campaign
• provide inputs to, and support
implementation of, Communications
Strategy and Action Plan
• approval of communication materials
• participation in Communications Working
Group
• lead communications campaign for CSP
Financial
Management
• follows Financial management
arrangements described in Chapter 9
• follows Financial management
arrangements described in Chapter 9
Procurement
Management
• follows Procurement management
arrangements described in Chapter 8
• follows Procurement management
arrangements described in Chapter 8

1.5. Legal Framework for Implementation
The legal framework for this POM relies on the Project Financing Agreement, Project Agreement, Project
Appraisal Document and other relevant World Bank/IDA documents (guidelines, general conditions,

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etc.). The below listed laws of the Republic of Tajikistan serve as additional reference and complement
the legal agreements governing the Project.
Civil Code of Republic of Tajikistan
Labor Code of Republic of Tajikistan
Tax Code of Republic of Tajikistan
Law on Self-Government in Towns and Townships, 1994, and subsequent amendments in 2009 and
2017.
Law of Republic of Tajikistan “On State Social Insurance”
Decree of the Government of Republic of Tajikistan No.531 dated October 31, 2008 “On the
payment of expenses for travel expenses and procedures for reimbursement thereof for civil
servants for foreign trips and within the country” (as amended by Decree of the Government of the
Republic of Tajikistan No.352 dated June 3, 2014 and last amendmentNo.38 dated January31, 2015)
Law on accounting and financial reporting in the Republic of Tajikistan dated March 2, 2011.
General conditions of the IDA Loans and Grants dated July 31, 2010
Decree of Government of Republic of Tajikistan “On the rules for bids opening procedures for the
goods, work and service”.
World Bank’s Guidelines on allocation of funds for project implementation.
1.6. Guiding Principles
CASA1000 CSP implementation will be conducted in accordance with the following principles:
Community-driven investments. CASA1000 CSP will support investment proposals identified by the
community. The priority selected by the community shall not be influenced by NSIFT staff, Jamoat
officials or other third parties. Social accountability measures, such as social audit meetings, are
included in the design of the Project to ensure this outcome.
Pro-poor outcomes. CASA1000 CSP is intended to benefit the poor. This is consistent with the
poverty reduction and shared prosperity goals of the World Bank and the intent of the PAD. Poor
communities, and poor and vulnerable residents in wealthier communities, will be the beneficiaries
of project support.
Youth engagement. CASA1000 CSP will benefit young men and women and support them to
participate in community leadership roles. Half of VPC members and CDAs should be under the age
of 30 and special roles as Youth Energy Ambassadors and Youth Monitors have been designed to
create additional leadership roles for young men and women.
Gender equitable outcomes. CASA1000 CSP will ensure gender equity: women should constitute
50% of participants in all Project-facilitated events and committees (including holding 50% of
positions on the Village Project Committees (VPCs) and the Jamoat Project Commissions (JPCs)); and
women should benefit equally from subprojects (with a target of 50% of sub-project coming from
women’s identified priorities and 50% of project beneficiaries being women). A Gender Action Plan
to ensure these results is attached in Annex 1.4.
Transparency and Anti-corruption. CASA1000 CSP will be implemented with the highest standards
of transparency, both between NSIFT, ESPMU and the World Bank, between NSIFT, ESPMU and the
communities, and between local Committees and community members. Trainings will include
transparency and accountability guidelines and key stakeholders (e.g. Jamoat and Village Project
Committee members) will sign Code of Conduct. (A Code of Conduct template is attached as Annex
1.5.)
Institutionalization and alignment with local government processes. CASA1000 CSP will support
sustainable improvements to local government capacity. The project will support good practices in
the formulation of the local development planning (e.g. Jamoat Development Plans) and provide
capacity building to Jamoat councilors and administrators and Mahalla and village leaders to help

CASA1000 CSP TAJIKISTAN POM
15
them perform their responsibilities. Where possible, CSP activities will build on existing community
and local self-government structures.
Conflict-sensitive community driven development.Additional community facilitation support will
ensure that community mobilization, capacity building and subproject investments in border areas
are delivered in ways that are sensitive to local tensions and competition over natural resources and
services, enhancing cross-border connectivity and cooperation, and promoting the participation of
at-risk young people and the meaningful participation of women.
1.7. Structure of Subproject Cycle
Figure 1.1 provides an overview of the project cycle that is described in detail in Chapter 3 of the POM:
Phase 1- Outreach, Community Mobilization, and Capacity Building. Orientation meetings will be
conducted by NSIFT/ESPMU at the village, Jamoat, and district levels to provide local stakeholders
and community members with detailed information about the CSP and the CASA1000 Transmission
Line. The amount of the subgrant allocation to each village will also be provided at orientation. This
will be followed by participatory selection of community and youth representative and formation of
community and Jamoat committees.
Phase 2 – Participatory Needs Assessment and Subproject Selection. Adopting the participatory
rural appraisal approach, the Village Project Committee will organize and help facilitate focus group
discussions (FGDs) and other consultations aimed at engaging women, elderly, youth,
entrepreneurs, professionals, and vulnerable households. Priorities raised will then be discussed and
ranked at village prioritization meetings, included, where relevant, in Village Development Plans
(VDPs), and communicated to the Jamoat Project Committee for endorsement.
Phase 3 – Subproject Development. For electricity investments, ESPMU will develop the electricity
subproject design.For socio-economic infrastructure investments, the JPC will check the feasibility of
the proposed subproject against the subgrant included in the Jamoat Development Plan, work with
the VPC to develop the subproject proposal, and request NSIFT to carry out feasibility checks and
the detailed design. The JPC will also work closely with NSIFT on the development of the subproject
Figure 1.1: Overview of the Subproject Cycle
Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
16
design, including addressing any safeguards requirements. NSIFT will prepare the technical designs
and tender packages in accordance with regulations, utilizing relevant standard government designs
as appropriate
.
Phase 4 – Subproject Implementation (covered in CSP Subgrants Manual (SGM)
). For electricity
investments, ESPMU will take responsibility for procurement. For socio-economic infrastructure
investments, community procurement will be undertaken by JPCs with the support of NSIFT as
described in the SGM. VPCs will be empowered and trained to check that tender documents reflect
their village prioritization, sign off on tender documentation, nominate a member to sit on the
tender committee, and oversee implementation on site (e.g. safety of materials, progress against
schedule), utilizing a structured process of feedback to the NSIFT project management team.
Phase 5 – Participatory Monitoring and Social Accountability. Youth monitors from each
community will also be nominated to carry out active participatory monitoring and oversight roles.
Utilizing community scorecards and social audits, biannual community check meetings will be
implemented to make mid-course corrections and inform project results.
Phase 6 – Participatory Operations and Maintenance and Handover. During subproject
implementation, communities, through the Mahalla-associated VPCs, will be mobilized to form
O&M committees, supplementing O&M provided by line ministries. These committees will ensure
effective management and sustainability of the village investments following the completion of
subprojects. Minor repairs will be undertaken by the villagers, while more major repairs and
maintenance will be undertaken by the relevant government departments at the Jamoat or district
level
Four cycles of subprojects. It is anticipated that there will be four cycles of subprojects to target
communities, one per year:
One cycle of subgrants forelectricity infrastructure, facilities, and services to be carried out in Year
1 (with a shortened CDD process that reflects technical inputs from ESPMU on village electricity
needs; and selection by communities from a limited menu of possible infrastructure investments)
Two cycles of subgrants for investments in socio-economic infrastructure, facilities, and services to
be carried out in Years 2 and 3 (following the full CDD cycle)
A final cycle of subgrants in Year 4, using residual funds which will be made available for Jamoatlevel investment in youth-led activities (building on capacity building during the first three years of
project implementation. This will also be a shortened CDD process reflecting youth-identified needs)
1.8. How to Use this Project Operations Manual
This POM is organized to provide step-by-step implementation guidance
for NSIFT and ESPMU staff as
well as for additional project stakeholders. The body of the text provides steps that should be followed
for each subcomponent of the project, with separate sections for NSIFT and ESPMU as relevant.
Annexes provide more detailed instructions and templates for documents to be used during
implementation and should be read with the relevant sections. Annexes are an integral part of the POM.
A complementary Sub-Grants Manual that should be read in parallel with the POM provides details
regarding implementation of Component 2 socio-economic infrastructure sub-grants including the
eligibility, financial management and procurement arrangements for subgrants.
The overall structure of the POM is as follows:
Chapter 1: Introduction and Project Overview
Chapter 2: General Project Information
describes the scope and approach for electricity and socioeconomic infrastructure subprojects, community roles and responsibilities, and overview of the plan
for capacity building for local governance

CASA1000 CSP TAJIKISTAN POM
17
Chapter 3: NSIFT Community Subproject Cycle and How-To Manual provides a detailed overview
of each step of the community subproject cycle including guidelines for the implementation of
community mobilization and youth engagement activities in both the Corridor of Impact and Isfara
border areas
Chapter 4: Project Management provides an overview of project management, including staffing,
training and governance Part A for NSIFT and Part B for ESPMU
Chapter 5: Communications provide communications arrangements and tools
Chapter 6: Monitoring and Evaluation discusses knowledge and learning through the project,
including monitoring and evaluation
Chapter 7: Environmental and Social Safeguards give an overview of social and environmental
safeguards
Chapter 8: Procurement Management provides guidelines for Project procurement
Chapter 9: Financial Management and Disbursement Arrangements provides guidelines on Project
financial management and disbursement arrangements.
The
Annexes provide additional details, forms, terms of reference, and guidelines for the Project.
Any proposed changes/modifications to the POM following initial approval require World Bank review
and non-objection. Any changes should be submitted to the World Bankin track changes mode and
included in the table below (Table 1.2) to enable tracking of POM revisions over time.
Table 1.2: Tracking of Revisions to POM

Justification for revision POM sections updated Date

CASA1000 CSP TAJIKISTAN POM
18
CHAPTER 2:
GENERAL PROJECT INFORMATION

CASA1000 CSP TAJIKISTAN POM
19
CHAPTER 2: GENERAL PROJECT INFORMATION
2.1. Introduction
The following Chapter provides general project information based on the Project Appraisal Document.
This includes the scope and coverage of electricity and socio-economic infrastructure sub-grants under
Components 1 and 2 of the project, community actors and roles in the community driven development
cycle, and details regarding the local governance capacity building activities that will accompany the
community engagement cycle. This Chapter can be read alongside Chapter 3 which details the
community sub-project cycle and the accompanying sub-grant manual which focuses on financial
management and procurement aspects of subproject implementation.

2.2. ESPMU Scope and Coverage – Subprojects to Improve Rural Electricity in the Corridor of
Impact and Border Areas

Rural electricity subprojects focus on improving the quality of electricity supply in two target areas of
the country: (i) the estimated 60 villages that lie within the CoI in the northern, central and southern
segments of the Transmission Line as it passes through Tajikistan; and (ii) selected villages in the district
of Isfara of Tajikistan, located near the Transmission Line as it passes through the Batken oblast in the
Kyrgyz Republic. The GoT has prioritized support for the Isfara district as a key element of the project,
given its proximity to the target areas of the CSP in the Kyrgyz Republic. This coverage will ensure that
communities on both sides of the border are sharing in the benefits of CASA1000.
Village Electricity Supply Improvements in the Corridor of Impact: While 93 percent of households in
the villages within the CoI are connected to the electricity network, it is estimated that 75 percent suffer
from low voltage, frequent outages and significant safety risks due to an aging system, especially during
winter, when weather conditions are poor and demand is high. In addition, over the last decade, an
estimated 10-20 percent of villages has experienced significant population growth and are expanding to
adjacent areas to accommodate these (mostly young) households. Village power supply has not been
upgraded to ensure access to and quality of supply for these populations, and many households are not
formally connected to the village power supply. The Village Power Supply Study, completed during
preparation, notes that services would be significantly improved through efforts to replace: deteriorated
lines, 90 percent of which have been in operation for over 50 years; replace outdated and potentially
dangerous village-level transformers, 67 percent of which have exceeded their useful life; replace
deteriorating wooden poles; extend supply to new neighborhoods; and install street lighting, especially
near public buildings and busy roads.
Scope and coverage. As the CASA1000 is a trade Transmission Line, and communities along the
Transmission Line route do not benefit directly from the electricity being transmitted, the CSP will
provide support for village-level energy investments for communities within the CoI by supporting locallevel infrastructure and equipment improvements. Starting in Year 1, the CSP will support investments
to improve year-round quality, reliability, and efficiency of electricity in the villages in the 3 km-wide CoI.
Efforts to improve energy services will be supplemented by potential investments in street lighting and
energy efficiency investments supported under investments in socio-economic infrastructure
subprojects in rounds 2 and 3 (Years 2-3).

CASA1000 CSP TAJIKISTAN POM
20
The project will fund improvements to the quality and reliability of electricity supply in CoI villages, by
upgrading village-level infrastructure. Given the target village locations, all improvements will involve
connections to the grid (not alternative forms of energy). Most work will involve: (i) replacement of
old/installation of new 10 kV/0.4 kV transformers; (ii) replacement of deteriorated wood poles with
concrete poles; and/or (iii) replacement/installation of new 10 kV lines and 0.4 kV self-supporting
insulated lines. These investments in village electricity supply will help communities access a more
regular and reliable power supply, reduce technical losses, improve voltage conditions in the main load
areas of the target villages, and reduce the safety risks associated with an aging system.
Preliminary data for villages in the CoI suggests that in about 65 percent of villages, demonstrable
improvements in service provision would be achieved through village-level investment in some, or all, of
this bundle of electricity infrastructure and equipment. The study estimated that the cost of full
replacement (for 60 villages) is about US$7.5 million; however, with a budget of US$4.7 million, the
allocation of funds for village electricity improvements will be based on the cost of upgrading services
towards an agreed service standard. Given budget constraints, the average allocation is US$78,000 per
village for the 60 villages in the CoI. (Some villages will require less investment, but a cap of US$100,000
will be set for any one village.)
Further, complex study and analysis by the individual expert will show the exact needs allocation funds
for village’s electricity improvements.Should communities wish to invest more than the allocation to
further improve or expand their electricity services, this will be possible during a cycle of socio-economic
subgrants (funded under Component 2). In those villages where it is not feasible or technically practical
to launch village electricity improvements in the first year, the project will offer alternative options
under Years 2 and 3, allowing communities to choose from a relatively open menu of social or economic
infrastructure; to carry over subgrant allocations to the following year; or postpone village electricity
improvements until later in the project.
Procurement and installation. Barqi Tojik (BT), the state-owned power company, will identify the
infrastructure and equipment gaps in the target villages and engage a technical consultant to carry out
the technical design of the electricity improvements. The State Enterprise Project Management Unit for
Electro-Energy Sector (ESPMU) will be responsible for: (a) procuring power equipment supply and
installation in villages either through open tender supply and installation contracting or based on supply
of goods contracting; and (b) supervising the implementation of the installation. For the Procurement
and installation, ESPMU is intended to engage individual consultants for component 1:
1. Individual consultants for subcomponent 1A, who are responsible for preparing a report on the
number of villages and their needs in the energy sector, technical specifications, bidding
documents, clarification, and evaluation of the proposals of the participants, the conclusion of
contracts, technical supervision and other works that are described in the terms of reference.
2. Individual consultants for subcomponent 1B, who are responsible for the report on the number
of villages in Chorkuh and Vorukh, updating technical specifications, bidding documents,
clarification, evaluations of participants’ proposals, conclusion of contracts, technical
supervision and other works that are described in the terms of reference.
3. The procurement plan provides for an individual consultant on environmental and protective
measures.
4. Two main Contracts for purchase supply and installation of equipment for component A
(subcomponent 1A, 1B) will be procured in accordance with the procedures of the World Bank’s
National/International Competitive Bidding.

CASA1000 CSP TAJIKISTAN POM
21
Operations and maintenance. At completion, the assets funded under Component 1/electricity
subprojects will be inspected by BT and subsequently moved to the BT balance sheet. BT will thence be
responsible for the operation and timely maintenance of all new equipment and infrastructure as part of
BT’s regular practice for asset operations and maintenance (O&M), as defined by the BT statute, and
legal and normative acts. IDA will not finance any tax liabilities for these assets.
Village Electricity Supply Improvements in Border Areas. This area borders the subdistricts receiving
support from the CSP in the Kyrgyz Republic and has been explicitly included in the project to bring small
infrastructure improvements to the Tajikistan side of the border (as well as that planned in the Kyrgyz
Republic) and minimize any risks that could emerge. These densely-populated settlements struggle with
unreliable electricity supply and low voltage, especially during winter. The system is not only old and
constantly deteriorating, but also vastly overloaded. The project will target support for improvements in
the quality of electricity supply to this area, including: (i) upgrades in the township of Vorukh (a Tajik
enclave in the Kyrgyz Republic), and the border area of Chorkuh, which have a combined population of
approximately 73,000. The Project will support intra-village electricity supply improvements similar to
the electricity subproject described above in the border areas of Vorukh and Chorkuh. Early estimates
suggest that an estimated US$0.50 million investment is needed in Vorukh and Chorkuh to reach the
agreed service standard defined above. As it has been discussed ESPMU will hire individual consultants
who will be directly engaged in preparation of the bidding documentation for 60 villages in the CoI and
border villages Chorkuh and Voruh. After carrying out of the all-round analysis, designing and
estimations, and also preparations of the bidding documentation the final scope of works at these
villages will be defined. Thus the priority in bidding documents will be given only to key elements that
have a main role in an electrical supply of the given villages. Therefore now has great value of definition
of the key elements, instead of it is simple distributions of allocations on equal between the target
villages.
Vahdat Substation: The preparation of final designs and construction of a 110/10kV substation that will
provide electricity to residents in and around the settlement of Vahdat, and increase the supply to the
townships of Vorukh and Chorkuh. Subcomponent 1B will provide financing for the construction and
reinforcement of 110/10 kV BT distribution networks, including lines and substations, and supply
networks to three new Mahallas. Specifically, investments in new supply-level 10(6) kV/0.4 kV
transformers, and the installation of new 10(6) kV lines and 0.4 kV self-supporting insulated wire will
help BT to meet load growth efficiently, address load supply constraints due to congestion in the
distribution system, reduce losses, and improve the reliability and quality of the power supply. These
investments will supply power to the newly-created settlement of Vahdat (2,700 households), and to
neighboring Mahalla 14 and 15 (1,500 households) and Mahalla Nuravshon (500 households).
BT will engage a technical consultant in Year 1 to carry out the technical design of the new Isfara-1
Substation and the connection to the 110 kV line distribution networks, including lines and substations
Final data on designing of new 110/10 kV Isfara-1 substation and detailed drawings of connection TL-110
кВ will be shared by using regional and national base cost comparisons after end of the detailed analysis
and an estimation from the given adviser in the form of the appendix ESPMU will take responsibility for:
(a) procuring the BT-specified equipment through open tender supply and installation contracting; (b)
procuring power equipment for installation in villages based on supply of goods contracting; and (c)
working with BT on the installation and launch of the village-level power supply. BT will carry out
supervision site visits to review and confirm that equipment and infrastructure is properly maintained.
At completion, the assets funded under Subcomponent 1B in Isfara will also be moved to the BT balance
sheet. IDA will not finance any tax liabilities for the transfer of these assets. BT will be responsible for

CASA1000 CSP TAJIKISTAN POM
22
the operation and timely maintenance of all new equipment and infrastructure as part of the BT’s
regular practice for asset O&M as defined by the BT statute, and legal and normative acts.
When fully operational, approximately 40 percent of the electricity passing through the Isfara-1
Substation will be used to provide electricity to the newly-created settlement of Vahdat, 40 percent will
strengthen supply to existing neighboring villages located in Isfara district (including Mahalla 14 and15
and Mahalla Nuravshon), and the remaining 20 percent will be a reserve for future development
purposes. However, until Vahdat is completed, BT will utilize all 100 percent of electricity in
strengthening the Isfara grid, thus providing more reliable power supply to neighboring townships,
including Vorukh and Chorkuh. The estimated cost of the new Isfara-1 Substation with connection to the
main grid 110kV line, and the transformers, poles and wires to connect the settlement and residents of
Vahdat is US$4.0 million.
2.3. NSIFT Scope and Coverage – Subprojects to Improve Socio-Economic Infrastructure in the CoI
Subgrants to Communities in the Corridor of Impact.
Rural villages in the corridor of impact face a
range of service delivery deficits in relation to water and sanitation, irrigation, street lighting, and health
infrastructure and services that could be addressed through small-scale investments. Rural women and
female-headed households in Tajikistan are also more at risk for poverty and extreme poverty, and
deficits in service delivery and the rural youth inactivity rate are high and growing. Small project
investments in village-level socio-economic infrastructure, including those prioritized by women and
youth, can improve services, livelihoods and safety for communities in the CoI. The project will finance
subgrant allocations to villages to support priority small-scale socio-economic infrastructure investments
in the CoI villages in the 24 Jamoats traversed by the CoI. Communities will follow the participatory and
inclusive decision-making processes detailed in Chapter 3 of the POM. There will be two cycles of
subgrants for investments in socio-economic infrastructure, facilities, and services to be carried out in
Years 2 and 3 of the project. In Year 4, residual funds will be made available for Jamoat-level investment
in youth-led activities.
Subgrant allocation. The village subgrant distribution formula (for each of the two cycles of CDD
investment) will be based on five criteria: (i) the target population size; (ii) poverty; (iii) conflict risks;
(iv) a participatory assessment of tertiary infrastructure needs (“infrastructure gap”); and (v) proximity
to the CASA1000 Transmission Line (see Sub-Grant Manual, Section xxx for details on the allocation
formula). The distribution formula will also ensure that sufficient resources are allocated to ensure that
the investments can have impact. Villages will be banded into five groups, with each group receiving a
grant amount driven by the formula. The subgrants for very small villages will be no less than US$20,000
per cycle, and for the largest villages (with populations over 4,500), no more than US$175,000 per cycle.
The average investment per village will be about US$70,000 for each of the two CDD funding cycles. To
provide flexibility to respond to local needs, communities may choose to carry over subgrants from cycle
1 to cycle 2 should they wish to accumulate their grant and undertake one subproject of a higher value.
It will also be possible for neighboring villages to combine their resources and enter into joint projects
(e.g. village roads).

CASA1000 CSP TAJIKISTAN POM
23
Scope of investments. Village subprojects will be selected from an open menu of small-scale social and
economic infrastructure and facilities. Eligible subprojects may include, but are not limited to, medical
points, kindergartens, street lighting, school improvements, village-level water supply and sanitation,
small-scale rehabilitation of on-farm irrigation systems and tertiary roads, and economic infrastructure,
such as small-scale processing facilities for horticultural products, cold storage facilities or farm
machinery workshops. Support for village electricity supply, in addition to that financed under
Component 1, will also be eligible should communities wish to further improve electricity services. The
types of work may involve new construction, improvement, upgrading, rehabilitation, demolition, repair,
renovation, retrofitting or maintenance. It is intended that 50 percent of subprojects demonstrate
benefits for youth and 50 percent for women. A negative list is included in Box 2.1 and in the Subgrants
Manual (SGM), Section XX.
To further support energy-related activities and to optimize the electricity investments made under the
project, energy efficiency measures will be a particular area of financing under the project. Communities
will be supported to learn about the benefits of energy efficiency investments, for example: insulated
doors and windows, energy-efficient water heaters/collectors, solar-powered cookers, clean heating
stoves for public buildings (schools, kindergartens, health units, community centers), and LED or solarpowered street lighting systems. Chapter 3, section 3.2 of the POM describes the awareness-building
activities that will help to promote changes in behavior and household investments that improve energy
efficiency. Moreover, communities will be provided with any technical support needed so that they can
request subprojects focused on energy efficiency.
Box 2.1. Negative List of Socio-Economic Infrastructure Investments
Require physical relocation or displacement;
Will cause negative impact on income/livelihood resources;
Involve any kind of forceful evictions of people;
Negatively impact assets of individual(s) or household(s);
Do not meet the required technical and quality specifications;
Have negative environmental or social impacts that are irreversible, create cumulative impacts
and/or cannot be adequately mitigated;
Exclude the poor/marginalized population or otherwise vulnerable groups;
Do not provide equal pay for equal work for women and men;
Are financed, or scheduled to be financed, by the government or other development partners;
Include the payment of compensation for land or asset loss from the proceeds of the World Bank
financing or other government sources;
Finance the construction of any new dams or the rehabilitation of existing dams including structural
and or operational changes;
Finance private goods, government offices or religious buildings; Involve activities that use forced
/child labor Involve activities that cause or lead to child abuse, child labor exploitation or human
trafficking; No child under the age of 15 should work on the construction, rehabilitation or
maintenance of a sub-project;
Entail the purchase or use of drugs, military equipment or other potentially dangerous materials and
equipment, including chain saws, pesticides; insecticides; herbicides; asbestos (including asbestoscontaining materials); or other investments detrimental livelihoods including cultural resources;
Involve development of new settlements or expansion of existing settlements in critical habitats,
protected areas or areas proposed for certain levels of national protection (e.g., reserved forests).

CASA1000 CSP TAJIKISTAN POM
24
Prior to the funding of subprojects, each village will provide evidence that the community mobilization
and decisions over subprojects has been undertaken genuinely according to POM Chapter 3, that
proposed subprojects meet poverty reduction and gender equity goals and are included in Jamoat
Development Plans (JDPs), that they are technically viable (through a technical checklist), that any donor
coordination has been carried out, and that subproject sustainability and O&M plans have been
developed. For oversight purposes, proposed subprojects will be verified in a community-level social
audit meeting. To ensure subprojects benefit women, youth, and vulnerable groups, NSIFT will report on
the cycle 1 subproject list and agree with the Bank on any actions (awareness building, revised
procedures) needed to address a bias in the beneficiaries. Selection criteria are detailed in the SGM,
Section XX.
Usage of residual funds by villages/Jamoats. Procedures are described in POM Chapter 3, section 3.7
detailing how communities can utilize residual funds from the allocated subgrant locally, after all
payments have been made for village subprojects. This residual amount (the difference between the
aggregate of the village subgrants to the Jamoat and the expenditure on the village subprojects in a
Jamoat) up to a maximum of US$10,000 will be provided to Jamoats that have put in place a Jamoat
Youth Development Plan and funding mechanism. This is intended to not only support youth-focused
activities, but also to support the development of Jamoat financial management capacity and create
incentives for the Jamoat Project Commission to: (i) disincentivize deals with contractors to bid at
exactly the subgrant amount; (ii) discourage deliberate and unnecessary spending/overspending on
extras; (iii) allow the benefit of any residual to stay with the village/Jamoat; and (iv) encourage Jamoatlevel participation throughout the project. The capacity building for this purpose is described in section
2.5 below and the procedures for the use of these funds are set out in the SGM, Section XX.
Ownership, and operations and maintenance. The ownership of the infrastructure and facilities will be
transferred to the balance sheet ofappropriate bodies (or Jamoats) upon completion. The project
recognizes the importance of a well-planned, appropriately-funded and timely O&M plan (see details in
POM Chapter 3, Step 3.6). All villages/Jamoats will develop O&M plans as a part of the subproject
proposal. The O&M plans will clearly describe: (i) activities and measures envisaged for the subproject
O&M; (ii) roles and responsibilities; (iii) frequency for carrying out the activities; and (iv) proposed
mechanisms for covering O&M costs, such as a community O&M fund organized by the Village Project
Committee (VPC). Most formal O&M activities will be undertaken by the district after handover of the
facilities to the relevant government departments, however communities will supplement this with
minor repairs and routine cleaning to ensure the effective use of the facilities (e.g. additional cleaning,
minor repairs, gardening, etc.). Component 3 includes O&M training for the village O&M committee.
Community contributions. The project envisages that community contributions will take many different
forms, mostly non-financial, consistent with the norms of Tajik society. Community contributions will be
voluntary – they may be in the form of construction materials, equipment, furniture, labor or a financial
contribution. Communities will select how they will contribute at two stages: immediately after they
finalize the project selection and again during implementation (See Chapter 3, Steps xx and xx).

2.4. NSIFT Scope and Coverage –Subprojects to Improve Socio-Economic Infrastructure in Border
Areas

In addition to the CoI, the project will also support village-level investments in communities in Chorkuh
near the Kyrgyz-Tajik border, and the Tajik enclave of Vorukh, less than 10 kilometers inside the Kyrgyz

CASA1000 CSP TAJIKISTAN POM
25
Republic. As noted above, these areas are contiguous with the subdistricts receiving support from the
CSP in the Kyrgyz Republic, and are areas that face social, economic and conflict risks. The proposed
socio-economic investments, of about US$3.00 million, are intended to promote inclusive local
development platforms in these border areas in Tajikistan. Where possible, they will complement the
community-level activity already approved in the Kyrgyz Republic CSP. These townships include 50
densely-populated Mahallas, with a total population of approximately 73,000.
Subgrant allocation. Groups of Mahallas in the townships of Vorukh and Chorkuh will benefit from two
subgrant allocations (with an average of about US$135,000 per cycle) to finance village socio-economic
infrastructure subprojects and border development investments. The allocation of subgrants within
Isfara will be based on four criteria: (i) population size; (ii) poverty; (iii) an estimate of tertiary
infrastructure needs (“infrastructure gap”); and (iv) youth population. Communities will decide the
proportion of investment committed to the border development investments described below (a target
of 30 percent will be established).
Scope of investments. Communities will select from the same open menu of socio-economic
infrastructure subprojects described for the CoI villages – schools, kindergartens, medical points, water
supply, rehabilitation of irrigation canals, etc. In addition, facilitation and capacity building support will
be provided (see POM Chapter 3, section 3.8) to encourage those small development investments that
promote cooperation and contribute to reducing border area risks. These will be subprojects that: (i)
promote opportunities for enhanced cross-border cooperation on development; (ii) improve community
safety and security (e.g. street lighting, access bridges); (iii) promote livelihoods opportunities for youth
(e.g. cold storage facilities); or (iii) complement community-based investments financed by the Kyrgyz
Republic CSP on the Kyrgyz side of the border. Based on initial consultations in target villages, examples
of subprojects with these outcomes may include border area electrification (e.g. street lighting on both
sides of the border); transport connections (e.g. small repairs of roads or bridges that support crossborder trade and market connections, and improve safety and security); livelihoods facilities for borderarea youth (e.g. small-scale storage and processing facilities, youth centers, and IT hubs); upgrading
medical points and joint health campaigns (e.g. local health clinics and first-aid points or local health
campaigns coordinated with actions by the Kyrgyz Republic CSP); and school renovations and repairs
(e.g. rehabilitation and construction of schools and training centers in communities on both sides of the
border, in coordination with the Kyrgyz Republic CSP).
Selection of subprojects. The modality for the selection of village investments is detailed in POM
Chapter 3. In addition, communities will be facilitated and supported to identify border development
investment subprojects for financing according to their priority. To this end, support will be provided for
dialogue, development planning, training and capacity building (see POM Chapter 3, section 3.8).
Implementation. The procedures for the implementation of village subproject investments in border
areas will be similar to those established for the CoI villages described above. Fees for technical design
and documentation will be allocated from Component 2. A Training and Facilitating Partner (TFP) will
support community-level capacity building activities for township officials and communities to enable
them to play leading roles.
2.5. NSIFT Community Actors and Roles in the CDD Subproject Cycle
Chapter 3 of the POM provides a step-by-step guide to the Subproject cycle which will support the
mobilization of communities and youth, in the CoI and Isfara target areas. This will include activities that

CASA1000 CSP TAJIKISTAN POM
26
support participatory needs assessment, planning and prioritization, implementation and monitoring of
communities, targeted support for youth engagement, and innovative social accountability mechanisms.
This section provides an overview of community actors and roles as part of the Subproject cycle.
To strengthen NSIFT capacity to understand and carry out genuine community driven development,
implementation will be supported by experienced
Training and Facilitating Partner(s) (TFP). The TFP (or
a limited number of TFPs) will have a track record in implementing the CDD methodology (outlined in
subcomponent 3A) and be familiar with global best practice in this approach, have experience in social
accountability (outlined in subcomponent 3B), be able to attract experienced credible consultants that
can support the capacity building for local governance (outlined in subcomponent 3C) and have proven
experience working on CDD in fragile and conflict-affected/high-risk areas (to implement subcomponent
3D). To build local capacity, and ensure context-specific knowledge, the TFPs will also have experience
working in the target areas, and preferably involve local NGOs already established and functional in the
corridor of impact. The TFP covering the Isfara target areas will have proven experience working in
border areas with conflict-affected communities. To meet these criteria, it is anticipated that NGOs will
form consortium. TFPs will support NSIFT, the Community Development Advisors, Jamoat Project
Commissions (JPCs) and Village Project Committees (VPCs) described below. The TFP(s) will be procured
through an open and competitive procurement process. A terms of reference for the TFP(s) is included
in Annex 2.1.
Community Development Advisers (CDAs) are NSIFT-hired consultants that will support the community
mobilization, capacity building, and social accountability activities at the community level. They will be
trained as community facilitators and work alongside the TFPs and NSIFT at village level. The CDAs will
support training and capacity building activities for communities to support active engagement and
community leadership of the VPCs in the project. CDAs will ensure equal representation of women and
men (with half men and women being under the age of 35). A terms of reference for the CDA(s) is
included in Annex 2.2.
Village Project Committees (VPCs). At the community level, Mahalla committees (or other communitybased organizations where relevant), will establish VPCs in target villages to mobilize communities,
support community capacity building, and lead the selection and implementation of subproject
activities.
3 The membership of the VPC will comprise Mahalla committee members, along with
additional elected community members to ensure equal representation of women on the committee
and where possible, that half the VPC members are under the age of 35. It is anticipated that
committees will vary in size from 8-20 members, given the significant variation in the populations of
target communities. A terms of reference for the VPC is included at Annex 2.3.
Jamoat Project Commissions (JPCs). The 26 Jamoats/townships, legal entities established under the
2009 Law on Self Governance in a Town or Township (Article 3, clause 2), will establish JPCs to help
implement subprojects in their Jamoats. Each JPC will consist of 5-9 voluntary members representing
the target villages in the Jamoat. Strict membership criteria will apply to ensure the engagement of VPC
representatives, an equal number of men and women, and youth, as well as the necessary financial and
3
The VPCs are closely linked to the Mahalla committees. Depending on size, in some cases, VPCs will combine
Mahalla committees from different neighborhoods, and in others they will be a subcommittee formed by the
Mahalla committee. In those cases where there is no Mahalla, the VPC will be formed from other communitybased organizations. The intention is to build on locally-relevant community structures.

CASA1000 CSP TAJIKISTAN POM
27
technical specialists, and NGO representatives. The Jamoat, through its Chairperson, will be required to
delegate to the JPC the following responsibilities: (i) to support and represent the target communities in
the subproject implementation process; (ii) to endorse subproject(s) for funding during each cycle,
including the youth development activities, and ensuring alignment with the JDP; (iii) to inform NSIFT of
target communities subproject selections; (iv) to develop subproject proposal(s), including any
safeguards-related requirements; (v) to coordinate with NSIFT on the technical designs of the selected
subprojects; (vi) to carry out the procurement function or request NSIFT to conduct procurement on
their behalf as defined in the SGM; (vii) to oversee contract execution; (viii) to propose and implement
O&M plans and resolve issues related to ownership and functionality; and (ix) to coordinate with
relevant stakeholders (line departments, utilities, NGOs, districts). A terms of reference for the JPC is
included in Annex 2.4.
Youth Monitors (YMs). To support social accountability and monitoring activities, 4 (2 women, 2 men)
YMs, will be selected in each target village. These YMs will play a critical role in raising awareness about
the project within the wider community. In addition, the YFs will lead social accountability activities at
the village level in order to ensure that the projects implemented represent citizen priorities, are
implemented effectively and transparently, and that they benefit the target population. For a draft
terms of reference for YMs, see Annex 2.5.
Youth Energy Ambassadors (YEAs) are young representatives selected in equal number (4 total; 2
men/2 women) from each community trained to host energy efficiency events with private sector and
government actors, and to inform their communities on how to improve livelihoods and reduce
household costs. This role will include training on climate change. Youth Energy Ambassadors will be
convened to work with the JPCs to organize annual energy efficiency campaigns and roadshows to
villages regarding energy efficiency and climate change. YEAs for each village should meet the following
criteria: One young man and one young woman, between 16 – 35 years of age, be currently resident in
the village, be willing to commit time to organizing and engaging in public awareness events, express an
interest in energy efficiency, environmental or climate change issues, or community development. For a
draft terms of reference for YEAs, see Annex 2.6.
Youth Accountants (YAs). Youth Accountant (YA) internships will be provided through the project for
qualified young men and women to work under Jamoat accountants. Youth accountant internships will
provide unemployed young bookkeepers and accountants with work experience during the project
implementation period. This will enable graduates to obtain practical experience (references and
certificates), either working on their own or with qualified financial management officers in the Jamoat.
For a draft term of reference for YAs, see Annex 2.7.
Table 2.1: Summary of CSP Committees

Village Project
Committees in
CoI
(VPC)
Jamoat Project
Commissions in
CoI
(JPC)
Village Project
Committees in
Isfara
(VPC)
Jamoat Project
Commissions in
Isfara
(JPC)
Overall intention To build on
locally relevant
CBOs including
mahallas in target
villages
To empower
To combine target
village (VPC)
representation with
Jamoat
administrative
expertise
To build on local
relevant CBOs
including Mahallas, or
villages
To cluster 50
mahallas/villages into
To combine village
cluster
representation with
township/jamoat
administrative
expertise

CASA1000 CSP TAJIKISTAN POM
28

Village Project
Committees in
CoI
(VPC)
Jamoat Project
Commissions in
CoI
(JPC)
Village Project
Committees in
Isfara
(VPC)
Jamoat Project
Commissions in
Isfara
(JPC)
youth and women
through their roles
in the VPC
10-12 VPCsfor
subgrants to be
allocated
Number of committees One per village in
CoI
One per Jamoat Clusters of
villages/Mahallas to
form 10-12 VPCs
One each in Vorukh
and Chorkuh
Total membership
Inclusion –
Women and Youth
representation
Leadership
Cannot be the
Jamoat Chairperson
Cannot be the
Jamoat Chairperson
Election/selection Elected by the
village
Nominations from
Jamoats; VPC
nominates
represesentatives
Elected by the village
Nominations from
Jamoats; VPC
nominates
represesentatives
Roles and Responsibilities Mobilize
communities
Support
community
capacity building
Lead selection
and
implementation of
SPs
Represent
community during
SP implementation
Endorse SP for
funding
Inform NSIFT of SP
selection
Develop SP
proposals
Coordinate on DED
Represent
community on
tender committee
Oversee contract
execution
Propose O&M plan
Coordinate with
stakeholders
Mobilize
communities
Support community
capacity building
Lead selection and
implementation of SP
activities
Support/participate
in border
development and
youth forums
Represent
community during
SP implementation
Endorse SP for
funding
Inform NSIFT of SP
selection
Develop SP
proposals
Coordinate on DED
Represent
community on
tender committee
Oversee contract
execution
Propose O&M plan
Coordinate with
stakeholders
Support/participate
in border
development and
youth forums

8-20 5-9 8-20 5-9
50% women
50% under the age
of 35
50% women
50% under the age of
35
Elected by the
group
Elected by the JPC
members
Elected by the group Elected by the JPC
members
2.6. NSIFT Capacity Building Program to Improve Local Governance
As a complement to the complement to the community engagement process described in Chapter 3, the
project will also support additional capacity building in target communities to improve local governance.

CASA1000 CSP TAJIKISTAN POM
29
The policy and legal framework for local government in Tajikistan includes the Law on Bodies of SelfGovernance of Townships and Villages (2009 as amended), which assigns Jamoats a range of mandates
to support community efforts to address local socio-economic needs. However, there is still a
substantial gap in Jamoat capacity to carry out these reforms. At the same time, Jamoats and Mahallas
have traditionally found ways to address shortcomings in public infrastructure and service provision to
manage local risks. To address these capacity constraints, and help fulfill the potential to perform these
roles, the project will finance capacity building activities for Jamoat and quasi-government actors. Target
Jamoats will also be provided with facilities and equipment for the use of the JPC (including computers,
printers, office furniture and conference room furniture for meetings). This will include the Leaders of
Mahalla Committees, Jamoat councilors and administrators, JPC members. Four areas of capacity
building are envisaged:
Managing investments in communities (participatory planning, project management, and
oversight).
Training will be provided on the principles and practice of CDD, procedures for
community mobilization, social accountability, gender and youth-related inclusion and equality,
and safeguards project procedures. This capacity building will be complemented by training on
the Jamoat mandate—local development planning, infrastructure planning, operations, and
project management—to deepen skills in participating Jamoatstructures and enhance capacity
to manage inclusive and responsive investments.
Managing finance locally – learning by doing. Local financial management (FM) practices will be
supported by both training and learning-by-doing activities. Starting in Year 1, training will cover
a range of fiduciary topics (procurement, accounting and bookkeeping, cost estimation, FM,
gender budgeting, and equitable use of resources). In Year 4, Jamoats with capacity satisfactory
to the Bank, will work with youth representatives on small subprojects selected from the Youth
Development Chapters in the JDPs. Jamoats will be encouraged to establish youth accountant
internships for the six-month period of implementation (see description in section 2.4 above).
Managing governance and anti-corruption risks. Training of local stakeholders on the principles
and practice of local governance, will include: (i) accountability; (ii) relations with higher levels
of government; (iii) tools for good governance (integrity pacts, social audits, transparency, and
disclosure); and (iv) anti-corruption assessments and process audits. All stakeholders in
communities and Jamoats and implementing agencies (IAs) will participate in fraud and
anticorruption training and sign user-friendly codes of ethics; workshops will help each Jamoat
produce governance action plans.
Establishing energy efficient Jamoats. Support will be provided to target Jamoats to develop
awareness and understanding of energy efficiency and its benefits to the individual and local
institutions. Youth Energy Ambassadors will be convened to work with the JPCs to organize
annual energy efficiency campaigns and roadshows to villages regarding energy efficiency and
climate change. Investments in street lighting and public buildings will be launched to highlight
the opportunities under the project, and technical assistance for the design of energy efficiency
investments supported. A Jamoat energy efficiency champion will be nominated by the council
to help organize activities in target areas.
The capacity building program for improved local governance is described below.
Objective. To increase the capacity of Jamoats and Mahallas to support community efforts to address
CASA1000 CSP TAJIKISTAN POM
30
local socio-economic needs per their mandate under the Law on Bodies of Self-Governance of
Townships and Villages.
Scope of activity. There are three areas of capacity building that will be conducted:
1. Trainings on aspects of local governance
2. Support to conduct Energy Efficiency Awareness campaigns
3. Equipment support
Participants. Participants in the capacity building program will includeJamoat councilors and
administrators, and JPC members.
Coverage. It is expected that 24 Jamoats plus the two Isfara townships will participate in this capacity
building program.
Timing. Equipment donations and the EEA campaign will be conducted in Year 1. Trainings will be
conducted in all four years.Timing of the trainings should ensure that Jamoat are able to participate in
the planned activities for that Year’s subproject cycle (See Chapter 3).
Approach. The TFP will develop the curriculum and materials on training topics (see Table 2.2) according
to the parts of the cycle that will be implemented in the coming year. This training plan/manual will be
reviewed/approved by NSIFT and the World Bank. The TFP will determine clusters of Jamoats that are
suitable size for training bringing together approximately 40 Jamoat representatives and JPC for each
training. Jamoats and JPCs will determine among themselves who will attend the trainings (equal
numbers of men and women). CDAs and TFP invite Jamoat officials and JPC members to come to
trainings held at the district level. The TFP will administer exit surveys and feedback discussions to
assess improvement in knowledge and satisfaction with the trainings over the course of project
implementation.
Table 2.2: Training Plan- Local Governance Capacity Activities

No. Training Topic Participants Duration Timing
1 Managing
investments in
communities
(participatory
planning, project
management, and
oversight).
Modules include:
i. Participatory planning,
project management, and
oversight
Jamoat
officials, JPC
One-day
training
Year 1 in
preparation for
community
mobilization.
Refresher in Yr 3.
ii. Principles and practice of
CDD, procedures for
community mobilization,
social accountability, gender
and youth-related inclusion
and equality, and safeguards
project procedures.
Jamoat
officials, JPC
One-day
training
Year 1 in
preparation for
community
mobilization.
Refresher in Yr 3.
iii. Jamoat mandate—local
development planning,
infrastructure planning,
operations, and project
management
Jamoat
officials, JPC
One-day
training
Year 2 in
preparation to
manage youth
investment funds

CASA1000 CSP TAJIKISTAN POM
31

No. Training Topic Participants Duration Timing
2 Managing finance
locally – learning by
doing.
Modules to include:
i. Procurement, accounting
and bookkeeping, cost
estimation, FM,
Jamoat
financial
staff
One-day
training
In Year 3 and 4 in
preparation to
manage youth
investment funds
ii. Gender budgeting, and
equitable use of resources
Jamoat
officials,
JPC
Half-day
training
(can be
combined)
In Year 2 in
preparation to
manage youth
investment funds
3 Managing
governance and
anti-corruption risks
Module to include: principles
and practice of local
governance, will include: (i)
accountability; (ii) relations
with higher levels of
government; (iii) tools for
good governance (integrity
pacts, social audits,
transparency, and disclosure);
and (iv) anti-corruption
assessments and process
audits. Each Jamoat will
produce governance action
plans at the end of the
training.
Jamoat
officials JPC
Half-day
training
In Year 1 in
preparation for
community
mobilization.
Refresher in Yr 3.
4 Establishing energy
efficient Jamoats
4
This would start as a training
and then continue with
activities in the target
communities (see description
of Energy Efficiency Awareness
Building in Chapter 3, Step 3.2)
Jamoat
officials and
JPC
Nominated
energy
champion in
the Jamoats
Half-day
training
Before each
planning cycle

Equipment Donation
Project is also funding the technical support to the Jamoat by procuring office equipment for target
jamoats (24 + 2 townships). This equipment will be submitted to the JPC in order to follow
responsibilities under the project: (i) to support and represent the target communities in the subproject
implementation process as defined in the POM; (ii) to endorse subproject(s) for funding during each
cycle, including the youth development activities, and ensuring alignment with the JDP; (iii) to inform
NSIFT of target communities subproject selections; (iv) to develop subproject proposal(s), including any
safeguards-related requirements; (v) to coordinate with NSIFT on the technical designs of the selected
subprojects; (vi) to carry out the procurement function or request NSIFT to conduct procurement on
4
These materials may wish to cite examples from “Advancing Heating Services Beyond the Last Mile: Central Asia
Pilot Experience with High-Efficiency, Low-Emissions Heating Technologies”
https://openknowledge.worldbank.org/handle/10986/31282

CASA1000 CSP TAJIKISTAN POM
32
their behalf as defined in the SGM; (vii) to oversee contract execution; (viii) to propose and implement
O&M plans and resolve issues related to ownership and functionality; and (ix) to coordinate with
relevant stakeholders (line departments, utilities, NGOs, districts). The list of office equipment is
described below in Table 2.3:
Table 2.3: List of Office Equipment Provided to the Jamoats

No. Description of the equipment Quantity per each Jamoat
1 Table (big, round) for the meeting room 1
2 Chairs for the meeting room 10
3 Computer 1
4 Multifunction device (printer and scan) 1

NSIFT will prepare technical specifications for the above-mentioned equipment and conduct the bidding
process. Jamoats should be prior informed about technical parameters, quantity and expected transfer
date of the equipment. Provided equipment should be put on Jamoat balance. However, equipment will
be used by the JPC for project needs until project completion.After completion of project
implementation JPC transfers the equipment to the Jamoat.

CASA1000 CSP TAJIKISTAN POM
33
CHAPTER 3:
NSIFT COMMUNITY SUBPROJECT CYCLEAND HOW-TO
MANUAL

CASA1000 CSP TAJIKISTAN POM
34
CHAPTER 3: NSIFT COMMUNITY SUBPROJECT CYCLE AND HOW-TO MANUAL
Overview Description and Subproject Cycle
Consistent with the vision of the Community Support Project (CSP) in the CASA1000 Project Appraisal
Document, Project activities will support the mobilization of communities and youth, and local capacity
building in the Corridor of Impact and Isfara target areas near the border. This will include the financing
of activities that support participatory needs assessment, planning and prioritization, implementation
and monitoring of communities, targeted support for youth engagement, innovative social
accountability mechanisms, and supplemental support for border areas. The modality for the
implementation of the community level work will include NSIFT staff supported by Training and
Facilitating Partners (TFPs). This chapter begins with an overview of the principles and approach of the
community subproject cycle and then moves to a step-by-step description of community activities at
each stage of the cycle.
Community Mobilization, Youth Engagement, and Capacity Building
Investment in small-scale infrastructure and facilities in villages in Tajikistan generally follows a topdown model of development with limited engagement of target communities; this project will bring a
significant change in approach to village-level investment. CSP will build capacity for CDD so that
communities are empowered and mobilized, genuinely engage in decision making over the use of their
project subgrant allocations and remain engaged throughout each subproject cycle. Activities will ensure
that village investment decisions directly involve, and are inclusive of, all community members
(including women, youth and the elderly) and are responsive to their needs. It is intended that this will
establish a new, participatory model for community-driven village investment in Tajikistan.
Scope of activity. The annual cycle of activities financed by this subcomponent will include participatory
needs assessment, participatory planning and prioritization/selection of village investments,
participatory management, oversight and monitoring, and participatory operations and maintenance
(O&M). This community engagement is expected to activate target communities and mobilize youth
throughout the four-year construction period of the Transmission Line. For Component 1, communities
will be facilitated (through a short mobilization process) to select from a closed menu of village
electricity investment options and will actively monitor the implementation of the agreed subprojects.
This will ensure CoI communities are engaged early in the project. For Component 2, communities will
be engaged in all stages of the subproject cycle, structured around the seven phases below (see also
Figure 3.1):
Phase 1 – Outreach, Community Mobilization, and Capacity Building. Orientation meetings will be
conducted by NSIFT/ESPMU at the village, Jamoat, and district levels to provide local stakeholders
and community members with detailed information about the CSP and the CASA1000 Transmission
Line. The amount of the subgrant allocation to each village will also be provided at orientation. This
will be followed by participatory selection of community and youth representative and formation of
community and Jamoat committees. NSIFT, TFP(s), and Community Development Advisors (CDAs),
will then support training and capacity building activities for communities to support active
engagement and community leadership.
Phase 2 – Participatory Needs Assessment and Subproject Selection. Adopting the participatory
rural appraisal approach, the TFPs, CDAs, and VPCs will organize and help facilitate participatory

CASA1000 CSP TAJIKISTAN POM
35
community development planning, focus group discussions (FGDs) and other consultations aimed at
engaging women, elderly, youth, entrepreneurs, professionals, and vulnerable households. Priorities
raised will then be discussed and ranked at village prioritization meetings, included, where relevant,
in Village Development Plans (VDPs), and communicated to the JPC for endorsement. Energy
efficiency events will be convened by Youth Energy Ambassadors.
Phase 3 – Subproject Development. For electricity investments, ESPMU will develop the electricity
subproject design. For socio-economic infrastructure investments,the JPC will check the feasibility
of the proposed subproject against the subgrant included in the Jamoat Development Plan, work
with the VPC to develop the subproject proposal, and request NSIFT to carry out feasibility checks
and the detailed design. The JPC will also work closely with NSIFT on the development of the
subproject design, including addressing any safeguards requirements. NSIFT will prepare the
technical designs and tender packages in accordance with regulations, utilizing relevant standard
government designs as appropriate
.
Phase 4 – Subproject Implementation (covered in the CSP Subgrants Manual
). For electricity
investments, ESPMU will take responsibility for procurement. For socio-economic infrastructure
investments, community procurement will be undertaken by JPCs with the support of NSIFT as
described in the SGM. VPCs will be empowered and trained to check that tender documents reflect
their village prioritization, sign off on tender documentation, nominate a member to sit on the
tender committee, and oversee implementation on site (e.g. safety of materials, progress against
schedule), utilizing a structured process of feedback to the NSIFT project management team.
Phase 5 – Participatory Monitoring and Social Accountability. Youth monitors from each
community will also be nominated to carry out active participatory monitoring and oversight roles.
Utilizing community scorecards and social audits, biannual community check meetings will be
implemented to make mid-course corrections and inform project results.
Phase6 – Participatory Operations and Maintenance and Handover. During subproject
implementation, communities, through the Mahalla-associated VPCs, will be mobilized to form
O&M committees, supplementing O&M provided by line ministries. These committees will ensure
effective management and sustainability of the village investments following the completion of
subprojects. Minor repairs will be undertaken by the villagers, while more major repairs and
maintenance will be undertaken by the relevant government departments at the Jamoat or district
level.
There will be four cycles of subprojects to target communities, one per year:
One cycle of subgrants forelectricity infrastructure, facilities, and services to be carried out in Year
1 (with a shortened CDD process that reflects technical inputs from ESPMU on village electricity
needs; and selection by communities from a limited menu of possible infrastructure investments).
Two cycles of subgrants for investments in socio-economic infrastructure, facilities, and services to
be carried out in Years 2 and 3 (following the full CDD cycle).
A final cycle of subgrants in Year 4, using residual funds which will be made available for Jamoatlevel investment in youth-led activities building on capacity building during the first three years of
project implementation. This will also be a shortened CDD process reflecting youth-identified needs.
See section 3.7 for additional details.

CASA1000 CSP TAJIKISTAN POM
36
Engaging Youth
To promote the equal participation of young men and women, opportunities for youth leadership will be
offered throughout the community mobilization process. Gender-sensitive mechanisms will be identified
with communities and tailored to local context to ensure the active participation of young women
(typically marginalized from participation in public affairs). The following provides an overview of the
youth-focused support:
Youth mobilization and training events to select and build the capacity of youth in target villages to:
(i) support community mobilization activities; (ii) represent youth interests; and (iii) promote
understanding of Disaster Risk Management (DRM) and fragility, conflict and violence (FCV).
Youth chapter of the Village Development Plan/Jamoat Development Plan; options to fund youthrelated activities in Year 4 from the Jamoat residual fund.
Village Project Commission membership will require 50 percent youth (and women).
Youth elected and trained as
Youth Energy Ambassadors, to host energy efficiency events with
private sector and government actors, and to inform their communities on how to improve
livelihoods and reduce household costs. This role will include training on climate change.
Youth accountant internships for qualified young men and women to work under Jamoat
accountants.
Young men and women selected to carry out the
monitoring and oversight roles as part of Social
Accountability.
50 percent of the CDAs will be youth (and women). They will also be certified as trained community
mobilizers.
Support for Social Accountability and Transparency
Figure 3.1: Overview of the Project Cycle
Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
37
Throughout the subproject cycle, a number of social accountability measures to enhance subproject
oversight and promote transparency and accountability will be implemented. The social accountability
approaches envisaged in the project aim to: (i) ensure that all local actors are accountable to the
beneficiary communities for delivering on project objectives; (ii) build the capacity of local actors,
including youth, to play a role in exacting accountability; (iii) allow for complaint and response; and (iv)
feed into project monitoring processes through a transparent and structured process of community
feedback and action. The following three instruments are planned and are detailed further in the POM
under
Phase 5: participatory monitoring and social accountability:
Social audits will be conducted twice a year. The social audits will take the form of “community
check” meetings – public forums, at the village level, for the Village Project Committee and Jamoat
Project Commission to present a report back to the target communities on the progress, challenges,
and fiduciary information of the project, and ensure that decisions are inclusive and povertyfocused, are genuinely bottom-up, that there is continuity in the chain of decisions made by focus
groups (e.g. women’s groups), and enable the VPC and JPC to explain the expenditures of the
project subgrant. Transparency will be a key parameter; a list of information and documents to be
presented at the community check meetings will be provided to both communities and committee
members, and supported by youth monitors using photographic evidence. The project will also fund
the technical support needed to prepare, organize, and document these community check
meetings.
Communities will also conduct
semiannual community scorecards to provide quick and simple
feedback and action plans on project implementation (project processes and outcomes). The
scorecard process will be facilitated independently, with support from a cadre of youth selected for
monitoring and oversight roles. The semiannual scorecard will be conducted along with the
community check meeting, and results collated to promote feedback and identification of
improvements/actions to be made in the following cycle. The scorecard will also provide results that
will be used to monitor project outcomes, and feedback on CASA1000. All results will be
disaggregated to identify any gender bias, and corrective action included in the Gender Action Plan.
A
beneficiary feedback mechanism (BFM) will be established to address grievances, comments and
any other type of feedback regarding the project. NSIFT will establish a unit tasked with this role,
which reports to the Executive Director. The design and implementation of the BFM will be
developed gradually over the life of the project such that by Year 3, the BFM is a part of NSIFT
central services. NSIFT will coordinate with ESPMU, and through this joint accountability ensure that
complaints are managed effectively. Details on the BFM are include in the Project Management
Chapter 4.
Supplementation Facilitation Support and Capacity Building for Border Areas
The community mobilization, social accountability, and local governance capacity building described
above will also be carried out in the target areas in Isfara district in border areas. However, in addition,
specific support will be provided under Subcomponent 3D to respond to the challenges of working in
conflict areas. Additional community facilitation support will ensure that community mobilization,
capacity building and subproject investments are delivered in ways that are sensitive to local tensions
and competition over natural resources and services, enhancing cross-border connectivity and
cooperation, and promoting the participation of at-risk young people and the meaningful participation
of women. The project will finance the incremental costs of supporting border development
investments in the higher-risk border and enclave communities in the townships of Vorukh and Chorkuh
in Isfara. These Tajik townships lie close to the Transmission Line in the Kyrgyz Republic. It will support

CASA1000 CSP TAJIKISTAN POM
38
tailored activities to help address the gap in infrastructure and services in these localities which, in some
cases, have contributed to the root cause of cross-border tensions and local-level violence seen
intermittently over the last decade. These activities will be coordinated with the Implementing Agency
for the Kyrgyz Republic CSP, including coordination on possible opportunities for dialogue, joint training,
outreach and communications to enable concurrent benefits to communities on both sides of the TajikKyrgyz border.
This additional support will include: (i) building the capacity and resilience of local institutions with a
focus on border area risks; (ii) engaging youth from border villages in investment planning; and (iii)
promoting dialogue and strategic planning on border area development. It will ensure all key
stakeholders and groups are included, focusing particularly on local leadership, youth, and women, and
where possible, bring together relevant Tajik and Kyrgyz stakeholders. This support will also establish
the required mechanisms and approval process on the GoT side to implement small, border-area
infrastructure investments, including engaging district, oblast, and national officials as required.
The incremental support in Vorukh and Chorkuh will focus on three areas of activity (described in detail
in Section 3.8 below and led by TFP experienced in working in high-risk/fragile areas):
Initial assessment, risk analysis, and dialogue on border-area development. Recognizing the
sensitive and higher-risk nature of socio-economic investments in target border areas, activities in
the Isfara area will commence with assessments, risk analysis and community-based dialogue
around border-area development. These early assessments will also establish procedures for a GoTled process for approving any border development investments and cooperation arrangements with
the stakeholders responsible for the Kyrgyz Republic CSP investments in contiguous subdistricts.
These activities will inform subproject selection for border-focused investments, and provide the
foundation for dialogue with local, district, oblast and national officials throughout project
implementation.
Support for improving local Jamoat and Mahalla capacity and resilience. The project will support a
tailored set of capacity building and dialogues activities for Jamoat and Mahalla representatives in
border areas, including: joint training on border-area investments; mapping and monitoring socioeconomic risks; promoting cross-border investment and private-sector development; and regular
forums that bring together local officials (Tajik and Kyrgyz) to discuss development issues of mutual
interest, promote information sharing, and monitor the progress of community investments.
Activities will be coordinated with the Kyrgyz Republic CSP.
Support for youth engagement in border-area improvements. Extending the youth focus described
above, the community mobilization process for these border areas will ensure youth engagement at
each stage of the project cycle. This is intended to not only enhance livelihoods opportunities for
young men and women, but also to engage them in dialogue with local leadership and institutions.
Activities will include, for instance: (i) engaging youth and youth facilitators to work with
communities on the needs assessment and subproject prioritization process; (ii) supporting young
women and men in near-border communities to understand and advocate for local investment that
meets youth priorities (e.g. joint training, coworking spaces, IT centers for youth); (iii) providing the
opportunity for constructive engagement between Kyrgyz and Tajik youth in border communities,
and between youth and local institutions; and (iv) youth-led joint monitoring of community-based
investments.
HOW-TO MANUAL – IMPLEMENTATION OF THE SUBPROJECT CYCLE
CASA1000 CSP TAJIKISTAN POM
39
The following sections of this chapter provide a step-by-step guide outlining required activities at each
stage of the subproject cycle. This section serves as a ‘how-to’ guide for NSIFT, TFPs, CDAs, VPCs and
JPCs to carry out CSP’s community-based activities. Together with the referenced annexes, this section
serves as a manual to guide implementation of community mobilization for the four subproject cycles in
the villages in the CASA1000 Corridor of Impact and in border areas.
3.1. Phase 1: Outreach, Community Mobilization, and Capacity Building
Step 1.1 Orientation Meetings Held at Oblast, District, Jamoat, and Village Levels
Objective
: to provide local stakeholders and community members with detailed information about the
CASA1000 Transmission Line and CSP subprojects and encourage participation in the community
mobilization process.
Orientation meetings will be conducted by NSIFT and ESPMU at the oblast, district, Jamoat, and village
levels to provide local stakeholders and community members with detailed information about the CSP
and the CASA1000 Transmission Line. Government actors and communities will be introduced to project
objectives, the cycle of subproject activities, the specific requirements for including women and youth,
the role of community representatives and community committees, the approach to procurement, and
the social accountability and oversight mechanisms. The amount of the subgrant allocation to each
village will also be provided at orientation.The form for the Project Initiation Meeting is presented in
Annex 3.1.
Step 1.1.1 NSIFT/ESPMU Conduct Oblast Orientation Meetings
a. NSIFT/ESPMU organize one meeting in each oblast for relevant regional government staff.
b. Orientation will include the following information:
CASA1000 and CASA1000 CSP objectives
Community driven development – how it works
Overview of the subproject cycles
Specific requirements for including women and youth as project objectives
Role of community representatives and community committees
Approach to procurement

Phase 1 of the subproject cycle
includes outreach, community
mobilization and capacity building
for community roles. This phase will
be undertaken as a foundation for
all cycles of sub-projects to engage
communities at Project launch.

Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
40
Social accountability and oversight mechanisms
Orientation on World Bank anti-corruption guidelines
Total project budgets and budgets for villages and jamoats
c. Attendance includes:
Head of oblast administration and specialists of oblast administration
Head of districts
Representatives of BT
NGO representatives
Mass-media representatives
Step 1.1.2 NSIFT/ESPMU Conduct District Level Orientation Meeting
a. NSIFT/ESPMU organize joint meeting for all District level officials in their area of responsibility
(total 15 districts)
b. Orientation will cover the same points listed above (step 1.1b)
c. Attendance includes:
Head and specialistsofdistrictsadministration
Head of Jamoats
Representatives of BT
Representatives of NGO
Mass-media representatives
Step 1.1.3 NSIFT/ESPMU Conduct Jamoat-Level Orientation Meeting
a. CSP coordinators (NSIFT/ESPMU), Regional Community Development Coordinator (NSIFT), CDA,
TFP(s) organize orientation meeting at Jamoat level
b. Jamoat invites Jamoat Councilors, head of villages, Mahalla leaders, and local women leaders,
youth representatives
c. Orientation will include the following information:
CASA1000 and CASA1000 CSP objectives
Community driven development – how it works
The cycles of subproject activities
Specific requirements for including women and youth as project objectives
Role of community representatives and community committees
Approach to procurement
Social accountability and oversight mechanisms
Orientation on World Bank anti-corruption guidelines
Total project budgets and subgrant allocation for Jamoat and its villages
d. Attendance includes:
Head of jamoats and specialists from jamoat administration
Representatives of ESPMU
Representatives of NGO
Step 1.1.4 NSIFT/ESPMU Conduct Village-Level Orientation Meeting
a. CSP Coordinators (NSIFT/ESPMU), Regional Community Development Coordinators, CDA, TFP(s)
organizes orientation meeting at the village level
b. Mahalla leaders will be mobilized by NSIFT/ESPMU and TFPs to engage villagers in orientation
meetings

CASA1000 CSP TAJIKISTAN POM
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c. Orientation will include the following information:
CASA1000 and CASA1000 CSP objectives
Community driven development – how it works
The cycles of subproject activities
Specific requirements for including women and youth as project objectives
Role of community representatives and community committees
Approach to procurement
Social accountability and oversight mechanisms
Orientation on World Bank anti-corruption guidelines
Total project budgets and subgrant allocation for the village
Plans for a general village meeting for election of VPC members, Youth Energy Ambassadors,
and Youth Monitors emphasizing the targets for women and youth.
d. Meeting organizers should give information to the villagers about planning mahalla group
discussions for seeking for volunteers/nominations for leadership roles (Village Project
Committee, Youth Energy Ambassadors, Youth Monitors), emphasizing the targets for women
and youth
e. Depending on village size, attendance will include an aim of 70 percent of the village population,
with a focus on ensuring at least 50 percent youth/women attendance
The form for the minutes of introductory meetings is presented in Annex 3.2.
Step 1.2 Participatory Selection of Community Representatives and Formation of Committees
Objective:
to undertake participatory selection of community representatives and establish village-level
and Jamoat-level committees that will facilitate the community mobilization process; to train all
representatives so that they understand and carry out their roles and responsibilities under the Project.
Communities will select (detailed description of roles in Chapter 2):
Village Project Committees (VPCs) responsible for mobilizing communities in the subproject cycle
process (one in each village in the COI; once for each grouping of villages/Mahallas in Isfara).
Jamoat Project Commissions (JPCs) to support subproject implementation at the Jamoat level.
(One in each Jamoat in the CoI as well as Vorukh and Chorkuh in Isfara District).
Youth Monitors (YMs) to support the social accountability and participatory monitoring processes
under the project, including implementation of social audits and community scorecards (2-4 per
village; equal numbers of men/women; at the age 18-30).
Youth Energy Ambassadors (YEAs) will be trained to build awareness in communities regarding
energy efficiency, including through awareness campaigns and community outreach in coordination
with the JPC (2-4 per village; equal numbers of men/women; at the age 18-30).
Following orientation meetings, NSIFT with support from TFPs, will lead participatory selection of
community representatives and formation of village and jamoat committees. Community members will
be elected to join a Village Project Committee (VPC), responsible for mobilizing communities in the
subproject cycle process. NSIFT and TFPs, with a cadre of trained Community Development Advisers
(CDAs) will support training and capacity building activities for communities to support active
engagement and community leadership of the VPCs in the project. 50 percent of VPC members will be
women, and 50 percent of both men and women will be under the age of 35. In addition, equal numbers
of young men and women from each community (4 in total) will be selected and trained as Youth Energy
Ambassadors; and equal numbers of young men and women from each community (4 in total) will be
selected and trained as Youth Monitors to support social accountability activities. During this step, the
Jamoat will also establish a Jamoat Project Commission (JPC) composed of VPC and Jamoat

CASA1000 CSP TAJIKISTAN POM
42
representatives (50 percent women) to carry out the roles defined at the Jamoatlevel.A Volunteer
Nomination form is presented in Annex 3.3.
Step 1.2.1 Mahalla-Level Discussions to Nominate Candidates and Solicit Mahalla Inputs to Village
Profile
Objective:
There are three objectives of Mahalla-level discussions: 1) to sensitize diverse community
members regarding the goals and approach of the CSP project, the terms of reference for community
roles, and encourage participation in CSP village meetings; 2) tosolicit nominations from each
Mahalla/neighborhood for communities roles (VPC, YMs and YEAs). Each mahalla should propose their
candidates to be presented during elections held in a village meeting; and 3) solicit Mahalla-level inputs
to the village profile. The village profile is a participatory mapping of the demographics and key
infrastructure, services and human resources in the community (see Annex 3.4 for details on the village
profile format and approach), which will be based on the inputs of each Mahalla. The village profile will
help inform the Village Development Plan and participatory selection of subprojects.
Note: The TFP, once hired, will support NSIFT in detailing more comprehensive procedures, agenda and
approach for the Mahalla-level discussions to ensure the inclusion of women, youth, marginalized
populations; and will develop a participatory mapping process for Mahalla inputs to the village profile.
Participants. Participants must be residents of the Mahalla with a target of 60% participation. TFP/CDAs
will facilitate mahalla meetings (in teams of at least one man, one woman). Minimum participation of
50% women and participation of youth in each of the individual Mahalla groups.
Timeframe. Mahalla group discussions should take approximately 2 hours each. It is desirable to
complete all Mahalla group discussions in each village within the shortest feasible period depending on
village size/number of Mahallas. This would include a series of Mahalla discussions over a 1-3 day
period with the same TFP/CDA facilitation team for each village.
Documentation of results. The Mahalla group discussions results will be recorded in minutes which
should contain the following minimum information (see form in Annex 3.5):
The list of participants who attended the mahalla group discussion with their name, contact phone
number and signature and a group photo of all people in attendance
Registration sheet with proposed candidates to community roles
Names and contact information of the proposed candidates to community roles
Draft Mahalla mapping/input to village profile (see form in Annex 3.6)
Photos of the meeting
Originals of the minutes with the attendance sheet, photos are kept by the Jamoat; copies are
collected by CDA
Step 1.2.1.1 TFP/CDA, Mahalla leaders prepare Mahalla meeting
a. TFP/CDAs will reach out to Mahallas leaders to support the CSP team in mobilizing the residents
of the Mahalla to participate in Mahalla group discussions.

CASA1000 CSP TAJIKISTAN POM
43
b. TFP/CDAs/Mahalla leaders set meeting date(s) and time(s) convenient to the Mahalla members
taking into consideration women’s household responsibilities and agricultural season
responsibilities.
c. TFP/CDAs/Mahalla leaders select venue for Mahalla members meeting. If possible, it should
have adequate heating, seating and lighting and be free from noise/interruption (e.g. schools,
cultural halls, government offices, etc.).
d. TFP/CDAs/Mahalla leaders invite residents of the Mahalla to attend. At least 60% of households
of the mahalla should be represented to the extent possible, including vulnerable ones; the
meeting should also include 50% women and mobilize young people in the Mahalla.
e. TFP/CDAs are responsible for leading the Mahalla discussions and will prepare all necessary
materials including flipcharts, stickers or paper, markers, masking tape, etc. These will be
supplied by the CDAs.
f. TFPs with CDA support facilitate the Mahalla group discussions and prepare the initial
presentation describing the Project, community roles, and Mahalla inputs to the village profile.
g. Members of the Mahalla group decide among themselves who will act as “Secretary”. The
Secretary should be a woman for at least half the Mahalla discussions. The Secretary takes the
minutes of the meeting according to the form provided and is responsible for taking
photographs of the Mahalla discussions.
Step 1.2.1.2 TFP/CDA conduct Mahalla group discussions
a. Mahalla group discussions participants are asked to sign an attendance sheet when joining for
the meeting using the form in Annex 3.7.
b. For each Mahalla group, the TFP/CDA facilitators provide an overview of CSP, the roles and
responsibilities of the community actors’ positions/vacancies and criteria for
nominees/candidates and also the methodology for election of the proposed candidates at the
village meeting (20 mins).
c. Participants brainstorm Mahalla nominees/candidate’s through an open discussion (1 hour).
d. Depending on the size of village and membership requirements for the VPC, the Mahalla is
facilitated to present at least 6 candidates (1 man+1 woman each for VPC, YMs and YEAs) as
follows (30 mins):
The Facilitator and Secretary write all the candidates raised in the brainstorming. Secretary
posts the choices listed on a wall.
The Facilitator invites everyone to vote for their preferred candidates (1 man+1 woman in
each category) through a secret ballot dropped into a ballot box.
Once everyone has finished voting, the Facilitator counts the number of votes for
eachcandidate and the Secretary photographs the ranked list.
e. TFP/CDA informs the nominated candidates and confirms their willingness to serve; the
candidates are also told to be ready to present him/herself at the village meeting.
f. TFP/CDA then lead the Mahalla group discussion around development of Mahalla inputs to the
Village Profile.
g. TFP/CDA/Mahalla leader provide a mapping of the Mahalla/neighborhood with
outline/boundary and key landmarks so that people can orient themselves; facilitator asks the
participants if they agree with the outline, physical features, and neighborhood boundaries that
have been indicated.
h. TFP/CDA then lead the Mahalla group discussion in a participatory mapping exercise to develop
the Mahalla’s inputs to the Village Profile (see Annex 3.4) including demographics, local
infrastructure, services, public resources, existing donor financing.

CASA1000 CSP TAJIKISTAN POM
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i. TFP/CDA help the Mahalla finalize this Mahalla map as an input to the Village Profile.
Step 1.2.2 Election of Village Project Committee, Youth Monitors and Youth Energy Ambassadors at
the General Village Meeting
The Head of village, TFP/CDAs with support from the NSIFT Regional Community Development
Coordinator (RC) organize a general village meeting for election of Village Project Committee, Youth
Monitors and Youth Energy Ambassadors. This will be based on nominations received during Mahalla
group discussions.
a. TFP/CDAs will draw on existing Mahalla/community leaders to reach out and mobilize the
villagers to participate from diverse Mahallas/neighborhoods (and following Mahalla group
discussions). At least 60% of households in each Mahalla must participate in the village
meeting; and at least 50% of the meeting participants must be women for the election to be
valid.
b. TFP/CDAs will ensure that at least 50 percent of women participate by working with the Mahalla
leader to identify women leaders in the neighborhood. These community leaders and women
leaders go house-to-house inviting women to attend. This initial effort will emphasize that the
meetings present a safe environment for women, encouraging participation.
c. TFP/CDA with support from the RC will facilitate the village meeting which should last no more
than two hours.
d. TFP/CDA with support from the RC will list all nominations received on a board at the front of
the meeting.
e. The Facilitator will describe the community roles and facilitate a discussion on
theresponsibilities and the skills required and the number of volunteers needed based on the
village size:
Roles and objectives of VPC, JPC, YMs, and YEAs within CSP
Emphasize the requirement around inclusion of women and youth: 50% women, 50% of
both men and women will be at the age of 18-35.
f. The Facilitator will invite nominated candidates to briefly (in 5 minutes) introduce themselves,
including their reasons for wanting to join the VPC, YMs and YEAs and their qualifications.
g. The Facilitator will then organize voting by secret ballot, choosing their preferred candidates (1
man+1 woman each for VPC, YM, and YEA roles):
TFP/CDAs prepares two boxes for all positions: one box for man candidates and one box for
woman candidates.
Each person receives 1 card/piece of paper with indicating lines of vacant positions and
lines to fill in the name of the candidates (see Ballot Template, Annex3.9).
Each person deposits card/paper into the ballot box with indicating their choice.
h. Once voting is completed, TFP/CDAs count votes from each box in front of the assembled
group.
i. If there are more candidates then available openings on the VPC, YMs and YEAs, positions filled
in descending order of votes.
j. TFP/CDAs compile minutes of meeting including lists of VPC, YMs and YEAs with contact
information, takes separate group photos of the VPC, YMs and YEAs, and have all members sign
the Code of Conduct. Copies of this information transmitted to NSIFT Project Unit and
maintained in the relevant files.

CASA1000 CSP TAJIKISTAN POM
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k. VPC members conduct meeting for electing the Chairperson of the VPC. Members of VPC elect
Chairperson by secret ballot. TFP/CDAs will attend the meeting as an observer and to record
minutes.
l. Members of VPC will select representatives to the JPC. Chairperson of VPC automatically
becomes the member of JPC. Other members of VPC may be selected for JPC composition as
well, with thesubject to gender equality 50% women of JPC composition. The CDA record
minutes of the meeting and transmits to NSIFT Project Unit.
Step 1.2.3 Formation of Jamoat Project Commissions
Following the confirmation of JPC members from each VPC, the next activity concerns the establishment
of the JPC in each Jamoat. The JPCs will carry out a number of representation, coordination, financial
management, and procurement functions in the Project. They will ensure that community priorities are
taken forward, act as the main point of liaison with NSIFT and ESPMU. This area of activity includes
actions to select JPC office bearers.
a. NSIFT support the formation of the JPC, including:
NSIFT submit official letter to each Head of Jamoat to determine which Jamoat staff will
join JPC. Letter should have information about nominated VPC members to the
composition of JPC; and requirements of the JPC in terms of inclusion of women/youth.
b. After receiving letter from Head of Jamoat with the nominated candidates, the initial meeting of
JPC is conducted, with assistance from the TFP/CDAs.
NSIFT invites the Head of the Jamoat to attend the meeting.
NSIFT presents the goals of the JPC, structure, and roles of office-bearers.
JPC Members amend and confirm draft JPC charter presented by NSIFT and formally vote to
adopt.
JPC Members seek nominations and self-nominations for the office-bearers.
During the initial meeting, members of the JPC elect Chairperson and office bearers by
secret ballot.
c. TFP/CDAs/RC documents the results of the introductory JPC meetings:
Original copies of filed minutes (see form for minutes Annex 3.2) will be stored at JPC.
Copies of documentation will be stored at NSIFT regional office.
JPC members sign Code of Conduct (see Annex 1.5).
d. JPCs recruit young accountants, a young accountant/bookkeeper to assist Jamoat Financial
Management Specialist. The criteria/ToR for the Young Accountant is set out in Annex 2.7. JPCs
will conduct an open and transparent process in the Jamoat. Selection criteria includes: 1) they
are young men and women (ages 18-30) from the target community; 2) have graduated from a
basic bookkeeping course and 3) have the skills to support the accounting functions of the JPC.
The steps taken by JPCs for the recruitment of Young Accountants are as follows:
Finalize/adapt TOR to local situation
Conduct an open call for applications for the Young Accountants
JPC selection according to TOR criteria.
Step 1.3 Training and Capacity Building Activities for Community Roles
Objective:
to undertake training and capacity building activities for communities to support active
engagement and community leadership. This step targets training for the JPCs, VPCs, YMs, and YEAs to

CASA1000 CSP TAJIKISTAN POM
46
complete the subproject cycle effectively. Chapter 2 describes broader capacity building activities under
the Project to promote improved local governance.
As part of project design, Training and Facilitating Partners, NGOs skilled in community mobilization and
local capacity building, will support NSIFT in developing training curriculum and coaching and mentoring
NSIFT staff, Community Development Advisers, local officials and communities in community
mobilization, participatory planning, social accountability, and a range of community development
topics. A cadre of trained Community Development Advisers will also support training and capacity
building activities at community level.The Consolidated Training Plan is described in Annex 3.10.The
form for tracking VPC/JPC representatives is presented in Annex 3.11.
Step 1.3.1 Training manuals developed
a. The TFPs with NSIFT inputs develop a training manual and material on community mobilization
processes/subproject cycle.
b. The TFPs with NSIFT inputs develop a training manual and materials on social accountability and
energy awareness building for the YMs and YEAs.
c. The training manual is approved by the World Bank annually.
Step 1.3.2 Training of VPCs, JPCs, YMs, and YEAs Conducted
a. CDAs and TFPs organize training for the VPC members per Table 3.1, line 1; CDA, TFP invites the
VPC members for training at the village level and TFP covers training expenses.
b. CDAs and TFPs organize training for the JPC members per Table 3.1, line 2; CDA, TFP invites the
JPC members for training at the jamoat/village level and TFP covers training expenses.
c. CDAs and TFPs organize training for the YMs and YEAs members per Table 3.1, lines 3 and 4;
CDA, TFP invites the YMs/YEAs for training at the village level and TFP covers training expenses.
Table 3.1: Outline Training Plan- Community Mobilization Activities

No. Training Topic Participants Duration Frequency
1
Training for
Village
Project
Committees
Topics to be developed by TFP will include: 1)
participatory needs assessment and decision-making
techniques; 2) project gender, youth and poverty
requirements; 3) reporting requirements
[62] VPCs
organized
into 26
clusters
TBD Annual
(Years 1,
2, and 3)
2
Training for
Jamoat
Project
Committees
Topics to be developed by TFP will include: 1)
participatory needs assessment and decision-making
techniques; 2) project gender, youth and poverty
requirements; 3) small procurement, accounting and
bookkeeping; 4) project management; 5) participatory
community monitoring; 6) O&M; and 7) safeguards
26 JPCs TBD Annual
(Years 2, 3
and 4)
3
Training for
Youth
Monitors
Topics to be developed by TFP will include: (1) social
audits including identifying stakeholders, design,
facilitating social audit meetings and institutionalizing
results; (2) community scorecards including how to
design the scorecard; how to implement a scorecard;
and how to design an action plan
142 YMs Two-day
training
Annual
(Years 1,
2, 3 and 4)

CASA1000 CSP TAJIKISTAN POM
47

No. Training Topic Participants Duration Frequency
4
Training for
Youth Energy
Ambassadors
Topics to be developed by TFP will include: 1) energy
efficiency approaches; 2) introduction to climate
change causes, impacts and mitigations; 3)
participatory needs assessment and decision-making
techniques; and 4) how to form a Youth Development
Plan
142 YEAs TBD Annual
(Years 2, 3
and 4)

Step 1.4 Youth Energy Ambassadors Conduct Public Awareness Campaign (ahead of Subproject Cycles
2 & 3)
Following training, Youth Energy Ambassadors with the Jamoat energy efficiency champion (JEEC – See
Chapter 2) prepare and conduct a public awareness campaign before subproject rounds 2 and 3,
including:
a. JEEC and YEA to consult with local businesses and develop detailed workplan including:
Types of activities proposed
Locations/dates of activities
Roles and responsibilities
Technical or financial support required (if any)
b. JEEC and YEA present workplan to JPC to gain support for outreach in target areas.
c. CDA provides materials for the campaign to the JEEC and YEA.
d. YEAs schedule energy efficiency talks in various venues where youth congregate in each village.
This could include schools, sports venues, job training centers, etc.
e. YEAs invite youth in cooperation with the VPC and Mahallas.
f. YEAs conduct energy efficiency talk highlighting:
Causes, mitigation and adaptation to climate change
Types of behaviors that contribute to energy efficiency
Types of energy efficiency investments that can be made with Component 2 (Year 2-3)
community investment funds.
3.2. Phase 2: Participatory Needs Assessment and Subproject Selection

Phase 2 of the subproject cycle
includes participatory needs
assessment and subproject
selection. This phase will be
undertaken for each round of
subprojects, with a shortened cycle
1/year 1 for communities to
prioritize from a limited menu of
electricity investments.

Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
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Step 2.1 NSIFT with ESPMU Conducts Community Consultations on Cycle 1 Village Electricity
Investments
Objective:
For Cycle 1/Component 1 village electricity investments, NSIFT will support a community
consultation process to be held alongside initial CSP orientation meetings at village level. During the
consultation, ESPMU will present a technical assessment/closed menu of recommended village-level
electricity investments. The consultations will allow NSIFT and ESPMU to solicit the views and opinions
of villagers regarding proposed electricity investments needed in the community. Each village
consultation will determine the need and consent of villagers to the proposed electricity investments.
Participants. Participants must be residents of the village. Village consultations are open to all residents
of the villageand should involve as many people as possible. Attendance targets are approximately 70%
of households of each mahallah (neighborhood). Minimum participation of women is 50%.
Roles and responsibilities. Village consultation meetings will be led by NSIFT/ESPMU with facilitation
support from the TFP, whose role is to act as neutral facilitators soliciting the views of others in a
respectful and constructive manner. Following hiring of the TFP, the TFP will be asked to develop more
detailed procedures for the facilitation of the consultation meeting—an initial outline is below.
Timeframe. Village Consultation Meetings should take approximately 2-3 hours. Depending on the
number of NSIFT/ESPMU representatives and facilities available, the village consultations may be
organized simultaneously or at consecutive times.
Procedure. NSIFT/ESPMU conduct village consultations on cycle 1 electricity investments in each village.
a. NSIFT/ESPMU opens meeting with reminder of CSP aims and objectives and present information
on allocated funds for Year 1 electricity investments; Facilitator explains agenda and process (5
mins).
b. ESPMU presents prepared technical assessment for the proposed electricity investments (30
mins) TFP Facilitator leads consultations in order to present and discuss the opinions and views
of the groups of villagers according to the proposed electricity investments and note all views
and opinions on the flip chart (40 mins).
c. In order to seek diverse opinions and views, and track the particular views of youth and women,
the facilitator may include break out discussions of:
Women
Youth (between 18-35 years of age)
d. Each group should discuss proposed electricity investment among the group and write all views
and opinions on the flipchart and hang it on the wall. Discussions in the group can take approx.
20-30 minutes). Facilitator or representative of each group should present all reflected views
and opinions of each group to the participants of village consultations. (20-30 mins).
e. As required, Facilitator will lead a process of voting to finalize village views and inputs on
ESPMU-proposed closed menu of village electricity investments.
f. Group is photographed with noted views and opinions.
g. Minutes of Village consultations recorded (see form at Annex 3.12).
Documentation of results. Results for the Village Consultation Meetings will be recorded in Minutes
drawn up for each village, which should contain the following minimum information (see form in Annex
3.12):

CASA1000 CSP TAJIKISTAN POM
49
The list of participants who attended the Village Consultations with their name, contact phone
number and signature and a group photo of all people in attendance;
Registration sheet with results of voting
Photos of the meeting
Views and opinions raised during the consultations on the wall or on the board, then photos
showing this process should be attached
Originals of the minutes with the attendance sheet, photos and views and opinions are kept by the
Jamoat; copies are collected by CDA.
Step 2.2 Village Profile and Focus Group Discussions Held for Socio-Economic Infrastructure
Investments
Objective:
Solicit the views and opinions of target groups regarding investments needed in the
community. Each target group will produce a ranked list of these needed investments in order of
priority. (Priorities from each target group will then be discussed and voted on during a Village
Prioritization Meeting with the majority vote selecting the investment).
The VPC will first be facilitated by the TFP/CDAs to develop a Village Profile, drawing on the inputs from
the Mahalla group discussions held earlier. After the Village Profile is complete, and adopting the
participatory rural appraisal approach, the VPC will organize and help facilitate focus group discussions
(FGDs) aimed at engaging women, elderly, youth, entrepreneurs, professionals, and vulnerable
households. FGDs will enable these community groups to identify, discuss, and prioritize their needs.
FGD priorities will then be discussed and ranked at village prioritization meetings, included in Village
Development Plans (VDP), and communicated to the JPC for endorsement. To ensure women’s priorities
are heard, the project will track and measure the percentage of investment in women’s groups
priorities. To ensure youth priorities are adequately represented in VDPs, the decisions of the youth FGD
will be included in a youth chapter of the VDP, with the aim of identifying possible youth-related
interventions eligible for funding in Year 4/round 4.
Participants. Participants must be residents of the village. Community members may only participate
(and vote) in one FGD. FGDs should be conducted for 6-10 separate groups, and each FGD should
include a minimum of 10-15 people depending on size of village. Thus, FGDs will involve a total of
approximately 60-150 people per village.
a. Minimum participation of 50% women in each of the individual FGDs except for the women’s
group (100% women)
b. Attendees are separated into six separate target groups as follows:
Women (the group is opened for all village women, not participating in any other group)
Elderly (over 65 years of age)
Youth (between 18-35 years of age)
Entrepreneurs (self-employed (farmers, herders, etc.), micro or small business owners)
Professionals (including teachers, healthcare professionals); and
Vulnerable households (including extreme poor, disabled, female-headed households,
ethnic minorities)
c. All FGDs should include at least one representative from each Mahalla/neighborhood in the
village.

CASA1000 CSP TAJIKISTAN POM
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Timeframe. FGDs should take approximately 2 hours each. Depending on the number of TFP/CDA
facilitators and facilities available, the FGDs may be organized simultaneously or at consecutive times. It
is desirable to complete all FGDs within one week.
Documentation of results. The FGD results will be recorded in minutes drawn up for each group, which
should contain the following minimum information (see form in Annex 3.13):
The list of participants who attended the FGD with their name, contact phone number and signature
and a group photo of all people in attendance
Registration sheet with results of voting and ranking the community needs identified in the FGD
Names and contact information of the FGD representatives to the Village Prioritization Meeting
Photos of the meeting
If voting was by stickers / notes on the wall or on the board, then photos showing this process
should be attached
Originals of the Minutes with the attendance sheet, photos and ranked priority lists are kept by the
Jamoat; copies are collected by CDA.
Step 2.2.1 – VPC Develop Village Profile Based on Mahalla Group Discussions
a. With facilitation support from the TFP/CDAs, the VPCs hold a meeting to develop the Village
Profile and Map based on inputs from the Mahalla group discussions (see Step 1.2.1).
b. The VPC reviews Mahalla maps and combine them into the Village Profile/Map.
c. With the help of CDAs/TFP, the VPC finalizing Village Profile in order to identify general needs in
the community. The Village Profile (see Annex 3.4 for form) provides general statistical data on
poverty, social infrastructure, projects already financed for the current fiscal year, and other
sources of funding (public and private).
d. The Village Profile/Map is then included as an input/background for the FGDs.
Step 2.2.2 VPC Prepares FGDs
a. VPC members set date(s) and time(s) convenient to the community taking into consideration
women’s household responsibilities and agricultural season responsibilities.
b. VPC members select venue. If possible, it should have adequate heating, seating and lighting
and be free from noise/interruption (e.g. schools, cultural halls, government offices, etc.).
c. VPC members and Mahalla members invite participants to attend. All neighborhoods/streets
should be represented to the extent possible with at least one representative from each
Mahalla in each FGD.
d. VPC members responsible for FGDs prepare all necessary equipment and materials including
flipcharts, stickers or paper, markers, masking tape, etc. These will be supplied by the CDAs.
e. VPC members make special arrangements if needed to arrange transport for the elderly and
disabled.
f. Members of the VPC with support from the CDA/TFP decide among themselves who will act as
“Facilitator” and who will act as “Secretary”. The Facilitator should be a woman for at least half
the FGDs, including for the womens’ groups. Jamoat staff should not be selected as Facilitator
but may serve as Secretary. The Secretary takes the minutes of the meeting according to the
form provided and is responsible for taking photographs of the FGD/outcomes of the voting.

CASA1000 CSP TAJIKISTAN POM
51
Step 2.2.3 VPC Conducts FGDs with Reference to the Village Profile
a. With support from TFP/CDAs, VPC convene a series of focus group discussions. VPCs especially
reach out to women leaders to encourage the participation of women.
b. FGD participants are asked to sign an attendance sheet when arriving for the meeting using the
form in Annex 3.7.
c. For each focus group, the Facilitator explains the methodology that will be used and the “house
rules” regarding respectful and constructive inputs (10 mins).
d. Village Profile is presented and submitted to the Focus Group participants.
e. Participants brainstorm community needs through an open discussion (1 hour).
f. Participants prioritize top 4-5 needs as follows (30 mins):
The Facilitator and Secretary write all the choices raised in the brainstorming (one per piece
of paper) deleting all items deemed unfeasible in the discussion and combining items as
necessary to avoid duplication. Secretary posts the choices on a wall.
The Secretary should distribute one sticker (or sheet of paper) for each participant. [Note
that trying to prioritize in large group discussions with a show of hands is often ineffective
and is often dominated by more powerful or outspoken participants].
Facilitator invites everyone to vote simultaneously (instead of lining up) by placing their
sticker/paper on the wall under the appropriate sign.
Once everyone has finished voting, the Facilitator counts the number of votes for each item
and the Secretary photographs the walls/vote and makes a ranked list.
g. The priorities identified by the Youth FGD(s) in each village shall also be sent to the jamoat for
inclusion in the Youth Development Plan.
h. The priority list of the women’s FGD(s) will constitute documentary evidence for indicator IR5.
Step 2.2.4 FGD Participants Elect Presenter for Village Prioritization Meeting
a. Facilitator explains that each FGD needs to elect one person to present their groups’ priorities at
the Village Prioritization Meeting (VPC).
b. Facilitator asks FGD participants to volunteer themselves and/or asks for nomination by the
group of someone physically present in the FGD. Facilitator encourages participants to elect
women representatives, explaining that there is a target of 50% female representatives.
c. Once candidates are identified, facilitator asks participants to elect a representative by show of
hands.
Step 2.3 Village Prioritization Meeting Held Based on Focus Group Results
Objective.
To finalize the selection of the investment priority that will be developed into a subproject
proposals for the Village subgrant. (i.e. to present the results of the FGD’s prioritization and conduct a
vote for the subproject).
Participants. The VPM is open to all residents of the village and should involve as many people as
possible. Attendance should include representatives from at least 60% of households in each Mahalla as
well as minimum participation of 50% women for results to be valid.
Roles and responsibilities. The VPM is facilitated by the TFP/CDAs and supported by members of the
VPC soliciting the views of others in a respectful and constructive manner. VPC members may not
introduce their own ideas or seek to influence the views of others and do not vote in the meeting.

CASA1000 CSP TAJIKISTAN POM
52
Timeframe. The VPM should take approximately 2 hours.
Documentation of results. Results of the VPM will be recorded in the minutes which should contain the
following minimum information (see form in Annex 3.14):
The list of participants who attended the VPM with their name, gender, contact phone number and
signature
Registration sheet with results of voting and ranking the community needs identified in the FGD
showing the top priority identified
Names, gender and contact information of the FGD representatives to the VPM
Photos of the meeting
Photos of the voting; if voting was by stickers / notes on the wall or on the board, then photos
showing the wall should be attached
Originals of the Minutes with the attendance sheet, photos and ranked priority lists are kept by the
Jamoat; copies are collected by the CDA and brought to the NSIFT for data entry and storage as
needed for M&E section (Under Subcomponent 4- see Chapter 5).
Step 2.3.1 TFP/CDA/VPC Prepare Village Prioritization Meeting
a. TFP/CDA with VPC setdate, time and venue.
b. Mahalla Committee and VPC invites community to the meeting, emphasizing importance of
women and youth participation, using various channels including bulletin boards, home visits,
loudspeakers, announcements to the school, etc.
c. TFP/CDA with VPC makes special arrangements if needed to ensure that elderly and disabled are
able to attend.
d. TFP/CDA with VPC members prepare all necessary equipment and materials for discussion and
voting (flipchart, markers, colored paper, “ballot boxes” made out of boxes or other closed
container). Necessary supplies will be provided by the CDA.
e. TFP/CDA with VPC members decide among themselves two “Facilitators” (1 man/1 woman) and
two “Secretaries” (1 man/1 woman).
Step 2.3.2 TFP/CDA/VPCConducts the Meeting to Select Priority Investment
a. TFP/CDA opens meeting with reminder of CSP poverty, gender and youth focus/criteria;
Facilitator explains agenda and process (5 mins).
b. Each FGD Representative presents their group’s top priorities for subprojects (30 mins max for 6
groups = 5 minutes each).
c. Facilitator leads general discussion of priority needs in the community and notes any new needs
identified on a flipchart (20 mins).
d. Facilitator calls for a vote on the options identified above.
Facilitator prepares box for each choice with the name and a picture or drawing of the
proposed project on the box so people know what choice it represents
Each person receives 1 card/piece of paper
Each person deposits paper into the ballot box of their choice
Once voting is completed, Facilitators count votes from each box in front of the assembled
group.

CASA1000 CSP TAJIKISTAN POM
53
e. VPC members announce how many people voted for each option in the presence of the
assembled community.
f. Group is photographed with a sign naming the highest number of votes.
g.
The proposal(s) for Subproject(s) that wins the majority votes shall be selected.
Step 2.4 Inclusion of Village Priorities in Village Development Plan/Youth Development Chapter
Objective.
To ensure that Village Development Plan is informed by the FGDs and results of the village
prioritization meeting; to add a youth-focused Chapter to the VDP.
Step 2.4.1 VPC Develops a Village Development Plan
a. VPC compiles the list of needs raised during the community mobilization process (FGD and VPM
priority lists) including the proposal selected for investment.
b. VPC compiles a Village Development Plan (see form in Annex 3.15) that lists these priorities:
Priorities should be shown in descending order of votes by the community.
Priorities should be accompanied by projected budget figures if possible.
The Village Development Plan (VDP) should note whether the priority selected for CSP
funding was identified in the Women’s and/or Youth’s FGDs.
Step 2.4.2 VPC and YEAs Develop a Youth Development Chapter/VDP
a. VPC and YEAs develop a draft Youth Development Plan to include as a Chapter of the VDP that
lists the priorities (in descending order of votes by the FGD participants) from the Youth FGDs
and any key points raised during youth FGDs regarding village development (see form in Annex
3.16).
b. This list will constitute the menu of investment options if residual funds are available in Year 4
(see section xx).
Step 2.4.3 VPC Submits the Village Development Plan, including Youth Chapter to JPC for
Endorsement
a. VPC submits the Village Development Plan, including the Youth Development Chapter to the JPC
for endorsement.
b. Jamoat posts the LDP on the Jamoat bulletin board, and through the Mahalla Committees, posts
the information on public bulletin boards in schools and public places in each village.
3.3. Phase 3: Subproject Development

Phase 3 of the subproject cycle
focuses on the development of the
subproject prioritized by
communities. This phase will be
undertaken for each round of
subprojects. Year 1 electricity
subprojects will be prepared by
ESPMU; the remaining rounds of
subprojects (Years 2, 3, and 4) will
be prepared by NSIFT and
communities.

Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
54
Objective. To develop the detailed proposals and technical designs for the subprojects selected through
the community mobilization process in each village. This includes detailed design (including any
safeguard requirements) and procurement plans. This section should be read alongside the
accompanying Subgrant Manual that supplements this POM.
For electricity investments, ESPMU will develop the electricity subproject design. For socio-economic
infrastructure investments,the JPC will check the feasibility of the proposed subproject against the
subgrant included in the Jamoat Development Plan, work with the VPC to develop the subproject
proposal, and request NSIFT to carry out feasibility checks and the detailed design. The JPC will also
work closely with NSIFT on the development of the subproject design, including addressing any
safeguards requirements. NSIFT will prepare the technical designs and tender packages in accordance
with regulations, utilizing relevant standard government designs as appropriate
.
Output.
Detailed design and procurement plans for all 60 villages in the CoI as well as approx. 11 groups
of villages in Isfara District. Proposals must address how women and men will benefit equally from the
investment and include a completed Environmental Management Plan (EMP).
Documentation of results. Prior to funding of subprojects, each village will provide evidence that the
community mobilization and decisions over subprojects has been undertaken genuinely, that proposed
subprojects meet poverty reduction and gender equity goals and are included in Jamoat Development
Plans, that they are technically viable (through a technical checklist), that any donor coordination has
been carried out, and that subproject sustainability and O&M plans have been developed. At the end of
Phase 3, the JPC will submit to NSIFT:
Minutes, sign-in sheets, and photos of the FGDs and Village Prioritization Meeting documenting the
community mobilization process (as provided by the VPCs)
The Jamoat Development Plan showing that the intended investment is included (form is shown in
Annex 3.17
Beneficiary analysis showing that women, youth, and the poor will benefit equally from the
investment (see guidelines in Annex 3.18)
Technical checklist (see guidelines in Annex 3.19)
Detailed design document see guidelines in Annex 3.20)
O&M plan (see guidelines in in Annex 3.21).
Step 3.1 JPC and NSIFT Check Feasibility of the Proposed Subproject Against the Allocated Subgrant
a. JPC members assisted by CDAs (and technical staff of NSIFT if necessary) hold a meeting to
check the feasibility of the projected budget for the subproject included in the JDP:
If the amount considered necessary is less than or equal to the available subgrant funds, the
project goes ahead.
If the amount considered necessary is more than available subgrant funds for Cycle 2, but
less than or equal to the total available subgrant funds for Cycle 2 and 3, the JPC can choose
to carry over their subgrant and undertake one subproject of higher value in Cycle 3.
b. In cases where Jamoats or CDAs become aware that neighboring communities have prioritized
similar investments (e.g. roads or irrigations) that would benefit from economies of scale by
joining the two subprojects, they should facilitate a discussion between the relevant JPCs.
c. Should the JPCs agree to collaborate:

CASA1000 CSP TAJIKISTAN POM
55
The joint investment shall be reflected in the design and presented to the respective
communities in step 3.3 below.
JPCs will jointly participate in all steps below related to community participation and
monitoring of the procurement and implementation of the subproject.
Step 3.2 JPCs Develop Initial Expanded Subproject Proposal
a. TFP/CDA will train members of the JPC on preparation of subproject proposal and procurement
steps. During this training, the NSIFT Social Safeguard Specialist explains to the JPC members
how to develop the Social and Environmental Management Plan (see Safeguards, Chapter 7, and
Annex 3.22).
b. JPC members begin filling in the required forms and templates.
c. JPC members produce a first draft of the Monitoring &Evaluation Plan, Procurement Plan with
support from CDA/TFP during the training.
Step 3.3 VPC Members Consult Community on the Design and Estimates Beneficiaries
a. VPC members shall meet with residents who helped select the proposal to identify/clarify:
Intended beneficiaries: who are the primary intended users of the proposed investment?
Are any accommodations necessary to make sure that women are able to benefit equally
from the investment?
Intended use of investment: How do they envision the design? What times of day/year
would they use the investment?
Location: What is the preferred location of new construction (if relevant)? Is this location
accessible to the poorest families in the village?
b. VPC submits final recommendations regarding design and beneficiary targeting to JPC.
c. NSIFT Central Office Engineer conducts field inspections all selected sites, if necessary, together
with the Safeguard Specialist.
d. Regional engineer consults the Raion Land Use Map to verify that the proposed sub-project site
is zoned for that type of construction.
e. JPC meets with community members in the village where the investment is proposed to be
located to complete the Environmental Checklist (see Safeguards, Chapter 7 for additional
details and Annex 3.22).
f. If the subproject includes the need for an allocation of land for construction, NSIFT coordinates
with the Hukumat of the district to determine if the land is publically or privately owned; and
proceeds, as required, with preparing a Resettlement Action Plan in coordination with the JPC
(see Chapter 7 on safeguards for additional details).
g. In the event that the original proposed location triggers environmental and social risks not
permitted under CSP, NSIFT engineers will assist the Jamoat to identify an alternate location.
Step 3.4 NSIFT Prepares Detailed Subproject Design
a. The VPC provides a package of documents (source data) for the development of design and
estimate documentation with a proposal for the implementation of a sub-project to the JPC
and then, after consideration, is transmitted to the regional office of NSIFT.
b. NSIFT leads preparation of an Architectural Planning Task (APL), obtaining technical conditions
for engineering networks and developing a design specification.

CASA1000 CSP TAJIKISTAN POM
56
Chairman of the regional Hukumat orders the District Administration for Architecture and
Urban Planning (DAAUP) on the preparation of architectural planning conditions (APC) and
engineering and technical conditions (ITC). APS includes architectural and construction
solutions (drawings), topographical survey, technical assessment and permission of the
State Agency for Environmental Protection and Forestry. ITCs include communications
connectivity plans. These documents are legal requirements for all investments owned by
jamoat.
In cases where the sub-project provides for public utility facilities (for example, electricity,
water pipes, irrigation canals), it is necessary to involve NSIFT engineers to assist VPC before
receiving the APL.
c. On the basis of the initial data, the NSIFT regional office compiles the terms of reference for the
subproject design and sends all the necessary documentation to the central office of the NSIFT.
d. The procurement specialist of the NSIFT, in accordance with the requirements of the World
Bank procedures, will conduct a competitive selection for the procurement of services for the
development of detailed design and estimate documentation (DED) for the sub-project and
prepare a contract with the project organization.
All project organizations participating in the tender should be licensed to conduct design
estimates, which are issued by the Committee on Architecture and Construction under the
Government of the Republic of Tajikistan.
All activities of the design organization should be carried out in accordance with the ESMP
and RAP, where relevant.
Activities/outputs of the design organization will be prepared in accordance with the
legislation of the Republic of Tajikistan and the terms of the contract, including:
o Meeting with NSIFT, CDAs, and VPC and JPC to discuss specifications
o Review of permits (architectural planning assignment (APZ), preliminary master plan,
design specification (TBP), engineering network specifications, etc.
o topographic survey of subproject site
o Development of detailed working drawings reflecting community suggestions
o Conclusion on the engineering and geological conditions of the construction site
o Architectural and planning solutions (APS)
o Constructive part (CP)
o Statistical data (calculations and design of building elements)
o Plan of placement of equipment and furniture
o Autonomous heating system for solid fuel (Use modern heating devices and hot water
boilers, depending on the heated area of the building)
o Electrical part
o Natural ventilation
o Fire alarm
o External engineering networks (water supply and sewage, electricity, heat etc.)
o Drawings of auxiliary buildings in full (toilet, shed, boiler room, fire tank, etc.).
Step 3.5 JPC Holds Proposal Design Verification Meeting with Community and Finalizes Proposal
a. JPC holds a meeting with the representatives of the FGDs (i.e. people elected to represent the
FGDs during the Village Prioritization Meeting) to share the proposal design. This meeting may
be combined with one of the Community Check Meetings (see Phase 5).

CASA1000 CSP TAJIKISTAN POM
57
b. JPC shares the draft proposal, including the budget and specifications, and describe the
proposed site for the construction (if relevant). The JPC will ask for feedback on the proposed
specifications.
c. Community representatives confirm that the specifications reflect the expressed wishes and
intentions of the community during the community mobilization process or asks for adjustments
to the proposal so long as they are technically and financially feasible.
d. VPC members modify the draft proposal to incorporate the feedback from the Proposal Design
Verification Meeting (if any).
e. VPC sign the bottom of the first page of the proposal (or a subsequent revision) to validate that
the proposal reflects the specifications that were discussed in the Village Prioritization Meeting.
Step 3.6 NSIFT Seeks State Expertise Appraisal/Approval of Subproject Design
a. NSIFT submits final subproject design for state examination to obtain a positive opinion (the
state expert appraisal of design and estimate documentation, as a customer, has been
conducted by the NSIFT in accordance with the requirements of the Committee for Architecture
and Construction under the Government of the Republic of Tajikistan since 2015)
b. After receiving a positive conclusion of the state examination of the Committee for Architecture
and Construction under the Government of the Republic of Tajikistan, the design organization
sends the final package of design and estimate documents in electronic form and in print 4
copies to the NSIFT.
c. The final payment for the services of design organizations for the development of design and
estimate documentation or re-use will be made after receiving a positive consolidated
conclusion of the state expertise of the Architecture and Construction Committee under the
Government of the Republic.
3.4. Phase 4: Subproject Implementation – Covered in the Subgrants Manual

Phase 4 of the subproject cycle
is subproject implementation.
The tasks for this phase of the
subproject cycle are covered in
the accompanying Subgrants
Manual, which focuses on
fiduciary and procurement
aspects of subproject
implementation.

Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
58
Phase 5: Participatory Monitoring and Social Accountability
Objective.
To provide a structured and transparent process for communities to monitor project
activities, including a focus on empowering youth in monitoring and oversight roles.
An important principle of the CDD methodology is that community members should have the
opportunity to provide feedback during the project cycle. This allows for accountability and also helps
identify improvements that would benefit future cycles. The activities described in this phase outline a
continuous set of social accountability activities that will serve as the monitoring mechanism for
subproject implementation. They relate not only to the quality and community satisfaction over the
investments themselves, but also community satisfaction with the quality and inclusiveness of the CDD
process.
Scope of activity. The three social accountability tools to be implemented during CASA1000 CSP and
described in this chapter are:
a.
Social audits take the form of “community check” meetings which are public forums for the VPC
and JPC to present a report back to the target communities on the progress, challenges, and
fiduciary (procurement and FM) information of the project and to allow target communities to
raise issues and ask questions
b.
Community scorecards take the form of a structured feedback survey that will measure
satisfaction with the project (project processes and outcomes) and contribute to action plans to
improve project implementation. Scorecards are also included in “community check” meetings
c. Ongoing
monitoring by the JPC/VPC to monitor implementation of construction works per
agreed design
d.
Beneficiary feedback mechanism (BFM) that will be set up by NSIFT to address grievances,
comments, and any other type of feedback during the life of the project (details on the BFM are
in the Project Management Chapter 4)
Social audits and community scorecards will be conducted in a Community Check Meeting held twice a
year. JPC/VPC monitoring of subproject implementation will take place at 50% and 100% completion.
The BFM is a continuous feedback mechanism operated directly by NSIFT that allows community

Phase 5 of the subproject cycle is
participatory monitoring and social
accountability to enhance
subproject oversight and promote
transparency and accountability
through community involvement in
subproject monitoring. All rounds
(1-4) of subprojects will include
participatory monitoring as part of
implementation.

CASA1000 CSP TAJIKISTAN POM
59
members to contact the implementing agency at any time and on any subject to express concerns (see
Chapter xx).
a.
Coverage. These activities will be conducted in each village within the CoIand Isfara district.
b.
Timing. Community members will be able to engage in social accountability activity throughout
the project.
Social audits will be conducted twice a year. The social audits will take the form of “community check”
meetings
—public forums for the VPC and JPC to present a report back to the target communities on the
progress, challenges, and fiduciary (procurement and FM) information of the project. All communities
will conduct these community checks to ensure that decisions are inclusive and poverty-focused, are
genuinely bottom-up, that there is continuity in the chain of decisions made by focus groups (e.g.
women’s groups), and to enable the VPC, JPC, and NSIFT to explain the expenditures of the project
subgrant. Transparency will be a key parameter; a list of information and documents to be presented at
the community check meetings will be provided to both communities and committee members and
supported by youth monitors. The project will also fund the technical support (through the TFPs) needed
to prepare, organize, and document these community check meetings.
Communities will also engage in filling of semi-annual
community scorecards which will provide an
opportunity for quick and simple feedback on project implementation (project processes and
outcomes). The scorecard process will be facilitated independently from the VPC and JPC, with support
from the cadre of youth monitors. The semi-annual scorecard will be conducted along with the
community check meeting, and results collated to promote feedback and discussion in the meeting, as
well as identifying any areas where improvements will be made in the following cycle. The scorecard will
also provide results (included in the results framework) that will be used to monitor project outcomes.
All results will be disaggregated to identify any gender bias, and corrective action included in the Gender
Action Plan.
Community Check Meeting
The Community Check meeting will include both the social audit and the community scorecard activities.
Objectives. The Community Check meeting serves to:
Present, and make transparent, all
relevant subproject information (process, budgets and
expenditures, outcomes, concerns/issues) for each cycle
Provide a safe space and opportunity for measuring community perception of the
performance of the representative committees VPC and JPC, through transparency,
discussion and, finally, a rating process and qualitative follow up
Document challenges and areas in need of improvement
Recommend how future Cycle implementation (Year 2-4) can be improved.
Timing. Social audits and community scorecards will be conducted in a joint Community Check Meeting
held on the same day, as described below. These Community Check Meetings will be conducted twice a
year in each village:
Upon completion of community mobilization activities to select the investment in order to
evaluate the process
Upon completion of the investment itself in order to evaluation the outcome.

CASA1000 CSP TAJIKISTAN POM
60
Roles and Responsibilities.
a.
Youth monitors selected and trained in Phase 1 will play active roles in the social accountability
activities, supported by the CDAs and TPF(s) as follows:
Organizing and facilitating community check meetings
Explaining the social audit and community scorecard methodology
Facilitating the community discussion
Taking minutes of the meeting (the tracking form is presented in Annex 3.23).
b.
VPC and JPC members are responsible for:
Preparing project information on progress, financials, and feedback through BFM
Presenting to the community during the social audit session of the meeting (VPC and JPC
members decide among themselves who will present the material – men and women should
take turns presenting)
Participating in the community scorecard session.
c.
CDAs are responsible for:
Supporting Youth Monitors during the activities
Collecting data generated during the social accountability activities and conveying it to the
M&E staff for inclusion in the Results Framework
Receiving beneficiary feedback from the community and conveying it to NSIFT BFM staff
Providing BFM data (if any) to the VPC/JPC for presentation during the Community Check
meeting.
d.
TPF(s) is responsible for developing a social accountability curriculum and delivering trainings to
the YMs and VPC/JPC members.
Attendance. The Community Check Meeting should meet the following parameters to ensure its
function as a social accountability mechanism:
No fewer than 50 people for the social audit meeting
VPC and JPC members should not constitute more than 25% of participants
Women should constitute 50% of total participants.
Basic Principles. It is important that during the Community Check Meeting, the YMs and CDAs with
support from TFP(s):
Encourage community members to attend and actively participate
Disclose meaningful information so that it is easily understandable and readily available
Create an empowering space for villager participation
Follow a cycle of open information >> community check /comment /rating>> collective
recommendations
Focus on broad attendance by appropriate location and timing of event.
Transparency and information. In order to be effective, VPC/JPC speakers are reminded that:
Entire Community Check Meeting should take approximately 3-4 hours
Presentations should be specifically about the process completed or stage of infrastructure
implementation and avoid general information. Their presentations should be kept to
approximately 30 minutes.
Only one presentation per subproject during the meeting
The key information should be available on the wall/on flipcharts. Presenters should speak to
what is on the wall.

CASA1000 CSP TAJIKISTAN POM
61
Project lists (including women and youth lists) from the FGDs should be displayed to compare
what was delivered with what women and men prioritized.
Documentation of results: Results will be recorded in the minutes which should contain the following
minimum information (see the form in Annex 3.24):
The list of participants who attended the Community Check Meeting with their name,
gender, age, contact phone number and signature
Copies of the presentations and information disseminated
Minutes of the meeting showing what was discussed
A completed scorecard
Photos of the meeting
Originals of the minutes with the attendance sheet, photos and ranked priority lists are kept
by the Jamoat; copies are collected by CDA and brought to the NSIFT for data entry and
storage as needed for project M&E.
Step 5.1 JPCs Monitor Subproject Implementation
The JPC conduct ongoing monitoring of subproject implementation to inform community check
meetings/project M&E as follows:
a. CDA/TFP(s) provides training to the JPC members according to the curriculum and timeframe
developed by the TFP.
b. JPC members conduct monthly visits to the construction site. During the visit, they verify in
particular the following points:
Availability of an information board at the site indicating: the amount of funding (World
Bank and Jamoat contribution); Dates of commencement and completion; Name and
Contact of Contractor; Contact information for CSP BFM
Works performed (construction progress, work stages)
Administration of complaints and suggestions of community members.
c. At 50% and 100% completion, the JPC Secretary drafts a report of 1-2 pagesof the M&E results
no later than 7 days after the completion of the site visit. The report should include:
Brief description of progress
Brief description of the problems encountered in implementation
Description of how these problems were solved (or are being solved)
Recommendations for improving implementation of the works (mandatory).
d.
All members of the JPC sign the report.
e. The JPC and Jamoat administration jointly discuss any proposed recommendations for
improvement of work.
f. The JPC submits the report to CDA for NSIFT’s records.
g. Jamoat places the report on the bulletin board of the Jamoat Office for public dissemination.
h. Results also inform the Community Check Meetings per below.
Step 5.2 Preparation of Community Check Meeting
YMs with support from CDAs/TFP(s) prepare logistics:
a. Set convenient date, time, and venue in agreement with the Jamoat
b. Request VPC and/or JPC members to present on the progress of the community mobilization
process and/or investment to date

CASA1000 CSP TAJIKISTAN POM
62
c. Prepare all necessary equipment and materials for discussion (flipchart, markers, paper)
including flip charts for the Community Scorecard. Necessary supplies will be provided by the
CDA/TFP(s)
d. YMs invite community (at least one week in advance):
Distribute invitation via bulletin boards, home visits, loudspeakers, announcements to the
school, etc.
Encourage women and youth to attend by contacting women and youth leaders and asking
them to invite people and displaying invitation announcements in places frequented by
women and youth
Make special arrangements if needed to ensure that elderly and disabled are able to attend.
e. VPC/JPC prepare project information:
Community mobilization materials developed for the project (e.g. Posters of project cycle,
gender guidelines, instructions on use of BFM, safeguards etc)
Project information including implementation progress, deviations from process if any and
explanation, and financial information (budget, projected vs. actual disbursement)
Key concerns/issues arising.
f. YMs distribute information (at least 2-3 days before meeting):
One-page summaries of the KEY information only, are displayed at village information
point/noticeboard and near all the Project posters, beside the meeting announcement
YMs share/lend a copy of the report to any villager who requests it.
Step 5.3 Community Check Meeting Held Including Social Audit and Community Scorecard
YMs with support of CDAs/TFP(s) and inputs of VPC/JPC members conduct Community Check Meeting,
including the following agenda items:
a.
YMs open the meeting (10 minutes)
YM Facilitator describes agenda, asks for agreement of participants
YM Facilitator explains ground rules regarding polite and constructive discussion,
emphasizing that social audits are not intended to blame individuals.
b.
Presentations by VPC/JPC members (30 minutes)
VPC/JPC Speaker describes briefly the community mobilization process (process meeting)
o What steps have been taken (thus far) in accordance with the process (using posters
and other materials)
o What steps did not follow the process and the reason why
o Any complaints received (directly or through the BFM) about the process.
VPC/JPC Speaker presents basic information on the sub-project (Outcome meeting)
o Location
o Staffing, where relevant (e.g. for Medical point)
o User fees (if relevant)
o O&M plan and community contribution
o Any complaints received (directly or through the BFM) about the investment.
Speaker describes financial and budget information (Process and Outcome meetings)
o Planned and actual expenditures (and reasons for under or over spending)
o Cost share (or support in kind) from the community, if any
o Any complaints received about finances.
c.
Social Audit Discussion (45 mins max)
Did the process match the community’s expectations when the community mobilization was
explained at the orientation meeting?

CASA1000 CSP TAJIKISTAN POM
63
Did the community experience any difficulties during the implementation?
Is the community satisfied that the objectives were met?
Are there any areas they would like improved for the next cycle?
d.
Community Scorecard Discussion (1 hr max)
Community members and VPC/JPC members are asked to separate into two groups:
Community Group Scorecard. YM leads group in completing the scorecard (see Box 3.1):
o Facilitator prepares four flipchart pages or ballot boxes for each point on the scale (very
satisfied/somewhat satisfied/somewhat dissatisfied/not satisfied) and posts them on
the wall.
o Each person receives 1 sticker/piece of paper for each question.
o Women and men receive a different color sticker/paper.
o Youth are asked to make a mark on their paper to identify their vote before voting.
o The Facilitator reads aloud the specific question/parameter to be covered for the
Results Framework.
o All participants approach the wall and each person posts their sticker on the
corresponding “score” on the wall or deposits paper into the ballot box of their choice.
o Once scoring is completed for each question, Facilitators count the number of
papers/stickers for each response in front of the assembled group and the Secretary
records the responses in the minutes.
o YM asks group to choose among themselves two representatives (1 man and 1 woman)
to present results in the plenary meeting.
VPC/JPC Group Self-Assessment
YM also facilitate Self-Assessment by VPC/JPC (simultaneous with above)
o VPC/JPC members will carry out their own “self-assessment scorecard.” It is the same
process described above, using the same Scorecard, but the separation recognizes that,
as the project team, they will have a different perspective to the community.
e.
Joint Discussion by Community Members and VPC and JPC representatives (1 hour)
Participants rejoin the plenary.
Elected Representatives present the results of the (i) community scorecard and (ii) selfassessment.
Participants hold general discussion to understand the results:
o What was the overall result for the community mobilization process and the
investment? Why did people score the sub-project the way they did?
o What was the difference between the results of the scorecard and self-assessment?
Why?
Facilitators record specific discussion (see Annex 3.25 for form):
o What went well?
o What did not go well?
o What were the challenges?
o What are key areas needing improvement?
f.
Development of Action Plan (30 minutes)
YM Facilitator leads discussion on key recommendations for next year’s cycle based on the
findings of the social audit and the scorecard.
YM Secretary compiles recommendations into Action Plan.
Action Plan is signed by VPC/JPC members present.
Group is photographed with (i) Social audit/CSC results and (ii) Action Plan.

CASA1000 CSP TAJIKISTAN POM
64
Box 3.1.Sample Community Scorecard Questions and Compilation of Results

Gender # of men present____ # of women present ____
Group # of Community Members Over
35
# of Youth Under 35 # of Sub-Committee
Members
Scorecard
1. Did you feel that you were
properly involved in the decisions
over the village subproject?
[PDO3]
Yes, I felt fully
engaged in the
decision over
the subproject
I felt involved to
some extent
I felt involved
only a small
amount.
No, I did not
feel engaged
at all.
2. Was this Community Support
Project (with its capacity building
and village subprojects) an
appropriate way for the
government to address the local
impacts of building the CASA1000
Transmission Line? [PDO5]
Yes, the CSP is a
good way to
help
communities
that live near
the TL.
The CSP helps
communities
affected by the
TL to some
extent.
The CSP helps
only to a small
degree.
No, the CSP
was not a
good way to
help
communities
that live near
the TL.
3. Does the subproject meet your
village’s needs? (IR3)
Yes, the CSP
subprojects
was a village
priority and
meets village
needs.
The CSP
subproject has
somewhat meet
village needs.
The CSP
subproject was
a lower level
priority.
No, the CSP
subproject
was not a
village
priority and
does not
meet village
needs.
4. Did the CSP communication
materials help you understand
what to expect from the
CASA1000 Transmission Line and
the subprojects? [IR15]
5. Has the community mobilization
process met your expectations in
terms of fairness and
transparency? [IR 11]
6. Have the social accountability
activities met your expectations
in terms of fairness and
transparency? [IR 11]
Yes, they were
very fair and
transparent
They were
acceptably fair
and transparent
They were not
very fair and
transparent
No, it was not
fair or
transparent
7. Has the implementation of the
youth activities (e.g. Energy
Efficiency Campaign) met your
expectations in terms of fairness
and transparency? [IR 11]
Yes, they were
very fair and
transparent
They were
acceptably fair
and transparent
They were not
very fair and
transparent
No, it was not
fair or
transparent
8. Has the management of the
investment met your
expectations in terms of fairness
and transparency? [IR 11]
Yes, it was very
fair and
transparent
It was
acceptably fair
and transparent
It was not very
fair and
transparent
No, it was not
fair or
transparent

Yes, materials
were very clear
The materials
answered some
but not all of
my questions
The materials
were of limited
use
The materials
were not
useful
Yes, it was very
fair and
transparent
It was
acceptably fair
and transparent
It was not very
fair and
transparent
No, it was not
fair or
transparent
9. Have young women and men
become more active in
community decision-making as a

Yes,
people
young
have

increased their
Young people
have increased
their

Young
have
people
not

increased their
Young people
have not
increased

CASA1000 CSP TAJIKISTAN POM
65

result of project support? [PO4] participation participation
somewhat
participation
much
their
participation
at all
10. Beneficiaries in Isfara Target
Communities Only
Have subproject investments
improved cross-border
cooperation, connectivity, youth
engagement, and/or
safety/security? [IR 12]
Somewhat
improved
Hardly
Improvement
No
improvement

Yes, greatly
improved
Step 5.4 Results of Community Check Meetings Disseminated and Used for Project M&E
a. YMs prepare communication materials to disseminate the findings, consisting of the following:
Description of the subproject, finance and outcomes (or stage of completion)
Description of the results of the community scorecard (scores and summary of reasons for
those scores)
Description of the result of the self-assessment (scores and summary of reasons for those
scores)
Reproduction of the four-quadrant flipchart (see form in Annex 3.26)
List of the recommendations for the next cycle.
b. Jamoat posts this information at the village project information point, under a simple title “How
did we do?”
c. NSIFT uses Scorecard Survey for Results Framework Indicators
CDA collects copies of the community scorecard results above
CDA transfers results to the central office where the M&E team inputs and analyzes the data
according to the M&E framework described under Component 4.
3.5. Phase 6: Participatory Operations and Maintenance and Handover
Objective:
To establish a village O&M subcommittee of the JPC to ensure effective management and
sustainability of the village investments following the completion of subprojects in Cycles 2,3 and 4; and
to establish a village maintenance fund for minor repairs.

Phase 6 of the subproject cycle
is participatory operations and
maintenance (O&M) and
handover of subprojects
following construction. Rounds
2, 3, 4 of subprojects will go
through the steps below;
Round 1 electricity investments
will be maintained by
BT/ESPMU.

Phase 1:
Outreach,
Community
Mobilization,
Capacity
Building
Phase 2:
Participatory
Needs
Assessment
and Subproject
Selection
Phase 3:
Subproject
Development
Phase 4:
Subproject
Implementation
Phase 5:
Participatory
Monitoring and
Social
Accountability
Phase 6:
Participatory
O&M, Handover
4 Rounds of Subprojects
Year 1: electricity subprojects
Year 2: socio-economic infrastructure
subprojects
Year 3: socio-economic infrastructure
subprojects
Year 4: Jamoat investments in youth subprojects

CASA1000 CSP TAJIKISTAN POM
66
For equipment, goods are expected to come with maintenance and instruction manuals.
For infrastructure, NSIFT engineers are expected to provide training to the O&M
subcommittee on required maintenance and possible minor repairs.
During subproject implementation, communities, through the VPCs, will be mobilized to form O&M
committees, supplementing O&M provided by line ministries. These committees will ensure effective
management and sustainability of the village investments following the completion of subprojects.
Minor repairs will be undertaken by the villagers, while more major repairs and maintenance will be
undertaken by the relevant government departments at the Jamoat or district level.
Outputs: Village O&M subcommittee members trained on routine maintenance of the investment;
O&M plan completed for the subproject that lists roles and responsibilities of the community; O&M
maintenance fund established with financial record system.
Step 6.1 NSIFT Engineer Provides Training to JPC in how to develop an O&M Plan
a. JPC/VPC form O&M subcommittee based on:
Knowledge of relevant skill (e.g. repairs, bookkeeping)
Willingness to volunteer time
O&M subcommittee should include at least one woman and one man under 30
CDA compiles list of O&M subcommittee members and takes a group photo.
b. O&M subcommittee members receive training from NSIFT at the District center in how to
prepare an O&M Plan for the type of subproject.
c. O&M subcommittee members begin drafting the O&M Plan in the training based on advice of
the NSIFT engineer as to whether an O&M maintenance fund is appropriate.
Step 6.2 Public Meeting to Disseminate Information on the O&M Plan Held
a. O&M subcommittee works with Mahalla to organize public meeting at a convenient date/time
taking into count responsibilities of women, agricultural work, etc.
b. O&M subcommittee explains operation and maintenance requirements of the subproject,
highlighting any contributions needed from the community (financial or in-kind).
c. O&M subcommittee suggests approach for raising contributions based on existing community
practices.
d. O&M subcommittee asks for community agreement to the proposed contributions and
facilitates discussion until an agreement can be reached.
e. Agreement is included in the O&M plan.
f. Sign-in sheets and photos of these meetings shall be submitted to the Jamoat with photocopies
given to CDAs.
Step 6.3 Handover of Assets Completed
Transfer of the subproject into operation is considered from the moment of technical acceptance of the
constructed facility. Technical acceptance is organized and conducted by the VPC, JPC, with the
participation of representatives of the Hukumat district and all parties involved in the implementation of
the subproject included in the acceptance committee.

CASA1000 CSP TAJIKISTAN POM
67
If the commission makes a positive decision based on the results of technical acceptance, a certificate is
drawn up (Annex 3.27), which indicates the following terms of quality assurance:
For contracts with the estimate up to US$30,000 – from 3 months to 6 months
For contracts with the estimate from 30,000 to 100,000 dollars – from 6 months to 12
months
For contracts with estimate 100,000 dollars – at least 12 months.
During the implementation of the contract, the contractor withholds 10% of the contract amount, half
of which will be paid after signing the certificate of technical acceptance and elimination of deficiencies.
A full settlement with the contractor is made after signing the certificate of quality confirmation (Annex
3.28) drawn up after the expiration of the quality guarantee.
The transfer to the balance of the operating organization is carried out jointly with the district’s
Hukumat in accordance with the signed memorandum, on the basis of the acceptance and transfer of
the facility according to the NSIFT procedures and the district’s Hukumat’s decision.
For small-scale subprojects aimed at repairing or restoring the contract value of not more than $10,000,
the Jamoats create an internal commission with the goal of accepting the subproject.
After completion of the repair work, the Jamoat must issue a Certificate of Acceptance of Work
indicating the acceptability of the quality of work. The increased cost of the improved facility should be
reflected in the balance sheet of the operating organization.
For the purchase of goods, after signing the Act of Acceptance of Goods, the Jamoat or the operating
organization assigns an inventory number to each unit of goods and reflects this inventory list in its
balance sheet. All purchased items must have a minimum one-year warranty period.
After the acceptance of the results of subprojects (construction work, equipment, furniture, goods) to all
balance sheets, including jamoats, they submit information on acceptance to their balance sheet
indicating the cost of the subproject to VPC, JPC, and NSIFT.
3.6. Addendum: Cycle 4/Year 4 Youth Investments
In the final round of subgrants in year 4, residual funds will be made available for Jamoat-level
investment in youth-led activities
(building on capacity building during the first three years of project
implementation). Cycle 4 subprojects will follow the steps as relevant as described above, with youth
subprojects as identified in the Phase 2 Youth Development Chapter of the Village Development Plan.
Summary. Procedures will be developed to utilize residual funds from the allocated subgrant locally,
after all payments have been made for village subprojects. This residual amount (the difference
between the aggregate of the village subgrants to the Jamoat and the expenditure on the village
subprojects in a Jamoat) up to a maximum of US$10,000 will be provided to Jamoats that have put in
place a Jamoat Youth Development Plan (based on the Youth Development Chapters of the Village
Development Plans) and funding mechanism. This is intended to not only support youth-focused
activities, but also to support the development of Jamoat financial management capacity and create
incentives for the Jamoat Project Commission to: (i) disincentivize deals with contractors to bid at
exactly the subgrant amount; (ii) discourage deliberate and unnecessary spending/overspending on

CASA1000 CSP TAJIKISTAN POM
68
extras; (iii) allow the benefit of any residual to stay with the village/Jamoat; and (iv) encourage Jamoatlevel participation throughout the project. The capacity building for this purpose is described in Chapter
2 and the procedures for the use of these funds will be set out in the SGM.
Objective. Jamoats work with youth in partnership to identify a youth priority in the Youth Chapter of
the Village Development Plan under Phase 2 that could be implemented with the available Jamoat
residual funds. They then jointly implement the subproject.
Scope. In Year 4, after procurement and implementation of the 2 cycles conducted under Component 2
is complete, the Jamoat may use residual funds (up to a maximum of $10,000) from their subgrant
allocation to implement a priority or priorities identified by youth during Step 3.3 above and included in
the Youth Development Plan (YDP) chapter of the Village Development Plan during Step 3.4 above. The
funds will be managed by the Jamoats.
This section describes the community-decision making process to be used for project beneficiaries to
identify which priority will be funded (any residual funds not used for youth priorities will be returned to
the Project). The participatory aspects of subproject implementation will generally follow the steps
above taking into account the modifications described in this section. This section should be read in
conjunction with XXX of the Subgrants Manual.
Step 7.1 The JPC Verifies the Remaining Balance (the difference between their subgrant and the
contract for the subprojects) with NSIFT
a. Once the implementation of the village subprojects in a jamoatis complete, the JPC will verify
with NSIFT if any residual funding is available for the funding of youth priorities.
b. The transfer of these residual funds to the Jamoat will be outlined in the SGM (e.g. the
designated account, signatories, FM procedures).
Step 7.2 The JPC Organizes Meeting of Youth from the VPC, JPC, YMs, and YEAs to Determine the
Focus of the Investment
a. The JPC will call a CSP Project public meeting of youth in the jamoat to explain the opportunity
of the financing. To manage expectations this will not be held until the budget is known.
b. The youth representatives in the project (youth VPC/JPC Members, YM, YEAs) inform them of
available funds and discuss which priority shall be undertaken:
Youth Development Chapter/VPC proposals are discussed based on the projected budget
against available residual funds.
Youth Energy Ambassadors agree to the selected proposal.
Minutes of this meeting are signed by all participants.
Step 7.3 YEAs Conduct Community Information Dissemination
a. YEAs will hold public meetings to inform youth of the impending investment.
b. At this meeting, YEAs shall solicit feedback from youth on any design elements that young
people consider important.
c. YEAs solicit volunteers for a Monitoring and Evaluation subcommittee and O&M subcommittee
(if required)
100% of these subcommittees shall be young people under the age of 30
50% of these subcommittees shall be young women.

CASA1000 CSP TAJIKISTAN POM
69
d. Sign-in sheets and photos of these meetings are to be submitted to the Jamoat with
photocopies given to CDAs.
3.7. Addendum: Border-Area Investments
Recognizing the risksand sensitive political context in Isfara border areas, supplemental community
facilitation and capacity building support will be provided to support the implementation of the subproject cycle for border area investments. These activities will be carried out
in addition to all the
activities described above. This supplemental, “conflict-sensitive” community mobilization effort will be
led by an experienced TFP(s) in cooperation with NSIFT and target communities.
Objective. The objective of the subcomponent is to provide incremental community engagement and
capacity building support to ensure that community mobilization, capacity building and subproject
investments are delivered in ways that are sensitive to local tensions and competition over natural
resources and services, enhancing cross-border connectivity and cooperation, and promoting the
participation of at-risk young people and the meaningful participation of women.
Scope. 10-11 community groupings in the Isfara border areas will be engaged in additional border area
community engagement and capacity building activities as part of the community mobilization process.
In addition, incremental activities in border areas will engage, as possible, contiguous border
communities under the Kyrgyz Republic CASA1000 Community Support Project in Kyrgyz Republic.
Implementation modality. A TFP covering the Isfara target areas will support the supplemental
facilitation and capacity building for border communities. The TFP will design and carry out the
development of all capacity building, facilitation and technical assistance activities. The TFP will work
closely with NSIFT in delivering Project activities in border areas.
Step 8.1 TFP Designs and Carries Out Initial Participatory Assessment, Risk Analysis and Dialogue
Activities and Adjusts Subproject Cycle for Isfara Accordingly
a. The TFP designs a participatory situational analysis (PSA) and engages the VPCs in Isfara to carry
out the PSAs for the Isfara border areas to: 1) identify key risks of socio-economic investments in
border areas; 2) draw lessons from previous experience in border area small infrastructure
investments; and 3) make recommendations regarding any adjustments needed to the
community prioritization, approval, and design process to address identified risks.
The TFP engages the 10/11 VPCs in Isfara to carry out the PSA through a series of direct
meetings and 2-3 workshops. The TFP could also supplement the PSA with additional
analysis and review of national and international development programming in Isfara border
areas.
The VPCs, with support of the TFP, present the final risk analysis and mapping and
recommendations to the JPCs and NSIFT. This would include a recommended risk
assessment checklist to accompany the participatory prioritization process and step-by-step
procedures for approvals of sub-projects required in border areas (village/district/regional
national, and as required cooperation with Kyrgyz officials).
b. NSIFT and the JPCs would then review, revise, and adopt recommended measures as part of the
community mobilization and social accountability process (Steps 1-6 above) for Isfara Project
areas. This would also include a process for approvals (village, Jamoat, district, region, national
as required) for any border area investments.

CASA1000 CSP TAJIKISTAN POM
70
Step 8.2 The TFP with NSIFT Facilitates Introductory Discussions with Counterparts in the Kyrgyz
Republic CASA1000 Community Support Project (KG CSP)
a. The TFP with NSIFT conducts outreach to ARIS (implementing agency for KG CSP), Aga Khan
Foundation (playing a support role for KG CSP) and local officials in KG CSP villages adjacent to
Tajikistan CSP villages.
b. Introductory discussions focus on: 1) exchange of information regarding project approach and
components; 2) discussion of possible areas of collaboration/coordinated capacity building,
youth engagement and programming; 3) agreed plan for regular dialogue and coordination as
CSP implementation moves forward.
Step 8.3 TFP Develops Curriculum and Conducts Specialized Border-Area Training with a Focus on
Youth
a. To complement the local governance capacity building activities described in Chapter 2, the TFP
develops curriculum and materials on topics related to border area development and risksensitive community mobilization (see Table 3.2 for illustrative focus areas). The
recommendations/findings from steps 2 and 3 initial assessment and dialogue activities will also
inform trainings offered
b. Youth forums/focus on youth as part of the training curriculum
c. The TFP in coordination with NSIFT invites Jamoat officials and Mahalla members from Isfara
target communities to come to join training sessions offered annually/before each community
mobilization cycle
d. TFP delivers trainings sequenced to inform the community mobilization process and to promote
border development investments
e. TFP tracks how border area assessment, dialogue and fora inform subproject selection in Vorukh
and Chorkuh
Table 3.2. Illustrative Training/Dialogue Plan

No. Training Topic Participants Duration Frequency
1
Border Area
investment
Topics include:
iii.Socio-economic analysis of Tajikistan
Kyrgyz border area, review of service
delivery gaps, opportunities and
challenges for growth and investment
iv. Review of border area service delivery
gaps and opportunities for cross
border collaboration
v. Principles and practice of how CDD
could support border area investment
vi. Procedural considerations in border
area investments and promoting
cross-border cooperation
Jamoat officials
and Mahalla
members;
JPC/VPC
representatives
from Isfara; focus
on engaging at
least 50%youth
participants
One-day
training
2 times;
before each
of the
socio
economic
infra
community
mobilization
cycles
2
Mapping,
managing
and
monitoring
Module to include: lessons and experience
in addressing risks and sensitivities around
border area development; focus on results
of Step 1 risk analysis and dialogue
One-day
training
2 times;
once
following
mobilization

Jamoat officials
and Mahalla
members;
JPC/VPC

CASA1000 CSP TAJIKISTAN POM
71

No. Training Topic Participants Duration Frequency
risks activities; how to adapt community
mobilization process to mitigate risk
representatives
from Isfara; focus
on engaging at
least 50% youth
participants
of
JPCs/VPCs ;
once
midway
through
project to
review
lessons
3
Border area
development
forums
Forums including stakeholders from
Tajikistan and Kyrgyz Republic CSPs
(implementing agencies, local authorities,
community representatives) to discuss
border area investment ideas; review
progress; discuss topics of mutual interest
Local officials and
community
representatives –
from Tajikistan
and Kyrgyz
Republic as
feasible
One-day
workshop
Annual
starting at
project
launch
4
Youth
forums on
Border area
development
As part of border area development
forums, convening youth to support young
women and men in near-border
communities to understand and advocate
for local investment that meets youth
priorities (e.g. joint training, coworking
spaces, IT centers for youth); provide the
opportunity for constructive engagement
between Kyrgyz and Tajik youth in border
communities, and between youth and
local institutions; and (iv) youth-led joint
monitoring of community-based
investments.
Youth members
of VPCs, JPCs,
YMs, YEAs from
Isfara; heads of
local youth
organizations and
other youth
leaders; Kyrgyz
Republic CSP
Youth Facilitators
as possible
One-day
workshop
Annual
starting at
project
launch

Table 3.3. Summary Steps Phases 1-6 of Community Subproject Cycle

Phase 1: Outreach, Community Mobilization and Training
Step 1.1 Orientation Meetings Held at Oblast, District, Jamoat and Village Level
Step 1.2 Participatory Selection of Community Representatives and Formation of Committees
Step 1.3 Training and Capacity Building Activities for Community Roles
Step 1.4 Youth Energy Ambassadors Conduct Public Awareness Campaign (ahead of Subproject Cycles 2&3)
Phase 2: Participatory Needs Assessment and Sub-Project Selection
Step 2.1 NSIFT with ESPMU Conducts Community Consultations on Cycle 1 Village Electricity Investments
Step 2.2 Village Profile and Focus Group Discussions Held for Socio-Economic Infrastructure Investments
Step 2.3 Village Prioritization Meeting Held Based on Focus Group Results
Step 2.4 Inclusion of Village Priorities in Village Development Plan/Youth Development Chapter
Phase 3: Subproject Development

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72

Step 3.1 JPC and NSIFT check feasibility of the proposed subproject against the allocated subgrant
Step 3.6 NSIFT Seeks State Expertise Appraisal/Approval of Subproject Design
Phase 4: Subproject Implementation
Covered in accompanying Sub-Grant Manual
Phase 5: Participatory Monitoring and Social Accountability
Step 5.1 JPCs Monitor Subproject Implementation
Step 5.4 Results of Community Check Meetings Disseminated and Used for Project M&E
Phase 6: Participatory Operations and Maintenance and Handover
Step 6.1 NSIFT Engineer Provides Training to JPC in how to develop an O&M Plan
Step 6.2 Public Meeting to Disseminate Information on the O&M Plan Held
Step 6.3 Handover of Assets Completed
Addendum: Round 4/Year 4 Youth Investments
Step 7.1 The JPC verifies the remaining balance (the difference between their subgrant and the contract for the
subprojects) with NSIFT
Step 7.2 The JPC organizes meeting of youth from the VPC, JPC, YMs, and YEAs to determine the focus of the
investment
Step 7.3 YEAs conduct community information dissemination
Addendum: Border-Area Investments
Step 8.1 TFP designs and carries out initial participatory assessment, risk analysis and dialogue activities and
adjusts subproject cycle for Isfara accordingly
Step 8.2 The TFP with NSIFT facilitates introductory discussions with counterparts in the Kyrgyz Republic
CASA1000 Community Support Project (KG CSP)
Step 8.3 TFP develops curriculum and conducts specialized border-area training with a focus on youth

Step 3.2 JPCs Develop Initial Expanded Subproject Proposal
Step 3.3 VPC Members Consult Community on the Design and Estimates Beneficiaries
Step 3.4 NSIFT Prepares Detailed Subproject Design
Step 3.5 JPC Holds Proposal Design Verification Meeting with Community and Finalizes Proposal
Step 5.2 Preparation of Community Check Meeting
Step 5.3 Community Check Meeting Held Including Social Audit and Community Scorecard

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CHAPTER 4:
PROJECT MANAGEMENT

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CHAPTER 4: PROJECT MANAGEMENT
PART A: NSIFT PROJECT MANAGEMENT
4.1. Introduction
The project (under subcomponent 4A) will finance the incremental costs of NSIFT for overall project
coordination, management, and supervision of implementation, and the overall management
information system (MIS), procurement, and financial management (FM), including project audits. The
project will fund a dedicated NSIFT project management team (which will include experts in CDD, social
accountability, local governance, civil engineering, project management, procurement, FM, and M&E),
which will prepare annual workplans and budgets, and implement the project according to a detailed
POM. It will finance the capacity building of the NSIFT team, including exchanges with the CSPs in the
Kyrgyz Republic and Afghanistan. Final targets of 50 percent women have been set for the project team.
Component 4A will provide financing for the staff, consultants, essential equipment and very minor
office repairs, operating costs, technical assistance, and training necessary to carry out all CDD-related
activities while managing relationships with all community, Jamoat, district, regional, and national
stakeholders regarding Component 2 village investments. (A separate project management
subcomponent is included under Component 1 to cover the BT and ESPMU activities and costs
associated with all electricity aspects of the project). Project management will also include regular
coordination with a number of national stakeholders, namely, BT and ESPMU, the Ministry of Finance
(MoF) and other ministries that will be engaged for effective project implementation. This
subcomponent will fund, andNSIFT will also manage a Beneficiary Feedback Mechanism (BFM) (that will
include a Grievance Redress Mechanism (GRM)) which will provide a formal channel for feedback from
communities on any matter concerning the CSP. Regular meetings will be held to ensure responsiveness
and accountability regarding beneficiary feedback, including with ESPMU and Barqi Tojik (BT).
4.2. Overview – Implementing Arrangements National and Local Levels
NSIFT will serve as the Implementing Agency for Components 2, 3, and 4 of the Project. Launched in
1997 by order of the GoT, and established in 2002, NSIFT has functioned for 20 years as an
implementing agency for local-level development projects funded by donors. NSIFT has an
organizational charter and permanent staff. It is supported with premises by the GoT and is directly
under its control.
NSIFT will manage all aspects of the project associated with CDD, ensuring overall compliance with the
provisions of the POM. This will include ensuring effective community mobilization, social accountability,
and local capacity building activities; contracting the training and facilitating partners (TFPs) for capacity
building of communities, Jamoats, and NSIFT field and headquarters staff for the CoI and Isfara target
areas; carrying out subgrant distribution and supporting the development of proposals and subproject
technical design and tender packages, and implementation (safeguards, procurement, construction,
supervision, handover); as well as performing all fiduciary tasks and all necessary coordination of
institutional support with districts, and consolidated reporting and project management tasks outlined
in the POM. NSIFT will be responsible for M&E, the BFM (including the GRM), and project-related
communications and outreach, in coordination with ESPMU.

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To strengthen NSIFT capacity to understand and carry out genuine community driven development,
implementation will be supported by experienced Training and Facilitating Partner(s). The TFP (or a
limited number of TFPs) will have a track record in implementing the CDD methodology (subcomponent
3A) and be familiar with global best practice in this approach, have experience in social accountability
(subcomponent 3B), be able to attract experienced credible consultants that can support the capacity
building for local governance (subcomponent 3C) and have proven experience working on CDD in FCV
areas (subcomponent 3D). To build local capacity, and ensure context-specific knowledge, the TFPs will
also have experience working in the target areas, and preferably involve local NGOs already established
and functional in the corridor of impact. The TFP covering the Isfara target areas will have proven
experience working in border areas with conflict-affected communities. To meet these criteria, it is
anticipated that NGOs will form consortium (See TFP ToR at Annex 2.1). The TFP(s) will design and carry
out the development of all capacity building, facilitation and technical assistance activities for these four
sets of activities, supporting NSIFT staff and 41 community development facilitators/advisers (CDAs)
who will be employed by NSIFT. The TFP(s) will be procured through an open and competitive
procurement process. The TFP(s) will work closely with NSIFT (and ESPMU as needed). Coordination and
accountability mechanisms to NSIFT will be established at both the regional and national levels.
Local-level implementing arrangements. The self-governing Jamoats at the subdistrict level will work
with the communities, NSIFT, TFPs and district authorities in local development planning and subproject
implementation (including community procurement). The 26 Jamoats/townships, legal entities
established under the 2009 Law on Self Governance in a Town or Township (Article 3, clause 2), will
establish Jamoat Project Commissions to help implement subprojects in their Jamoats. Each JPC will
consist of 5-9 voluntary members representing the target villages in the Jamoat (see Chapter 2, Section
2.5). Strict membership criteria will apply to ensure the engagement of VPC representatives, an equal
number of men and women, and youth, as well as the necessary financial and technical specialists, and
NGO representatives. The Jamoat, through its Chairperson, will be required to delegate to the JPC the
following responsibilities: (i) to support and represent the target communities in the subproject
implementation process as defined in the POM; (ii) to endorse subproject(s) for funding during each
cycle, including the youth development activities, and ensuring alignment with the JDP; (iii) to inform
NSIFT of target communities subproject selections; (iv) to develop subproject proposal(s), including any
safeguards-related requirements; (v) to coordinate with NSIFT on the technical designs of the selected
subprojects; (vi) to carry out the procurement function or request NSIFT to conduct procurement on
their behalf as defined in the SGM; (vii) to oversee contract execution; (viii) to propose and implement
O&M plans and resolve issues related to ownership and functionality; and (ix) to coordinate with
relevant stakeholders (line departments, utilities, NGOs, districts). The JPC will also prepare
documentation for signing by the Jamoat Chairperson as defined in the SGM. All members will sign a
code of conduct.
At the community level, Mahalla committees (or other community-based organizations where relevant),
will establish Village Project Committees in target villages to mobilize communities, support community
capacity building, and lead the selection and implementation of subproject activities. See Chapter 2,
Section 2.5 for additional details. The membership of the VPC will comprise Mahalla committee
members, along with additional elected/nominated community members to ensure equal
representation of women on the committee. Where possible, 50 percent of the members should be
under 35. It is anticipated that committees will vary in size from 8-20 members, given the significant
variation in the populations of target communities.

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4.3. NSIFT Staffing Structure
The NSIFT project team consists of approximately 21 project staff located in the NSIFT Central Office as
well as regional staff located in regional offices. The structure of the CSP (NSIFT) staffing is presented in
Figure 4.1 below. TORs for each NSIFT staff position are provided in Annex 4.1.
CSP Project staff is under the supervision of the CSP Project Coordinator. The Project Coordinator is also
responsible for communication and coordination with the involved parties and represents the project to
internal and external stakeholders. At the same time Project Coordinator directly reports to the NSIFT
Executive Director.
NSIFT Regional offices operate in each of the three CSP Regions, including Sughd, Districts of the
Republican Subordination (DRS), Khatlon. The Regional offices are the intermediary between the Project
Senior Management and the communities. They directly coordinate project implementation at the
region level and provide all necessary support to the community development advisors (CDAs) and TFPs.
The activity of the Regional office is coordinated by the Regional Coordinator for community
development. Regional coordinators for community development are responsible for direct work with
CDAs.
CDAs are the NSIFT staff based at the local community level. CDAs are NSIFT consultants: they are
recruited, supported and supervised by the NSIFT regional offices. The main role of CDAs is to assist and
support local communities and local self-governments in developing local capacity to achieve greater
efficiency, accountability and involvement in the process of overcoming the developmental difficulties
that are determined by the local communities themselves. CDAs support the participating local
communities in developing mechanisms of decision-making, strategic planning and prioritizing needs.
The aim of the CDAs is to promote the main principles of the Project, such as community involvement,
poverty and gender targeting, transparency and sustainability. Each adviser will be responsible for the
supervision of one to three villages. NSIFT will make an even distribution of villages between the
selected CDAs, depending on the population size of each village.

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Figure4.1.NSIFT CSP Organizational Structure
Technical engineers at central and region levels are responsible for revision of design, environmental
impact assessments, and social safeguards. In cases where safeguards are triggered, they help develop
appropriate measures to mitigate social sector impacts and provide compensation for land allotment
caused by the planned work of subprojects. They also provide quality control of construction and
installation works during the construction, reconstruction or major repairs in the implementation of
subprojects, to ensure full compliance of the Contractor with approved design (DDE), working drawings,
work performance plan, construction norms and regulations (SNiP), standards and technical
specifications of the Republic of Tajikistan and international practices.
Each engineer is responsible for a certain stage of preparation (feasibility check of subprojects, review of
technical documentation, feedback on submitted proposal, technical specifications and design),
implementation (construction works including compliance with construction requirements and norms)
and monitoring of subprojects. As described in Component 2, for subprojects, NSIFT will procure
additional services from licensed companies/consultants for preparation of DED.
Taking into account the fact that NSIFT has a current KFW project, and it is planned to execute one more
project of the World Bank, the following table (Table 4.1) of level of effort for all staff budgeted for the
project is agreed and provided in below.

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Table 4.1. CSP Staff Level of Effort

No. Position # Year 1 Year 2 Year 3 Year 4
Number of months
1 Executive director* 1 6 6 6 6
2 Manager of communities’ department* 1 6 6 6 6
3 Project Coordinator 1 12 12 12 12
4 Chief community mobilization specialist 1 12 12 12 12
5 Financial manager* 1 6 6 6 6
6 Disbursement specialist 1 12 12 12 12
7 Disbursement specialist on regional level 1 12 12 12
8 Accountant for working with jamoats 1 12 12 12
9 Chief gender specialist 1 12 12 12 12
10 Chief BFM and communications Specialist 1 12 12 12 12
11 Procurement manager* 1 6 6 6 6
12 Procurement specialist 1 6 12 12 12
13
14
15
Chief infrastructure engineer 1 8 12 12 12
Design review engineer 1 12 12
Chief safeguard and social specialist 1 12 12 12 12
16 Lawyer 1 10 12 12 12
17 Translator 1 12 12 12 12
18 HR and Capacity building specialist* 1 6 6 6 6
19 Administrative manager* 1 6 6 6 6
20 Regional engineers 10 12 12 12
21 Chief social accountability specialist 1 12 12 12 12
22 Chief LSG capacity building specialist 1 12 12 12 12
23 M&E specialist 1 10 12 12 12
24 MIS specialist 1 12 12 12 12
25 CDAs 41 8 10 10 8
26 Managers of regional offices 3 12 12 12 12
27 Regional coordinators for community
development
6 12 12 12 12

*Note: This position will be shared with other NSIFT implementing projects.
Selection of the CSP staff should be conducted in accordance with Table 4.2 below and based on the
requirements indicated in Chapter 8.
Table 4.2. CSP Staff Selection Process

No. Name of the position Selection
procedure
should be
reflected in
the STEP
TTL approval
for evaluation
report before
contract signing
Position
shared with
other projects
1
2

Executive director
not applicable Yes Yes
Manager of communities’
department not applicable Yes Yes

CASA1000 CSP TAJIKISTAN POM
79

No. Name of the position Selection
procedure
should be
reflected in
the STEP
TTL approval
for evaluation
report before
contract signing
Position
shared with
other projects
3 Project Coordinator not applicable Yes
4 Chief community mobilization
specialist not applicable Yes
5 Financial manager not applicable Yes Yes
6 Disbursement specialist not applicable Yes
7 Disbursement specialist on regional
level not applicable
8 Accountant for working with
jamoats not applicable
9 Chief gender specialist not applicable Yes
10 Chief BFM and communications
Specialist not applicable Yes
11 Procurement manager not applicable Yes Yes
12
13
14
15
16
17
18
19
Procurement specialist not applicable Yes
Chief infrastructure engineer not applicable
Design review engineer not applicable
Chief safeguard and social specialist not applicable Yes
Lawyer not applicable
Translator not applicable
HR and Capacity building specialist not applicable Yes Yes
Administrative manager not applicable Yes
20 Regional engineers not applicable
21
22
23
24
25
26
27
Chief LSG capacity building
specialist Yes
M&E specialist not applicable Yes
MIS specialist not applicable Yes
CDAs Yes
Managers of regional offices Yes
Regional coordinators for
community development Yes

Chief social accountability specialist Yes
4.4. Staff Integrity Standard
NSIFT staff and consultants, like all NSIFT employees, are expected to perform their duties adhering to
the highest standards of professional integrity and efficiency. All NSIFT staff, consultants, and
stakeholders shall receive training in the World Bank’s anti-corruption guidelines as part of their intake
process or in refresher courses. They shall also sign the NSIFT Employee Code of Ethics and Conduct,
provided below. In relation to CSP specifically, all staff members are strictly forbidden from:

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Sharing proprietary documents with third parties during the proposal development process
Seeking to influence the selection of the subprojects by the Jamoats in any way including by altering
documents, selectively providing information to stakeholders, etc.
Seeking to influence the type of investment the community selects. All guidance shall follow the
provisions of this POM (for example, the list of ineligible investments) and otherwise be neutral in
content as to the sector, size, design, etc.
Sanctions for violating these principles, the NSIFT Employee Code of Ethics and Conduct, or the World
Bank’s anti-corruption guidelines shall be implemented by the NSIFT Executive Director immediately.
Any corrective actions taken in this regard shall be communicated to the World Bank within one week.
The Project will be governed according to NSIFT’s code of ethics and official conduct contained in Box
4.1 below.
Box 4.1. NSIFT Code of Ethics and Official Conduct

1
1.1.
GENERAL PROVISIONS
The Code is a set of general principles of professional ethics and basic rules of official conduct by which the
employee/consultant of the Project should be guided regardless of their position.
Every Project employee/consultant, irrespective of their position, must take all necessary measures to comply with the
provisions of the Code and every employee/consultant has the right to expect from other employees in relations with
him/her the conduct that complies with the provisions of the Code.
Knowledge and observance of the provisions of the Code is one of the criteria for assessing the quality of their
professional activities and labor discipline.
The Code is a guide to action when there is a conflict of personal interests and interests of NSIFT, as well as in other
1.2.
1.3.
1.4.

situations of ethical choice. Employees/consultants are required to confirm their awareness of the requirements of the
Code and the importance of reporting violations. Each employee/consultant is personally responsible for the
implementation of the Code.

1.5. For any issues related to the implementation of the Code, one can contact his/her immediate supervisor or other NSIFT
official.
NSIFT protects the confidentiality of information and the rights of employees/consultants in cases of filing bona fide
complaints about a violation of the Code.
Special responsibility for the observance of the Code rests with the governing structure of NSIFT. Head of each
1.6.
1.7.

department is obliged by personal example to encourage ethical behavior and observance of the law, to form a safety
culture, to prevent and take prompt measures to eliminate violations of the Code, and to take into account the
observance of the requirements of the Code when assessing the staff.

1.8. Any legal entity or individual that renders services or acts on behalf of NSIFT must be informed on the Code. The Agency
requires from business partners unconditional respect and observance of ethical principles related to security and
prevention of corruption.
An official is appointed to inform the NSIFT employees and administration of appeals. The Executive Director of NSIFT
1.9.

controls an execution of the Code.

2
1.1.
1.2.
1.3.
DUTIES. RULES OF OFFICIAL CONDUCT OF EMPLOYEE/CONSULTANTS
Be honest and open.
Timely and honestly report the error made.
Strictly observe official and commercial secrets, do not allow situations where references to the need to protect
information cover inefficiency or poor quality of work.
Provide a full, accurate and coordinated representation of the NSIFT position in cooperation with the state and
municipal authorities, suppliers and contractors of works and services, public organizations and the mass-media.
Do not take or give bribes in any form; do not condone bribery, extortion and embezzlement of property owned by
NSIFT within the projects implemented by NSIFT.
Eliminate the possibility of using official position for personal or group benefit, as well as for unfair competition.
Carry out procurement activities in strict accordance with the legislation and maximum benefit for NSIFT and for
projects implemented by NSIFT.
Identify inefficient processes and management procedures; seek their change for the better.
1.4.
1.5.
1.6.
1.7.
1.8.

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81

1.9. Effectively delegate authority, providing the necessary balance of responsibility and resources for the performance of
the assigned task.

1.10. Observe the rules of business communication, be punctual and impeccably polite with colleagues, business partners,
representatives of the media and other stakeholders.
1.11. Do not create the conditions for obtaining a certain benefit, taking advantage of their official position.
1.12. Observe the rules of information provision established in NSIFT.
1.13. Inform the direct Head or NSIFT Management about the possibility of arising or has been already arisen conflict of
interests with employee.
1.14. Behave in a proper manner, act in strict accordance with his/her work duties, principles and norms of professional
ethics.
1.15. Avoid situations that cause damage to business reputation and the credibility of the Project.

3
1.1.
PROTECTION OF INTERESTS OF THE EMPLOYEE / CONSULTANT
An employee/consultant, who performs professional duties in good faith, may be threatened, blackmailed, insulted and
defamed in order to discredit his/her and Project activities.
Protection of the employee/consultant from unlawful acts of a defamatory nature is the moral duty of the Project
Management.
The Project Manager should support and protect the employee/consultant in the case of a baseless charge against
him/her.
In case of false accusation of the employee/consultant in corruption or other unlawful actions, he/she has the right to
refute these charges, including in the court.
1.2.
1.3.
1.4.

 

4 RECOMMENDATION ETHICAL RULES OF OFFICIAL CONDUCT OF EMPLOYEES / CONSULTANTS
In his/her official conduct, the employee/consultant shall refrain from:
1.1. Any type of statements and actions of a discriminatory nature on grounds of gender, age, race, nationality, language,
citizenship, social, property or family status, political or religious preferences.
Rudeness, displays of scornful tone, arrogance, prejudiced remarks, presentation of unfair undeserved accusations,
threats, abusive language or remarks and actions interfering with normal communication or provoking unlawful
behavior.
Employees/consultants should be polite, friendly, correct, attentive and tolerant in communicating with colleagues and
other citizens.
An appearance of the employee/consultant in performance of his/her work duties, depending on the working
1.2.
1.3.
1.4.

conditions, must correspond to the generally accepted business style, which is distinguished by moderateness,
conventionality, and accuracy.

5
1.1.
RESPONSIBILITY OF NSIFT EMPLOYEES / CONSULTANTS
Employees of NSIFT for the commission of offenses and violation the norms established in this Code of Conduct bear
disciplinary responsibility in accordance with the legislation of the Republic of Tajikistan.
According to Articles 62 and 42 of the Labor Code of the Republic, disciplinary sanctions include, in particular: the
remark, reprimand and dismissal of an employee. According to Article 62 of the Labor Code of the Republic, the Labor
Contract can be terminated at the initiative of the employer in the following cases:
1.2.

liquidation of the organization or termination of the employer – an individual or a reduction in the number or staff of
employees
termination of the employment contract in connection with the change of ownership, the inconsistency of the
employee revealed the position or work performed due to insufficient qualifications, or health conditions that prevent
the continuation of this work, if this employee mismatch is confirmed by the certification or on the basis of a medical
opinion
systematic non-performance by an employee without good reason of the labor duties assigned to him by an
employment contract or internal labor regulations if disciplinary measures have been previously applied to the
employee
absence from work without good reason, including absence from the workplace for more than three hours during the
working day
failure to appear for work for more than four consecutive months due to temporary disability, not counting maternity
leave, if the legislation of the Republic of Tajikistan does not establish a longer period of preservation of the place of
work (position) for a certain disease
the appearance at work in a state of intoxication caused by the use of alcohol, drugs, psychotropic or other
intoxicating substances

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the decisions of the relevant authorized state body that entered into legal force on the employee committing theft of
property and other acts that preclude the continuation of work
the employee commits an offense of a corruption nature, which excludes, on the basis of a judicial act, the possibility
of further work
continued employee participation in the strike after bringing to his attention a court decision to declare the strike
illegal or to prohibit the strike
violation of labor duties by the head of the executive body of the employer, his deputy or the head of the employer’s
unit, which entailed causing material damage to the employer
refusal to undergo a medical examination to establish the fact of intoxication caused by the use of alcohol, drugs,
psychotropic or other intoxicating substances
violation by the employee of the rules of labor protection or fire safety or traffic safety that entailed or could entail
serious consequences, including injuries and accidents
the provision of false information, fake documents and non-compliance with other rules established by this Code and
other regulatory legal acts of the Republic of Tajikistan when hiring
a negative result of work during the probationary period when applying for a job.
NSIFT consultants for the commission of offenses and violation of norms of conduct established in this Code are liable in
accordance with the terms of the Contracts between the NSIFT and the Consultant, as well as the legislation of the Republic of
Tajikistan.
4.5. Staff Development
The executive director of the NSIFT and the project coordinator should be interested and make possible
efforts to train all NSIFT staff on the principles and aims of the work of CDD project, as well as to train
specialists in specialized trainings. TFPs will also support NSIFT on training of NSIFT staff on social
mobilization, community development and social accountability aspects.
Training. The training of CSP staff, including CDAs, is required prior to project startup. Training modules
will be developed by XXX by XX date on the following topics (see Table 4.3). Final training approach/draft
modules should be submitted to the World Bank for non-objection before training commences:
Table 4.3. Topics for CSP Staff Training

Topic NSIFT central office staff CDAs and regional staff
The CSP project design WB and TFP TFP
Procedures of the POM WB and TFP TFP
World Bank anti-corruption guidelines WB and TFP TFP
Theory and practice of participatory
approaches
TFP TFP
Facilitation techniques TFP TFP
Needs assessment TFP TFP
Community Prioritization TFP TFP
Jamoat Development Plans and LSG
policy framework
TFP TFP
Youth development Chapters and youth
engagement
TFP TFP
Gender sensitivity in Project
implementation
TFP TFP

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Topic NSIFT central office staff CDAs and regional staff
Social accountability approaches
included in Chapter 3.
TFP TFP
Financial Management WB NSIFT CO and TFP
Procurement Management WB NSIFT CO and TFP

Gender sensitivity in project management. In line with World Bank guidelines and anti-poverty best
practice, CSP seeks to empower women to play an active and egalitarian role in project design and
implementation. At the project implementation level, CSP has the following strategic goals for gender
development and inclusion:
Ensure full participation of women in social mobilization activities and capacity building.
Ensure the interests of women are represented in the selection and implementation of investments
and that women benefit equally from these investments.
Building capacity of women in decision-making processes at the local level.
The full Gender Action Plan is provided in Annex 1.4.
Gender in hiring policy. NSIFT will take all possible measures to achieve equal gender representation in
the staff of the Project. In cases where equally qualified candidates apply for field positions, NSIFT will
give priority to the selection of women candidates. The project will seek to:
Hire equal numbers of women as CDAs to ensure gender balance among the frontline staff working
with the community. Innovative approaches to reach this target will include:
o Job-sharing of CDA jobs (i.e. two part-time positions to make one full-time position to allow
women to better balance their household responsibilities and/or two women traveling together
if security is a concern)
o Internships for young women to gain the needed experience to eventually be hired as CDAs.
Promote opportunities for women in leadership roles in the Central Office to engage women leaders
in the community (for example, by participating in the peer learning activities) and represent the
project to government and donors.
NSIFT will make every effort to engage young people as professionals, who can be trained.
4.6. Preparation of the Annual Work Plan and Budget
NSIFT is required to submit an annual work plan to the World Bank for no objection. The work plan is
due by November 31st each year after approval by the Executive Director of NSIFT. The annual work
plan has two parts: a narrative work plan and an annual budget projection.
Narrative work plan. The Project Coordinator is responsible for coordinating the preparation of the
annual work plan by the Central Office Specialists (social mobilization, capacity building, monitoring and
evaluation, engineers, procurement and finance) and the regional specialists. A draft overall workplan is
provided to all Central Office Specialists, Regional Specialists and CDAs for comments. They in turn use
this overarching workplan as the basis to develop individual plans and plans for each Project units. After
receiving comments internally from the CSP team, the Plan is revised and finalized.

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The workplan should describe expected progress of the following year’s activities in quantitative and
qualitative terms. The workplan should contain information for the upcoming year on:
Trainings – the planned number of trainings, the training schedule and any modifications deemed
necessary to the curriculum or training materials
Social mobilization activities – the schedule for implementing social mobilization in eligible Jamoats
for year
Actions pending completion – any prior Cycle investments (subproject) that were not closed out in
the outgoing Cycle/calendar year should be noted along with action plans for how they will be
resolved in the upcoming calendar year
Expected number and average sizes of subprojects for the next cycle
Personnel changes – any anticipated changes in staffing structure or personnel
Corrective actions – the workplan should have a section highlighting how any past challenges or
problems are being addressed in the upcoming year’s activities.
Annual projected operating budget. The preparation of the annual budget that should be submitted
with the work plan is described in Chapter 9.
4.7. Reporting
Annual and semi-annual reporting
. NSIFT is required to prepare annual reports and semi-annual
progress reports on the CSP. Semi-annual reports will be made available one month after the end of
each reporting period and include the progress on the indicators described in the CSP results
framework.
Below are periodic reports to be provided during the Project implementation. Reporting templates will
be approved by the World Bank prior to effectiveness:
Semi-annual reports shall contain information about the CSP activities and cover: (i) progress in
achieving the anticipated CSP outputs and outcome set forth in the CSP results framework, when
using performance indicators; (ii) financial analysis and data; (iii) best practices, cases, and lessons
learned; (iv) challenges and issues to be addressed (see draft form at Annex 4.2).
Annual reports shall include: (i) brief description and updated information of the semi-annual
reports; (ii) description of the project level impact based on the findings of the impact surveys and
assessment carried out the local level; (iii) findings of annual technical and financial audits; (iv)
conclusions and recommendations (see draft form at Annex 4.3).
Ad-hoc reports shall comprise the findings of the reports provided by external financial and technical
auditors, special survey report, grant completion reports, etc.
Quality assurance of progress reporting. The reporting system will be regulated by the Project
documents, orders and provisions of the NSIFT Executive Director. The Project M&E Specialist is
responsible for preparation of reports. The data on social mobilization, training, social audit and BFM for
reporting are to be taken from the MIS system. The report prepared by the M&E Specialist and
distributed among the Project team members to provide their comments/feedback/additions. Later, the
Report is to be consolidated with all changes and additions by the M&E Specialist and sent to the Project
Coordinator for approval. After approval by the Project Coordinator with approval of NSIFT Executive

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Director, the report is submitted to the Bank. A reference on Project’s current situation will be prepared
7 days before the World Bank mission. Semi-annual and annual reports will refer to the IFR Report.
4.8. Beneficiary Feedback Mechanism
The project will adopt a Beneficiary Feedback Mechanism (BFM) to enable the project beneficiaries and
the citizens of the Republic of Tajikistan to provide feedback on the project. The BFM is a process of
receiving prompt, objective information, evaluation and consideration of appeals (claims, suggestions,
complaints, requests, positive feedback) related to all NSIFT implementing projects, and will include the
CSP. This BFM includes a grievance redress mechanism for any resettlement compliant as required by
World Bank policy OP 4.12.
In accordance with the Law on “The procedure of citizen’s appeals” and internal regulations of NSIFT
work with the appeals, citizens/beneficiaries may send any appeals on the issues related to the
implementation of NSIFT projects at all implementation stages, including the Resettlement Program
issues (to identify resettlement needs); follow the procedures of involuntary resettlement in accordance
with the laws and regulations of the Republic of Tajikistan and WB OP policy 4.12 on Involuntary
Resettlement.
Scope of BFM. The BFM will cover all villages in the Republic of Tajikistan where CSP is being
implemented.
Principles. Project stakeholders are those who are likely to be directly or indirectly affected positively or
negatively by the project. Project stakeholders have, among others, the following rights under the
project:
Right to information
Right against inappropriate intervention by an outside party
Right to a project free of fraud and corruption.
Any stakeholders (including villagers, contractors, project staff, authorities, and other involved parties)
may file a grievance if s/he believes one or more of these rights have been infringed, or if any of the
project’s principles and procedures has been violated:
Information about the BFM, including contact details, is distributed in all participating villages at
public meetings through brochures/pamphlets in local languages to the extent possible, and posted
at the Jamoats boards.
The BFM offers a number of different channels for providing feedback. Villagers and stakeholders
themselves decide on the best ways to file complaints.
Grievances are disclosed publicly, but no one who files a grievance is identified unless they selfidentify. The identity of all those who have filed grievances is treated with confidentially.
There is no charge for filing a grievance.
The timeframe for responding to a grievance should not exceed 30 days from the time the grievance
is originally received. Grievances should be resolved within 90 days of receipt.
Grievances are resolved locally, at the lowest level, if possible. If not, they are “escalated” or sent up
to a higher level within 30 days. Anyone may convey comments or suggestions about any aspect of
the project through the BFM. Comments, suggestions, appreciations, or questions should be
recorded and submitted to the BFM handling officer of the NSIFT Central Office to provide an

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answer in coordination with relevant project staff, ensuring that responses are in line with the
Operations Manual.
Channels for feedback. Within the framework of CSP NSIFT, the following channels will be established
through which citizens / beneficiaries can apply at various stages of CSP implementation:
Hotline (calls are received working hours from 9:00 till 18:00; conversations will be recorded)
WhatsApp (a system of immediate text messaging for mobile devices with voice and video
connections)
Social media (Facebook, Odnoklassniki)
NSIFT web-site: www.nsift.tj
Verbal or written appeal received during the on-site working meetings or via JPC, VPC, youth
monitors, youth energy ambassadors and/or CDA
Incoming correspondence via NSIFT office
Incoming correspondence via e-mail.
The BFM shall ensure flexibility and availability of using above-mentioned channels to the
citizens/beneficiaries, anyone wishing to submit an appeal. The work with citizens/beneficiaries appeals
is carried out by NSIFT specialists responsible for the implementation of the BFM.
Steps for processing and responding to feedback
Step 1. Logging of feedback. For the purpose of consolidating, analyzing and providing unified data
(reports to donors, NSIFT Executive Director and project coordinator), all appeals are logged.
Appeals received by written correspondence or verbal report are included in the log of BFM and are
entered into GRM configuration in 1C program to analyze and monitor incoming correspondence
with the following information (depending on what is provided):
o Name and surname
o Registration and residential address or telephone number
o Contents of the request
o Other background information.
The appeals may be submitted anonymously. In cases where the appeals were received in the absence
of any of the above data, it is recorded in the log of incoming correspondence of the BFM, and the
results of the appeal will be published in the media at the local level, on the NSIFT website or made
public at the session of the village.
Appeals received electronically (around the clock) through the BFM channels (email, hotline, social
networks, etc.) are automatically registered in the BFM configuration in the 1C soft system. The
privacy shall be ensured in all cases including the case when the identity of a person submitting the
request is known to avoid a conflict between the interested parties.
Step 2. BFM categories sorting/distribution by category. When appeals are received, the BFM specialist
distributes them by category in the BFM configuration in the 1C system (see Table 4.4).

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Table 4.4. BFM Appeal Categories

No. Category
1 General enquiries
2 Grievances regarding violations of policies, guidelines and procedures
3 Grievances regarding contract violations/breach of contract
4 Grievances regarding the misuse of project funds
5 Grievances regarding abuse of power/intervention
6 Reports of force majeure
7 Suggestion
8 Appreciation

Step 3. Action/Response. Once sorted, cases categorized as a grievance (Category 2-6) are assigned to a
responsible individual for investigation if needed. The staff handling the complaint gathers facts and
clarifies information in order to generate a clear picture of the circumstances surrounding the grievance.
Verification normally includes site visits, a review of documents, a meeting with the complainant (if
known and willing to engage), and meetings with those who could resolve the issue (including formal
and informal Jamoat, mahalla leaders). For grievances related to the misuse of funds, it may also require
meetings with suppliers and contractors. The responsible individual will agree an action plan with the
BFM Officer and set a deadline for resolving the issue.
If the grievance relates to the Jamoat, the BFM specialist forwards it to the respective Regional
Coordinator.
If the grievance relates to the Regional issue, the BFM specialist forwards it to the CSP Coordinator.
If the grievance relates to a Central Office issue, the BFM specialist forwards it to the Executive
Director.
The relevant officer and the BFM specialist decide on a course of action within 2 weeks of receiving
the information.
Step 4. Notification. If the person sending feedback is not anonymous, they will be sent a notification
via telephone or other BFM channels that their grievance is being investigated. The notification will be
registered in the log of outgoing correspondence. The BFM Officer will provide the following
information:
Name and surname of the executor (project specialist) to which the appeal was forwarded.
Deadlines for the execution (minimum 30 days, maximum 60 days since the day it was registered).
Deadlines and actions are determined in accordance with the NSIFT BFM instructions on handling
grievances.
Step 5. Follow Up. Once the investigation is complete, the beneficiary will be notified of the decision
made by NSIFT regarding their case. The citizen/beneficiary has a right to appeal is not satisfied with the
resolution of the case. Instructions on appeal will be provided with the response.
Step 6. Appeals. Appeals are considered by the NSIFT special Review Committee. The Executive director
of NSIFT will form the Review Committee from project managers and head of departments that will
conduct appeal hearings. The Review Committee will consist of [X] people including [X] people from
BFM and [X] people independent from project implementation unit and the Government of the Republic

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of Tajikistan. After review of the appeal the citizen/beneficiary unsatisfied with the solution received has
a right to appeal against the decision in court.
Public Awareness-building on BFM/GRM. Information on the BFM will be disseminated to all
beneficiaries and people having been influenced by NSIFT projects via regular information channels (for
instance, TV and radio companies, printed media, radio stations, news agencies, social media) including
organization of meetings, roundtables, public hearings (including on resettlement or compensation),
working meetings at all stages of NSIFT projects implementation; and through NSIFT BFM training
module and other awareness sources.
NSIFT will provide information on the scope of Beneficiaries Feedback Mechanism, eligibility criteria for
submission of the appeals, procedure of appeal submission (where, when and how), deadlines of
response, as well as the privacy principle and the right to submit anonymous appeals.
Awareness building will be conducted annually. They will be designed by the NSIFT communications
team to encourage the use of the BFM/GRM and publish information on complaints received and
resolved. The campaigns will use local media (e.g. TV, newspaper, radio). When organizing and
conducting these campaigns, special efforts shall be made to reach vulnerable groups.
The campaigns should include information on the scope of the GRM, the eligibility criteria to make a
complaint, the procedure to make a complaint (where, when and how), the investigation process, the
timeframe(s) for responding to the complainant, principle of confidentiality and right to make
anonymous complaints.
Publication of the Appeals. After the appeal (applications, suggestions, complaints, requests, and
positive feedback) is resolved to encourage BFM use, measures taken to resolve the appeal will be
published in mass media at the local level. Upon request the identity of an appealing person will be kept
in secret.
Reporting on BFM Progress. Semi-annual and annual reports of NSIFT projects shall include Section
related to Beneficiaries Feedback Mechanism which provides updated information on the following:
Status of BFM formation (procedures, training, population awareness campaigns, budgeting etc.);
Qualitative data on number of received appeals (applications, suggestions, complaints, requests,
positive feedback), of them the appeals related to the WB policy OP 4.12 on Involuntary
Resettlement and number of resolved appeals;
Quantitative data on the type of appeals and responses, issues provided and remained unsolved;
Level of satisfaction by the measures (response) taken;
Any correction measures taken.
Monitoring BFM Effectiveness. In addition, the following measures will be taken to monitor whether
the BFM is functioning as intended:
During the social audit open meetings, villagers discuss the effectiveness of the grievance handling
system and gather suggestions on how to improve it.
In its regular supervision visits, the CSP Central Office will assess the functioning of the grievance
handling system.
The CSP team and World Bank jointly review BFM monitoring data as part of regular implementation
support missions
.
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PART B: ESPMU PROJECT MANAGEMENT
4.9. Introduction
The project (under subcomponent 1C) will finance the incremental costs of ESPMU for the
implementation, management, and supervision of the electricity subcomponents described above, and
for procurement, financial management (FM) and the overall management information system (MIS).
This subcomponent will fund a dedicated project management team (with experts in electrical
engineering, project management, technical design, procurement, safeguards, FM, M&E, and
communications) to carry out the approved annual workplans and budgets, in accordance with the
relevant parts of the approved POM. The costs of ESPMU project coordination are already covered by
the CASA1000 project financing, and the ESPMU team will only charge incremental costs to the CSP. In
addition to ESPMU staff, the subcomponent will finance project implementation support personnel
(such as procurement, safeguards), equipment, operating costs, technical assistance, and training.
ESPMU will also coordinate with the National Social Investment Fund of Tajikistan (NSIFT) to utilize the
project beneficiary feedback mechanism (including a grievance redress mechanism (GRM) for handling
electricity-related complaints), which provides a formal channel for feedback from communities on any
matter concerning the CSP, and specifically collect, process, and address safeguards complaints.
Regular meetings will be held to ensure responsiveness and accountability regarding beneficiary
feedback, including with NSIFT and Barqi Tojik (BT).
4.10. Overview – Implementing Arrangements National and Local Levels
ESPMU will serve as the Implementing Agency for Components 1 of the Project. The State
Establishment «Project Management Unit for Electro-Energy Sector»
(hereinafter-Centre) is
independent, specialised structure which functions at the Government of the Republic of Tajikistan and
carries out coordination and management of the projects financed at the expense of own and involved,
by the Government of the Republic of Tajikistan, credit and grant means of the international financial
institutions.
For the purposeful and efficient use of the allocated investment means in accordance with rules of Asian
Bank of Development in March, 2001 at ОSHC “Barqi Tojik” the Project Rehabilitation Unit» (PRU) has
been created. Further according to the Governmental order of the Republic of Tajikistan from July 3rd,
2006 the PRU has been changed to State Estableshment «Project Management Unit for Electro-Energy
Sector» under the Government of the Republic of Tajikistan.
The Centre carries out the activities according to the Republic of Tajikistan laws, other standard legal
certificates concluded by the international agreements, and also the Charter of the Centre.
The Centre is the legal body, the noncommercial organisation, according to the legislation possessing
property, independent balance, accounts in local and foreign currencies in establishments of banks, has
the press, stamps and forms with the name.

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4.11. The main objective and tasks of SE “ESPMU”
Preparation of the necessary documentation, including the feasibility report and creation of
conditions for realization of projects
Assurance of target and an effective use of grants and the credits involved with the Government
of Republic Tajikistan for realization of projects
The main tasks of ESPMU are:
Realization of coordination and maintenance of working conditions of the international and
national experts-advisers on preparation and realization of projects
The activity organization on realization of projects with Executive Agency, the ministries and
departments, local authorities and other organizations
Monitoring and control realization, behind quality of the executed works on realisation of
components of projects by contractors and subcontractors
Realization of Foreign trade activities and the international contacts directed on performance of
every possible problems on realization of projects
Realization and introduction in operation of projects
ESPMU will manage all aspects of the project associated Subcomponent 1A: Village Electricity Supply
Improvements in the Corridor of Impact and Subcomponent 1B: Vahdat (Isfara) Substation and Village
Electricity Supply Improvements in Border Areas.
Under Subcomponent 1A: Village Electricity Supply Improvements in the Corridor of Impact ESPMU will
support for improved village electricity supply will focus on improvements for villages that are located
within the CoI. Subcomponent 1A will fund improvements to the quality and reliability of electricity
supply by upgrading village-level infrastructure. Given the locations of the 60 villages, all improvements
will involve connections to the grid (and not alternative forms of energy). The majority of the work will
involve: (i) replacement of old/installation of new 10 kV/0.4 kV transformers; (ii) replacement of
deteriorated wood poles with concrete poles; and/or (iii) replacement/installation of new 10 kV lines
and 0.4 kV self-supporting insulated lines. These investments in village electricity supply will help
communities access a more regular and reliable power supply, reduce technical losses, improve voltage
conditions in the main load areas of the target villages, and reduce the health and safety risks associated
with an aging system.
Under
Subcomponent 1B: Vahdat (Isfara) Substation and Village Electricity Supply Improvements in
Border Areas
ESPMU will provide financing for the construction and reinforcement of 110/10 kV BT
distribution networks, including lines and substations, and supply networks to three new Mahallas.
Specifically, investments in new supply-level 10(6) kV/0.4 kV transformers, installation of new 10(6) kV
lines and 0.4 kV self-supporting insulated wire will help BT to meet load growth efficiently, address load
supply constraints due to congestion in the distribution system, reduce losses, and improve the
reliability and quality of the power supply. These investments will supply power to the newly-created
settlement of Vahdat (with its 2,700 households relocating from neighboring overpopulated border
villages), and to neighboring Mahalla 14 and 15 (1,500 households) and Mahalla Nuravshon (500
households). Also under this subcomponent 1B ESPMU will support intra-village electricity supply
improvements in the border areas of Vorukh and Chorkuh. Early estimates suggest that an estimated
US$0.50 million will investments in improved supply to Vorukh and Chorkuh to reach the agreed service
standard defined in Subcomponent 1A.

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4.12. Organizational Structure of SE “ESPMU”
Managing bodies of SE “ESPMU”
The ESPMU governing bodies are the following:
Executive Director of the PMU
Deputy Executive Director
Deputy Executive Director
Executive Director of SE “ESPMU”
As per the Charter of the Centre, Executive Director carries out general management of the Centre. The
Executive Director of Centre is authorized to implement the following principal activities:
Manages the Centre’s assets, including financial assets,
Realization of the general manual for direct implementation of the project, the technical help
and consulting services both international and local advisers.
Signs contracts on behalf of the Centre;
Represents the Centre’s interest in Tajikistan and foreign countries;
Issues Decrees and Orders within the framework of its authority and supervises implementation
of the issued Decrees and Orders;
Issues power of attorney.
Other activities envisaged under the Centre’s charter and legislation.
Other key managing persons of the Center are Deputies Executive Director to whom following functions
are separately assigned:
The general management and supervision of projects are implemented by the Center according
to the order of the Executive director
Monitoring of separate divisions of the Center
Participation and making decisions on development of projects feasibility reports
Approval of large business transactions related to purchase of assests, equipment and services
or disposal of assets
Other activities envisaged under the Centre’s charter
Project Realization Group for the CASA1000 CSP
Barqi Tojik through the ESPMU will execute Component 1 of the project. Given its mandate to
rehabilitate and maintain local energy transmission and distribution networks operated through its local
electric networks at the province, district, and village levels, BT will have overall responsibility for
Component 1. As is well-established practice, BT will delegate implementation of the project to the
ESPMU through the Project Implementation Agreement. ESPMU will be responsible for the overall
project implementation, procurement, FM, technical supervision, and M&E related to Component 1.
ESPMU will open a designated account (DA) at the central treasury. This institutional mechanism has a
long track record of managing donor-financed projects. ESMPU is presently staffed by about 80 people
trained in all aspects of PMU operations, including accounting, tax, and technical disciplines, as well as
safeguards issues. ESPMU has handled projects totaling more than US$3 billion and managed IDAsupported projects with BT as the implementing agency. It has demonstrated efficiency in FM,
procurement, and recordkeeping. Implementing agency staff is involved in decision-making and
trainings provided by equipment suppliers and engineering, procurement, and construction contractors.

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SE “ESPMU” has several project departments that are engaged with the implementation of the
following grant and credit projects financed by ADB, IDB, IDA, EBRD and WB:
Regional Power Transmission Project, ADB Grant-0213 TAJ
Golovnaya 240 MWt HPP Rehabilitation Project, ADB Grant-0376 TAJ
Reconstruction of 220/35/10 kV Ravshan electricity substation, IsDB credit-0054
Wholesale metering and Transmission Reinforcement Project, ADB credit-0417
Construction of the second part of HES in Dushanbe with 2×150 MWt capacity
Rehabilitation and construction of High Voltage Electrical Transmission Lines of 500 kV in the
Districts of Republican Subordination of the Republic of Tajikistan Project
The CASA1000 Project
Reconnection to the central Asian Power system (CAPS) project, ADB Grant-0622
Currently the Centre is implementing the CASA1000 project in Sugd and Khatlon Regions, which are
financed by the World Bank, Islamic Development Bank, European Bank for Reconstruction and
Development and European Investment Bank. For timely implementation of the CASA1000 Community
Support Project, technical staff of BT and Sugd and Southen Electrical Networks as well as international
and local project experts will support Implementing Againcy.
SE “ESPMU” has experienced staff, which is familiar with the WB, EBRD, EIB and other IFI’s procurement
and financial guidelines.
Departments of PRG Involved in the Project Implementation
The following departments of PRG will be involved in various aspects of the Project implementation:
Development prospect and technology department of BT
Production and technical service of BT
BT 35-500 kV SS operation and repare service
BT Relay protection and automation service
ESPMU Financial department
ESPMU Procurement department
ESPMU Social and environment monitoring department
ESPMU Custom and Legal department
ESPMU PRG branches in Northen&Southern Regions
Department’s main responsibility in project implementation stage:
Development prospect and technology department of BT: Review and approval of the provided scope
of work executed under the investment projects.
Production and technical service of BT: Review and agreement of the technical specification data of
equipment to be installed under the project implementation.
35-500 kV SS operation and repare service department of BT; Review and approval of operation and
maintenance manuals developed for facilities operation to be installed.
Relay protection and automation service department of BT: Development and agreement of relay
protection and automatic setting required for facilities to be installed under the project.

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ESPMU Financial department:Overall financial management of the Project. Details are presented in the
chapter on Financial Management and Monitoring (FMM).
ESPMU Procurement department: Overall management of project’s procurement.
ESPMU Social and environment monitoring department: Supports and monitoring of the project
implementation.
ESPMU Custom and Legal department: Supports of procurement and financial departments. Control for
custom procidure of equipment and spare parts delivery at project sites.
ESPMU PRG Branch in Northen&Southern Regions: Constant monitoring and control project
implementation on sites.
Environmental and Social Management. The compliance of the project with environmental and social
management plan (ESMP) would be ensured by the environmental specialist of the project management
consultant (PMC), which has already been hired. Also it is planned to hire an individual Consultant which
will also support BT/ESPMU to ensure compliance with environmental and social requirements.
The Consultant will support BT/ESPMU in the implementation of the ESMP. The ESMP activities would
be incorporated in the main construction contracts to the extent possible. The ESMP activities, which
cannot be included in the main construction contract, would be implemented through additional
construction contracts, management, institutional, or technical assistance. The Consultants would
design such programs and help monitor and supervise their implementation.
The Consultant will ensure that the contractors execute appropriately all the environmental and social
impact mitigation and monitoring measures as stipulated in Project’s Environmental and Social Impact
Assessment (ESIA) report and the Environmental and Social Management Plan (ESMP).
4.13. Project Implementation Core Team
The Project implementation core team consists of:
From OSHC “Barqi Tojik”:
Deputy Chairman – Executive Director of Department of Electricity Transmission Networks
Manager of develop prospect and technology department of BT
From SE “ESPMU”:
PMU Executive Director
PMU Deputy director of PRG
Project Manager of PRG
Engineer of PRG
PRG Specialist on Procurement
PRG Specialist on Social and Environment/M&E
PRG Financial Specialist
PRG Custom and legal Specialist

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PRG Specialist on site’s.
Deputy Chairman of BT is responsible for:
Overall coordination of the Project Implementation
Cooperation with major stakeholders (MEWR and SE ESPMU)
Participate in the meetings related to technical specification and engineering analysis of the
project
Control on timely coordination of the work between the involved services and departments of
BT under the project implementation
Overall coordinationand monitoring of the Project implementation with PICT
Manager of develop prospect and technologydepartment is responsible for:
Review and agreement of scope of work on technical parts under the project
Project work planning as well approval of additional scope of project works
Overall monitoring of the project technical parts
Participate in the meetings related to the project funded by sponsoring organizations
Communication and supporting in project implementation with PICT
PMU Executive Director is responsible for:
Overall supervisionof the Project within PMU in accordance to the Project implementation
Agreement between BT and ESPMU
Liaison with major stakeholders (GoRT, MoF, MEWR, SCISPM, World Bank, AIIB)
Participate in the State meetings related to the project implementation
Measurement and verification of work quantities and certification of Contractor’s invoices for
approval and release of payments
Control on timely coordination of the work between the involved parties (BT, World Bank, AIIB,
Tajik Authorities) and the Consultants, as well as within the relevant departments of BT
Allocation of work load to various teams within PRG and continuous follow-up on progress of
works to ensure smooth implementation and completion
Supervision of overall activities of other core project team members
Overall supervision and monitoring of the Project implementation with direct reporting to BT’s
Chairman
PMU Deputy Director, Head of PRG is responsible for:
Organization, management and control PRG’s activities
Preparation of the work plans
Provision of information on the implementation of Projects to the management of OSHC “Barqi
Tojik”
Active participation in the execution, administration, monitoring and supervision of the
Contractor’s and Consultants’ work
Provision of comprehensive assistance to work missions of financing organizations
Control over the implementation of orders of the Chairman of OSHC “Barqi Tojik” in the PRG
Control over submission of reports on time to state and financing organizations
Monitor compliance with the legislation of the Republic of Tajikistan and guidelines of the
financial organizations in the PRG

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PMU Project Manager of PRG is responsible for:
Overall monitoring of procurement related issues
Assistance to the General Manager in the organization, management and control PRG’s activities
Participation in negotiations related to the project with financing organizations
Control over project implementation
Support in acquision of required information and data needed for Consultants and the
Contractor;
Coordination of the preparation of relevant reports in order to keep the BT’s management
abreast of the Project activities
Control over the implementation of the requirements stipulated in the Financing and Project
agreements
Provision of information to the General Manager on the implementation of Project, compliance
with the covenants
Provision of comprehensive assistance to work missions of financing organizations
Control over submission of reports on time to financing organizations
Monitor compliance with the legislation of the Republic of Tajikistan and guidelines of the
financial organizations in the PRG
PMU Engineer of PRG is responsible for:
Provide input to the technical specifications of relevant bidding documents
Participation in the evaluation of bids or provision of technical input to the Evaluation
Committee when needed
Review and confirm quality assurance program of the Contractor
Jointly with BT’s technical staff participate in review and clearance of construction drawings,
schedules and process proposed by the Contractor
Jointly with BT’s technical staff participate in review and confirmation of quantity and quality of
works completed, which would serve as a basis for payment to the contractor
Monitor and supervise on site testing of the all the major equipment to ensurethat they meet
the requirements and specification under the contract
Assist in supervision of works
PMU PRG Procurement Specialist is responsible for:
Assurance that all project procurement activities are in line with policies and guidelines of IFI’s
Provision of information to PRG’s management on key milestones of the contracts
Preparation and update of Procurement Plans, based on the project documents and acceptable
for the IFI’s
Prepare Terms of References for consulting services and Technical Specifications for goods and
works to be procured in cooperation with BT’s and PRG’s technical staff
Prepare procurement documentation, such as RFB, RFP, etc.
Organize and support evaluation committees in preparation of bid evaluation reports in
accordance with guidelines of IFI’s and evaluation criteria set in the bidding documents
Coordinate contracting process
Assistance to Financial Manager in development of financial plan

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Management of the contracts, by monitoring of timely delivery of contractual milestones,
issuance of amendments, review of deliverables and progress reports, and follow up on other
contractual requirements
PRG Social and Environment Monitoring Specialist is responsible for:
Management of the contracts, by monitoring of timely delivery of contractual milestones,
issuance of amendments, review of deliverables and progress reports, and follow up on other
contractual requirements
Review of safeguard documents, prepared by Consultants (Initial Environment Examination,
Environment and Social Management Framework and Resettlement Action Plan etc), furnish
suggestions for change proposals of documents and approve project documents
Control for performance of the safeguards to be carried out by Contractors as per the Bank
policy and legislation of the Republic of Tajikistan, in case of revealing any discrepancy to
suggest corrected activities and supervise thereof
Participation in meetings jointly with Consultants, Contractors, MEWR & BT representatives
during the consideration and decision of project issues
Participate in preparation of safeguard reports to be submitted to the Bank and other
appropriate authorities of the Government of the Republic of Tajikistan
Make regular study of inform materials, correspondence, Contractor’s reports and prepare
responses and conclusion thereby if necessary
PRG Financial Specialist is responsible for:
Overall management and coordination of work of financial department of PRG
Maintain project records and accounts according to the generally accepted Accounting
principles and practices and Tajik legislation
Establish and operate the financial management system for the Project
Ensure that all Project accounts are maintained in accordance with the World Bank relevant
guidelines and regulations
Maintain procedures for collecting, checking and preparing documentation required for
verifying Contractor invoices. Review payment documentation and payments to Contractor
Review prepared invoices for payments by verifying the invoice against contract terms and
conditions
Ensure that all payments are made on a timely basis and according to contract terms and
conditions as well as the WB and IDA relevant guidelines, regulations, legal agreements and
other applicable documents
Develop, maintain and update written procedures (Financial Management Manual) for
operation of the Project accounting system
Review disbursement applications according to the World Bank and Ministry of Finance
procedures
Establish and manage the Project’ Designated Accounts. Review requests for Special
Commitments, open Letters of Credit, review payment orders
Review reconciliations of the bank account balances to the Project accounts, as well as to the
World Bank Client Connection system. Conduct regular foreign exchange revaluation of undisbursed balances of the Project funds
Prepare the Project’s annual budgets. Implement financial planning in co-operation with the
Head of procurement and monitoring department
Ensure that IFRs are timely prepared and submitted to the World Bank and to AIIB

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Prepare the Project annual financial statements to be audited and coordinate the audit
arrangements of the Project and cooperate with the auditors; ensure that all Project accounts
are maintained in accordance with the World Bank regulations for auditing by independent
auditors acceptable to the World Bank and on the terms of reference acceptable to the World
Bank
Provide documentation to World Bank and Asian Infrastructure Development Bank required
during missions in conducting regular financial management supervisions of the Project
Ensure timely submissions of reports to the Tax authorities.
PRG Custom and legal Specialist is responsible for:
Overall management and coordination of the department work
Ensure timely custom clearance of supplied goods
Legal support during project implementation stage
PRG specialist on sites is responsible for:
Coordination of works on site
Assistance to the Contractors on getting of all necessary permissions to work on site
Coordination of works with PICT
Review and agree the request from Contractors
The organizational chart of SE ESPMU is presented in Annex 4.5.
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CHAPTER 5:
COMMUNICATIONS

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CHAPTER 5. COMMUNICATIONS
5.1. Subcomponent Description
Subcomponent description from PAD
. Given the importance of community understanding of the
CASA1000 Transmission Line and the CSP as a benefit-sharing mechanism, initial communications
activities (surveys, FGDs in target communities, development of a communications strategy, and design
of initial communications materials) will begin prior to the launch of the construction of the CASA1000
Transmission Line.
A CSP Communications Action Plan has been developed by a World Bank-hired Communications firm
and in consultation with NSIFT and ESPMU, and is detailed in this Chapter, with the specific aim of:
(i) building village-level support for CASA1000 by improving community understanding; (ii) establishing
trust in the CSP and managing expectations by transparently communicating CSP scale, scope, and
eligibility; and (iii) providing a communications platform for messaging related to the broader CASA1000
project.The target audience includes community members, VPCs and Mahalla committees, Jamoat
councils, and JPCs.
Activities. NSIFT and ESPMU have jointly engaged in the development of the communications strategy
and action plan, and communications materials developed by the local firm, prior to effectiveness.
NSIFT/ESPMU will support the dissemination of CASA1000 materialsand messaging, ensure ongoing
information sharing and feedback, monitor the results of communications efforts, and train
communications staff to take part in communications activities. Emphasis will be placed on two-way
communication; feedback from local stakeholders will be documented, and IA responses tracked.
Communications budget managed by NSIFT will finance: (i) any follow-up engagement with the firm to
ensure locally-relevant communications materials; (ii) dissemination of CSP communications materials
through a broad range of channels (radio, roadshows, loudspeakers, community meetings, social
media), and CoI village and Jamoat/Mahalla events; (iii) any communications materials required on
specific issues; and (iv) feedback on the communications activities and actions to reflect on any revisions
that may be necessary. Outputs reported in progress reports will include progress on the
communications strategy and action plan, communications materials disseminated, attendance of
awareness-building events, staff trained on communications and awareness of villagers of CSP
communications materials.
Project financing within subcomponent 1C will also include ESPMU contributions to the overall project
communications activities described in Subcomponent 4C. This subcomponent will finance ESPMU
contributions to communications efforts during project implementation. Working in coordination with
NISFT, this will include outreach to communities to communicate the scope of village electricity
investments, communications materials required on specific issues related to village electricity
investments, and ESPMU staffing and related training activities.
ESPMU and NSIFT will both appoint staff to support the linked communications activities required for
the CASA1000 and the CSP electricity and CDD components. To this end, a
Communications Working
Group
will be established and meet quarterly with representatives from BT, ESPMU, NSIFT, and the
appointed communications firm.

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5.2. Objectives, Scope, and Parameters
Objective.
ESPMU and NSIFT will implement a communications strategy and action plan to ensure that
clear, consistent and accurate information about the benefits and opportunities offered by the
Community Support Project and CASA1000 is communicated in villages and jamoats along the
transmission line. The objectives of the communication plan are to:
Build village-level support for CASA1000 by communicating how the CSP will benefit eligible
communities.
Establish trust in the CSP and manage expectations by transparently communicating CSP scale,
scope, timeline and eligibility.
Provide a supportive communication infrastructure for messaging related to the broader CASA1000
infrastructure project.
Ensure that local-level initiatives, benefits and impacts are known at a national level by sharing
information about the CSP with the Communications Working Group.
Institutional arrangements. A Communication Working Group (CWG) will be established prior to
Project effectiveness to ensure two-way information flows between local and national-level
stakeholders on CSP/CASA1000 communication efforts. The CWG will be established comprising
communications staff from ESPMU, NSIFT, BT and communications firm to support CASA1000 CSP
communications. The CWG will meet quarterly to discuss messages, make decisions on the capacity and
awareness building targets, decide on outreach meetings and discuss feedback received.
Communications issues will be included in semi-annual progress reports to the Bank. The Chairperson
will rotate annually. The NSIFT Communications staff will provide the secretariat function for the CWG.
At the first meeting of the CWG, the meeting will agree a terms of reference (see Annex 5.1) and
nominate the first Chairperson.
Budget.Financing for project communications efforts will initially be financed from two subcomponents: 4C implemented by NSIFT and 1C implemented by ESPMU. CSP Project funds will support.
NSIFT and ESPMU communications staff expenses (NSIFT and ESPMU budgets)
Organization and implementation of communication activities and events in corridor-villages and
jamoats at strategic times to deepen local level understanding (NSIFT budget)
Training of local youth monitors and front-line staff (NSIFT budget)
Dissemination of communications materials created by communications firm (including payments
for radio and tv airtime) (NSIFT budget)
Evaluations to measure communication activity outcomes and to make revisions as necessary (NSIFT
budget)
5.3. Methodology of Developing the Comprehensive Communication Strategy
Access to information is critical in achieving the Sustainable Development Goals (SDGs). For one, it
empowers those most vulnerable with knowledge to demand their rights more consistently and use
state services more purposefully. Also, access to information is crucial to alleviate poverty as it fosters
participation in important decisions that affect people’s lives.

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In the frame of CASA1000 and the CSP, this Comprehensive Communication Strategy (CCS) was
developed by a communication firm. The preparation of the CCS followed an iterative process that
entailed a number of pivotal steps and cycles of analysis, planning, tools producing and reflection, as
illustrated in Figure 5.1. The organogram outlines a model for basic communication framework.
In a first step, Zerkalo Analytic Group conducted a comprehensive communication needs assessment
(CCNA) to help form an in-depth understanding of the local context, define clear objectives of the
communication strategy and formulate key messages for target audiences. The CCNA was conducted
through a variety of methods that allowed to collect information through situation observations to form
a holistic view of the context, complementing findings from a desk research. Detailed findings of the
CCNA are elaborated in Annex 5.2.
Communication needs assessment – key findings
Situation analysis.Overall, the population as well as local government institutions of the CSP target
areas have limited knowledge of the CASA and CSP scope and objective. Nevertheless, the following
concerns related to CASA1000 construction were highlighted by respondents in the target communities:
1) Potential negative impact on human health, soil fertility and livestock and agriculture productivity
(morbidity of livestock, degradation of the fauna in the environment)
2) Risks associated with possible resettlement and changes in land plot borders for individual
households, including concerns of:
a. unfair or lack of compensation in such cases;
b. reduced access to ad interruption to (secondary) education as resettlement will force children to
change schools;
c. reduced employment opportunities in the target area
3) Risks of increasing electricity tariffs,
4) Negative impact on the business environment, as well as consequent brain drain;
Figure 5.1. A Model of the Basic Communication Framework
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At the same time, respondents did recognize and point to potential opportunities of the CASA and the
CSP, including:
1) Improved livelihoods due to increases in employment opportunities (this finding is more related to
the Isfara District)
2) Strengthened energy security, positively contributing to the population’s health (mainly through
better heating during cold months)
3) Positive contribution to public infrastructures, including road, bridges, hospitals and schools etc.
In the formulation of the CCS, it will be important not only to address concerns but also to manage
anticipated positive impacts and expectations.
Objective of the communication strategy. This communications strategy has been developed to ensure
that community members affected by the CASA Transmission Line are reached through adequate
communication channels and provided with sufficient information to ensure community engagement
during the construction process and CSP implementation.Specifically, the overall objective of CCS is
to:
Build grass root level support and establish trust at community level by improving community
understanding of benefits and opportunities offered by the CASA1000 and CSP.
Reaching this objective is expected to allow to maximize the impact of the CASA construction outcomes.
It is therefore important to ensure that the content of communication and dissemination materials on
the CASA and CSP is targeted towards all relevant audiences, taking into account their fundamental
grasp of the projects and motivation to engage in their implementation process. Therefore, the
following specific objectives (SO) and associated outcomes were formulated (Table 5.1):
Table 5.1. Specific Objectives of the Communications Strategy

SO 1: raise awareness of the population
on benefits and opportunities of the CASA
construction and CSP implementation

Project objectives, activities, expected outcomes
and deliverables are clearly communicated
Concerns and anticipated negative impacts are
addressed and clarified
Opportunities and benefits offered by the projects
are understood and project ownership increases
SO 2: raise the level of engagement of
target beneficiaries in the project
implementation processes

Tools and mechanism to actively participate in
different stages of project implementation are
understood
Available feedback mechanisms are communicated
Women and youth understand their key role in
successful project implementation
SO 3: contribute to the stabilization of
conflict-prone border areas

Tense, possible vectors of conflict situations are
circumvent through better understanding of
project scope and objectives

Target audience and information needs. CASA and CSP projects cover rural areas of Tajikistan, which
are usually represented by household consisting in average of six members in one household.

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Below and above age lines represent 18 and 60 years accordingly. In a youth age category, which ends
with 35 years old, was represented by the 25-35 years old category, which is 32%. The higher the
educational level, the less it represented by women whose proportion at higher levels of education is
sharply reduced, starting with the secondary education. The proportion of men who have completed
higher education is average 46%, while the proportion of women under the same category is 21%.
Considering target audience through prism of employment, gender and age, we can see that proportion
of the unemployed is highest in age groups under 35 years old. It should be noted that among men in
general, two categories are most represented: working – 31% and unemployed – 28%. Among women,
the highest share of the housewife’s category is 51%.
The target audiences for the CASA1000 and CSP Communication Strategy were identified by consulting
project stakeholders that have a specific interest in and will benefit from CASA and CSP outcomes. Table
5.2 provides an overview of the different target audiences and defines their communication needs. The
subsequent sub-chapters present the findings in more detail.
Table 5.2. Overview of Target Audiences and Their Communication Needs

Target audience Communication goal
Civil Society
Communities’ population at large Share knowledge and raise awareness among the general
public and civil society organizations about CASA’s project
approach, deliverables and expected results
Local non-governmental organizations
(NGO)
Mahhalla Committees (traditional form
of self-governance)
Youth
Influential members of society
Religious leaders Condense and translate project findings and expected
results to guide discussions among community leaders,
ensuring long-term support and commitment through
community engagement
Local leaders among women (Bibiotun)
Heads of ouseholds Committee
(DomKom)
Family doctors and nurses
Elders
Business sector
Micro, Small and Medium Enterprises Communicate project activities and expected results and
support the identification of opportunities for economic
development that can be achieved through CASA or CSP
Public business agents (MFIs, Extension
Service etc.)
Local government representatives
Hukumat staff Increase knowledge and enhance level of understanding of
project benefits and expected results to allow them to be
aligned with government plans at the local level and
ensure sufficient cooperation between local administration
and the project implementing agency
Jamoat staff
Vulnerable groups
People with a physical disability Raise awareness among vulnerable groups of the
population to ensure equal access to project benefits
Sick people and elders
Spouses of migrants supervised by their
extended family

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Civil society. This target audience consists of the general public, i.e. people living in the corridor that are
expected to be impacted by the transmission line, and local civil society organisations (CSOs), i.e. NGOs,
Water Users Associations and Water Users Groups and Mahalla Committees, and the youth segments of
society. For this audience, it will be essential to apply gender sensitive communication approaches,
making sure that cultural and traditional values for accessing information are taken into account.
Local CSOs are considered a trustworthy and reliable source of information that is frequently accessed
by the local population. It is therefore expected that well informed CSOs generate a cascading effect,
with CSOs disseminating obtained information materials and knowledge to the general public. A detailed
mapping exercise at the beginning of the implementation of the communication strategy will be
essential and allow to identify CSOs with a wide reach, ensuring inclusive knowledge sharing among all
segments of society, in particular those most vulnerable.
The young people living in communities along the corridor of the planed transition line construction are
expected to benefit from the CASA and CSP through local employment opportunities it will create. Youth
will engage with and learn more about the projects, how the power line is operated and what the
expected benefits are for the country of a whole and their communities in particular. Through that, the
youth target audience will be provided with the most important information on the project and is
expected to spread gained knowledge to other members of their community.
Influential members of society. This target audience consists of religious leaders (and elderly, male,
non-religious community leaders), local female leaders (Bibotun), heads of household committees
(Domcom) and family doctors and nurses. The CSA found that this group enjoys high levels of trust
within the local population. As such, closely involving this target audience as
Local Promoters, i.e. people
who are equipped with sufficient and viable information and materials and with necessary skills to
convey the message to villagers.
To sustainably appoint an influential individual (Figure 5.2), in a first step, suitable promoters will need
to be identified (might be one or several people in one community). In a second step, their capacities
will need to be built to prepare them for their role and responsibilities in sharing information within
their communities. Identified influential individuals, or promoters, need to have a sound understanding
of and knowledge about the projects’ objectives, set of activities, expected outputs and benefits on the
country as a whole and their community in particular. Finally, in a third step, the promoters will need to
find a common ground with their target audience, i.e. the community members in general and those
most vulnerable in particular. To do that, the promoters need to identify the right communication
channels to disseminate information to different segments of their community. Providing the local
promoters with Visual Information Materials (VIMs) will increase efficiency of knowledge dissemination.
Project Implementation Unit staff is recommended to meet with the local promoters on a regular basis
(at least quarterly) to discuss the process and progress in awareness raising as well as to provide them
with additional or updated information material.
Furthermore, the local promoters can be mobilized at a later stage to translate community members’
prevailing concerns, grievances or questions caused by the project implementation to the PIU through
the Beneficiary Feedback Mechanism (BFM).

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Business sector. This target group is represented by Micro, Small and Medium Enterprises (MSMEs) and
public business intermediary organizations, such as Micro Finance Institutions (MFIs) and extension
service providers. This audience was identified to be relevant because respondents of the needs
assessment frequently raised concerns that the CASA and CSP projects might have negative impacts on
local business environments and its development. More generally, particularly MSMEs engaged in the
agricultural sector have limited access to information as they are not always well embedded in
community structures and communication channels. To avoid misinformation, it is important to provide
information assess to the business sector and ensure that the projects’ scopes and potential impacts on
the sector are well understood and allows to identify business opportunities that may result from the
CASA and CSP projects.
Local government representatives. This group of strategy target audience will represents by
Government officials at Jamoat level, Hukumat at Districts and National Level. The needs assessment
findings illustrated very low level of knowledge and understanding of CASA-CSP projects information
among representative of this audience at Jamoat and District levels. Take into account, high level of staff
rotation at this level, it will be important to provide information on consistent way and in case of staff
rotation to organize re-freshmen sessions. Due to the low level of awareness of this audience group,
half-day training to be organized with a aim to increase the level of understanding of project’s
objectives, expected results, theory of change, activities to be implemented in a project’s scope,
planned deliverables, outcomes and outputs, opportunities and risks. It will be very important to
underline during training course the role of government institutions and importance of engagement of
local governance, youth and women engagement, which will guaranty enough level of commitments
and support from Government Officials. This audience group will be more effectively reachable via online tools for the communication and information dissemination to compare with audiences mentioned
above. The Government audience at national level, will need to get access to the information on
projects status and deliverables thus needed decisions are taken in timely manner, which will indeed
impact on a quality of the project deliverables and results.
Vulnerable groups. This group is comprised of communities members faced with additional difficulties
to access information due various reasons, i.e. immobility due impedimentary health condition or social
factors, lack of access to technology or other reasons. Members of this group are often people with
physical or psychological disability, sick and elderly people, abandoned wives or wives of labor migrants
under strict supervision from in-laws. The implementation agency of the communication strategy will
need to create pathways and develop viable VIMs to grant them access to information, particularly
because they represent those most vulnerable in society and are unlikely to benefit equally from the
projects unless particular attention is given to reach them.
step 1
Identify influential
individuals to act as
Local Promouters
(ensuring
appropriate gender
representation)
step 2
Build capacitiesof local promoters
through:
(1) two-day training on issues of
awarence raising and information
related ot the CASA and CSP
projects, and
(2) provision of appropriate VIMs
and tools for knowledge
dissemination (infografic, posters,
broshures, presentation etc.)
step 3
Conduct regular meetings
(quarterly) to provide
promoters with up-to-date
information on project
progress, including viable and
additional VIMs (if
necessary). Promoters are
also involved in collecting
grievences from negatively
affected populations.
Figure 5.2. Appointing Local Promoters – Step-By-Step
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Comprehensive communication strategy – key messages
Messages to be conveyed to the identified target groups should be positive, clear and consistent with
the CASA and CSP implementation modalities and project designs and:
Be straight forward and to the point
Focus on outcomes not processes
Include supporting arguments with points of proof.
Nevertheless, key messages will need to be adapted to each identified target audience separately.
Further details of the messages to be included in and disseminated through the communication strategy
are outlined in a communication matrix provided in Annex 5.3 to this report.
Communication channels. The CCNA findings recommend distinguishing between and using two
different channels to convey the key messages, namely communication and information provision
(Figure 5.3).
While information channels are simple, one-way information delivery mechanisms, communication
channels allow collecting feedback and create a platform for dialogue during the delivery process.
Keeping in mind the unique contexts and information needs of each identified target audience, either
information and communication might be considered as channels. Indeed, the analysis of the CCNA
findings helps to understand which channel and tools should be used to reach the target communities
efficiently and sustainably based on given, local circumstances (literacy level, access to internet etc.) of
the different target audiences. Figure 5.4 shows that respondents to this study, representative of the
communities the CASA and CSP will affect, prefer traditional means to access information, i.e. through
TV, radio, and newspapers. The findings further point to the importance of social events at village level
such as weddings, hashars
5 and general assemblies, the populations’ continued use of information
boards and loudspeakers at village centers and the consultations of local newspapers for information
and important announcements. In contrast, more recent tools such as the internet are less used due to
a general lack of access (though young people are more frequent users).
5
Hashar refers to voluntary labor of community members to implement community projects in Tajikistan, including
fixing roads after spring rainfalls, renovation of public buildings and other public infrastructure as needed.
Channels to conveying
key messages
Communication
Delivering information to
an audience to increase
levels of awareness
about a topic
Collect feeback from
recipients of information
and create a platform for
dialoge between
recipients and
information conveyers
Information provision
Delivering information to
an audience to increase
levels of awareness
about a topic
Figure 5.3. Communication and Information Provision – the Two Channels of Conveying Key Messages
CASA1000 CSP TAJIKISTAN POM
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Figure 5.4. Preferred Types of Channels for Information Provision and Communication
Importantly, approaching community leaders such as local government representatives (heads of
Jamoats and Hukumats and traditional form of self-governance, Mahalla Committee) and other
respected and active members of the community (family doctors and nurses, religion leaders etc.) are a
very common way for members of the community to access information and raise concerns. It is
therefore crucial to ensure that those channels are used and well informed.
The CCNA findings suggest that information and communication materials should be developed in Tajik
and Uzbek for dissemination in Sughd Province Districts. Using simple language will be important to
ensure that the provided content is accessible for all members of the communities, regardless of their
level of education.
Table 5.3 provides an overview of the variety of dissemination tools and which are suitable for the
different target audiences. Subsequently, a more detailed description of each suggested dissemination
tools is provided.
Table 5.3.Dissemination Channels for Identified Target Groups – Overview

Dissemination tools
(information and
communication channels)
Civil
society
Influential
members of
society
Business
sector
Local
government
representatives
Vulnerable
groups
Press and media work
TV broadcasting X X X X X
Newspaper X X X X X
Radio broadcasting X X X X X
Print material
Projects factsheets X X X X X
Project VIM (poster and info
graphic) X X X X
Placards for village
information boards X X X
Networking, meetings and events
Public presentations in each
community
X X X
Social events6 X X X
Online tools

6
Direct communication during social events at community level (weddings, etc)

92, 7
36,1
32,
7 17,3
24 ,3

0 10 20 30 40 50 60 70 80 90 100
Online Radio Newspapers Community Leaders TV

CASA1000 CSP TAJIKISTAN POM
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Project web-site X X X
Social media X X X X X
E-newsletter X X X

Channels highlighted in blue are channels for information dissemination, while highlighted in orange can
be used for communication purposes.
Press and media work. In the following, a number of information channels for dissemination tools of the
press and media are presented. A comprehensive approach through these channels is expected to have
an extensive reach as they constitute traditional, often consulted mediums of rural populations.
A media work plan will need to be developed by the project team to decide which of these channels
should be used for what type of information. It is important to ensure the media outlets are provided
with donor and project logos in addition to the general information to be shared.
Figure 5.5. Process of Centralized Information Chain from Information Blogger to Media Channels
TV broadcasting.
The needs assessment showed that rural populations most frequently and consistently
consult TV broadcasting to access information. Regional and national TV channels can be used to
disseminate information on key aspects of the projects (value for money to be ensured). A short cartoon
will be developed and broadcasted regularly, providing a simplified, illustrative way to explain general
project design, objectives and benefits for the country’s economic development as well as for people’s
livelihoods.
Newspapers publications. Publications in local newspaper are considered a viable and effective
information channel. It is recommended to use newspapers published at the district or regional level.
Newspaper publications can convey not only general project information but also present best practices
and innovative technologies and methods for improving rural livelihoods and drive economic
development at the community level. Demonstrating of such best practices should be done by
interviewing those who have piloted such methods and can share their experience in a relatable way.
A detailed strategy and plan for newspaper publication should be developed for the whole project
duration and agreed on with newspaper management. The strategy should follow a systemized and
comprehensive way of information conceptualization, using information blogger
7 to highlight key
elements of the project (including objectives, scope, benefits, eligibility criteria, feedback mechanisms
etc) and share up-to-date information with the respecting newspapers. The information blogger works
closely with the implementation agency guarantee access to information on a regular basis (see Figure
5.5).
7
Blogger is a blog-publishing service that allows multi-user blogs with time-stamped entries
1 step
• Executing Agency
provides access to
CASA and CSP
projects
information to
Infroamtion Blogger
on regular base;
2 step
• Information Blogger developing
posts on project related data (facts,
stories, essons learned,
opportunities, benefit etc) and
placign it in information portal for
further use
3 step
• Newspapers focal
points use the
published content to
develop materials &
articles and publsh it
on regular base

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Radio broadcasting. Radio broadcasting will be developed on a quarterly basis and air regularly. Rural
populations prefer regional radio channels. Radio can be used not only as an information channels,
announcing project information and facts, but also as communication channel, by life streaming of
interview, stories from the field etc as an interactive tool where people can call in an ask questions, raise
concerns and interact with the information provider.
Print material. General CASA and CSP project information will be provided through factsheets, VIMs and
placed on information boards at community centers or other public spaces (as available). Using simple
and understandable language will be vital to avoid misunderstandings among rural populations.
Information graphics, organograms or other visualization tools might also be recommended to simplify
processing of information.
Project factsheets. The factsheets will provide a short overview of the main features, objectives and
(expected) results of the CASA and CSP projects. It will be developed at the very beginning of the project
and serve as the main offline dissemination material until VIMs will be printed. The template of a
recommended factsheet outline is attached as Annex 5.4.
Visual information material. Specific features, objectives or project theory of change are best visualized,
for example through info graphic or posters. These VIMs will be the main dissemination materials to
stakeholders during project events. Information presented in VIMs should be simple and visualize
project information.
Placing project-related information on Information Boards. In the context of the project and given the
type of information that will need to be disseminated among the rural populations, placing information
on the projects on community information boards is considered one of most efficient ways. The
information that can be shared to the population will include general CASA and CSP information,
information and contacts of the implementing agency, projects objectives, expected results, project
logic and its concept outlining composition of activities, outputs, the approach that will be used for
monitoring and evaluation and budget figures. It will provide also information on how to access the
projects’ website, and how to contact the project representatives. The information on the information
boards should be updated regularly (every quarter) in order to reflect achieved results and challenges,
project status and other important information to achieve strategy objectives. Local promoters can be
mobilized to update information on the information boards. Where there are no information boards,
the communities should be provided with some.
Networking, meetings, and social events. While the above suggested channels are useful for
disseminating information, they do not constitute channels for communicating with the recipients of
this information. Therefore, the following dissemination tools allow to interact with the rural
communities and address their concerns as they arise.
Presentations at the community level. The CCNA found that holding presentations on the projects is a
particularly good tool for communication of general information, specific activities, sharing of results,
etc.
8 In addition, this tool allows to address concerns, answer questions and prevent misunderstanding
in an ad hoc manner. There are different ways how the project team can present information to
8
The highest-level knowledge and understanding of the CASA project objectives and expected results (40%) found
among the population and local authorities were found in Tursunzade district, where project staff had already held
presentations in certain communities.

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villagers, i.e. through power point presentation, through community meeting sessions, though
loudspeaker etc.
The following should be kept in mind during the planning, developing and holding of the presentations:
The presentation should consist of 10-13 slides maximum, if the presentation is too long people
might not be able to follow or lose interest
The presentation should cover the general information on the projects, including title, donor agency
and implementing team, objective and expected results, general structure of activities set and
deliverables
Focus on information on how the projects will benefit and impact people’s livelihoods. This will be
crucial to address concerns people raised already during CCNA
Carefully select the time and place for presentation to guaranty that all members of the population
are able to attend. Particularly women and people with disabilities need to be accommodated
carefully.
After the presentation, allow participants to ask questions. This will not only allow you to get a
better understanding of what additional information materials should be developed but also allows
to engage with concerns directly, clearing up any misunderstandings or grievances.
The presentations should be held by local promoters at village level. ToTs should be organized to ensure
that local promoters have sufficient information, a comprehensive understanding and necessary skills to
present information to the general public. This will be essential to avoid any miscommunication.
Social channels. Information of CASA and CSP projects can be effectively disseminated during social
events which quite often happen at communities’ level, i.e. weddings, hashars, meetings of population
in a public place, teahouses, gap/gashtak etc. Information should be disseminated by local promoters
9
(who will be trained and skilled and equipped with VIMs).
Online communication. Online communication tools are not considered a viable communication or
information channel to disseminate information to the general population (based on the findings of the
CCNA, respondents from target communities do not frequently use online tools, only 17,3% responded
that they use access the internet get access to information and news). This can be explained by the
unreliable intern access in rural areas, overall poor internet connection, lack of knowledge on how to
navigate online to find desired information, lack of devices able to connect to the internet and high
internet prices.
Though online communication might constitute an extremely effective tool to share information among
a targeted audience in other regions of the world, the communication strategy developed below will not
put a strong focus on this channel. However, because still some people do use the internet (17.2%),
some tools will be proposed and elaborated on.
Website. The most important online channel to disseminate CASA and CSP content online is the project
website (www.casa.org) where all knowledge material can be included, including general information
about the project, its goals, activities, composition and progress of implementation, news,
9
Detailed information on local promoters can be find in the part of document describing the target audience, on
influential community members in particular.

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announcements and more. The website will be a major dissemination channel for the projects, where
on-going activities as well as key results and outputs are shared.
The website should be easily accessible (allow for fast loading, low megabyte usage to load, etc.) and
user-friendly (easy interface, clear structure, etc). The website will need to host the following
information:
Description of the project
Implementing body and agencies and contact details
Budget and timeline details
Publications developed in the scope of the project, including progress and impact reports
Stories from the field and best practices
Illustration of status of projects implementation
Beneficiaries complaint mechanism tool/form.
The suggested list of website content is not conclusive and should be based on the preferences of the
project team and target audience. The website also should allow the population to interact with the
project team, providing a platform to ask questions or share grievances.
Social media. The propose communication strategy uses several types of social media platforms to
disseminate CASA and CSP information, results and outputs, best practices, etc. and offer a platform for
the population to start conversations about the project related issues. Indeed, social media platforms
will offer an essential space to collect feedback, questions and grievances from beneficiaries and others.
Taking into account findings of the CCNA, preferred social media platforms are Facebook, Viber and
Telegram. The communication strategy outlined below, defines specific goals for the dissemination of
CASA and CSP information through social media, using general sharing of information, introducing and
using existing hashtags, keywords, frequency of interacting through the platform and some
recommendations on how to formulate posts and tweets.
E-newsletter. The CASA and CSP projects will publish a periodic newsletter (approximately every three
months, depending on the availability of new and relevant information). The objective of the newsletter
is to present information about the project activities and outcomes, plans and challenges. The
newsletter could also announce beneficiaries’ and stakeholders’ opinions on specific issues as well as
interview with beneficiaries on best practices etc. The newsletter will be available electronically and
distributed through a mailing list published on the project website. Taking into account the local context,
the newsletter will need to be printed and disseminated though local promoters, information boards or
social events (see above). Printed versions should be kept to a minimum, printed in black and white,
double-sided reduce its negative impact on the environment.

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Figure 5.6. Tips on Communications Strategy and Tactics
Key tips of Communication Strategy and tactic
Overall objective -> to build grass root level support and establish trust to the CASA-1000 and
CSP at community level by
improving community understanding of the benefits and
opportunities offered by the CASA and CSP
Target audience -> there is different audience groups to be covered by communication strategy,
the level of literacy and education background, vulnerability level, preferences given to the
communication channels need to be taken into account in the scope of strategy implementation
Message -> clear, positive, and accompanied with practical examples and verifications. Common
and standard set of information to be developed from the very beginning and to be applied in all
target villages. To ensure that cultural norms are adhered to and the language used is understood
and appropriate. In Isfara the focus of key message to be disseminated will be slightly different from
the rest of geographical area with a focus on cross-border elements;
Communication channels -> will differ by socio-economic status and literacy level of target
audience. For target audience, where literacy levels are low and poverty more widespread,
communication mediums will focus on offline channels, media and social communication channels,
while audience with higher literacy level will be covered mainly by online communication channels;
Comprehensive approach to be applied by using different type of communication channels to target
particular audience group;
local Promoters -> Influential Audience, its important to determine and select people at community
level with a high level of trust and confidence among community population. Local Promoters should
be capacitated and equipped with required dissemination materials. Local Promoters will also paly a
role of facilitation of community mobilization processes. Local Governance Institutions, such as
Mahalla Committee will play a vital role in process of increasing level of awareness of villagers on
CASA and CSP as well as in a community mobilization;
Gender sensitization and participatory approach -> methods to be applied for information
dissemination, must take into account the preferences and suitability for the females group of target
audience and most vulnerable group in community, ensuring that access to information,
opportunities and decision making processes are equally disbursed;
5.4. Implementing the Communication Strategy-Community Mobilization and Engagement
Engaging with communities will be ensured through the community mobilization process, which will
help to increase the level of knowledge and awareness on CASA and CSP projects sustainably and
provide a mechanism for two-way communication. Community mobilization processes will help to get
villagers’ support during the process of projects implementation and to create required levels of
commitment and ownership. Mobilization can be effectively facilitated by well-trained and
comprehensively informed local promoters (described above). Where community mobilizing structures
have already been set up through other entities or projects, the CASA and CSP should utilize them to
communicate key messages.

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A large part of the communications strategy will also focus on gaining the trust of communities and
managing community expectations, ensuring that expectations of the population are met. It will be
important to engage with structures and groups that will be created under the CSP for realizing the
communication strategy through local agents of change, acting effectively as community promoters. As
such, it will be recommended if members of Jamoat Project Committee, Joint Group for Monitoring and
Evaluation, Community Project Committee, Ambassadors of Energy sectors, Youth Initiative Groups, and
Public Group for technical services can be considered first in the scope of identification potential
community promoters. In case, community promoters will not be a member of above mentioned
groups, than close coordination between this groups will be strongly recommended.
Conflict-sensitive communication in border areas. When engaging with border communities in the
Jamoats of Vorukh and Chorkuh in Isfara, conflict sensitive approaches to communication will be crucial.
This is particularly important given that some activities of the CASA and CSP project will provide missing
infrastructure and services, a lack thereof often constitute root cause of cross-border tensions, locallevel violence and conflicts over the last decade.
Activities of the projects will also: (i) build the capacity and resilience of local institutions, (ii) engage
youth in investment planning, and (iii) promote strategic planning on border area development. In the
implementation of the communication strategy in border communities, the following should be
considered:
Target audience: Ensure that information is disseminated to all key stakeholders and locally
presented group equally, prioritizing in particularly youth, women, local leaders, Civil Society
Organizations and MSMEs.
Communication channels: Preferred communication channels in these areas were TV (Shabakai Aval
and Safina) and Radio (national) broadcasting. Get support from local CSOs and leaders that are fully
aware of conflict dynamics to disseminate information, in particular local female leaders need to be
involved.
Messaging: The the messages to be promoted in a cross-border area should be focused on the
following aspects: (i) CASA1000 and CSP Projects will promote opportunities for expanding crossborder development cooperation; (ii) CASA1000 and CSP will strengthen community safety and
security, through electrification of the border area, for example, investing in street lighting in unsafe
border areas, (iii) Projects will encourage livelihood development and employment opportunities for
youth (investments in small storage and processing facilities, youth centers, IT centers); (iv) CASA
and CSP will benefit and create opportunities for cross-border trade; (v) CASA and CSP will enhance
cross-border transport infrastructure for better connection (repairs of roads or bridges that facilitate
cross-border trade and market connections); (vi) CASA and CSP will contribute to the construction of
health centers, local hospitals, first aid centers (which can be staffed by both Kyrgyz and Tajik
medical personnel and serve members of border communities).
Manage target community expectations: the findings of CCNA showed that expectations and
projects perception of population in cross-border areas is much more positive compared to other
geographical areas. Expectations are that CASA and CSP projects will support them to increase
employment opportunities and thus impact labor migration dynamics (allow more people to stay in
country due to employment alternatives). Furthermore, people expect that the project will help
them to improve access to roads, irrigation and other public and economic infrastructure. Through
this process, it is expected that the project will reduce prices of food and agricultural products.

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Finally, people expect that the project will help to stabilize conflict-prone cross-border area. It will
be important to promote these positive perceptions while managing those expectations carefully.
Cross-border cooperation among local leaders: It is highly recommended to disseminate and
communicate the same information on both sides of the border to avoid conflicting messages and
suspicions of favoritism. This can be achieved through close cooperation between the implementing
agencies on both sides of the border and local leaders (it is recommended to use well-respected
local leaders as a promoters).
Monitoring and evaluation. The Monitoring Committee of the implementing agency will monitor the
progress of the delivery of the communication strategy and achieving set indicators. An yearly
communication plan will be presented to the Monitoring Committee, who will report on progress made
on the target indicators. Progress on the implementation of the communication plan will also be included
in the annual and final project reports to the World Bank. If deemed necessary, the Monitoring
Committee can decide to review processes and targets set by the strategy. In order to measure and
evaluate the effectiveness of the communication strategy, the indicators to be tracked during the
program implementation are presented in Table 5.4.
Table 5.1: Communication Strategy Target Indicators

Output indicators Result indicators
Operational Website and statistics;
Number of news articles;
Number of events + participants;
Number of social media posts (Facebook
posts + reach, likes, Twitter posts +
retweets, followers);
Number of publications (if possible how
many downloaded);
Number of VIM developed an distributed;
Number of TV and Radio broadcasts;
Percentage of villagers aware of CASA and
CSP communications materials;
Community and stakeholder understanding
of CASA and CSP (project objectives, scope,
benefits and beneficiaries).
Raised awareness about the CASA and CSP and
its opportunities;
Raised awareness about project outputs and
program results;
Improved knowledge about procedures for
applying for/claiming funding through the CSP;
Increased capacity for effective engagement
into project implementation (e.g. seminars,
guidance);
Raised satisfaction with CASA, CSP project
deliverables and impact.

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5.5. Detailed Action Plan for Strategy Implementation
Table 5.5. Action Plan for Implementation of Communication Strategy
No. Activity Frequency of dissemination Audience Timeline
MEDIA WORKS AND PRESS
1. Producing short video clip (duration 2 min
maximum) on general information about
CASA1000 and CSP benefit and expected
results (under support from Ministry of
Water and Energy Resources) and
translation on National TV
10;
In a first month of the project start to
translate 3 times per week (12 times),
than two times per month. (Update to be
done based on a needs)
General audience,
stakeholders, media and
government and nongovernment organizations,
social media followers.
First three months
form the project
starting date
2. Producing short video clip (duration 1 min
maximum) on CASA1000 and CSP projects in
cross-border area (to be translated through
Isfara TV channel)
Two times per month. General audience in crossborder area
First three months
form the project
starting date
3. Publications in newspapers. Pressconferences and press-releases should be
organized once a major milestone is
achieved, which will support media to get
access to the project information
On monthly basis. In a form of
dissemination general information on
CASA, CSP, interviews with a project’s
stakeholders, best practices and
advertisement related to the project.
Talking points/bullet point to be used to
provide information to the media;
Media, General Audience Every month
4. Radio broadcasting (duration of translation
should be maximum 1 min)
On monthly basis. With update on
monthly base as new information
become available;
Media, General Audience Every month
OFFLINE MATERIALS, ARTICLES, PRESENTATIONS
5. CASA1000, CSP Fact Sheets Once, updated on monthly basis, Project
facts and figures, and semi-technical
information tailored to immediate
stakeholders and donors’ needs.
General audience,
stakeholders, media and
government and nongovernment organizations,
social media followers.
First month from the
project starting date
6. Draft and finalize CASA1000 and CSP Visual
Information materials (poster and info
graphs)
Once, at the beginning of the project.
Printed version to be disseminated in the
scope of projects events and meetings
General audience,
CASA1000, CSP
stakeholders
First two months form
the project starting
date
10
Video clip can be downloaded an demonstrated in a social media channels (Facebook, viberetc )
CASA1000 CSP TAJIKISTAN POM
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No. Activity Frequency of dissemination Audience Timeline
with stakeholders
7. Posting information on Information Boards
at communities level
Minimum monthly based, Community
Promoters and Project focal points will be
responsible for information placing
process.
All audience at community
level.
Monthly based
NETWORKING, MEETINGS, AND EVENTS
8. Presentations at each community level by
Community Promoters
11 or CASA, CSP
project focal points to be established in the
scope of project implementation
Once, at the time of project launching
phase. Presentation to be done in a
Community Assemble Meetings.
Information will need to be disseminated
through the Social channels (weddings,
hasharsetc)
All audience at community
level.
Once, at the beginning
of the project
ONLINE TOOLS
9. Project web-site Regular, to capture important events,
achievements, facts videos, locations and
work progress of CASA1000 Transmission
line, CSP projects. All publications done
via media needs to be available in a
website. Important to keep BCM be
available and achievable for the
beneficiaries.
Internal and external
audience, future reference.
Immediate
throughout the
project life cycle.
10. Social Media Minimum weekly and maximum of two
posts a week. Follow up messaging
during the week, or to feed the audience
with updated and needed information
about CASA, CSP and its impact
General audience, social
media followers.
Immediate
throughout the
project life cycle.
11. E-version of project newsletter Regular on monthly base, to capture
important projects progress
Internal and external
audience, future reference.
Immediate,
throughout project
life-cycle
11
Community Promoters to be trained preliminary before to be engaged into process.
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CHAPTER 6:
MONITORING AND EVALUATION

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CHAPTER 6. MONITORING AND EVALUATION
6.1. Introduction
The project will support monitoring and evaluation (M&E) activities to track, document, and communicate
the progress and results of the project. This chapter describes how M&E will be undertaken in order to
collect, present, and assess program progress and outcomes, as outlined in the results framework. The PAD
and its results framework is the starting point for both understanding the program and for developing M&E
tools, M&E processes and instruments, and reporting relationships and responsibilities.
The monitoring of output and outcome results is the joint responsibility of ESPMU and NSIFT M&E staff
working closely with field staff. First, ESPMU and NSIFT will ensure the collection of information for regular
project reporting. This will include the component output measures and indicators defined in this Chapter
safeguards risks and Beneficiary Feedback Mechanism (BFM) reports. Semiannual progress reports will be
made available 45 days after the end of each reporting period, and include the output indicators described in
thePAD, as well as updates on the results framework indicators. This will be entered into an MIS system
established by NSIFT. Second, NSIFT, with TFPs, will facilitate the processes of community monitoring. This
will include a regular readout on citizen engagement indicators established under Component 3, collated at
the national level. Third, the project will include midline and endline evaluations, to be conducted by a firm
hired by NSIFT. The M&E in the project will also be supported by an arrangement established under the
ESMAP Gender and Energy TF to monitor the impacts of investment on women.
6.2. Results Monitoring and Evaluation Arrangements – NSIFT and ESPMU
NSIFT role
: M&E will be conducted by an M&E team established in NSIFT responsible for overall compilation
of progress and results. NSIFT will establish and utilize an MIS. Subcomponent 4B will finance NSIFT to
prepare project reporting — semiannual and annual reports and quarterly unaudited IFRs—that will be
submitted to the World Bank; this system and reporting will cover Components 2, 3 and 4. While community
monitoring will be supported under Subcomponent 3B, the NSIFT M&E team will collate and analyze these
semiannual assessments of outcomes and perception-based results, and enter them into the MIS and
include them in semiannual reports. The quality of the community mobilization and other inclusion, voice
and agency activities with communities will be measured through community scorecards, which will be
discussed and verified, along with financial records and project implementation records, in social audit
meetings. Feedback and grievances received through the BFM will also be included in the semiannual
reporting. Results measurements will focus primarily on the outcomes defined in the results framework and
the set of output indicators defined later in this Chapter. Independent evaluations, procured by NSIFT, will
include both a midline and endline evaluation. The aim of the evaluations is to capture the results of the
investments funded in Components 1 and 2, and to provide an evaluation of the community mobilization
processes funded under Component 3. A Completion Report (that draws on the independent evaluation
results) will be conducted by NSIFT prior to completion.
ESPMU Role: M&E will be carried out by an M&E specialist appointed by ESPMU responsible for overall
compilation of progress and results and preparation of project reporting—semiannual and annual reports
that will be submitted to the World Bank; also the specialist has to coordinate with NSIFT team to bring
together Component 1 information into MIS to be established by NSIFT. ESPMU M&E specialist will collate
and analyze these semiannual assessments of outcomes and perception-based results, and enter them into
the MIS and include them in semiannual reports. The quality of the community mobilization and other
inclusion, voice and agency activities with communities will be measured through community scorecards,
which will be discussed and verified, along with financial records and project implementation records, in
social audit meetings. Feedback and grievances received through the BFM will also be included in the
semiannual reporting. Results measurements will focus primarily on the outcomes defined in the results
framework and the set of output indicators defined later in this Chapter.

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BT’s monitoring, supervision and reporting responsibilities during the Project implementation will include:
Overall supervision and monitoring of implementation of Project to ensure quality of the
construction/instalation works, compliance with the design and timely completion of the Projects;
Construction supervision, quality assurance and inspection;
BT’s PRG will be responsible for monitoring implementation and ensuring compliance with the
Environmental Management Plans and Grievance Redress Mechanism as per requirements of the
World Bank;
Provision of engineering support during the period of construction works;
Facilitation of the contractor’s work on other operational and administrative matters;
Timely submission of the required regular reports, including general progress and financial reports, to the
World Bank and Asian Infrastructure Investment Bank as required by the legal agreements of the Project and
other documents
։
Table 6.1. M&E Roles and Responsibilities of Parties: ESPMU and NSIFT

Activity ESPMU NSIFT
Project Results Framework (IR1) % of target communities with
reduced power outages
PDO1) % of target communities with
improved access to social and
economic infrastructure as a result of
project support
(IR2) Isfara-1 substation and
surrounding infrastructure is: (i)
designed and procured; (ii)
constructed; and (iii) supplying
electricity to target communities
(PDO3) % of beneficiaries in target
communities who report that their
engagement in decision-making over
project investments was effective
People provided with new or
improved electricity service
(PDO4) % of young (women and men)
beneficiaries who report that their
role/voice in local governance has been
enhanced as a result of project support
(PDO5) % of beneficiaries in target
communities who report that the CSP is
an effective response to the local
impacts of the CASA1000 Transmission
Line
(IR3) % of beneficiaries in target
communities who report that project
investments met their needs (Text)
(IR4) Number of beneficiaries in target
communities with improved quality of
water supply as a result of project
investments
(IR5) Number of women’s group
priorities that become a functioning
facility, service, or infrastructure
(IR6) Number of subprojects that
support climate change adaptation or
mitigation
(IR7) Number of women able to work
as a result of project investments in
kindergartens
(IR8) % of target communities

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Activity ESPMU NSIFT
effectively completing the agreed
community mobilization and social
accountability process
(IR9) Total number of women engaged
in: (i) Village Project Committees, (ii)
Jamoat Project Commissions, (iii) social
accountability roles
(IR10) % of target jamoats completing
agreed local governance training
curriculum
(IR11) % of beneficiaries in target
communities who report enhanced
trust in local institutions as a result of
specifically defined Project activities
(IR12) % of beneficiaries in Isfara target
communities reporting that subproject
safety/security
Reporting preparation and submission to the
Bank semi-annual and annual
reports.
preparation and submission to the
Bank semi-annual and annual reports.
Baseline, mid-line and
end-line evaluations
provide data and input to
evaluation firm
hiring the evaluation firm, overseeing
evaluation and submit report to the
Bank.
Coordinating M&E M&E team will twice a year join
the session on monitoring and
learning organizing by the Bank.
M&E team will twice a year join the
session on monitoring and learning
organizing by the Bank.
BFM transmit all complaints and
related letters to NSIFT and if
required prepare replies.
implement BFM soft, entry all data,
monitor all BFM activities.
MIS transmit all required data to NISFT implement MIS soft, entry related data.

investments have improved crossborder cooperation, connectivity,
youth engagement, and/or
6.3. Results Chain
Theory of change
. A theory of change describes what the project aims to achieve, how it will achieve it, what
problems it aims to address, and what assumptions have been made in moving from what the project does
(its design) to realizing the changes (outcomes) it envisions. The project’s theory of change describes the
different types of results it envisions and how these results are related to one another. A broad theory of
change for CSP is depicted below.
The theory of change for the project (Figure 6.1) includes two interlinked sets of activities, outputs, and
objectives in the project area: (i) improving the quality of, and access to, energy and socio-economic
infrastructure; and (ii) strengthening community engagement, inclusion, and local governance capacity.
Small-scale socio-economic infrastructure investments and broader electricity investments will contribute to
rural development in project areas, and address severe gaps in village-level electricity, infrastructure, and
social services. Through the focus on community-driven and social accountability approaches that involve
youth and women, and capacity building of local and community institutions, the CSP theory of change is
that communities will be empowered, strengthened and unified, and local institutions will be strengthened,

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through engagement in repeated small-scale decision making and investments. Additionally, investments
will contribute to broader efforts by the GoT to promote local development and decentralized decision
making. Finally, the project approach seeks to support overarching CASA1000 objectives and rationale for
CSPs as an innovative benefit-sharing scheme to minimize social risks, maximize socio-economic-, energy-,
and stability-related benefits, and create a supportive environment for CASA1000.
Figure 6.1. CASA1000 Community Support Project – Theory of Change
6.4. Objectives, Scope and Parameters
Objective and focus
. The overall objective of knowledge and learning and monitoring and evaluation (M&E)
efforts through the CSP is to ensure the effective, efficient and transparent delivery of CSP activities with
maximum impact and to promote real-time learning and improvements throughout the project cycle.
Goals. The goals of the monitoring and evaluation activities are as follows:
Provide NSIFT and other stakeholders with regular information on the progress of the Project and its
outputs
Identify the issues and obstacles encountered during project implementation
Promote results and performance management, leading to improved implementation
Ensure compliance of the CSP implementation with regulatory documents – Grant Agreement, Project
Agreement, and Operational Manual, etc.
Determine NSIFT and ESPMU success in achieving the goals and objectives set, and the level of project
impact based on targets set
Support acceptable environmental and social impact standards
Providing a means to inform the project’s stakeholders about progress, challenges, and opportunities
Assess project risk and update mitigation strategies.
Principles. Key M&E principles will be:
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M&E will be practiced by all managers and implementers. M&E is a basic management function and the
NSIFTand ESPMU teams will facilitate others to appreciate and practice M&E
Performance targets will be used to ensure implementation remains on track; managers are expected to
understand their targets and to design interventions and adjust their activities in order to meet them
M&E will promote learning and evidence-based decision making, in an open and transparent manner
M&E systems will be kept as simple as possible; where computerization is used web-enabled systems
where information is available in real time will be promoted
Community and participatory monitoring will be promoted
Gender and youth will be mainstreamed into all M&E practice. A gender target that 50 percent of the
beneficiaries should be women/girls will also be rigorously implemented and checked through M&E
efforts
The OECD’s M&E definitions for outcomes, outputs, indicators, etc. will be used (see
https://www.oecd.org/dac/evaluation/2754804.pdf).
M&E implementation and institutional arrangements. Monitoring and evaluation will be undertaken by
M&E teams appointed by NSIFT and ESPMU. M&E teams will be responsible for:
Agreeing with the World Bank and other relevant stakeholders on annual targets for all indicators and
managing performance in line with these targets
Collecting all indicators in the results framework and implementing all the M&E processes described in
this manual
Making data, including raw data from surveys, databases and other instruments publicly available and
readily accessible in a timely basis.
Ensuring the accuracy and credibility of all data and information provided, including the collection of
relevant means of verification
Preparing quarterly and annual reports on a timely basis, with reports meeting the principles and criteria
set out under Activity 6.7 (NSIFT with ESPMU inputs)
Learning what is working, what is not and why
With the World Bank, ensuring the completion of an independent mid-term review and a project
completion report (NSIFT)
Working closely with program management and communications experts to ensure M&E results are
explained in a simple and useful manner and are appropriately disseminated
Appointing an M&E specialist to coordinate all Project Monitoring and Evaluation activities.
In terms of additional institutional arrangements, the M&E team appointed by NSIFT will be responsible for
routine control and monitoring through regular and ad-hoc reports provided by the Project, independent
auditors’ reports, specific survey reports, spot checks, etc. Donors will also monitor through these reports as
well as relevant Grant and Loan Agreements, Aide Memoires, Cooperation Agreements, etc.
6.5. M&E Processes
The following activities will be undertaken as part of project M&E:
Activity 1: Define clear performance targets based on project results framework
Activity 2: Create a Management Information System (MIS), to monitor key processes and generate
required reports and indicators, including administrative data from electricity companies and other
organizations which are not part of the project.
Activity 3: Develop and implement surveys and evaluations
Activity 4: Undertake regular spot checks and supervision missions to monitor implementation and
assess data quality

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Activity 5: Implement learning initiatives
Activity 6: Prepare annual, semi-annual reports and other implementation reports
Activity 7: Develop the M&E capacity of key program managers and implementers.
The project will develop, implement, and finance community mobilization, social accountability and capacity
building processes. This will result in communities selecting and implementing economic and social
infrastructure projects. These are considered implementation results (activities and outputs). From an M&E
perspective the project will monitor which engagement processes were implemented, which projects were
selected (and whether they responded to citizen’s needs and priorities), what projects costed and what
projects ultimately produced (improved delivery of electricity, etc.).
There are four main types of outcomes the project aims to achieve. At the community level, successful
implementation of projects and community mobilization is expected to: (i) improve incomes and livelihoods
and (ii) improve social cohesion, citizen empowerment and social capital. These outcomes will be measured
through a mix of quantitative indicators (such is increases in household consumption) and perceptual
indicators (for example, whether citizens believe communities are more cooperative and empowered).
Project activities will be implemented along the CASA1000 transmission line in order to ensure communities
impacted by the TL receive social and economic benefits of the investment. The key assumption is that
implementing community-driven projects can improve perceptions of CASA1000. At the outcome level
(livelihoods, social cohesion, and CASA1000 perceptions), evaluation will ideally compare changes in
CASA1000 communities with changes in suitable control groups (the counterfactual) in order to gauge the
true impact of the project on the community. Finally, a potential outcome is that procedures developed in
this project (youth and women-focused community mobilization and community-based decision making) are
proven to be successful and are adapted elsewhere. There are, however, no performance targets for
expected policy adoption.
6.6. Activities and Procedures
Activity 1 – Define clear performance targets based on project results framework
Performance management is different than M&E. It is the process by which an organization identifies its
goals and priorities and then goes about ensuring they are met. It starts with targets and works backwards
from them. It often involves: (i) developing a culture and willingness to learn; (ii) strategic planning (the
development of clear targets, priorities and organizational goals based on problem analysis and client
needs); (iii) accountability and aligning organizational goals to individual goals; (iv) development of
mechanisms and processes to discuss and debate performance (for example, clear, well designed meetings)
and (iv) making clear public statements (being more transparent to stakeholders) in the form of performance
commitments. It is about managing for results, creating incentives for results, and being accountable for
results. Performance management systems are often very simple and often do not require large financial
investments or significant quantities of data.
Each indicator will have an annual performance target. The focus on targets will be at the activity / output
level (i.e. the implementation level). Targets have been developed to be ambitious but realistic. They have
been developed to be challenging and to “stretch performance”. The assumption in developing targets is
that it is better to reach 80% of a set of challenging targets, than 100% of a set of trivial targets. NSIFT and
ESPMU are expected to:
Understand and own all performance targets described in the results framework and operations manual
Plan and adjust their activities and budgets in order to ensure targets are reached
Understand why targets may or may not have been met

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Be accountable for achieving most of their implementation targets; accountability in this sense means
“answerable,” being able to provide credible and acceptable reasons when performance has been below
expectation
Review progress against targets during internal meetings with staff and external meetings with
development partners; report publicly and honestly on targets
Be able to verify reported values.
Each year, the planning process will begin with a review of all upcoming performance targets and an
assessment of past and current performance (against targets). Activities will be developed and resources
allocated to ensure targets are achieved. Where targets are very unrealistic or were miscalculated and are
therefore not achievable NSIFT will revise them with consent of the World Bank.
As described below, semi-annual and annual reports will review progress against each and every annual
performance target, will contain a time series of targets vs. actual performance, and, where performance
falls shorts will provide detailed reasons why targets were not met.
The following pages contain a list of all indicators and a first draft (to be completed) of their targets. NSIFT’s
and ESPMU’s M&E team will: hold consultations to finalize all indicator targets, ensuring managers and all
relevant stakeholders fully understand and agree with them.

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Table 6.2. First Draft Indicator Targets

RESULT
The Project
Development
Objective is to
increase the quality
of, and access to,
energy, social and
economic
infrastructure
services, and to
contribute to the
strengthening of
local governance in
communities in the
project area.
Component 1:
Village Electricity
Supply
Improvements
Component 2:
Community-Led
Investments in
Socio-Economic
Infrastructure
INDICATOR
Percentage of target communities with improved access
to social and economic infrastructure as a result of
project support
BASELINE (YEAR) TARGETS REFERENCE/
NOTES
Year 1 Year 2 Year 3 End target
0%
(2017)
20% 60% 80% 90%
People provided with new or improved electricity
service (corporate results indicator)
0%
(2017) 30,000 60,000 100,000 120,000
Percentage of beneficiaries in target communities who
report that their engagement in decision making over
project investments was effective
0%
(2017)
Percentage of young (women and men) beneficiaries
who report that their role/voice in local governance has
been enhanced as a result of project support
0%
(2017)
Percentage of beneficiaries in target communities who
report that the CSP is an effective response to the local
impacts of the CASA1000 Transmission Line.
0%
(2017)
(IR1) % of target communities with reduced power
outages
0
(2017) % increase TBD
(IR2) Isfara-1 substation and surrounding infrastructure
is: (i) designed and procured; (ii) constructed; and (iii)
supplying electricity to target communities
0
(2017)
(IR3) % of beneficiaries in target communities who
report that project investments met their needs 0%
(2017)
Highest priority
may not be
selected if it is
over-budget
(IR4) Number of beneficiaries in target communities
with improved quality of water supply as a result of
project investments
0%
(2017)
(IR5) Number of women’s group priorities that become
a functioning facility, service, or infrastructure 0
(2017)
Target = 50% of all
potential
beneficiaries
(IR6) Number of subprojects that support climate
change adaptation or mitigation
0%
(2017)
(IR7) Number of women able to earn income as a result 0% —– 30 60 70

20% total
20% women
40% total
40%
women
60% total
60%
women
70% total
70% women
20% total
20% young
women
40% total
40% young
women
50% total
50% young
women
70% total
70% young women
20% 40% 60% 70%
30% 60% 70% 80% (i) Designed and
procured —–
(ii)
Constructe
d
(iii) Supplying
electricity to target
communities
20% total
20% women
40% total
40%
women
60% total
60%
women
70% total
70% women
6,000 total
3,000
women
10,000
total
5,000
women
10,000 total
5,000 women
—– 36 36 72
—– 15 20 20

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126

RESULT INDICATOR
of project investments in kindergartens
BASELINE (YEAR) TARGETS REFERENCE/
NOTES
Year 1 Year 2 Year 3 End target
(2017)
Component 3:
Community
Mobilization,
Capacity Building,
and Local
Governance
(IR8) % of target communities effectively completing
the agreed community mobilization and social
accountability process
0%
(2017) 30% 60% 70% 80%
Component 4:
Project
Management,
Monitoring and
Evaluation, and
Communications
20% Y1 0% Y2 60% Y3 80%

(IR9) Total number of women engaged in: (i) Village
Project Committees, (ii) Jamoat Project Commissions,
(iii) social accountability roles
0%
(2017)
(i) 300
(ii) 80
(iii) 40
Total: 420
(i) 325
(ii) 100
(iii) 55
Total: 480
(i) 350
(ii) 120
(iii) 50
Total: 520
520
(IR10) % of target jamoats completing agreed local
governance training curriculum
0%
(2017) —– 50% Y2 70% Y3 90%
(IR11) % of beneficiaries in target communities who
report enhanced trust in local institutions as a result of
specifically defined Project activities
0
(2017) —–
40% total
40%
women
50% total
50%
women
60% total
60% women
(IR12) % of beneficiaries in Isfara target communities
reporting that subproject investments have improved
cross-border cooperation, connectivity, youth
engagement, and/or safety/security
0
(2017) —– 20% 30% 30%
(IR13) Number of women in: (i) CDA roles, and (ii)
project staff roles in the project implementation team
0%
(2017)
(i) 0
(ii) 3
(i) 22
(ii) 8
(i) 22
(ii) 12
34
(IR14) % of target communities where community
monitoring is contributing to Project M&E —– 50% 60% 70%
(IR15) % of target communities demonstrating an
understanding of CSP objectives and parameters 20% 40% 60% 80%
—– %20 Y2 60%Y3 70%

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Activity 2 – Create a Management Information System (MIS) to monitor key processes and generate
required reports and indicators, including administrative data from ESPMU/BT and other organizations
which are not part of the project.
Key procedures and steps of the operations manual will be computerized. Computerization (Management
Information Systems or MIS) has several objectives. The first is to provide tools that will enable technical and
administrative staff to be more productive and effective. The software developed will support the
implementation of processes described in this operation manual. Well-designed software can help ensure
that jobs are done on time, the right people are kept informed, that each step is followed, and that remedial
action is taken promptly. So, as well as managers having the information necessary to manage the process,
by virtue of the data being stored on a secure server, it is possible for authorized users at different levels to
monitor progress. This will deliver relevant and timely information about the functions each party performs.
Since information is computerized, standard reports and indicators will be generated automatically. The
system will undertake all calculations, minimizing the risk of human error. Creating standard and automatic
reports based on the data entered will reduce the reporting burden and minimize potential repeat requests
for information. Using the same system, it will also be possible to produce reports that will keep local
citizens and communities as well as development partners informed about the activities undertaken, in real
time. Using the same data, different reports can be produced for different audiences. The system will
maintain historical data from its point of development onwards (i.e. maintain a history of implementation
and a time series of data).
Some key elements (user requirements) of the MIS are as follows:
It implements the operations manual and tracks (i.e. records) indicator targets, i.e. to undertake a
comprehensive process monitoring approach.
Responsible parties (actors) are identified for implementing each step or process; these implementers
are also responsible for providing the relevant information and data, documenting each step they
undertake.
Data collection forms are created for each step and assigned to each implementer; forms are printed
automatically from the system (not photocopied from this operation manual) and are signed (officially)
stating all information provided is accurate and complete.
The system allows decentralized data entry and remote viewing of reports; ideally it is web-enabled,
with a system of users and administrative security identifying roles, responsibilities and access rights.
The system monitors what forms were filled out by whom and which data is incomplete.
Upon input, validation rules identify data which is incomplete or unlikely to be correct.
Ideally, supporting evidence (such as attendance lists for training) can be scanned and uploaded as a
means of verification.
All relevant indicators in the results framework are automatically generated (implementers do not
undertake calculations, the computer does).
Based on data inputted, automatic reports are generated. These reports are designed according to the
needs of various managers and users, document all processes and can compare all indicators against
their targets. The generation of indicator reports is a sub-set or by-product of a computerized
implementation system.
Ideally, reports can be dynamically filtered or grouped for analytical purposes.
Automatic notifications are made to managers via email, informing them of missing data (failure of staff
to provide adequate information) and when targets are significantly off-track; managers are actively
informed when something is not right.
The system is easy to use, not-fragmented, and intuitive; training on its use should therefore be very
short.

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The MIS may be developed progressively over time. It may not be necessary, or indeed advisable to go for
100% computerization in all areas simultaneously. For a period, new computerized systems may co-exist
alongside manual processes and/or excel spreadsheets. Since the data set will be extremely small a fullyfledged web-enabled system of data entry and reporting may not be justified. A decision will need to be
made concerning the level of complexity and computerization. In terms of data collection, a customized
web-enabled system can be developed, on-line survey software (or other data collection forms) can be
employed or standalone MS Access or standardized excel spreadsheets can be developed. In terms of
reporting, either a customized system can be is designed or off-the-shelf reporting software can be used.
Figure 6.2. Illustration of the Monitoring Management Information System
FORMS & DATA ENTRY DATA EXCHANGE REPORTING ENGINE
Full, customized webenabled system. Forms are
printed and data is entered
remotely from each village
None required, data is on the
server

Full, customized webenabled reporting
system. All reports are
on-line
OR
Off-the shelf GIS
based indicator
reporting system, such
as XXX; while this will
report on indicators
and provide GIS
mapping capability it
cannot report on key
processes as designed
in this manual. All
reports would be on
line
Off the shelf
survey software
(like Survey Monkey) is used
to enter data remotely, from
each village

Data is downloaded (typically in
excel) at NSIFT headquarters. An
automated process validates the
data and uploads it into the
reporting engine

A desktop Microsoft Access
system is developed to
create forms, enter data and
print reports from each site.
This is easier to maintain
multi-year data and to
…enter data

The Access database is
periodically emailed to
headquarters from each village.
An automated process reads in
the data to the reporting engine.
Because the system is relational
data exchange and validation is
easier

Excel spreadsheets are used
to enter data from each
village. Each data entry form
is a separate worksheet. Each
year a new spreadsheet is
generated

Spreadsheets are periodically
emailed to headquarters from
each village. An automated
process reads in the data to the
reporting engine.

Before the completion of this manual, all forms and processes will need to be reviewed to ensure they can
generate each and every indicator in the results framework. Forms are paper based. Once data is collected
on paper, the forms will be used to input the information into the MIS. The original paper forms, and other
means of verification are maintained for accountability reasons.
Forms are a way to collect data—they are not reporting, which are a way to analyze, summarize and present
data. The database will automatically undertake calculations and automatically print standard reports.
Each form contains directions. Some data collected on each form has an explanation, describing in more
detail what it is. For each form, a person is assigned to fill out the form, and another is responsible for
verifying and checking the form for errors. Each form contains accountability statements that the data is
correct and complete and that it has been verified.

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Forms follow the process described in the operations manual. Each step in the process results in the
recording of data or information. Forms are linked to processes, through their numbers and titles. Table 6.3
below lists forms which have been currently developed.
Table 6.3. Draft List of Data Collection Forms to be Revised and Completed

Form Description
1. Form 1A.01, Electricity
Project Plan
Records each electricity infrastructure investment. Its start and finish
date, budget, description, expected beneficiaries (male and female)
etc.
2. Form 1A.02, Electricity
Project Monitoring
For each investment, records progress to completion (level of the
output, expenditures, etc.). Record procurement and contract
information.
3. Form 1A.03, Annual
Electricity data
Records the name of village, number of connections, estimated
number of people served, estimated number of women served, days
with power outages, total number of transformers, and the number
of transformers having various qualities.
4. Form 2A.01, Project
Outreach Meetings
Records the results of each project initiation meetings. Tracks when
the meeting was, how many participants there were (total, women,
youth), main results, etc.
5. Form 2A.02a, JPC
Elections Meeting
This form records meetings held to elect JPC representatives. Each
time a new representative is selected this form must be used again.
Tracks the date of the meeting, number of participants (total,
female, youth) and election results.
6. Form 2A.02b, VPC, YM
and YEA Elections
Meeting
As above, but records the results of village level elections
(facilitators, reporters).
7. Form 2A.03a JPC
Representatives
Records names and biographical details of JPC representatives. It
records the date they were selected and the date their service ended
or was terminated. Each time a new representative is selected, this
form must be used to record the details of the new representative.
Tracks if the representative is a woman or youth. Used to generate
Indicator (IR9) Total number of women engaged in: (i) Village Project
Committees, (ii) Jamoat Project Commissions, (iii) social
accountability roles.
8. Form 2A.03b VPC
Representatives
Records names and biographical details of VPC representatives. It
records the date they were selected and the date their service ended
or was terminated. Each time a new representative is selected, this
form must be used to record the details of the new representative.
Tracks if the representative is a woman or youth. Used to generate
Indicator (IR9) Total number of women engaged in: (i) Village Project
Committees, (ii) Jamoat Project Commissions, (iii) social
accountability roles.
9. Form 2A.04, JPC Data Collects information on the name of the JPC, the name of its current
head and chief, when it completed its charter and other information.
10. Form 2A.05, Youth
Monitors and Youth
Energy Ambassadors
Collects information on each YM and YEA (name, age, educational
background and other essential personnel information), his or her
date of recruitment and date of termination. Used to generate
Indicator (IR9) Total number of women engaged in: (i) Village Project
Committees, (ii) Jamoat Project Commissions, (iii) social
accountability roles.

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130

Form Description
11. Form 2A.06, Training for
CDAs M&E forms
Records training events provided to CDA. Monitors the date of the
training, number of participants (disaggregated) and other
information.
12. Form 2A.07, VPC/JPC
Training / Jamoat Training
Records training events provided to JPC/VPC staff. Whenever
training is provided, this form is filled out. Monitors the date of the
training, type of training (mentoring, training, Organizational
Development, etc.), topics, number of participants (disaggregated)
and other information.
13. Form 2A.08, Village Needs
Assessment
Records the results of a village needs assessment (situation analysis
completed by community facilitators (CDA). Monitors the date of the
needs assessment, number of participants (disaggregated), etc.
14. Form 2A.09: Village
Development Plans
Records the date, participants (disaggregated) and main content of
village development plans, including Youth Development Chapters.
15. Form 2A.10: Annual
village prioritization
meeting
Records the results of village prioritizations, carried out as part of the
participatory planning process. It is completed by CDAs. Monitors
the date of the needs assessment, number of participants
(disaggregated) and priorities of the community and women
(ranked).
16. Form 2A.11: Project Plans Records each planned project in a village, during a given year. It is
completed by JPC staff. Includes type of project, budget, planned
completion date, number of beneficiaries (female, youth), and
various classifications (social infrastructure, poverty reducing, which
are required for several indicators. Identifies whether it is a climate
change project.
17. Form 2A.11b:
Environmental and social
impact assessment form
Records environmental safeguards information including assessment
of any cumulative long-term adverse environmental impact.
18. Form 2A.12a: Project
monitoring form
To ensure the quality of construction and other works under sub
projects, NSIFT envisages employment of a Supervision engineers.
Community members will take part in monitoring of sub-project
implementation to obtain information about the quality and
timeliness of sub-project completion. Quality of works and technical
sustainability thereof. Also, records progress on a quarterly basis
(level of output produced, procurement and contract information).
19. Form 2A.12b: Project
Procurement
Monitors contract information about the project. Data is provided by
the contractor (contractor name, etc.).
20. Form 2A.12c: Contract
revision form
Records the date and nature of revisions (output level, completion
date, budget).
21. Form 2A.13: Project
completion form
Records the result of a site visit and verification. Used to monitor
when the project was completed, and contributions made.

Activity 3 – Develop and implement surveys and evaluations
The theory of change and results framework identify result areas that should be evaluated by assessing
community knowledge, attitudes and perceptions. To do so, a community perception survey will be
developed. These results will be complemented by perceptions captured through community scorecards, as
participants in these events are not random and results may be biased.
Sample sizes will be determined by calculating the number of respondents that may be required to: (i)
conclude statistically whether an indicator’s increase or decrease was statistically significant or not and (ii) to

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determine whether there are statistically significant differences between control and treatment groups.
Each instrument is discussed in turn.
A community perception survey will be undertaken by NSIFT on a baseline, mid-year, and end of project
basis. In general, the number of questions should be kept to a minimum and surveys should be kept short.
NSIFT should look for a service provider to undertake the collection of data (for example, a University) and a
partner to do some of the design, sampling framework and econometric work. The community perception
survey will cover the areas outlined below.
Perceptions of the CASA1000 transmission line. This section will establish whether citizens were and are
aware of the transmission line as well as how favorably they view it. This section will compare results across
different interviewees (men, women, and youth) and in light of the projects implemented. It will attempt to
establish whether implementing community projects was better than receiving individual cash payments. It
will not be possible to gauge the impact of community projects on perceptions of the transmission line
unless some corridor of impact communities are not implementing projects (i.e. the control group).
Livelihoods: Ideally, livelihood changes will be measured through expenditure surveys. If this is not possible,
proxy indicators may be used instead (for example whether citizens own particular assets), citizens can be
asked what their monthly incomes are, or they could be asked to rate their economic situation and whether
it has improved.
Social cohesion: Questions which indirectly measure community’s perceptions of social cohesion and
cooperation will be developed. This will include views of youth engagement in the community and women’s
empowerment.
Subproject investments: this section will measure respondent’s awareness and knowledge of projects and
satisfaction with their implementation. Provision of electricity (supply, reliability, etc.) and livelihood
facilities will also be assessed (provision of services and effectiveness).
Participation, local governance and citizen engagement processes: This section will measure respondent’s
awareness of engagement processes and their satisfaction with the process, as well as impacts of capacity
building and training processes. It will measure whether they participated or not. Indirectly, they will be
asked whether the process led to the selection of the right project. A wide range of questions will be
designed assessing all major processes in use (awareness, citizen scorecards, etc.).
The design and analysis of the
Community Perception Survey will attempt to answer the following evaluative
questions
:
Which groups are most impacted (women, youth, etc., i.e. differential impact)?
What are the social impacts of implementing participatory local development projects, particularly CSP’s
focus on women and youth?
Does civic engagement increase returns / improve performance (or, which processes most positively
impact results?)
How did implementing projects affect the perceptions of communities in terms of CASA1000?
How big do projects have to be to affect perceptions?
Which projects or processes (for example citizen engagement) most positively affect perceptions?
Are there differences in perceptions (and actions in terms of CASA1000) amongst different community
groups?
A Project Completion Report will be independently prepared at the end of the Project.

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A midterm review will be carried out at the beginning of the second year of the Project to assess whether
the format of the Project remains valid for assessing the progress in achieving the Project Development
Objective and to propose any mitigation actions or necessary changes in the Project format. As described in
this manual an MIS with a web-based reporting tool for documenting indicators, targets and implementation
of key processes will be developed. A web site will be used for uploading technical reports, impact
assessments and public information prepared and provided under the Project within the Component.
Activity 4 – Undertake regular spot checks and supervision missions to monitor implementation
In terms of supervision, NSIFT Head Office monitors the project activities through (i) spot-check visits to
regionalcoordinators for community development and CDAs, jamoats, VPCs and subproject facilities; (ii)
regular analysis of the data entered into MIS by CDAs and NSIFT specialists at Regional Offices, as well as the
project indicators (iii) regular reports from Regional Offices.
NSIFT Regional Offices are responsible for control and monitoring of the project-financed activities at the
local level, which is carried out through (i) CDAs’ reports; (ii) reports from local consultants and engineers
(individuals/NGOs/ private firms) engaged by Regionsl Offices; and (iii) regular analysis of the data
introduced into the MIS by CDAs and TFPs.
Local authorities (district, region and jamoat levels) will carry out
spot-check visits to Jamoat areas and sub-project facilities and participate in transfer and acceptance of subproject facilities.
Spot checks will be independently undertaken. They aim to:
Verify that the information provided, is accurate and complete and that information found in the MIS
will be the starting point of the visit.
Observe various processes to ensure they comply with this manual and to ensure staff are capable and
motivated to implement them.
Observe the functioning of key institutions like JPC and VPC and livelihood facilities.
Verify completed projects were completed according to contract and that they meet acceptable quality
standards.
The disbursement of funds may depend on results of spot checks and data verification.
Internal auditing and financial management spot checks are described elsewhere and not considered an
M&E activity.
ESPMU role in spot checks and implementation visits.
ESPMU specialists will monitor the project activities through (i) spot-check visits to construction sites, new
110/10 kV Isfara-1 substation jointly with village/local networks specialists and jamoats, and subproject
facilities; (ii) regular analysis of the data entered into MIS by ESPMU specialists and regional coordinator as
well as the project indicators (iii) regular reports from Regional specialists.
ESPMU Regional specialists and local networks are responsible for control and monitoring of the projectfinanced activities at the local level, which is carried out through (i) reports from local consultants and
engineers (individuals/NGOs/ private firms) engaged under the project; (ii) regular analysis of the data
introduced into the MIS by local consultants.
Local authorities (district, region and jamoat levels) will carry
out spot-check visits to Jamoat areas and sub-project facilities and participate in transfer and acceptance of
sub-project facilities.
Spot checks will aim to the following:

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133
Verify that the information provided, is accurate and complete and that information found in the MIS
will be the starting point of the visit.
Observe various processes to ensure they comply with this manual and to ensure staff are capable and
motivated to implement them.
Verify completed projects were completed according to contract and that they meet acceptable quality
standards.
The disbursement of funds may depend on results of spot checks and data verification.
Activity 5 – Implement learning initiatives
Learning will not “just happen” by itself. It needs to be promoted, cultivated, and encouraged through
specifically designed activities and events. In this project, learning is a process of collecting experiences,
verifying them, and making joint decisions to take action based on what was learnt.
The goal of these initiatives is to learn what is working, what is not and why. The process will:
Identify challenges, together with a set of feasible actions that leads to improved performance.
Identify successes, document them (in a series of tips and guidelines), and disseminate best practices so
they are more widely adopted and replicated.
Develop pilots and experiments to better understand key factors in determining performance.
Learning initiatives will be organized around the process of preparing semi-annual reports and annual plans /
annual reports, so that lessons learned can be agreed upon and remedial actions planned and budgeted for.
These reports will be used to identify what was learned and how learning will be translated into improved
performance. Learning will largely take place through participatory field level monitoring exercises, where
key beneficiaries and stakeholders will be extensively consulted with. Field monitoring will be undertaken
with mixed teams of program managers, not just M&E staff. Very short field reports will be prepared
prioritizing constraints and possible actions to take.
In addition to this:
The Project will also promote peer-to-peer information exchange through visits and study tours
(exchange visits) among village and jamoat leaders and other stakeholders in order to study the best
practices experienced by JPC and VPC. Community mobilization counterparts and NSIFT field staff
contribute to the identification of priorities and opportunities for arrangement of a peer-to-peer
experience exchange.
Training through an experience exchange will be an integral component of the Project. Experience
exchange between NSIFT employees and counterparties will be carried out at annual meetings. Mutual
enrichment with experience will also take place at other regular events organized at district and region
levels. At the same time, the best practices will be shared, and the lessons learnt will be studied. NSIFT
Regional Offices will also serve as the centers accumulating and disseminating practical experience
gained during implementation of the Project, taking into consideration similar initiatives of other
organizations and donors.
The design of the mid-term review as well as citizen perception surveys and other analytical exercises will
emphasize the importance of lesson learning, in particular identifying a short set of feasible actions
managers may take.
Activity 6 – Prepare annual, semi-annual and other implementation reports
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The project will produce annual and semi-annual reports. These are considered essential communication
instruments which build consensus amongst project implementers and key stakeholders about the direction
the project has taken and will take in the future. Reports are expected to be used and actionable and to
provide an opportunity for implementers to reflect and strategize. M&E is considered an input into the
report, but in isolation M&E forms, tables and matrices cannot substitute for the analysis and explanation
found in a report. The focus of the projects reports will be performance against annual targets and action
plans and the indicators and targets of the PAD and results framework.
Reports aim to:
Assist management to identify problems, assess progress, and take
corrective action at an early stage.
Reporting is expected to contribute towards more systematic
decision making.
Satisfy
accountability requirements both within and outside NSIFT and ESPMU.
Support an environment of transparency.
Stir
debate about key issues both within NSIFT/ESPMU and more broadly across all beneficiaries and
stakeholders.
Shape
organizational culture by communicating a common story, documenting the history of the
project, thus unifying opinion and contributing towards its institutional memory.
Reports will meet their objectives only if they are available, accessible, read, and understood by their
audience, only if stakeholders provide feedback, and only if management takes action based on the report
(where required). In reports, the content, style, and detail will be determined by the intended audience and
by the frequency of the reporting process. In general, a good performance-related report should have the
following features. It:
Is readable and easily understandable; it “captures” the audience and encourages the audience’s
participation.
Provides enough background so readers can put the main results into their proper context.
Documents the methods used in gathering data and information and drawing inferences or conclusions.
Clearly separates the key points from the minor, secondary ones. This allows readers with different goals
or different amounts of time to make better use of the report. Highlights are generally found in the main
body with details and long matrices placed in an annex.
Is analytical and evidence based; this establishes the logic of the results presented. Where
recommendations are made or inferences are drawn, these need to logically flow from the data and
analysis undertaken.
Makes use of graphs or pictures to make numbers more “digestible.” (A picture tells a thousand words).
Is truthful and accurate.
Is structured and aligned according to the PAD and annual plans.
Annual reports will describe implementation against both the annual work plan and the results framework /
implementation indicators. Annual reports will focus more on the longer-term issues confronting the project.
It will describe implementation in terms of milestones, targets, outputs, and budgets, ensuring greater
explanation and analysis for cases of under-performance. The report will be discussed by stakeholders and
made available on the internet. Annual reports should be completed by the end of February. Its main
elements will include:
Title page, table of contents, executive summary, etc.
A short introduction of the report and the project, reviewing what the project wants to achieve, and how
it is structured (components etc.). In the introduction an overall view of performance can be provided,
for example, looking at which annual priorities were met or not met and analyzing expenditure against
budget. Project wide issues, challenges, and remedial actions can be highlighted

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A sub-component by sub-component review of implementation. For each sub-component, the report
will: (i) provide a short introduction to the sub-component; (ii) review implementation against the plan
(providing, where necessary reasons why implementation may have been behind schedule or below
expectations); (iii) review all annual targets in this operations manual (providing, where necessary
reasons why targets were not met); (iv) identify and analyze constraints, challenges, issues, lessons
learned and agreed remedial actions
Review and summarize any information on project outcomes, for example when analytical work is
completed.
Annex 1: Financial analysis, including budget vs. expenditure for all activities, summed to the
subcomponent, component and project level. Financial analysis will include a procurement report and
final (unaudited) balance sheet
Annex 2: Details on the implementation of community support projects. This is likely to come from the
MIS.
Annex 3: Any other detailed and supporting data, including data on capacity development
The semi-annual report will be shorter and will focus on implementation to date as the identification of
immediate challenges. The semi-annual report will be completed by the end of July each year. The structure
of the report will be the same as the annual report except: (i) there is no reporting against indicators /
targets; (ii) there is no reporting against project outcomes; (iii) the focus on challenges and issues is on
“immediate” challenges that can be solved addressed by the end of the year; (iv) reporting on
implementation is much shorter; (v) financial report is a short summary (subcomponent, component and
project totals) without balance sheet or procurement reports; and (vi) annexes 2 and 3 are much shorter.
This reporting framework assumes an online MIS can be developed. As such, annual and semi-annual reports
“fill in the blanks” and provide analytical details. They do not need to produce all outputs (reports) from the
MIS. Annual and semi-annual reports can provide links to supporting reports which are available on line.
Activity 7 – Develop the M&E capacity of key program managers and implementers
NSIFT, ESPMU is responsible for ensuring all manager and staff are capable of undertaking their M&E
functions. NSIFT, ESPMU is responsible for ensuring all managers understand the theory of change and
understand and own their indicators. NSIFT will collect data, monitor, oversee consultants and evaluations,
and develop reports. Depending on capacity, NSIFT may benefit from periodic support, coaching, mentoring,
and quality assurance.
Each year, NSIFT will identify the M&E capacity development needs of both itself and key implementers, and
based on this will develop a plan of action to address capacity gaps. These actions will be budgeted for in
each year’s plan.
Key indicators of NSIFT’s own M&E capacity includes: (i) % of indicators in the results framework and this
manual that are reported upon in the annual report; (ii) % of MIS data entered into the database; (iii)
number of downloads of key M&E analytical reports; (iv) DP satisfaction with NSIFT annual and semi-annual
reports
6.7. Indicator Descriptions
This section provides details on each indicator in the results framework. It is divided into PDO level indicators
and indicators for each sub-component (i.e. implementation indicators).
a. PDO indicators
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1. Percentage of target communities with improved access to social and economic infrastructure as a result
of project support
2. People provided with new or improved electricity service (corporate results indicator)
3. Percentage of beneficiaries in target communities who report that their engagement in decision making
over project investments was effective
4. Percentage of young (women and men) beneficiaries who report that their role/voice in local
governance has been enhanced as a result of project support
5. Percentage of beneficiaries in target communities who report that the CSP is an effective response to
the local impacts of the CASA1000 Transmission Line.
These are defined below.

INDICATOR PDO.1: Percentage of target communities with improved access to social and economic
infrastructure as a result of project support
Description: This indicator measures the number of communities that received improved infrastructureunder
CASA1000 CSP TJK
Methodology and source of information: Data will be collected from number of subprojects funded under
Component 2.
Method of Calculation: The numerator is total number of communities participating in CASA1000.
Denominator is the number of communities with completed investments
Frequency and reporting: Annual
Means of Verification: None
Target: By the end of the project the expected value is xx%.
Disaggregation: data is disaggregated by Jamoat/Township

 

INDICATOR PDO.2: People provided with new or improved electricity service (corporate results indicator)
Description: Quantity of people with new or improved electricity service
Methodology and source of information: Data will be collected from number of subprojects funded under
Component 1
Method of Calculation:
The numerator is the number of villages where days having power outages is lower than it was in
2018 and where an electricity project has been completed
Denominator is number of villages where electricity improvements (projects) were planned.
Frequency and reporting: Annual
Means of Verification: Official data from power supply companies.
Target: By the end of the project the expected value is xx%.
Disaggregation: data is disaggregated by gender

 

INDICATOR PDO.3: Percentage of beneficiaries in target communities who report that their engagement in
decision making over project investments was effective
Description: This indicator measures whether community members believe they have been empowered by
the CSP CDD process
Methodology and source of information: Data will be collected through the scorecards outlined in
Subcomponent 3B. It is important that no leading or highly technical questions be asked.
Method of Calculation:
The numerator is no. of Community Check Meeting participantsreplying “very satisfied” or “somewhat
satisfied” in the community scorecard
Denominator is the total number of participants in the Community Check Meeting
Frequency and reporting: Annually

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INDICATOR PDO.3: Percentage of beneficiaries in target communities who report that their engagement in
decision making over project investments was effective
Means of Verification: Copies ofMinutes and photos of the Community Check Meeting will be kept by NSIFT
with originals held by Jamoat in the case of a process audit
Target: By the end of the project the expected value is xx%.
Disaggregation: data is disaggregated by village, gender, youth

 

INDICATOR PDO.4: Percentage of young (women and men) beneficiaries who report that their role/voice
in local governance has been enhanced as a result of project support
Description: This indicator measures whether young people in the community believe they have been
empowered by the CSP CDD process
Methodology and source of information: Data will be collected through the scorecards outlined in
Subcomponent 3B. It is important that no leading or highly technical questions be asked.
Method of Calculation: Youth are considered community members under the age of 35.
The numerator is quantity of young participants Community Check Meeting participants replying “very
satisfied” or “somewhat satisfied” in the community scorecard
Denominator is the total number of young participants in the Community Check Meeting
Frequency and reporting: Annual
Means of Verification: Copies of Minutes and photos of the Community Check Meeting will be kept by NSIFT
with originals held by Jamoat in the case of a process audit
Target: By the end of the project the expected value is xx%.
Disaggregation: data is disaggregated by village and gender.

 

INDICATOR PDO.5: Percentage of beneficiaries in target communities who report that the CSP is an
effective response to the local impacts of the CASA1000 Transmission Line.
Description: This indicator measures whether citizens believe their “compensation” through community
support projects was worth the impact CASA1000 may have had on their communities
Methodology and source of information: Data will be collected through periodic citizen perception surveys
(baseline, mid-project, end of project evaluation). Instruments (and their objectives) are outlined in Activity
6.3. It is important that no leading or highly technical questions be asked.
Method of Calculation: A survey of randomly selected respondents will be completed. They will be asked
questions about CASA1000 including whether CSPs were sufficient to compensate local impacts. They will be
asked what the local impact of the transmission wires was.
The numerator is no. of interviewees believing CSPs were effective solutions
Denominator is the total number of respondents
Frequency and reporting: See activity 6.3. Likely to be baseline, mid-project, end project
Means of Verification: None, but the questionnaire must ensure the validity of responses
Target: By the end of the project the expected value is 70%.
Disaggregation: data is disaggregated by village, gender, youth (and any other characteristic of the
respondent—for example, type of employment, level of poverty, etc.)

b. Subcomponent 1A Indicators (Support for electricity improvements within target villages)
Indicators for subcomponent 1, implemented by BT/ESPMU include:
1. Percentage of target communities with reduced power outages
2. Isfara-1 substation and surrounding infrastructure is: (i) designed and procured; (ii) constructed; and (iii)
supplying electricity to target communities.
These are defined below.

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INDICATOR 1R1: Percentage of Target Villages with Reduced Power Outages
Description: improved power supply is not only measured by the total level of electricity supplied, but also by
the reliability of supply. Reliability is measured by the frequency of power outages, following the
implementation of electricity projects.
Methodology and source of information: data will be collected by NSIFT from BT/ESPMU. The companies will
be provided a list of all potential target villages (29) and will be asked to provide data on the number of days
in which there were power outages in each village in each year. Each year NSIFT will identify, as part of its
annual plan which villages plan to have electricity improvement projects
Method of Calculation: A villagewill be considered to have more reliable electricity supply if the number of
days in which there were power outages decreases when compared to the level in 2018. The indicator will
measure the cumulative % of villages where power outages in any one year is below the 2018 value. To
calculate the indicator:
The numerator is the number of villages where days having power outages is lower than it was in 2018
and where an electricity project has been completed
Denominator is number of villages where electricity improvements (projects) were planned.
Frequency and reporting: Data will be collected annually. NSIFT will maintain and report upon a time series of
the number of days affected by power outages for each village and each year. NSIFT will report which villages
were supposed to complete electricity projects each year (the rows are the name of each village; the columns
are the planned year of project completion, the actual year of project completion, the number of days
affected by power outages in 2018, the number of days affected power outages in 2019, etc.)
Means of Verification: Data provided by the BT/ESPMU to NSIFT, on a village by village basis will be
considered official data and will be used as the means of verification for levels of electricity consumption.
These companies will also verify that projects have been completed.
Target: By the end of the project it is expected that 23 of 29 (78%) of villages will have reduced power
outages when compared to 2018.

 

INDICATOR 1R2: Isfara-1 substation and surrounding infrastructure is: (i) designed and procured; (ii)
constructed; and (iii) supplying electricity to target communities
Description: Measures whether substation implementation is progressing.
Methodology and source of information: data will be collected by NSIFT from BT/ESPMU. The companies will
report on progress
Method of Calculation: A village will be considered to have more reliable electricity supply if the number of
days in which there were power outages decreases when compared to the level in 2018. The indicator will
measure the cumulative % of villages where power outages in any one year is below the 2018 value. To
calculate the indicator:
The numerator is the number of villages where days having power outages is lower than it was in 2018
and where an electricity project has been completed
Denominator is number of villages where electricity improvements (projects) were planned.
Frequency and reporting: Data will be collected annually.
Means of Verification: Procurement documentation and technical monitoring reports provided by the
BT/ESPMU to NSIFT will be considered official data. These companies will also verify that projects have been
completed.
Target: All implementation steps completed by end of project.

c. Indicators for Components 2, 3, and 4 implemented by NSIFT include:
Component 2: Community-Led Investments in Socio-Economic Infrastructure
1. (IR3) % of beneficiaries in target communities who report that project investments met their needs
2. (IR4) Number of beneficiaries in target communities with improved quality of water supply as a result of

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project investments
3. (IR5) Number of women’s group priorities that become a functioning facility, service, or infrastructure
4. (IR6) Number of subprojects that support climate change adaptation or mitigation
5. (IR7) Number of women able to earn income as a result of project investments in kindergartens
Component 3: Community Mobilization, Capacity Building, and Local Governance
6. (IR8) % of target communities effectively completing the agreed community mobilization and social
accountability process
7. (IR9) Total number of women engaged in: (i) Village Project Committees, (ii) Jamoat Project
Commissions, (iii) social accountability roles
8. (IR10) % of target jamoats completing agreed local governance training curriculum
9. (IR11) % of beneficiaries in target communities who report enhanced trust in local institutions as a result
of specifically defined Project activities
10. (IR12) % of beneficiaries in Isfara target communities reporting that subproject investments have
improved cross-border cooperation, connectivity, youth engagement, and/or safety/security
Component 4: Project Management, Monitoring and Evaluation, and Communications
11. (IR13) Number of women in: (i) CDA roles, and (ii) project staff roles in the project implementation team
12. (IR14) % of target communities where community monitoring is contributing to Project M&E
13. (IR15) % of target communities demonstrating an understanding of CSP objectives and parameters
These are defined below.

INDICATOR 1R3: Percentof beneficiaries in target communities who report that project
investments met their needs
Description: Measures whether investments responded to the priority needs of the community
Methodology and source of information: Community scorecards under Subcomponent 3B
Method of Calculation:
The numerator is number of Community Check Meeting participants that reported satisfactory
or above
Denominator is total number of Community Check Meeting participants
Frequency and reporting: Data will be collected annually.
Means of Verification: Minutes of the Community Check Meeting will be copied and kept on record
by NSIFT.
Target: 70% by end of project.

 

INDICATOR 1R4: Number of beneficiaries in target communities with improved quality of water
supply as a result of project investments
Description: Quantifies the beneficiaries of improved quality of water supply. Tracks the gender gap
re services.
Methodology and source of information: Sub-project proposals and village population data
Method of Calculation:
Technical review and verification of baseline and endline male/female population
Frequency and reporting: Data will be collected annually (starting Year 2).
Means of Verification: Proposals for the subproject investment with estimated beneficiary numbers
will be copied and kept on record by NSIFT.
Target: 10,000 people by end of project.

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INDICATOR 1R5: Number of women’s group priorities that become a functioning facility, service, or
infrastructure
Description: While it is expected the selection of projects is in line with community priorities, it is also
expected project selection is in line with and consistent with the priorities of key community sub
groups, in this case women. It is expected that participatory planning processes will identify the
priorities of women (separate from men). To measure whether project selection is responsive, a
process of project ranking will be designed and implemented (which records women’s priorities). This
indicator measures the degree to which selected projects are aligned to women’s priorities.
Methodology and source of information: data will be compiled by NSIFT following the approval of
each project, using data provided by each village. It is expected a database will be established so
villages can enter project planning and implementation data (at each step of the planning process).
Data will include a list of women’s priorities from the Focus Group Discussion (by sector or
classification) as well as the project selected (by sector or classification). Based on this, an assessment
can be made whether the approved project was the same as women’s first priority (for example,
road, kindergarten, health project, etc.)
Method of Calculation: The indicator counts the number of villages where the type of project
approved is the same as women’s first priority. If it is the same, it counts as 1; if it is different it counts
as 0.
Frequency and reporting: Data will be collected annually and will be provided when each project is
agreed upon (approved). In reporting a list can be provided consisting of the name of each village (the
row) with columns of (i) women’s first priority, (ii) the type of project approved, and (iii) whether they
matched (yes or no).
Means of Verification: Meetings of the FGD with ranked prioritization list will be copied by the CDA
and kept on file at NSIFT
Target: 72 by the end of the project
Disaggregation: data is disaggregated by village and project

 

INDICATOR IR6: Number of subprojects that support climate change adaptation or mitigation
Description: Some projects will address climate change and others will not. Climate change is
considered a cross cutting issue.
Methodology and source of information: criteria will be developed to assess whether a particular
project addresses climate change adaptation or mitigation. This will be recorded during the planning
stage (for each project). This information will be self-reported by each village in a project planning
database.
Method of Calculation: Completed subprojects will be evaluated against the climate change criteria
Frequency and reporting: Data will be collected annually and will be provided when each project is
agreed upon (approved). In reporting a list can be provided consisting of the name of each village and
each project (the row) with columns of (i) does the project address climate adaptation (yes, no), and
(ii) does the project address climate mitigation (yes, no), (yes or no). The planning manual will
describe the criteria for making this assessment
Means of Verification: Project proposals will be kept on file by NSIFT
Target: 20 by the end of the project
Disaggregation: data is disaggregated by village and project, and can separate cases of adaptation
and cases of mitigation

 

INDICATOR 1R7: Number of women able to work as a result of project investments in
kindergardens
Description:Measures if women are able to work as a result of project investments in kindergartens
Methodology and source of information: Sub-project proposals and community monitoring

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INDICATOR 1R7: Number of women able to work as a result of project investments in
kindergardens
Method of Calculation:
Technical review and verification of subproject beneficiary and staffing description followed up
by questions during Community Checklist Meeting
Frequency and reporting: Data will be collected annually (starting Year 2).
Means of Verification: Proposals for the subproject investment with estimated beneficiary numbers
will be copied and kept on record by NSIFT.
Target: 70 women by end of project.

 

INDICATOR 1R8: % of target communities effectively completing the agreed community
mobilization and social accountability process
Description: Tracks if communities are following defined procedures by location
Methodology and source of information:
PIU field reports; minutes/photos of community meetings; community scorecards/audits
Method of Calculation:
Technical review and verification of documents
Frequency and reporting: Data will be collected annually
Means of Verification: Documentation generated by the communities will be copied and kept on
record by NSIFT.
Target: 80% by end of project.

 

INDICATOR 1R9: Total number of women engaged in: (i) Village Project Committees, (ii) Jamoat
Project Commissions, (iii) social accountability roles
Description:
Measures progress against 50% women targets at community/Jamoat level
Methodology and source of information:
Membership lists for VPCs, JPCs, CMC, and energy efficiency focal points. Count women participants
in membership lists
Method of Calculation:
Technical review and verification of documents
Frequency and reporting: Data will be collected annually
Means of Verification: Documentation generated by the communities will be copied and kept on
record by NSIFT.
Target: 520 women by end of project.

 

INDICATOR 1R10: % of target jamoats completing agreed local governance training curriculum
Description:
Measure progress of training and capacity building activities for target jamoats
Methodology and source of information:
Progress reports, Minutes and evaluations of jamoat training sessions
Numerator is number of jamoats completing all courses
Denominator is number of all Jamoats in 26 Jamoats/Townships
Method of Calculation:
Review of participant lists, minutes, and evaluations of project training sessions for jamoats will be
used to identify how many completed all courses.
Frequency and reporting: Data will be collected annually
Means of Verification: Documentation generated by the TFP will be copied and kept on record by
NSIFT.
Target: 90% of Jamoats by end of project.

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INDICATOR 1R11: % of beneficiaries in target communities who report enhanced trust in local
institutions as a result of specifically defined Project activities
Description:
Measures improvements in trust in local institutions attributed to different project activities: (i)
community mobilization; (ii) social accountability; (iii) youth activities; and/or (iv) investments
(gender/age/location disaggregated).
Methodology and source of information:
Community scorecards under Subcomponent 3B in all areas
Method of Calculation:
The numerator is number of Community Check Meeting participants that reported satisfactory
or above
Denominator is total number of Community Check Meeting participants
Frequency and reporting: Data will be collected annually
Means of Verification: Minutes and scorecard of the Community Check Meeting will be copied and
kept on record by NSIFT.
Target: 60% of total/women by end of project.

 

INDICATOR 1R12: % of beneficiaries in Isfara target communities reporting that subproject
investments have improved cross-border cooperation, connectivity, youth engagement, and/or
safety/security
Description:
Measures impact of investments in border region (gender/age disaggregated).
Methodology and source of information:
Community scorecards under Subcomponent 3B conducted in Isfara target communities.
Method of Calculation:
The numerator is number of Community Check Meeting participants in Isfara communities that
reported satisfactory or above
Denominator is total number of respondents
Frequency and reporting: Data will be collected annually
Means of Verification: Minutes and scorecard of the Community Check Meeting will be copied and
kept on record by NSIFT.
Target: 30% of total/women by end of project.

 

INDICATOR 1R13: Number of women in: (i) CDA roles, and (iii) project staff roles in the project
implementation team
Description:
Measuresprogress of gender action plan commitments to increase number of women in project
team.
Methodology and source of information:
Project implementation team contracts/hires
Method of Calculation:
Review of lists/contracts for each category
Frequency and reporting: Data will be collected annually
Means of Verification: Personnel records held by NSIFT relate to financial management and are
considered official.
Target: 34 women by end of project.

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INDICATOR 1R14: % of target communities where community monitoring is contributing to Project
M&E
Description:
Measures whether community scorecards/social audits are tracking progress and improving
processes
Methodology and source of information:
Community Check Meeting Minutes under Subcomponent 3B.
Method of Calculation:
Numerator is number of communities that utilized scorecard/audit results to make adjustments to
their village decisions
Denominator is total number of target communities
Frequency and reporting: Data will be collected annually
Means of Verification: Community Check Meeting Minutes will be copied and kept on record by
NSIFT.
Target: 70% by end of project.

 

INDICATOR 1R15: % of target communities demonstrating an understanding of CSP objectives and
parameters
Description:
Measures effectiveness of CSP communications materials and awareness building
Methodology and source of information:
Community scorecards under Subcomponent 3B
Method of Calculation:
The numerator is number of Community Check Meeting participants that reported satisfactory
or above on these questions
Denominator is total number of Community Check Meeting participants
Frequency and reporting: Data will be collected annually
Means of Verification: Minutes and scorecard of the Community Check Meeting will be copied and
kept on record by NSIFT.
Target: 80% of total/women by end of project.

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CHAPTER 7:
ENVIRONMENTAL AND SOCIAL SAFEGUARDS

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CHAPTER 7: ENVIRONMENTAL AND SOCIAL SAFEGUARDS
7.1. Introduction
The Community Support Project (CSP) has triggered several World Bank safeguards policies: OP/BP 4.01
Environmental Assessment and OP/BP 4.12 Involuntary resettlement and the OP 7.50 on International
Waters. In this section, the process, procedures and actions to be followed in applying these policies are
explained. From safeguards risk perspective, the CSP has been classified as Category B (moderate) in
accordance with the Bank’s Operational Policy on Environmental Assessment (OP/BP 4.01) due to
proposed rehabilitation and construction activities are not anticipated to cause any irreversible social
and environmental impacts. However, if the environmental and social screening process (described
below) were to determine that any proposed sub-project should be designated as Category A (high riskwhich could cause serious adverse environmental and social impacts including destructions to natural
habitat, physical displacement and resettlement to large number of persons), that sub-project will not
be eligible for financing under the project.
The interventions proposed under this project would not trigger full Environmental and Social Impact
Assessment under the Tajik laws neither under World Bank policies. The type of expected environmental
impacts are localized in nature and can be adequately addressed through environment permits and
good construction practices, in the case of World Bank policies, through site-specific limited
Environmental Assessments (in the case of construction on new sites) or simply just through
implementation of site-specific environmental and social management plans (ESMPs) (in the case of
extension or reconstruction). An
Environmental Social Management Framework (ESMF) for the Project
has been prepared and it provides environmental screening procedures, the nature of ESA or ESMP
which should be prepared for new construction, rehabilitation or extension, and environmental issues
must be addressed and ensured through a series of local permits, through constructor contracts,
through site supervising engineer oversight, through the local (Hukumat) requirements, and through
oversight and coordinated by the ESPMU and NSIFT.
In addition to ESMF, a Resettlement Policy Framework (RPF) for the project also has been prepared to
guide the staff to address risks and adverse impacts related to land acquisition and resettlement. RPF is
a legally binding document which the NSIFT and ESPMU are responsible to ensure that any land
acquisition, including physical or economic displacement, associated with a sub-project complies with
the World Bank’s Operational Policy on Involuntary Resettlement (OP 4.12). The overall objective of the
Bank’s OP 4.12 is that displaced/ affected persons should be assisted in their efforts to maintain or
improve their livelihoods and standards of living, at least to restore them, in real terms, to predisplacement levels or to levels prevailing prior to the beginning of project implementation, whichever is
higher. The policy requirements and procedures are outlined the Resettlement Policy Framework (RPF),
and it is necessary to prepare appropriate instruments such as Abbreviated Resettlement Action Plans
or RAPs based on the social screening outcomes. Al safeguards instruments must be prepared in
consultation with project affected persons (PAPs) and to be reviewed and cleared by the World Bank
prior to commence civil works.
Although no specific subprojects have been identified yet, that may cause high social risk, a Social Due
Diligence Review (SDDR) was conducted for the development of Vahdat Township of Isfara district,
Tajikistan during the preparation stage to assess whether the Vahdat Township development is an
associated/linked activity under the OP.4.12. The SDDR findings showed that people being relocated do
voluntarily willing to move to the new location, and no forceful (involuntary) evictions were observed or
recorded. The relocation mostly covers the second generation of the households being offered new land

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plots to construct their own houses
12. Nevertheless, the Vahdat township development process should
be closely observed during the Isfara substation interventions and ESMP need to be prepared outlining
potential social and environmental risks and appropriate mitigation measures.
Although the Bank policy on OP 7.50 (International Waters) is triggered, no further actions in regard to
subproject that would have impacts on International Waters are needed, – the proposed rehabilitation
of on-farm irrigation and rural water supply and sanitation subprojects are expected to involve only
rehabilitation of existing networks within the original boundaries and design parameters of the irrigation
and water supply and sanitation schemes. No new abstraction is expected. Respectively the project will
not adversely change the quality or quantity of water flows to the other riparian and it will not be
adversely affected by the other riparian. Consequently, an exception to the external notification
requirements of OP 7.50, set forth in paragraph 7(a) for the project has been obtained from VPU on
December 12, 2018.
7.2. Environmental Safeguards
The purpose of an environmental assessment is to evaluate potential positive or negative impacts of any
proposed activity; to specify measures that must be taken to prevent or minimize the potential negative
impacts that could damage the human and natural environment; and to provide the basis for the
supervision of these measures during activity implementation. It is expected that the anticipated
environmental impacts of the activities to be implemented under CSP are not significant or irreversible
and can be prevented or reduced through appropriate mitigation measures.
Under the Tajik law, all activities under CSP are subject to review by Department on State Ecological
Expertise of the Committee on Environmental Protection. ESPMU and NSIFT will be responsible for
ensuring compliance with the Tajik environmental legislation. The key elements involved in the
Environmental Assessment process and documentation in the CSP are listed below and described in
details.
The summary of the steps and activities to be undertaken to conduct the EIA for subprojects is
presented below in Tables7.1 and 7.2.
Table 7.1. ESPMU Conducting ESIAs for Component 1: Support for Rural Electricity Supply
Improvements

Step 1 a) BT in cooperation with the local public authorities identify and prepare subproject proposal;
b) The subproject passes the screening and the ESPMU completes
Section 1 of the Environmental
Screening table;
c) Based on environmental category the ESPMU decides which type of ESIA to be conducted (in the
case of replacing old transformers);
Notes: for replacing old transformers and for rehabilitation of the electrical substation, before
completing the ESMP Checklist, Barqi Tojik is conducting sampling on PCBs.
Step 2 a) For subprojects on replacing old transformers and rehabilitation of SSs a field visit is organized which
informs the completion of the ESMP Checklist.
b) For Category C no other EA activity is required and the subproject beneficiaries and contracting
companies are following the well-known health and safety requirements for civil works.
Step 3 BT prepares an ESMP and if needed, conducts ESIA and prepares an ESMP
Notes:
a) Category B projects which presume rehabilitation of electrical substations are a subject of the State

12
No forced evictions or measures were taken either by central or local government to relocate people, as this is a part of
activities implemented by the local government to improve housing conditions of dense-populated areas.

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Ecological Expertise.
b) The contents and description of the ESMP Checklist for rehabilitation of electrical substations are
presented in the Annex 9 of the ESMF.
Step 4 For Category B subprojects Barqi Tojik organizes disclosure of the draft ESMP Checklist and organizes a
public consultation, involving NGOs, community representatives, affected groups, etc. Formal minutes
will be prepared to record inputs provided by the participants.
Notes:
In the case of rehabilitation of existing electrical substations located beyond the borders of a locality
Barqi Tojik will organize the ESMP Checklist disclosure with a virtual public consultation;
Step 5 The ESMP Checklist for rehabilitation of electrical SSs will be submitted for the review and clearance to
the State Ecological Expertise.
Notes:
Category C subprojects do not require prior review by the SEE or the ESPMU. The ESPMU will regularly
supervise the implementation of the ESMF for these subprojects on an ex post basis.
Step 6 a) The subproject applicant will submit the full set of environmental documents for consideration and
further decision on funding;
b) Upon approval of sub-projects, the ESPMU will complete subproject appraisal and proceed with
signing of the financing agreement with respective sub-project beneficiaries.
Step 7 BT organizes ESMP implementation and conducts periodical supervision, monitoring and reporting, as
per agreed monitoring plan

Table 7.2. NSIFT Conducting ESIAs for Component 2: Community-led Social and Economic
InfrastructureInvestments

Step 1 a) NSIFT or FPs (engineers or technical specialists) conduct screening of the subproject with regard to
prohibited/excluded activities;
b) If the subproject passes the screening for the list of prohibited/excluded activities, NSIFT specialists
assist Jamoat Project Commissions or VPC to complete
Section 1 of the Environmental Screening
table;
c) Based on the Environmental Checklist, the environmental category and the type of EA to be
conducted is determined– (either a partial ESIA or an ESMP);
d) The results of the screening, including potential negative impacts and possible measures to mitigate
impacts, are presented to community representatives during subproject prioritization meetings held
at the Jamoat level.
Step 2 a) If the subproject requires a complete ESIA and ESMP it should be referred to NSIFT or FPs for further
action.
b) For
Category B and Category C subprojects, NSIFT or FPs specialist notes potential environmental
risks and indicates how they will be prevented/mitigated in the Environmental Screening Table
Step 3 a) If the subproject is selected for funding, NSIFT or FPs specialists assist JPC or VPC to prepare the ESIA
and ESMP or ESMP Checklist
Notes: In the case of Category B small-scale construction and reconstruction activities the requirement
is to apply the WB ESMP Checklist to address potential environmental impacts;
Step 4 NSIFT or FPs assist Jamoat Project Commissions or VPCs to organize its disclosure of the draft partial EIA
or ESMP Checklist and organizes a public consultation, involving NGOs, community representatives,
affected groups, etc. Formal minutes will be prepared to record inputs provided by the participants.
Step 5 Jamoat Project Commissions or VPCs can proceed to implementation once the partial ESIA, ESMP or
ESMP Checklist, is completed and updated based on community consultations.
Step 6 a) The subproject applicant will submit the full set of environmental documents for consideration and
further decision on funding;
b) Upon approval of sub-projects, NSIFT or FPs will complete subproject appraisal and proceed with
signing of the financing agreement with respective sub-project beneficiaries.
Step 7 The jaomat/mahalla conducts periodical supervision, monitoring and reporting, as per agreed
monitoring plan.

7.3. Social Safeguards
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Social Safeguards actions are mainly related to land acquisitions and resettlement impacts under the
project. The social mitigations actions also require actions to avoid inconvenience to the people,
disruptions to livelihood and access restrictions in use of public utilities/institutions during
construction/rehabilitation period if any subprojects. Following requirements of OP 4.12 must be
addressed:
Avoid and or minimize private land acquisitions;
Minimize resettlement of houses, businesses and agriculture holdings and production sites;
Assess the potential economic and social impacts of expropriation/resettlement
Identify categories of affected persons and their respective entitlements
Inform affected persons about their rights under expropriation and their rights and access to
grievance mechanisms
If relocation is involved, consult with affected persons on their options and engage them in the
planning process, paying particular attention to the needs of vulnerable persons
Compensate for lost assets at full replacement cost
Compensate for indirect impacts and damages, including relocation expenses and support during
transition
Compensate informal land users for lost assets and provide assistance in relocating, if needed
Compensate all those with entitlements and obtain legal access to expropriated land before starting
construction
Conduct public consultations in advance of interventions and ensure participation of affected
people
Establish a functioning grievance redress mechanism (GRM) allowing affected parties to lodge
complaints/grievances related to the project
The Resettlement Policy Framework (RPF) agreed upon between the Government of the Republic of
Tajikistan and the World Bank clarifies the land acquisition and resettlement principles together with
organizational arrangements under the CSP. The zone of impact of subprojects cannot be determined in
advance because the site locations and designs of new construction included under interventions are
not yet finalized. There could be three types of civil works associated with construction under the
Project: (i) extension / construction of existing buildings; (ii) construction of new buildings/facilities for
communities; (iii) construction of new buildings/poles/ facilities on land to be obtained from private
parties. These interventions may cause one or more of the following situations; i) acquisition of private
land which the person may lose his/her house/business); ii) physical or economic displacement (loses)
due to relocation of the house/properties or loss of income sources: iii) restriction to access to livelihood
resources (forest, farm land) and or to public places. The main document providing guidelines for
identifying and managing such impacts covered under the Bank Operational Policy (OP) 4.12 on
Involuntary Resettlement is the
Resettlement Policy Framework (RPF) (see Annex 7.1). The RPF outlines
the mitigation and compensation measures for land acquisition and resettlement impacts and was
developed in accordance with Operational Policy (OP) 4.12 and cleared by the World Bank. The final
version was disclosed in-country on December 19, 2018 on the NSIFT’s websites
[www.nsift.tj/en/news/news/item/119-CASA1000-community-support-project-resettlement-policyframework-rpf].
7.4. Safeguards Tasks During Planning and Preparation
Environmental and Social Assessment
. ESPMU and NSIFT will be responsible for preparation of all
environmental and social safeguards instruments and other relevant documentation as necessary.
Specifically, because during the time of the project Appraisal by the World Bank, specific community
support investments were not identified, ESPMU together with the NSIFT have developed an
Environmental and Social Management Framework (See Annex 7.2) that describes anticipated

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environmental and social hazards and risks associated with the project and a process of the overall
project and site-specific environmental and social screening and assessment, as well as the regulatory
requirements of the Republic of Tajikistan and institutional implementation arrangements for the
project.
It is expected that specific investment activities will have moderate environmental impacts that are
limited in duration and coverage and can be easily mitigated through standard methods and procedures
of good housekeeping, good engineering practice and would correspond to the level of hazards and risks
pertinent to the safeguards Category B. No Category A activities will be financed under the project. In
compliance with the Project EMF, ESPMU and NSIFT will be responsible for conducting a site-specific
environmental assessment and manifest it in the sites-specific Environmental and Social Management
Plans (ESMP) or its concise version called ESMP Checklist along with appropriate site-specific mitigation
measures.
During the planning and preparation phase, three major actions are expected to be carried out by the
ESPMU and NSIFT; 1) Environment and Social Screening of selected subprojects; 2) Public consultations
with stakeholders; and 3) Preparation of safeguards documents.
a. Environment and Social Screening
NSIFT and the Facilitating Partners, working with communities will carry out the environmental and
social screening of selected subprojects in each jamoatto determine the appropriate extent and type of
Environmental Assessment, as well as which of the World Bank’s Policies will be triggered. This will make
it possible to identify the type and scale of potential environment impacts and determine to which
environmental category the subproject should be attributed.
Generally, the significance of impacts and the resulting EA categorization will depend on the
type and
scale of the subproject, its location, sensitivity of environmental issues, and the nature and magnitude of
potential impacts.
Type and scale of projects. Projects that are considered to have “significant” impacts and would be
classified as Category A projects would entail the following impacts (a) significantly impact on human
populations, including settlements and local communities (b) alteration of environmentally important
areas, including wetlands, native forests, grasslands, and other “critical” natural habitats and ecosystem
services; (c) direct pollutant discharges that are large enough to cause degradation of air, water or soil,
endangered species and “critical” habitats; (d) largescale physical disturbances of the site and/or
surroundings; (e) extraction, consumption or conversion of substantial amounts of forest and other
important natural habitats, including above and below ground and water-based ecosystems; (f)
measurable modification of hydrologic cycle; (g) hazardous materials in more than incidental quantities;
and (h) involuntary displacement of people and other significant social disturbances. For the CSP,
Category A projects with such impacts will be rejected for subproject support.
Location. There are a number of locations which should be considered while deciding to qualify the
project as Category “A”: (a) in or near sensitive and valuable ecosystems and “critical” habitats —
juniper forests, wetlands, wild lands, vulnerable soils, and particular habitats of endangered rare and
endemic species; (b) in or near areas with archaeological and/or historical sites or existing cultural and
social institutions; (c) in densely populated areas, where resettlement may be required or potential
pollution impact and other disturbances may significantly affect communities; (d) in regions subject to
heavy development activities or where there are conflicts regarding the allocation of natural resources;
along watercourses, in aquifer recharge areas or in reservoir catchments used for potable water supply;
and on lands or waters containing valuable resources (such as fisheries, minerals, medicinal plants,

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prime agricultural soils). Subprojects located in the proximity of such areas will be classified as Category
A projects and will not be considered for support by the CSP.
Sensitivity. Sensitive issues may include (but are not limited to): conversion of wetlands, potential
adverse effects on endangered species and habitats as well as protected areas or sites, involuntary
resettlement, impacts on international waterways and other transboundary issues, and toxic waste
disposal.
Magnitude. There are a number of ways in which magnitude can be measured, such as the absolute
amount of a resource or ecosystem affected, the amount affected relative to the existing stock of the
resource or ecosystem, the intensity of the impact and its timing and duration. In addition, the
probability of occurrence for a specific impact and the cumulative impact of the proposed action and
other planned or ongoing actions may need to be considered. Taking into account the scale of the
proposed subprojects, it is expected that the magnitude of their environmental impacts will be low.
Therefore, they will be classified as Category B projects that could be considered for CSP support.
The initial screening for the eligibility of the subproject will be based on the list of excluded activities
(see Table 1 of the ESMF) that will not be permitted by the WB. Therefore, subproject proposals that
include these activities will not be considered for financing.
Once it is confirmed that the subproject is not part of the list of prohibited activities, a rapid assessment
will be conducted of the likely environmental and social impact and the potential for involuntary
resettlement that will be based on the requirements of national legislation and WB policies, completing
the screening form presented in the
Annex 3 of the ESMF. Subproject activities will be checked against
WB criteria for Category A projects. The Screening Checklist on Social Issues should be also filled out for
this purpose, see
Annex 4 of the ESMF.
Table 7.3 provides guidance on the various types of activities that could be proposed for CSP
subprojects, as well as the different environmental categories and suggested EA instruments for each of
them.
Table 7.3. Screening of Categories for Proposed Types of Subprojects

No. Project activity Proposed
Category
Remarks Proposed EA instrument/Mitigation Plans
A. ESPMU Electricity Supply Improvements Subprojects
1 Replacement of existing
supply-level transformers
C/B In the case the
transformer’s oil
contains PCBs,
the project will
be cat B.
The initial step in subproject EA is oil sampling and
conducting its express analysis. In the case the
PCBs will be identified, then a simple ESMP should
be prepared which would specify measures for
storage and disposal of these substances, as well
as safety measures, that should be prepared and
approved by the subproject beneficiary and
environmental authorities.
2. Installation of new supply
level transformers
C The contract provisions should specify labor safety
rules and that the new transformers do not have
oil containing PCBs
3 Installing new lines and poles
and replacing old ones
C The contractors should ensure labor safety issues
and provide before starting the civil works special
EHS training. Contractor should establish GRM
systems for public information.
4 Constructing/rehabilitation
of 110/10 distribution
B EMP Checklist for rehabilitating the electrical
substations. Before preparing the ESMP Checklist,

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No. Project activity Proposed
Category
Remarks Proposed EA instrument/Mitigation Plans
substation (installing
transformers/disconnectors,
relay protection,
telecommunication devices,
etc)
it is necessary to conduct oil sampling and its
express analysis. In the case the PCBs will be
identified, then the ESMP should be
complemented with a special section that would
specify measures for storage and disposal of these
substances, as well as safety measures, that
should be prepared and approved by the
subproject beneficiary and environmental
authorities.
In case of any impacts related to OP.4.12, an
abbreviated RAP to be prepared outlining
mitigation measures to minimize adverse social
impacts.
5 Replacing wooden poles and
wires,
C The contractors should ensure labor safety issues
and provide before starting the civil works special
EHS training.
Public consultation/information sharing prior to
the work begin.
B. Energy Efficiency Subprojects
6 Implementation of clean
efficient heating stoves or
solar powered cookers
C Potential impacts are associated mostly with the
indoor and outdoor air pollutions, which are short
term and site specific and will be mitigated by
recommending, based on an initial study, actions
for improving the individual stoves performance
or new, more energy efficient type of stoves.
Information leaflets shared and public
consultations prior to commence civil work.
7 Installing of street lighting
(including solar-powered
systems)
C The contractors should ensure labor safety issues
and provide before starting the civil works special
EHS training.
Public consultation/information sharing prior to
the work begin.
GRM at local level to loge public concerns or
complaints.
8 Small renewable energy
elements (solar powered
PVs, or solar powered water
heaters/collectors, heat
pumps)
C The contractors should ensure labor safety issues
and provide before starting the civil works special
EHS training
9 Energy conservation
subprojects (insulated doors,
windows in schools,
kindergartens and medical
centers)
C/B In the case of
hazardous
materials will be
founded
(asbestos
containing
material) or lead
containing paints
to be replaced.
For Category C subprojects – the contractors
should ensure labor safety issues and provide
before starting the civil works special EHS training;
for Category B – prepare ESMP Checklist.
Public consultation/information sharing prior to
the work begin.
GRM at local level to loge public concerns or
complaints.
10 Energy efficient water pumps C The contractors should ensure labor safety issues
and provide before starting the civil works special
EHS training

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No. Project activity Proposed
Category
Remarks Proposed EA instrument/Mitigation Plans
C. NSIFT Community Socio-Economic Infrastructure Subprojects
11 Access to water supply for
drinking (replacement of
water pipes; building new
water supply network;
building of small water
intake; construction of
overhead water tanks)
C/B In the case of
building of a new
water supply
network and
new water
intake –
Category B/ In
case of replacing
old pipes;
rehabilitating
existing water
intakes or
construction of
overhead tanks –
Category C.
For Category B subprojects – simple ESIA and
ESMP/or ESMP Checklist.
In case of any impacts related to OP.4.12, an
abbreviated RAP to be prepared outlining
mitigation measures to minimize adverse social
impacts.
Public consultation/information sharing prior to
the work begin.
GRM at local level to loge public concerns or
complaints.
12 Access to water for irrigation
and agriculture
(rehabilitation of on farm
irrigation infrastructure;
cleaning of on-farm and
drainage channels;
rehabilitation of pumping
stations and vertical
drainage wells repairs)
B Simple ESMP
Public consultation/information sharing prior to
the work begin.
GRM at local level to loge public concerns or
complaints.
13 Rehabilitation of
kindergartens and schools,
roads, footpaths and bridges,
and sports/social facilities
B ESMP Checklist
Public consultation/information sharing prior to
the work begin.
GRM at local level to loge public concerns or
complaints.
14 Economic infrastructure,
such as small-scale storage
and/or processing facilities
for horticultural products;
B ESMP Checklist for small storages and simple ESIA
and ESMP for new processing facilities for
horticultural products.

Results of the screening will be reflected in the screening form presented in the Annex 5 of the ESMF
and would include the following:
(a) Category “A” projects and those included in National categories I and II will be excluded from
financing.
(b) Category B subprojects – will need either a simple ESIA and/or a simple ESMP, see below.
(c) No further EA actions would be required for Category C subprojects.
The social screening outcome to be analyzed and reviewed to determine the nature of impacts under
three categories mentioned above. If the adverse social impacts are minimal (temporary and
construction induced) and does not trigger land acquisition, resettlement (physical displacement) or
restriction of access, such impacts and mitigation measures should be described in the ‘Social’ section of
the ESMP. If the screening identifies impacts that may cause any of the above situation and affect less
than 200 persons, an Abbreviated Resettlement Action Plan (ARAP) to be prepared. If the impacts are

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significant and affect more than 200 persons, then a full Resettlement Action Plan to be prepared.
Please note that subprojects (Categories A) are not eligible and are not funded under the CSP because
the types of environmental and social impacts can be extremely diverse, and the impacts are irreversible
and may have significant adverse impacts on the environment and the people.
b. Preparation of Safeguards Documents
The ESPMU for Component 1, NSIFT for Component 2A and Facilitating Partner for Component 2B have
the obligation to prepare site specific instruments during the subproject preparation phase. This can be
an ESMP, ARAP, RAP or any other due diligence report that describes potential social and environment
and social impacts and mitigation measures proposed. Each of these documents have specific topics and
subjects and the contents outline of the documents are available in the framework documents (ESMF
and RPF) prepared and disclosed under the project. The Tajik legislation provides for a list of projects for
which a “Full Environmental and Social Impact Assessment” is required (Annex 3 of the ESMF).
For Category B projects an Environmental and Social Impact Assessment (ESIA) (see ToRs for such study
presented in the
Annex 6 of the ESMF) will be required to identify, evaluate and to prevent potential
environmental impacts and identify mitigation measures that may be incorporated into the project
design within the ESMP (see
Annex 7 of the ESMF with the format of the ESMP) or ESMP checklist (see
Annex 8 of the ESMF with the ESMP Checklist for small scale construction and rehabilitation activities).
The purpose of the ESMP is to predict potential effects and improve the environmental aspects of
projects by minimizing, mitigating or compensating for negative effects. Simple ESMP Checklists will be
used for Category B projects that are likely to have minor environmental impacts, and that are typical
for small scale construction and rehabilitation investments.
To address potential environmental and social impacts in the case of rehabilitation of electrical
substations it is proposed to use an ESMP Checklist, which was designed for a project in Tajikistan and
which is fully applicable for the similar works in Tajikistan (see
Annex 8 in the ESMF). The ESMP Checklist
has three sections: (a)
Part 1 constitutes a descriptive part (“site passport”) that describes the project
specifics in terms of physical location, the project description and list of permitting or notification
procedures with reference to relevant regulations. Attachments for additional information can be
supplemented if needed; (b)
Part 2 includes the environmental and social screening in a simple Yes/No
EMS format as well as specifies mitigation measures; and (c)
Part 3 is a monitoring plan for activities
carried out during the rehabilitation activities.
When receiving subproject proposals from JPC, ESPMU/NSIFT/FPs reconciles with the list of projects
submitted and rejects the subprojects listed in the list of Non-Eligible Activities for CSP Subprojects.
13
ESPMU/NSIFT will also be guided by the principles of risk assessment in the final decision on the project,
i.e. even if there is no such activity in the list, ESPMU/NSIFT can consider that it is too risky for financing.
Thus, upon the end of selection, only those subprojects that require a brief environmental and social
impact assessment or develop a mitigation plan are received for consideration (a part of ESMP).
Once the design and extent of civil works are finalized and if there is a temporary or permanent impact
requiring private land acquisition, involuntary resettlement or impacts covered under OP 4.12, a RAP
will be prepared. RAP(s) will be prepared in consultation with affected parties in accordance with the
RPF. The assessment of assets to be affected by the Project will be performed as described in the RPF.
Prior to public consultations and the WB approval of the draft document, draft RAP(s) will be made
13
List of Non-Eligible Activities for CSP Subprojects, page 10, final ESMF
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available to displaced persons, local NGOs and other relevant parties in a form, manner and language
that are understandable to them. The final RAP, reflecting feedback received form affected communities
and civil society, will similarly be made available to affected and interested parties.
Once the documents are prepared, they should be disclosed locally. The participating municipalities are
responsible to place a copy of the approved ESMP/ARAP/RAP in a public place or building which local
community has free access to. In addition, ESPMU/NSIFT will post the approved ESMPs on its official
websites. The places of public disclosure of RAP(s) will be BT and NSIFT’ official websites, offices of local
authorities, local communities, etc., as well as the WB website. ESPMU/NSIFT is also responsible for
including all construction related ESMP/RAPs measures in bidding documents that will be distributed to
bidders for construction contracts.
Ensuring labor safety during oil testing and handling of transformer PCBs. As specified in the ESMF
while replacing old transformers it is possible to find oil/equipment contaminated with Polychlorinated
Biphenyls (PCBs). These substances are very harmful for the human health and the environment and per
Stockholm Convention it is forbidden: (a) to produce, import and trade PCBs; (b) re-use and process PCB
waste; and (c) re-fill PCB equipment. Furthermore, the existing PCBs and all equipment contaminated
with PCBs have to be eliminated in an environmentally sound manner without producing hazards for
humans or the environment until 2025. Respectively, while handling transformer oil it is necessary to (i)
identify if the oil is contaminated with the PCBs and (b) if identified, the PCBs must be removed and
stored by obeying the internationally recognized safety rules. All these, including safety rules while
sampling and identifying PCBs are in details presented in section 7.3 of the ESMF and must be applied
during replacement of old transformers. The major responsibilities in this regard are assigned to Barqi
Tojik PMU.
c. Public Consultation
Public Consultations is an integral part of safeguards planning and implementation. ESPMU/NSIFT will
be responsible for organizing and conducting at least one public consultation with the people and
community groups affected by the activity prior to completion of the ESMP. Usually, these groups
consist of people living near the activity site and any local CSOs. The purpose of the public consultation
is to inform affected community groups about the activity and offer them the opportunity to voice their
views of any adverse environmental/social issues they feel may develop during activity implementation.
Any
legitimate issueraised through the public consultation should be included in Minutes of Meeting of
the public consultation and which should be a part of the ESMP for particular project sites and part of
the ESMF document for the project as a whole.
For subprojects related to the rehabilitation of electrical substations, as the proposed activities will be
implemented on existing, well fenced areas, which usually are located outside of the settlements or
which have clear designed sanitary zone of 100 meters, although there is no need for a special public
hearing regarding the ESMP, the project beneficiary should provide information to all interested parties
about the civil works and electrical stations renovation activities by installing a notice plate placed at the
rehabilitation. Furthermore, other specific information related to the project activities and EA should be
also publicly available on-line on the project website or BT website. Based on that the public
consultation can be done virtually receiving relevant questions/proposals on-line and taking them into
consideration while finalizing the substations ESMPs. Similarly, in the case of ESMP Checklist for
rehabilitation of existing facilities, the public consultation can be done virtually, as in the case of
rehabilitating electrical stations.
During the public consultations, the ESPMU/NSIFT together with local implementing partners should
explain the subproject scope, potential impacts, suggested mitigation measures and avenues for the

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public to participate in and engage with the project activities. Public consultations are normally
conducted as a meeting. However, there are other methods of holding public consultations such as
questionnaires, video conferences and other as relevant. The key characteristic of public consultation is
that it is a
two-way flow of information: activity originators describe their activities to local communities,
and local communities ask questions or raise their concerns in return. Pubic consultations should be
recorded and the key outcomes including suggestions and recommendations from the stakeholders
should be included in the safeguards instruments (ESMP, A-RAP and/or RAP).
7.5. Safeguards Tasks During Construction and Implementation Phase
Implementation of safeguards instruments as per the plans is equally important. The environment and
social staff of the ESPMU/NSIFT require to coordinate with local agencies including contractors and
supervise the implementation of environment and social mitigation measures. During activity
implementation, ESPMU/NSIFT will be fully responsible for overall supervision to ensure that all
measures listed in the ESMF are complied with as required. In cooperation with the district Hukumats
and JPCs, ESPMU/NSIFT will conduct environmental monitoring during both construction and
operational phases in accordance with the Monitoring Plan to be developed in accordance with
Attachment 3 of ESMP in Annex 7 of the ESMF.
Construction contractors selected/appointed by the ESPMU/NSIFT/FPs (Component 1 and Category B
subprojects under Component 2) (or by JPC/VPCs) will be responsible for implementing ESMPs for
respective subprojects, and ensuring that there is compliance with environmental and social safeguards
regulations throughout the construction period. All contractors will be required to reflect environmental
guidelines in their financial bids and contracts for individual subprojects and to use environmentally
acceptable technical standards and procedures during construction of works. Payments to contractors
will be contingent on the final inspection, with particular attention to the requirement of restoring the
site to its original condition upon completion of rehabilitation activities. Additionally, contract clauses
shall comply with national regulations on energy efficiency, construction, health protection, and
safeguard laws and rules on environmental protection. The relevant implementing partner will assist
JPCs or VPCs to monitor contractor compliance.
If approved, there will be periodic supervision of Category B subprojects by the ESPMU/NSIFT/FPs and
by local ecological/environmental inspectors as needed. The ESPMU/NSIFT/FP will conduct site
inspections prior to, during and upon completion of rehabilitation/construction activities to ensure full
compliance with contractual conditions and the ESMP, and to verify that appropriate preventive actions
and/or mitigation measures have been implemented. Such information will enable the ESPMU/NSIFT/FP
and the Bank to evaluate the success of mitigation as part of project supervision and will allow for
corrective actions to be taken when needed.
If Project Supervision Consultants (PSCs) are employed by the ESPMU/NSIFT/FP Jamoat Project
Commission, they will supervise construction works on subproject sites and will be familiarized with
subproject ESMPs so that they can ensure that the construction contractors adhere to the same. If
there are deviations in ESMP implementation, these Consultants will bring it to the notice of the
ESPMU/NSIFT/FP and then the World Bank. In the case of non-compliance with environmental and
social requirements and mitigation measures, the ESPMU/NSIFT/FP and local ecological/environmental
construction inspectors will investigate the nature and reason(s) for non-compliance, and determine and
communicate steps that would need to be taken to bring activities into compliance, or whether
financing should be suspended.
As part of its environmental and social monitoring activities, the ESPMU/NSIFT/FP will conduct random
inspections of project sites to determine the effectiveness of measures taken and the impacts of sub

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project activities on the surrounding environment. The ESPMU/NSIFT/FP are also responsible for
processing, addressing and monitoring complaints and other feedback, including that on environmental
and social issues.
The ESPMU/NSIFT/TFP will be responsible for ESMP reporting and will:
Record and maintain the results of project supervision and monitoring throughout the life of the
project. It will present summary progress reports on ESMF implementation and the safeguards
aspects of subprojects on a semi-annual basis to the World Bank, and as part of this reporting,
provide updates on any CSP related as grievances/feedback that was received, that has been
addressed and that may be pending.
Prepare semi-annual reports on the progress of implementation of measures proposed by the ESMP
for selected sub-projects;
Prepare semi-annual reports on the environmental impacts originated during implementation of
sub-projects and analyze the efficiency of mitigation measures applied to minimize negative
consequences;
Prepare outlines and requirements for Contractors’ reports on environmental protection and
mitigation measures, and review Contractor’s monitoring plan and reports
Present the impact of mitigation and environmental and social protection measures for general
public via specific publications or/and by annual public seminars.
Project implementation & ESA responsibilities. The following entities play an important role in CSP
implementation: (a) Barqi Tojik; (b) the State Unitary Enterprise “Energy Sector Project Management
Unit” (ESPMU); (c) NSIFT; (d) Jamoat Project Commissions; and (e) Mahalla Committees. Other relevant
stakeholders include: Government’s Committee for Environmental Protection (CEP), companies
contracted by the ESPMU, Jamoat Project Commissions, or Mahalla Committees to provide goods,
works, and services.
Barqi Tojik will delegate Project implementation responsibilities for Component 1 to the ESPMU. Barqi
Tojik’s role will focus on: (a) identifying village-level power supply needs and needs for 110/10kV SS in
Vorukh and (b) operating and maintaining power supply infrastructure after it is procured and installed
by the ESPMU.
For Component 1 investments, the
ESPMU will be responsible for:
Environmental screening and evaluation of subproject eligibility from the environmental point of
view
Communication and coordination with EA competent authorities (Committee on Environmental
Protection)
Ensuring proper implementation of the ESMP and ESMP Checklist requirements during the
subprojects’ realization
Addressing complaints and feedback from Project stakeholders and the public, including grievances
regarding environmental/social impacts of subprojects
Supervision (independently or jointly with the State Ecological Inspectorate) of environmental
protection and mitigation measures stipulated in the ESMPs
Monitoring of environmental impacts as part of overall monitoring of the subproject
implementation
Reporting on environmental and social impacts originated during implementation of subprojects
and analyze the efficiency of mitigation measures applied to minimize negative consequences.

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The ESPMU will directly perform these functions for Component 1 investments. For Component 2, 3 and
4 NSIFT will take a responsibility, including for subprojects’ environmental and social screening and
evaluation. This will be done by engineers/technical specialists employed by the NSIFT. The NSIFT will
conduct regular supervision of safeguards screening, documentation, and mitigation measures for
Component 2, 3 and 4 activities, and include the summaries of these supervision activities in its regular
reports. In a number of target areas – as will be described in the Project Operations Manual, NSIFT will
delegate this role to NGO Facilitating Partners.
NSIFT (or the NGO Facilitating Partner) will be responsible for:
Providing training and capacity building support to Jamoat Project Commissions on safeguards
implementation and compliance
Involving and providing inputs in conducting environmental screening and evaluation during the
design process
Informing Jamoat Project Commissions and community representatives with information on options
and alternatives to mitigate social and environmental risks identified
Assisting Jamoat Project Commissions to prepare and implement ESMP checklist requirements and
provide this and related documentation to the NSIFT as it conducts its regular supervision activities,
prepares reports on environmental impacts, and other related tasks.
For Component 2 investments, NSIFT will support disbursements of subgrants and oversee sub-project
implementation, conduct community mobilization and local capacity building, and contract facilitating
partner(s) for the implementation of selected corridor and Isfara target areas. Coordinating with
BT/ESPMU on Component 1, NSIFT will be responsible for M&E and communications. NSIFT
responsibilities will include overall compliance with the provisions of the operations manual, including
social and environmental safeguards compliance, the procurement of goods/works/services, oversight
and capacity building for management of subprojects, consultancy services for technical assistance and
institutional support, communications and outreach, capacity development of all project stakeholders,
monitoring and evaluation, and consolidated reporting. NSIFT will carry out day to day project
management and in coordination with BT/ESPMU, all necessary coordination with Regions and districts.
The GoT’s
Committee for Environmental Protection (CEP) is responsible for State Ecological Expertise for
all investment projects, and has a comprehensive mandate that includes policy formulation and
inspection duties. The CEP has divisions at Region (region), city and District (district) level, in the form of
Departments of Environmental Protection (DEPs), within the Hukumat (local administration) at each city
or District. A small unit in the Committee is entrusted with guiding and managing the preparation of
ESIAs and SEEs.
Contracted companies will be responsible for the design and construction/rehabilitation/installation of
physical works in accordance with Tajik environmental norms, regulations and requirements. They will
also be responsible for complete implementation of the provisions included in the ESMP Checklists.
a. Field Level Safeguards Management
The implementation schedule of each safeguards plan must be agreed between ESPMU/NSIFT and
participating municipalities (Hukumats, line departments if required). In particular, the parties will
discuss the start and completion dates of construction activities, a schedule for the handover of
completed facilities to PAPs, and ownership of land/assets/services used by PAPs. Prior to
commencement of any project activity, ESPMU/NSIFT should provide adequate compensations to all
PAPs in accordance with the published and approved RAPs, which are, in their turn, are based on the

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RPF. No civil works can commence, until resettlement/land acquisition activities are completed and
compensations to PAPs paid in full per the guidelines described in the RPF and indicated in the OP 4.12.
In case of physical/economic displacement and resettlement, the project will prepare a budget as part
of the RAP and will finance this budget through the administrative and financial management rules and
manuals like any other activity eligible for payment under the program. However, the responsibility for
payment of compensations and provision of other assistance will reside with the client (please refer
RPF).
During activity implementation, ESPMU/NSIFT is expected to visit construction sites at least once a
month to monitor compliance with environment and social safeguards requirements. More visits may
be required if any issues are identified. If there are any significant environmental and social issues
associated with activity operation, ESPMU/NSIFT will continue supervision during the operation phase as
well. Initially, monthly visits should be conducted, and if no problems arise, supervision frequency can
be reduced to quarterly, semiannual and eventually annual site visits.
b. Grievance Redress Mechanism
Project stakeholders and citizens can submit complaints, comments and concerns regarding the CSP via
the Project Grievance Redress Mechanism (GRM) which will be included in the project Beneficiary
Feedback Mechanism (BFM).
World Bank Grievance Redress
The World Bank Grievance Redress Service (GRS) is separate from the GRM established for the Tajikistan
CSP. Communities and individuals who believe that they are adversely affected by a World Bank
supported project may submit complaints to existing project-level grievance redress mechanisms or the
WB’s GRS. The GRS ensures that complaints received are promptly reviewed in order to address projectrelated concerns.
Project affected communities and individuals may submit their complaint to the WB’s independent
Inspection Panel which determines whether harm occurred, or could occur, as a result of noncompliance with World Bank policies and procedures. Complaints may be submitted at any time after
concerns have been brought directly to the World Bank’s attention, and Bank Management has been
given an opportunity to respond.
Information on how to submit complaints to the World Bank’s corporate GRS is available at:
http://www.worldbank.org/en/projects-operations/products-and-services/grievance-redress-service.
Information on how to submit complaints to the World Bank Inspection Panel is available at:
www.inspectionpanel.org.
c. Institutional Responsibilities, Monitoring and Evaluation
ESPMU/NSIFT should hire the environmental/social staff who will prepare environmental and social due
diligence documents for individual sites in coordination with the municipalities and will during the
project implementation phase supervise the implementation of the ESMPs and RAPs on the same (and
the municipality/contractor will hire its own E&S staff at the specific site all the time during the
construction).
ESPMU/NSIFT also responsible for; a) ensure that pertinent aspects of the ESMP/RAP are contractual
obligations of the contractor; b) supervise the work performed by the environmental/social staff /
design companies/contractors to ensure that they are applying adequate standards and are following

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agreed procedures, as well as the agreed environmental/social plan; c) organize tendering procedures,
review tender evaluation performed by the technical teams, and arrange for the contracts to be signed
in accordance with agreed procedures; and d) ensure that the environmental and social staff/consultant
is providing adequate site supervision, particularly the supervision of carrying out the environmental
/social management plans.
Any occupational, health and safety (OHS) incidents that may occur at the Project sites must be
immediately reported to the WB without postponing that till a regular progress report is due. Towards
this end, ESPMU/NSIFT must include the requirement to promptly report on OHS incidents into the
contracts signed with the providers of works and work supervision consultants. Once a notice on an OHS
incident arrives to the ESPMU/NSIFT, it must be instantly communicated to the WB with the inclusion of
sufficient detail known at the moment of reporting.
Regular activity progress reports should include significantly concise information on the implementation
of environmental and social management plan providing a short description of monitoring activities,
issues identified and mitigation measures taken to address those issues. Such progress reports should be
also shared with the World Bank. Regular progress reports should include information on any OHS
incidents that have occurred in the reporting period, along with follow-up action undertaken. If no
incidents have occurred, every progress report should state so.
Table7.3. Screening Checklist to Assess Social Risks and Impacts of Subproject Interventions

Probable social impacts Yes No Provide
details/numbers, if
possible
1. Will the intervention include new physical construction work?
2. Does the intervention include upgrading or rehabilitation of existing
facilities?
3. Is the intervention likely to cause any permanent damage to or loss of
housing, other assets, resource use?
4. Is the site chosen for this work free from encumbrances and is in
possession of the Public/government/community land?
5. Is this sub project intervention requiring private land acquisitions?
6. If the site is privately owned, can this land be purchased through
negotiated settlement? (Willing Buyer – Willing Seller)
7. If the land parcel has to be acquired, is the actual plot size and ownership
status known?
8. Are the subproject cause any access restriction to the
commuters/pedestrians/ business and trades?
9. Is land for material mobilization or transport for the civil work available
within the existing plot/ Right of Way?
10. Are there any non-titled people who are living/doing business on the
proposed site/project locations that use for civil work?
11. Is any temporary impact likely?
12. Is there any possibility to move out, close of
business/commercial/livelihood activities of persons during constructions?
13. Is there any temporary or permanent physical displacement of persons
due to constructions?
14. Does this project involve resettlement of any persons? If yes, give details.
15. Will there be loss of /damage to agricultural lands, standing crops, trees?
16. Will there be loss of incomes and livelihoods for anyone due to project
intervention?
17. Will people permanently or temporarily lose access to facilities, services,
or natural resources?

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18. Will project cause loss of employments/jobs
19. Will project generate excessive labor influx as a result of new
constructions
20. Does construction activities require additional/skilled labor from outside
the locality
21. Will subproject/construction activities cause destruction/disturbance to
host community living
22. Will construction of new buildings, drainage lines, powerlines create any
degradation/disturbances for public buildings/resources/ adjacent houses,
wells, lands, Burial places, children parks, schools etc
23. Will this intervention generate downsize in current labor
force(retrenchments) of the agency
24. Does intervention may cause unintended consequences such as
accidents/ damages to adjacent buildings
25. Are any vulnerable groups who may affect adversely (including indigenous
people) due to the project intervention?

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CHAPTER 8
PROCUREMENT MANAGEMENT

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Chapter 8: PROCUREMENT MANAGEMENT
(This section should be read with Annexes 8.1 PPSD, Annex 8.2 Procurement Plan, and Annex 8.3
Procurement Forms)
8.1. General
The purpose of this section is to provide the Implementing Agencies with the general principles and
procedures to be followed in the procurement of goods, works, consultancy services and non-consulting
services financed out of the project funds.
Procurement of goods, works, non-consulting services and services within the Project is regulated by the
“World Bank Procurement Regulations for IPF Borrowers”, dated July 2016, revised November 2017 and
August 2018, as referred to in the project Financing Agreement.
8.2. Procurement Planning
A Procurement Plan was developed for implementation of the Project. It will be updated periodically, at
least once a year, and each update is subject to prior review of the World Bank. The initial Procurement
Plan as well as subsequent updates thereof will be disclosed on the website of the World Bank according
to the requirements of the Procurement Regulations as well as on the official websites of the NSIFT
(www.nsift.tj) and Barqi Tojik (www.Barqi Tojik.tj). Procurement plan is to be implemented as approved
by the World Bank.
The Procurement Plan, including its updated, shall include:
A brief description of the activities/contracts
The selection methods to be applied
Cost estimates
Time schedules
The bank’s review requirements
Any other relevant procurement information.
The World Bank’s online system of Systematic Tracking of Exchanges in Procurement (STEP) is currently
used by implementing agencies in planning and tracking procurement activities under Bank-financed
projects. STEP enables auto publication of approved procurement plans, publication notices and
contract award information in the Bank’s external website, UNDB online, World Bank Finances App, and
World Bank Procurement App.
Any update to the Procurement Plan shall be cleared by the NSIFT and ESPMU Executive Directors.

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8.3. Procurement Methods
Selection methods and arrangements to be used under the Project for both NSIFT and ESPMU include
the following:
Works: (i) Request for Bids (RFB), Post-qualification, International, Open; (ii) Request for
Quotations, (iii) Direct Selection.
Goods and non-consulting services: (i) Request for Bids (RFB), Post-qualification, International
and National, Open, (ii) Request for Quotations; and (iii) Direct Selection.
Consulting Services: (i) Quality Cost-Based Selection, (ii) Fixed Budget-based Selection; (iii) Least
Cost-based Selection; (iv) Consultants’ Qualification-based Selection (v) Direct Selection; and (vi)
Selection of Individual Consultants.
Request for Quotations.
When purchasing goods, the procurement method “Request for Quotations” is applied in accordance
with the procedures described below. This method is used for limited quantities of readily available offthe sehlf goods or non-consulting services, standard specification commodities, or simple works of small
value. The following steps must be completed:
Formation of a Tender Evaluation Commission;
preparation of request for quotations (description, quantity, technical specifications, delivery
schedule, minimum qualification requirements, location, etc.);
publication of an announcement in the media at the republican or regional level at the
discretion of the tender commission;
publication of an announcement on the NSIFT and Barqi Tojik official websites giving sufficient
time for the preparation and submission of quotations;
provision of request for quotations to tenderers;
ensuring compliance with the requirement to receive at least three quotes;
receipt of price quotes by the deadline. Each supplier can submit only one quotation.
evaluation (qualification, technical, financial) and preparation of an evaluation report using
standard documents, award of a contract;
maintaining confidentiality of information until a contract is awarded;
publication of bidding results on information stands and the government procurement portal,
NSIFT and Barqi Tojik official websites;
signing a contract with a selected supplier/contractor using the form attached to the Invitation
to quote;
verification of goods/works for compliance with technical requirements and their acceptance;
making payments in accordance with the contract;
storage of all documents in folders.
Request for Bids.
When purchasing goods, works, or non-consulting services, the “Request for Bids” procurement method
could be used. Procurement undert this method is conducted in a single-stage process. The following
steps must be completed:
Establishment of a Tender Evaluation Commission;
preparation of request for bids document, using the Bank’s Standard RFB document for open
international procurement;
publication of a Specific Procuremetn Notice, using the Bank’s applicable template
issuance the RFB document to potential bidders;
respond to any request for clarifications of RFB documents in writing, and forward a copy of the
response to all bidders; if required, modification to the RFB document shall be introduced in the
form of an addendum;

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receipt of bids prior to the bid submission deadline. The minimum time period allowed for
preparation of bids shall be thirty (30) business days for open international competitive
procurement, unless otherwise agreed with the Bank;
public opening of bids received by the submission deadline; a copy of the Minutes of bid
opening shall be promptly sent to all bidders whose bids were opened;
evaluation of bids (technical and financial) and preparation of an evaluation report using
standard documents;
make decision to award a contract;
if standstill period applies, issue Notice of Intention to Award the Contract to the unsuccessful
bidders;
Award of contract and publication of Contarct Award Notice;
maintaining confidentiality of information until the award of the contract
notification of the supplier of the selection results;
obtaining a performance security from the selected participant 28 days after the signing of the
contract
signing a contract with a selected supplier;
verification of goods, works, or non-consulting services for compliance with technical
requirements and their acceptance;
making payments in accordance with the terms of the contract;
storage of all documents in folders.
Procurement of consulting services (companies)
When purchasing a consulting company, it applies the “Quality and Cost Based Selection” method
(QCBS).
The following steps apply in this method:
preparation of terms of reference along with the budget;
publication of the Request for Expression of Interest along with the complete TOR through
STEP; on the NSIFT and Barqi Tojik official websites; media
submission of Expressions of Interest: provides enough time for firms to respond to an REOI —
usually at least 10 business days;
shortlisting: expressions of interest are evaluated to compose a Shortlist. The final Shortlist is
communicated to all firms that expressed interest, as well as any other firm that requests this
information.
send an invitation letter along with the request for proposals document to all Shortlisted firms;
technical and financial proposals must be submitted at the same time in two (2) separate sealed
envelopes;
opening of the technical proposals;
evaluation of technical proposals; Evaluation of technical proposals should be carried out in
accordance with the evaluation criteria specified in the request for proposals;
after the evaluation of the technical proposals is completed, NSIFT/ESPMU inform all the
companies that submitted the Proposal of their score and whether they met the minimum
qualification technical score specified in the request for proposals, at the same time notify the
companies that meet the requirements of the technical proposal of when the opening of
financial proposals will be made.
financial proposals must not be opened earlier than seven (7) days from the communication of
technical evaluation results to the firms;
Combined evaluation of quality and cost must satisfy the requirements set forth in the request
for proposals;

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negotiations include discussion of the TOR, the methodology, Client’s inputs, and special
conditions of the contarct;
notification of intention of award and standtill period;
award of the contract and publication of the contract Award;
provide debriefing to unsuccessful consultants, if requested.
Consulting services – Fixed Budget-based Selection
When consulting firms to be procured, the Fixed Budget Selection could be used.
The following steps apply in this method:
Preparation of terms of reference along with the budget;
publication of the Request for Expression of Interest along with the complete TOR through STEP;
on the NSIFT and Barqi Tojik official websites; media
submission of Expressions of Interest: provides enough time for firms to respond to an REOI —
usually at least 10 business days;
shortlisting: expressions of interest are evaluated to compose a Shortlist. The final Shortlist is
communicated to all firms that expressed interest, as well as any other firm that requests this
information.
send an invitation letter along with the request for proposals document to all Shortlisted firms;
Request for proposals document clearly indicates the cost of services that shall not be exceeded.
technical and financial proposals must be submitted at the same time in two (2) separate sealed
envelopes;
opening of the technical proposals;
evaluation of technical proposals; Evaluation of technical proposals should be carried out in
accordance with the evaluation criteria specified in the request for proposals;
after the evaluation of the technical proposals is completed, NSIFT/ESPMU inform all the
companies that submitted the Proposal of their score and whether they met the minimum
qualification technical score specified in the request for proposals, at the same time notify the
companies that meet the requirements of the technical proposal of when the opening of
financial proposals will be made;
financial proposals must not be opened earlier than seven (7) days from the communication of
technical evaluation results to the firms;
the firm with the highest technical score that meet the fixed budget shall be invited to negotiate
a contract;
negotiations include discussion of the TOR, the methodology, Client’s inputs, and special
conditions of the contract;
notification of intention of award and standtill period;
award of the contract and publication of the contract Award;
provide debriefing to unsuccessful consultants, if requested.
Consulting services – Least Cost-based Selection
When firms to be procured, the Least Cost-based Selection could be used. The following steps apply in
this method:
Preparation of terms of reference along with the budget;
publication of the Request for Expression of Interest along with the complete TOR through STEP;
on the NSIFT and Barqi Tojik official websites; media
submission of Expressions of Interest: provides enough time for firms to respond to an REOI —
usually at least 10 business days;
shortlisting: expressions of interest are evaluated to compose a Shortlist. The final Shortlist is
communicated to all firms that expressed interest, as well as any other firm that requests this
information.

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send an invitation letter along with the request for proposals document to all Shortlisted firms;
the request for proposals specifies the minimum score for the techncail proposals.
technical and financial proposals must be submitted at the same time in two (2) separate sealed
envelopes;
opening of the technical proposals;
evaluation of technical proposals; Evaluation of technical proposals should be carried out in
accordance with the evaluation criteria specified in the request for proposals;
after the evaluation of the technical proposals is completed, NSIFT/ESPMU inform all the
companies that submitted the Proposal of their score and whether they met the minimum
qualification technical score specified in the request for proposals, at the same time notify the
companies that meet the requirements of the technical proposal of when the opening of
financial proposals will be made.
financial proposals must not be opened earlier than seven (7) days from the communication of
technical evaluation results to the firms;
the firm with the scores higher than the minimum technical score with the lowestevaluated cost
is invited for negotiations ;
negotiations include discussion of the TOR, the methodology, Client’s inputs, and special
conditions of the contarct;
notification of intention of award and standtill period;
award of the contract and publication of the contract Award;
provide debriefing to unsuccessful consultants, if requested.
Consulting services – Consultants’ Qualification-based Selection.
When firms to be procured, the Consultants’ Qualification-based Selection could be used. The following
steps apply in this method:
Preparation of terms of reference along with the budget;
advertisement of the Request for Expression is not mandatory;
provides enough time for firms to respond to an REOI — usually at least 14 business days;
receipt expressions of interest from at least three qualified firms;
select the firm with the best qualifications and relevant experience;
send an invitation letter along with the request for proposals document to the selected firm and
invite the firm to submit its technical and financial proposals;
negotiations include discussion of the TOR, the methodology, Client’s inputs, and special
conditions of the contract.
Consulting services – selection of individual consultants
When hiring individual consultants it is necessary to follow the steps below:
creation of a tender evaluation commission;
preparation of Terms of references and the estimated budget;
invitation and receipt of at least three qualified resumes;
declare a tender in the media at the discretion of the tender commission;
use of the roster of consultants for invitation, if any;
evaluation of the received resumes;
preparation of an evaluation report reflecting the selection process in accordance withselection
criteria;
provide the selected consultant with the TOR;
invitation of the selected candidate to submission of technical and financial proposals and for
negotiations on the terms of the assignment and the terms of the contract;
signing a contract;

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monitoring the activities of the consultant and receipt deliverables/outputs;
ensuring payments for the provision of agreed reports/achievement of results.
Individual consultants may be selected on direct selection basis, with due justifications, under the
following circumstances:
a. Assignments are a continuation of the previous work, which was carried out by an
individual consultant, selected on a competitive basis;
b. Assignments whose total expected duration is less than six months;
c. Emergency situations; or
d. In the event that an individual consultant has relevant experience and qualifications of
exceptional value for a given assignment;
Direct Selection method
This method allows to approach and negotiation with only one supplier/ contractordirectly. This method
may be appropriate when there is only one suitable firm or there is justification to use a preferred firm.
It may be appropriate under the following cases:
a. an existing contract, including a contract not originally financed by the Bank, for Goods, Works,
or Non-consulting Services, awarded in accordance with procedures acceptable to the Bank,
may be extended for additional Goods, Works, or Nonconsulting Services of a similar nature, if:

i.
ii.
iii.
it is properly justified;
no advantage could be obtained through competition; and
the prices on the extended contract are reasonable;

b. there is a justifiable requirement to re-engage a firm that has previously completed a contract,
within the last 12 months, with the Borrower to perform a similar type of contract. The
justification shall show that:

i.
ii.
iii.
the firm performed satisfactorily in the previous contract;
no advantage may be obtained by competition; and
the prices for the direct contracting are reasonable;

c. the procurement is of both very low value and low risk, as agreed in the Procurement Plan;
d. the case is exceptional, for example, in response to Emergency Situations;
e. standardization of Goods that need to be compatible with existing Goods may justify additional
purchases from the original firm, if the advantages and disadvantages of another brand or
source of equipment have been considered on grounds acceptable to the Bank;
f. the required equipment is proprietary and obtainable from only one source;
g. the procurement of certain Goods from a particular firm is essential to achieve the required
performance or functional guarantee of an equipment, Plant, or facility;
h. the Goods, Works, or Non-consulting Services provided in the Borrower’s country by an SOE,
university, research center or institution of the Borrower’s country are of a unique and
exceptional nature in accordance with Paragraph 3.23 c. of World Bank Procurement
Regulations; or
i. direct selection of UN Agencies in accordance with Paragraphs 6.47 and 6.48 of World Bank
Procurement Regulations.
In all instances of direct selection, the Borrower shall ensure that:
a. the prices are reasonable and consistent with the market rates for items of a similar nature; and
b. the required Goods, Works, or Non-consulting Services are not split into smallersized
procurement to avoid competitive processes.
Based on the Substantial risk analysis established for the project, Bank’s prior review thresholds are the
following:

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Type of procurement Thresholds in USD
Works >=10,000,000
>=2,000,000
Consulting firms >= 1,000,000; all TORs
Individual Consultants >= 300,000; all TORs

Goods, Information technology and non-consulting
services
Post Review. All contracts below the prior review threholds are subject to IDA’s ex-post review.
Periodic ex-post reviews by IDA are undertaken once a year during regular supervision missions.
Procurement documents, such as bidding documents, bids, bid evaluation reports and correspondence
related to bids and contracts are kept readily available for IDA ex-post review.
All TORs are subject to clearance with the Bank irrespective of review status.
8.4. Notification, Publication of Procurement Announcements and Results of Selection
General Procurement Notice.
NSIFT and ESPMU will jointly develop and submit to the Bank the General
Procurement Notice for publication in the electronic bulletin UN Development Business online (UNDB
online) and on the Banks’ external website. The General Procurement Notice should contain information
about the Project, its objectives and budget, scope of procurement in line with the Procurement Plan,
contact information of contact points, and address and a link to the NSIFT and BT’s official websites
where all subsequent Specific Procurement Notices will be published.
Special Procurement Notice. In conducting procurement of goods, works and services, the NSIFT and
ESPMU publishe procurement notices in the mass media, in NSIFT and BT official websites and other
free-access website.
Contract award Notice. The NSIFT and ESPMU shall publish the contract ward information in their
websites or free access website or in at least one newspaper of national circulation.
8.5. Bid Evaluation Committee
The role and functions of Bid Evaluation Committees are to review and evaluate bids, make decision on
contract awarding, and conduct negotiations for consultancy assignments.
NSIFT Bid Evaluation Committee
A separate Bid Evaluation Committee is set up for any specific procurement by the order of the NSIFT
Executive Director. Bid Evaluation Committee should becreated immediately after the publication of the
announcement. The Bid Evaluation Committee should include Project staff members, specialists
competent in the sphere related to goods, works, consulting services to be procured and other persons.
The committee may be comprised of NSIFT staff, representatives of beneficiaries and other persons to
ensure the transparency. Notification about the contract awarding is made on behalf of the NSIFT
Executive Director. Contracts are signed by the NSIFT Executive Director, or a person, to whom these
authorities delegated.
ESPMU Bid Evaluation Committee
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Bid Evaluation Committee is established by the order of the Executive Director of the PMU as an internal
commission. The ESPMU will establish separate Bid Evaluation Committee for each procurement. Bid
committee should be created immediately after the publication of the announcement. The commitee
may include employees of PMU, BT, State Committee on Investments, representatives of the
beneficiaries and other persons to ensure transparency. The bidding committee should consist of at
least 5 members.
Based on the Contract Award Notification is made on behalf of the Chairman of Barqi Tojik and or the
Executive Director of the PMU. Contracts are signed by the Chairman of BT and Executive Director of the
PMU or by the person to whom these responsibilities are transferred.
8.6. Contract Management and Monitoring
Each Implementing Agency, NSIFT and ESPMU, is responsible for administration and modifications of
signed contracts with their agencies. Following the procedure described in the bidding documentation,
after the recommendation on contract award for contracts subject to the post review, the Procurement
Specialist of the project sends the draft contract for agreement and signing to the winning bidder.
Contracts concluded with the winning bidder shall be drawn in the language the bid was submitted in.
Copies of the signed contracts are uploaded to STEP. ESPMU and NSIFT staff is responsible for securing
the originals of the signed contracts.
ESPMU and NSIFT project staff performs registration and storage of reporting documents on the
contract execution.
Payment under the contract shall be made to the Supplier within the period specified in the contract
from the moment the Supplier invoices a payment.
If necessary, addenda and amendments to the contract are made upon agreement between the Buyer
and the Supplier. After addenda and amendments to the contract are approved by the Project
coordinator in protocol, the project procurement specialist, through the STEP system, sends it for
agreement to the World Bank to get “no objection” resolution (for contracts that need preliminary WB’s
review). After receiving the WB’s approval for modification, addendum or amendment to the contract is
signed by the authorized manager of the project and the Supplier.
After signing the contract, the ESPMU/NSIFT project staff uploads a copy of signed addendum for
registration in STEP.
The purpose of contract management is to ensure that all parties fulfill their obligations. The Borrower
shall actively manage the contracts throughout their life in order to ensure that the contractor executes
the contract satisfactorily, that the relevant stakeholders are notified, and all contract requirements are
observed.
Contract management step by step
A complete description of all situations and issues that may affect the qualitative performance of the
contract is practically impossible task, given the hundreds of different situations in which these
contracts are executed. In order to successfully implement the contract, the PIU should follow the
following actions from the moment of signing the contract:
Internal conditions:

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Project coordinator should assign specific assignments to a particular specialist or a team
responsible for the contract management (i.e., procurement specialist, coordinator, financial
manager) through development of clear and integrated job descriptions (general or for the specific
project).
Develop internal procedures (hierarchy, communication, authority level, document turnover,
inspection and acceptance procedures, payment procedures, internal audit, etc.).
Coordination of activities with third parties (other agencies, contractors, end users, beneficiaries,
etc.).
A kick-off meeting with the supplier / contractor / consultant and other important stakeholders (if
applicable, with developers of technical specifications, engineer, project manager, end users and
recipients of goods, services or construction works, local community, etc.):
Familiarization with the parties, their roles and responsibilities (especially when authority is
delegated to the engineer or project manager).
Set up the parties/representatives of the contract and communication rules (mechanisms,
periodicity, etc.).
Study of contract documentation (contract terms, technical requirements / terms of reference,
payment schedules and contractual obligations, stages of implementation / tasks / results, priority
contract documents, etc.).
Study of the current legislation and all obligations arising in connection with execution of a contract
in the customer’s country (e.g., registration of a contract or product, registration of a contractor in
the customer’s country for fiscal purposes, tax regime, etc.).
Define the procedures for transferring the resolution of problems to a higher level to resolve critical
situations or difficulties (lagging behind the implementation or receipt of permits and approvals;
abuse of power by the project manager or engineer; inaction of the Contractor’s personnel, etc.).
Ensure conditions so that all parties involved in the contract execution have the same
understanding: provisions and conditions of the contract; expectations from each other; contract
terms; any specific difficulties related to the contract execution.
Development of clear reporting procedures (level, frequency, forms, minimum information, etc.).
Setting the Effectiveness Date or the Date of commencement of work.
Prepayment of advances/verification of the guarantee for advance and Performance Security:
Amounts
Validity
Issuing bank/certified signatures
Unacceptable deviations/conditions.
Check of insurance policies:
Insurance cover
Validity
Amounts
Jointly insured parties (when applicable)
Exceptions
Contributions
All the terms and conditions that may lead to the fact that, under certain circumstances or events,
insurance policies will be invalid
Need for notification
Confirmation of payment of insurance premiums.

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Check the level of mobilization of the supplier / contractor / consultant (financial resources, labor forces,
facilities, equipment, site readiness and availability, site arrangement elements, etc.); Inspections and
testing (where applicable):
Check of cargo before shipping
Check of cargo after delivery to the project site
Inspection and testing in the shop of the manufacturer
Simulation technique test
Work quality control at the project site
Testing of materials and manufacturing quality
Selective control
Verification of results
Post-completion tests.
Quality control and deviation of non-compliant production factors:
Deviations from technical specifications
Elimination of results of poor-quality work
Replacement of workers
Approval/rejection of subcontractors
Non-acceptance of results;
Functional guarantees.
Health, safety and environmental issues
Risks and threats for personnel of the Customer or third parties
Professional risks for the Contractor’s employees
Environmental risks.
Use of adequate project management tools to monitor contract terms and costs (especially useful for
construction contracts)
Breakdown of the scope of work
Project evaluation and review technique for plans (PERT)
The strict sequence method
Gantt Chart
Management of earned cost
Register log for problem situations
Control and inspection log.
Changes of quantitative indicators (orders to change the composition of work, instructions for additional
work)
Verification of supporting documentation (how relevant or necessary the proposed changes are);
Level of approval;
Changes of rates for unit;
Compensatory events (increase in costs and extension of deadlines);
Influence on the Contract Price and amendments to the Contract (if necessary).
Price adjustment
Applicability
Verification of indices (basic indicators, correct reference to applicable indices)
Verification of proportions.

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Application of provisional amounts or estimated liabilities
Verification of the appropriateness or necessity of their application
Approval by the engineer or project manager
Check of the actual application.
Study and approval of applications for payments
Quality mechanism for verification and approval of payment documents – internal audit, the
principle of “four eyes”, etc.
Checking the cost per unit, prices and volumes
Verification of supporting documentation (invoices, intermediate payment certificates, monthly
reports, actual repeat measurements, time sheets, confirming documents for actually incurred
expenses, bills of lading, insurance policies, authorizations of manufacturers, results, commissioning,
acceptance certificate for the object, bank guarantees, etc., as required)
Availability of necessary approvals (duly confirmed monthly reports and intermediate payment
certificates, signed time sheet records, approval of the engineer or project manager, approval of the
client coordinator based on outcomes, etc., as required)
Check whether the requested amounts have already been paid
Check of invoices (correctness of the given name, address, identification information and bank
account of the recipient)
Check that information of the recipient indicated on the invoice coincides with information specified
in the contract and documents for previous payments
Check that the payment request is in accordance with the payment schedule/stages of the contract
Check that the relevant percentage of advance payment to be withheld
Availability of funds and applicable method of payment (payment from a special account, direct
payment, special obligation under a letter of credit, etc.).
Time control
Verifying compliance with the delivery schedule or milestones of the contract
Measures to accelerate the progress of work and ensure compliance with the deadlines for
completion of works provided for in the contract
Applying the method of pre-estimated losses with backlogs.
Measures for inactive contractors:
Refusal to approve or accept non-conforming goods, poor-quality work, substandard materials or
incomplete results
Rejection of inactive workers (in contracts for construction works and consulting services)
Penalties for non-fulfillment of functional guarantees
Actions in connection with Performance Security
Termination of the Contract.
Acceptance / Acceptance Certificate
Check that all functional guarantees have been performed and all final tests have been successfully
carried out
Acceptance of goods (reconciliation with Pick-and-Fill lists and technical specifications) and services
(check that all comments and recommendations are included in the Final Report)
Inventory procedures
Succession planning (who accepts goods or works, whether they have the means for necessary care
and maintenance, whether they know what to do in case of defects or claims during the warranty
period, etc.).

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Guarantee for fixing the defects / Warranty period
It is necessary to make sure that the Performance Security / Bank Guarantee for the amount of
money held, as well as insurance policies (where applicable) are still valid and remain legitimate
during the warranty period.
It is necessary to make sure that the contractor is promptly notified of all defects and timely and
properly eliminates defects.
Final Acceptance / Certificate of Fulfillment of Obligations
Checking how the Contractor performed its obligations during the warranty period
Make sure that the Contractor does not have outstanding commitments, obligations or debts
Termination of the Performance Security / Bank Guarantee for the amount of money held
Final payment (if applicable).
Termination of the Contract
Customer checks the precise provisions of the contract regarding termination of the contract
Evaluation of the Contractor’s claims and remedy actions
It is necessary to ensure that all reasonable claims of the Contractor have been properly studied and
the appropriate amounts have been paid
Emergency planning.
Claims and disputes settlement
Check the precise provisions of the contract relating to the settlement of disputes and the costs
incurred (time, money and resources)
Check that the contract management team consistently and correctly ensured that the contract
terms are met
Proper documentation of the Contractor’s deviations from the technical specifications and terms of
the contract (it is very important for subsequent arbitration / court proceedings or to protect the
interests of the Customer in court).
Necessary measures for contract management:
Close monitoring by the Project Manager / Coordinator / Procurement Specialist (permanent
contact, unscheduled inspections, visits to the site, maintenance of the Problem Log, the Control
and Inspection Log, etc.)
Availability of an adequate and comprehensive reporting system (monthly, quarterly, phased, etc.)
to ensure close monitoring of all aspects of importance for contract management: actual progress
versus the planned (in terms of quantity and quality); timeliness of results; quality of investments
and results, etc.
Availability of internal audit procedures, the principle of “four eyes” (especially with regard to actual
verification of invoices and supporting documentation)
The person authorizing payments should not participate in the verification of payment documents
Prompt application of penalties for any delays in reports, for overrun the cost limits, order for
additional work, use of substandard and lower qualification materials, deviation from technical
specifications, and any leniency towards contractors
The use of all appropriate and reasonable measures under the contract – application of the method
of pre-estimated losses in case of delays or non-compliance with requirements; measures in relation
to insurance policies and contract performance security, etc.
Amendments to the contract are made in the following cases:
The scope of work changes in the direction of increase / decrease

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Change in specification/design
Errors/omissions in design and changes in technology
Changing of the site conditions
Lack of equipment/skills
Rates charged on the contract have changed
Increase/decrease in the contract value
Overruns/shortages under the contract budget
Delays and extension of deadlines
Embezzlement/additional design work/other types of activities
Modification or cancellation of orders that could be placed at the expense of the contractor’s own
funds
Unproductive labor costs
Revising the contract to mitigate the consequences of increase/decrease of the time and costs.
8.7. Conflict of Interest
Firms or individuals involved in the project procurement should not have a conflict of interest.
Conflict of interest under the procurement of Goods, Works, and Non-Consulting Services
A firm shall be considered to have a conflict of interest if the firm:
Is providing Goods, Works, or Non-consulting services resulting from, or directly related to
Consulting services that it provided for the preparation or implementation of a project, or where
such services were provided by an affiliate that directly or indirectly controls, is controlled by, or is
under common control with that firm. This provision does not apply to the various firms
(Consultants, contractors, or suppliers), which together are performing the contractor’s obligations
under a turnkey and built contract.
Including its personnel, has a close business or family relationship with a professional staff of the
Executing Agency/Beneficiary/PIU or any other party representing the Executing Agency/
Beneficiary/PIU or acting on its/their behalf who:
o Is directly or indirectly involved in the preparation of the Procurement Documents or contract
specifications, and / or the evaluation process of such contract;
o Would be involved in the execution or supervision of such contract, unless the conflict stemming
from such relationship has been resolved in a manner acceptable to the Bank throughout the
procurement process and execution of the contract.
Does not comply with any other conflict of interest situation as specified in the Bank’s Standard
Procurement Documents relevant to the specific procurement process.
Conflict of interest under the procurement of Consulting Services
Consultants shall:
Provide professional, objective and impartial advice.
At all times hold paramount the interests of the executive agency/beneficiary, without any
consideration of future work.
In providing advice avoid conflicts with other assignments and their own corporate interests.
Consultants shall not be hired for any assignment that would be in conflict with their prior or current
obligations to other clients, or that may place them in a position of being unable to carry out the
assignment in the best interest of the Executing Agency / Beneficiary.

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In order to prevent conflicts of interest, Consultants shall not be hired under the circumstances set forth
below:
A firm that has been engaged by the Borrower to provide Goods, Works, or Non-consulting Services
for a project (or an affiliate that directly or indirectly controls, is controlled by, or is under common
control with that firm), shall be disqualified from providing Consulting Services resulting from, or
directly related to, those Goods, Works, or Non-consulting Services. This provision does not apply to
the various firms (Consultants, contractors, or suppliers), which together are performing the
contractor’s obligations under a turnkey or design and build contract.
A firm that has been engaged by the Borrower to provide Consulting Services for the preparation or
implementation of a project (or an affiliate that directly or indirectly controls, is controlled by, or is
under common control with that Consulting firm), shall be disqualified from subsequently providing
Goods, Works, or Non-consulting Services resulting from, or directly related to those Consulting
Services. This provision does not apply to the various firms (Consultants, contractors, or suppliers),
which together are performing the contractor’s obligations under a turnkey or design and build
contract.
Neither a Consultant (including personnel and sub-consultants), nor an affiliate (that directly or
indirectly controls, is controlled by, or is under common control with that Consultant), shall be hired
for any assignment that, by its nature, creates a conflict of interest with another assignment of the
Consultant.
Consultants (including their experts and other personnel, and sub-consultants), that have a close
business or family relationship with a professional staff of the Executive Agency/Beneficiary/PIU,
that is directly or indirectly involved in any part of:
o The preparation of terms of reference for the assignment.
o The selection process of a consultant for the contract.
o The supervision of the contract may not be awarded a contract, unless the conflict stemming
from this relationship has been resolved in a manner acceptable to the Bank throughout the
selection process and the execution of the contract.
If the NSIFT/ESPMU identifies the facts of a conflict of interest, the bids of such suppliers (contractors) are
subject to rejection.The rejection of a bid in accordance with this article and the reasons for this shall be
reflected in the Evaluation Report.
8.8. Due Diligence concerning the Bank’s Sanctions Policies and Procedures.
During the evaluation process the ESPMU and NSIFT shall check the eligibility of bidders / consultants
from the lists of firms and individuals debarred and suspended by the Bank.
8.9. Procurement-Related Complaints
Over the course of competitive selection/bidding, the bidders (including potential bidders/consultants)
may file complaints concerning the selection/bidding process. The Bidder (or potential
bidder/consultant) may file a complaint to the NSIFT Regional Office or directly to the NSIFT/ESPMU
Central Office. Once a complaint is received, the Regional Office should notify immediately the NSIFT
Central Office. A copy of any procurement -related complaint should be send immediately to the Bank.
A complaint received by the NSIFT/ESPMU before the deadline for submission of bids/ proposals from
the consultants from the short list or the selection that received bidding documents should be reviewed
along with comments and recommendation for taking necessary measures to introduce amendments,
additions and preparation of an adequate response.

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If a complaint is related to technical specifications or terms of reference, the response letter will be
prepared by specialists, who were involved in development of these documents. NSIFT/ESPMU must
prepare and provide a detailed response to the complaint.
If the complaint contains accusation of fraud and corruption, this procedure can be changed to ensure
confidentiality until the investigation is complete.
Once the contract is awarded and a Consultant/Bidder wishes to find out reasons why his/her proposal
was not selected, he/she should appeal to the NSIFT/ESPMU/Jamoat to clarify results of selection. This
meeting should only involve discussion of the proposal of this Consultant and not the proposals of other
candidates.
8.10. Storage of Procurement Documentation
The implementing agencies must maintain an adequate system of registration and storage of documents
for each individual procurement. As stated above, STEP also has a database of all procurement files
online for shared use of by the Bank, ESPMU and NSIFT.
ESPMU and NSIFT should maintain a complete record of the procurement process (both in hard and
electronic format) including:
Cost estimates
A copy of the published advertisement or request for expressions of interest
A copy of the issued Pre-qualification (if any) and Bidding Documents, Request for Proposals and any
amendments, extensions or clarifications that were requested and issued
A record of any pre-bid meetings or pre-proposal conferences signed by all attendees
Hard copies of bids or proposals received and evaluated
Clarifications requested and responses received during evaluation
Bid/proposal opening minutes
Evaluation reports;
The minutes of contract negotiations (depending on the consulting services selection method)
A contract award notice
A copy of signed contracts, performance securities and advance payment guarantees; etc.
Records of all contractual correspondence between Procuring Entity and a supplier, contractor and
consultant
Records of claims and dispute resolutions, if any
Acceptance certificates, reports, shipping documents, etc.
Information on payments
Audit reports
Complaints and related correspondence.
The records should be maintained in chronological order and the files to be kept in an identified place
and should be retrievable for scrutiny whenever needed without wastage of time.
The originals of bid security, performance security, advance payment guarantees shall be furnished to
the financial unit, with a copy stored at the procurement unit.
Records should be maintained for a period as indicated in the Financing Agreement. All records to be
maintained in the office of Procuring Entity. Upon expiry of the maintaining period, files are to be
transferred to the state archive as per the preset procedures.

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CHAPTER 9
FINANCIAL MANAGEMENT AND DISBURSEMENT
ARRANGEMENTS

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CHAPTER 9: FINANCIAL MANAGEMENT AND DISBURSEMENT ARRANGEMENTS
This section should be read with Annexes – FM
9.1. Introduction
Project Implementing Agencies (NSIFT and ESPMU) shall be responsible for implementation of overall
projectfinancial management function including budget planning and preparation, accounting, external
audit, flow of funds, internal audit and financial reporting under the Project.
In particular, ESPMU will be responsible for financial management functions within Component 1 of the
Project, and NSIFT will be responsible for Component 2, 3 and 4 of the Project.
Financial reporting will include preparation of Financial reports for the International Development
Association (IDA), Investment and state property management Committee of Republic of Tajikistan and
the Ministry of Finance of the Republic of Tajikistan (MoF RT) according to consistently applied
accounting standards, adequately reflecting the operations, resources and expenditures under the
Component 1 for ESPMU and Component 2, 3 and 4 for NSIFT of the Project.
The Project financial management includes:
Budgeting and planning
Accounting policies, procedures and system
Financial reporting
Internal controls
Funds flow and disbursement arrangements
Audit.
Proper control over accounting information, ensuring timely, complete and proper registration in the
accounting system, as well as financial flows, control and audit flows.
9.2. Budgeting and Planning
Financial plans for CSP include:
Financial plans from each implementing agency (separately submitted) for CSP the project
implementation period
Annual budgets for each implementing agency (separately submitted).
The ESPMU Executive Director shall be responsible for coordination of all planning activities under the
Component 1of the Project. Financial planning covers all the key project staff. All the parties
participating in CSP preparation and implementation shall contribute to the financial planning processes.
The NSIFT Executive Director shall be responsible for coordination of all planning activities under the
Component 2, Component 3, and Component 4 of the Project. Financial planning covers all the key
project staff. All the parties participating in CSP preparation and implementation shall contribute to the
financial planning processes.
The Project Financial Plan is reflected in the Project Expenditure Tables and Legal Agreements. These
documents are fundamental for understanding of the Project Operational Plan, which puts the financial
plan into the context. The Financial Plan sets forth, in monetary terms, NSIFT/ESPMU action plans,
activities, outcomes, effects, goals, objectives, etc. in selected measurements over the project life cycle.

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No later than December 1 of each calendar year during the Project implementation, NSIFT/ESPMU shall
prepare the Annual Work Plan containing all activities proposed to be included in the Project: (a) a
detailed schedule for sequence and implementation of proposed Project activities; (b) types of
expenses required for such activities and proposed financing plan (including the necessary funds and
resources to be provided by the Recipient to cover such costs); (c) any training activities that may be
required under the Project; and (d) a reference to each and a safeguard measure applied to that activity,
and proposed approach to ensure preparation and implementation of Protection Measures Tool
mentioned above during the relevant year.
The first step in annual budget planning is to study the Project Financial Plan. Therefore, prior to the
beginning of each financial year, the project staff study and, if required, revise the Project Financial Plan
in terms of changes resulting from delays in expenditure, assumptions, item variations, activities, etc.
Thus, the Annual Budget for the next year will reflect changes over the project lifetime. This will help
avoid variances in reporting and analysis that have not been yet reflected in the revised Project Financial
Plan. It will also help ensure that the planned figures are realistic, and the variance analysis is
meaningful.
The Annual Budget prepared by ESPMU is divided into quarters in order to account for the seasonal
nature of cash flows. The Annual Budget shall be prepared by theESPMU and approved by the Executive
Committee of BT and agreed with IDA. The budget must be closely linked with procurement plans and
physical tasks.
The Annual Budget prepared by NSIFT is divided into quarters in order to account for the seasonal
nature of cash flows. The Annual Budget shall be approved by the NSIFT Executive Committee, approved
by the NSIFT Council and agreed with IDA. The budget must be closely linked with procurement plans
and physical tasks.
The Project Annual Budget includes the annual budget for incremental operational costs (IOC) that
should be agreed with IDA.
Operational Expenses mean the ESPMU’s and NSIFT’s incremental operational expenses for the
implementation, management, monitoring and evaluation of the Project, including the payment of
salaries to contractual employees (but excluding the salaries of the officials of the civil service),, social
charges and rental costs, maintenance and repair of office premises, as well as costs for materials and
consumables, communication costs, technical support of information systems, costs for translation
services, payment of bank fees, travel and subsistence expenses for employees of the Project
Implementation staff, as well as other reasonable costs directly related to the implementation of project
activities, each based on an annual budget acceptable to the Association, and other such costs that may
be additionally agreed with the Association.
Training means costs (other than costs of consultants) of the Project Implementation Agency in
connection with internships, training courses, seminars, workshops and other training activities not
included in contracts with suppliers of goods or services, including the cost of teaching materials, rental
of premises and equipment, transportation costs, per diems for students and instructors, payment for
instructors (if necessary), based on the annual budget that satisfies the Association.
Annual budgets should be prepared and approved before the beginning of the fiscal year for which they
were drawn up.
9.3. Accounting Policies, Procedures, and System
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For the Project accounting cash basis will be applied, and the Project financial reporting will be based on
IPSAS “Financial Reporting under the Cash Basis of Accounting” issued by the International Public Sector
Accounting Standards Board (the IPSASB) of the International Federation of Accountants (IFAC). For the
project accounting historical cost basis will be applied.
Under cash basis of accounting, revenue is recognized when cash is received and expense is recognized
when cash is paid.
Tajik Somoni (TJS) is the national currency of the Republic of Tajikistan. The presentation currency for
the financial reporting to IDA is US dollar. Disbursements made from the IDA funds in US dollar are then
converted into TJS by a financial institution, at which the Designated Accounting is held, applying the
exchange rate set by theNational Bank of Republic of Tajikistan on the date of the conversion.
In preparing the financial statements, the transactions in currencies other than US dollar are recorded at
exchange rates set by the financial institution on the date of the transaction.
The cost of property and equipment purchased from project funds is recognized as an expense for the
purposes of the WB financial statements. Nevertheless, NSIFT should keep records of fixed assets in
accordance with existing practice and legislation of the Republic of Tajikistan
All fixed assets acquired under the project are fully depreciated without taking into account residual
value. Depreciation is charged on a monthly basis over the entire useful life. ESPMU adopt the linear
depreciation method for all types of fixed assets.
For accounting purposes NSIFT uses the 1C Accounting software, Version 7.7. The NSIFT accounting
system is a fully computerized system of financial data processing, capable of producing Interim UnAudited Financial Reports (IFRs), Statements of Expenditure (SOEs) in accordance with the requirements
of IDA. All financial documents (such as bank statements, checks, payment orders, invoices, reports,
confirmations, receipts, etc.) received from banks, contractors, suppliers and other parties shall be
promptly entered into the accounting system once.
For accounting purpose ESPMU uses the 1C Accounting software, Version 8.3. The ESPMU accounting
system is a fully computerized system of financial data processing, capable of producing Interim UnAudited Financial Reports (IFRs), Statements of Expenditure (SOEs) in accordance with the requirements
of IDA. All financial documents (such as bank statements, checks, payment orders, invoices, reports,
confirmations, receipts, etc.) received from banks, contractors, suppliers and other parties shall be
promptly entered into the accounting system once.
The Accounting Systems of two implementing agencies ensure the following:
Reporting on receipt of funds and payments (by categories, components and funding sources)
Expenditures are shown under disbursement categories, which are further subdivided into subcategories
Reliability in information storage and fast processing of information
Simple and transparent methods of information input and output including the rule of single entry
of the IT system
The necessary level of protection from unauthorized access
Generation of reports for IDA, Committee on Investments and State Property Management of the
Republic of Tajikistan, Ministry of Finance of Republic of Tajikistan, Ministry of Energy of Tajikistan
or other supervision bodies

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Dual currency accounting: TJS and USD
Dual language: Russian and English
Upon submission of the Time Sheet, signed by the Human Resource department of ESPMU , the
signed by the Executive Director’s, the disbursement specialist make a payment of the salary;
Track disbursements under contracts by funding sources to keep within the threshold amount,
accounting of advance payments by the amounts and terms of bank guarantees
Accounting by projects by operational expenses
Accounting of fixed assets by projects, accountable officers, dates, and inventory numbers.
The 1C Accounting Version 7.7 database is backed up to the backup server automatically once a day.
Database copies are recorded onto a DVD every month and locked in a safe for storage. The
disbursement specialist shall additionally copy information on a flash stick to be kept by the Financial
Manager beyond the office.
9.4. Financial Reporting
NSIFT/ESPMU Financial reports are a part of the Financial Monitoring Report System.
NSIFT/ESPMU will be responsible for the consolidation and provision of quarterly interim, non-audited
Financial Statements (PFD) for the relevant parts of the Project within 45 (forty-five) days after the end
of each calendar quarter, which will be prepared on the basis of the accounting system, adopted in the
framework of this project, and in accordance with the format agreed with IDA (separately, no
consolidated).
PFD will include the following information;
Project Sources and Uses of Funds
Uses of Funds by Project Activities
Designated Account (DA) Statement
A Statement of the Project Financial Position
SOE Withdrawal Schedule.
In addition, NSIFT/ESPMU will prepared and submit to IDA, no later than 6 months after the end of the
reporting period, audited annual financial statements of the Project.
On a monthly and quarterly basis, Investment and state property management Committee of Republic
of Tajikistan and MoF RT shall receive the reports reflecting the source and use of funds by the
categories of expenditure, and payment currency.
The State Tax Service and the Statistics Agency of the Republic of Tajikistan shall monthly receive the
reports on the retained and transferred amounts of the income tax for residents and non-residents,
social transfers from individuals and from enterprise and other charges.
9.5. Internal Control System
Internal control is a process designed to enhance accountability and provide reasonable assurance that
NSIFT/ESPMU achieves certain objectives. These objectives include ensuring effectiveness and efficiency
of operations, reliability of financial and operational reporting, and compliance with applicable laws,
regulations, covenants, and internal policies and procedures. Internal controls, which include internal
audit, are important aspects of effective financial management. While internal control is the

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responsibility of NSIFT/ESPMU, everyone in the organization has responsibility for internal control to
some extent. Internal control can be classified into five main components:
Control environment. It includes integrity, ethical values, and competence of NSIFT/ESPMU
management and staff; management’s philosophy and management’s style; management’s
organizational methods; employee career development programs; and processes for delegating
power and responsibilities. Control environment is the foundation for the other four components of
internal control.
Risk assessment. Risk assessment includes defining, identifying, analyzing, and determining how to
manage risks.
Information and communication. Information systems generate reports that facilitate overseeing
and controlling project activities. Information should be appropriate, timely, and current, as well as
accurate, complete, and accessible. Information must be communicated so that individuals can do
their jobs properly. Management should clarify to all personnel his/her role in the control structure.
Also, effective communications should be maintained with donors, government supervisory
agencies, suppliers, and project beneficiaries.
Control activities. NSIFT/ESPMU developed policies and procedures to ensure that directives are
followed and that necessary actions are taken to address risks that could affect the project. Such
policies and procedures would include suitable authorization procedures, for example award of
contracts by authorized personnel; segregation of duties, which includes segregating authorization,
custody, record-keeping, and accounting; safeguarding of assets, which covers restricting access to
cash, checks, systems; reconciliation; and monitoring.
Monitoring. NSIFT/ESPMU management must monitor the internal control systems thoroughly. This
should include ongoing monitoring such as control reports and reconciliations, evaluations such as
control self-assessment, internal and external audits. Internal control deficiencies must be reported
promptly to the project management.
Practical details of internal controls for the project are further elaborated below.
Control environment. NSIFT/ESPMU management has rigorous authorization and control procedures in
place. NSIFT/ESPMU employs adequate accounting staff with sufficient background and experience.
NSIFT/ESPMU organizational chart is presented below.
Risk assessment. Risk assessment includes defining, identifying, analyzing, and determining how to
manage risks. NSIFT/ESPMU accounting staff consistently monitors the risks associated with contract
implementation and payments, as well as the risks resulting from foreign exchange movement that
could adversely affect the implementation of the Project.
Control Activities. NSIFT/ESPMU internal control system ensures:
Proper segregation of duties
Proper Authorization
Proper recording, accounting reconciliation and arithmetic controls
Physical safeguards of the assets and resources.
The system enables the FM/accounting staff of NSIFT/ESPMU to:
Verify documents submitted for payment,
Disaggregation of information among specialists:

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Regarding preparation of draft Withdrawal Application with attachment of all
required documents,
signing of documents by one of the Authorized Persons having the right of First
Signature- by the Executive Director,
Reviewing Withdrawal Application by the Financial Manager (name of the project,
category of expenses, donor and disaggregation by project for operational
expenses),
Breaking down of transactions by accounts, crosschecking: one specialist carries out
transactions in 1C system, another one- verifies payments and signs payment
orders, conversion by the bank’s countersignature;
Verification of completeness of accounting records and documents when entering in 1 C
system (project, category, component, share, terms, threshold, payment schedules
under the Contract, confirming documents, signatures),
Regular verification of mutual settlement of accounts with debtors and creditors
regarding accountable and advance amounts;
Regular reconciliation of the project accounting records with SOEs, bank account
balances and the World Bank Client Connection data
Verification of accounting data:
Monthly receipt of the statements from the bank accounts shall be verified with
documents, followed by the Analysis of the accounts; executor shall prepare and
sign those; the Financial Manager shall view and approve,
Control over compliance with the budget under the project categories and expenditure
components
Ensure integrity and confidentiality of information:
Conducting annual stock-taking of fixed assets of NSIFT
Establishment of reserve copies of the bank data subject to computerized
management;
Duplicated electric charge in case of network disconnection; uninterrupted power
supply is provided to all the equipment;
Prevention of misuses resulting from collusion among employees:
Disaggregation of responsibilities
Allowing for annual vacation leaves for all the employees according to the schedules
Financial Manager and disbursement specialist shall regularly carry out tabular
analysis of use of the allocated and available funds of Grant and credit by categories
by XDR/USD/TJS with analysis of tracking of the available funds taking into account
the reserved amounts as per the contracts signed.
For USD/XDR reconciliation purposes the Financial Manager will monitor the movement of the exchange
rate and its effect on the funding available under the Project categories. Such monitoring will be
conducted regularly, at least quarterly, and more frequent closer to the end of the project. This will help
to timely identify the need for relocation between the project categories, or the overall need in
additional financial sources for the project in case significant adverse movement of the exchange rate.
The sample monitoring form is presented in Table 9.1 below:
Table 9.1. Sample Monitoring Form
Grant: IDA__________
Status: ______________
Country: Republic of Tajikistan

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Project: CSP
Exchange rate on xx.xx.20XX, 1 SDR =

Category Category
Description
Amount
Allocated
(expressed
in XDR)
Disbursed
(Clientconnection
XDR)
Undisbursed
WB XDR
Undisbursed
WB XDR
USD
Paid from
DA and
AW is not
submited
to WB
USD
Amount
Allocated
USD
Unallocated
funds
available
USD
(1) Goods, works, non
consulting services,
consulting services,
Training, and
Incremental Operating
Costs under Part 1 of the
Project
(2) Subgrants under Part
2 of the Project
(3) Goods, consulting
services, non-consulting
services Training, and
Incremental Operating
Costs under Part 3 of the
Project (other than those
financed under the
Grant Agreement)
(4) Goods, consulting
services, non-consulting
services, works, Training,
and Incremental
Operating Costs under
Part 4 of the Project

9.6. Ensuring Internal Control
The ESPMU Executive Director is responsible for implementation of internal control functions of the
organization as a whole and Project Component 1 implemented by the Agency.
The NSIFT Executive Director, responsible for implementation of internal control functions of the
organization as a whole and Projects implemented by the Agency.
The goals, tasks, powers, subordination, reporting procedure and staff are determined by the internal
documents of NSIFT/ESPMU and this Project Operational Manual, taking into account the requirements
of the current legislation of the Republic of Tajikistan.
The Internal control goal is to ensure transparency, manageability and efficiency of NSIF/ESPMUT and
implementing projects through the formation of an optimal control environment.
The main tasks of the internal control are:

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Evaluation of effectiveness of internal control systems and its compliance with goals and objectives
of the institution and the Projects
Evaluation of reliability and sufficiency of financial accounting, management and other information
within the framework of annual audit plans
Assessment of compliance of the activities of NSIFT/ESPMU structural subdivisions with normative
legal acts, specified functions and approved business plans
Assisting the managers of the objects of the NSIFT/ESPMU audit in the development of measures
(corrective steps) based on the results of the conducted audits, as well as monitoring progress in the
implementation of activities
Consultations of the Agency’s employees on risk management, control
Support and interaction with NSIFT/ESPMU units / functions on issues related to internal audit
Coordination of activities with external auditors in order to avoid duplication of efforts and minimize
audit costs
Assistance in investigation of fraud and informing the Executive Director (management of the
agency) about the results of investigations
Carry out other tasks and participate in other activities at the request of the Executive Director
(management of the agency), regarding the implementation of the functions of the internal audit
department.
NSIFT Executive Director/ESPMU Executive Director are authorize according staff for following activities:
Draw up annual audit plans, identify audit objectives and scopes, make decisions on frequency of
audits
Request and receive unimpeded access to any assets, documents, accounting records and other
information on the activities of NSIFT/ESPMU, make copies of documents
Study and evaluate any documents requested during the performance of audit assignments and
send these documents and / or relevant information to the Executive Director
Consider the advisability of accepting a consultancy assignment to determine the potential benefit
of a task to improve the risk management process and the organization’s activities within the
scheduled time for the provision of advice
Request and receive the necessary assistance from the employees of the units where the audit is
conducted, as well as assistance to employees of other NSIFT/ESPMU units / functions
Bring to the notice of the Executive Director any proposals for improving existing systems,
processes, policies, procedures, methods of conducting business, as well as comments on any issues
related to the conduct of internal audit specified in these Regulations
In consultation with the Executive Director, use the services of independent appraisers and other
experts in the performance of their duties
If necessary and with the consent of the Executive Director, involve other NSIFT/ESPMU employees
as experts in the performance of audit assignments.
Interference of the Third Parties into the process on identifying audit objectives and scope, carrying out
work and presenting a report on results is not allowed.
In accordance with the approved annual plan of the NSIFT/ESPMU Internal Audit, various stages of
CASA1000 CSP implementation shallbe audited, including assessment of social mobilization,
procurement (tenders) and payments. Under such audit / review, the Project effectiveness,
achievement of results / indicators, and the Project implementation in communities regarding their
sustainability and other issues will be checked.

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Prior to the beginning of the audit / review, the NSIFT/ESPMU authorized specialist should prepare an
audit program coordinated with the NSIFT Executive Director/ESPMU Director.
The results of the audit / review should be provided directly to the NSIFT Executive Director/ESPMU
Director.
9.7. Travel Expenses
A “business travel” means a trip upon the order of the NSIFT/ESPMU Management for a certain period
to fulfill assignments beyond the office.
The basis for sending employees on business trips is the order of the Executive Director, on the basis of
the travel schedule signed by the Project Coordinator.
Human Resources Specialist/Legal Specialist shall prepare an order for an employee to go on a business
trip direction; and the data shall be entered in the table. A travel certificate shall be provided in one
copy and signed and stamped by the organization upon departure.
The amount of travel expenses is determined on the basis of:
Approximate cost of travel in both directions, per diem and accommodation.
Advance report shall be provided for use of funds by the accountable person within 5 (five) business
days after returning from a business trip. Advance report should have detailed report about the trip with
indication of visited sites, duration, date, location and objective of the trip. Report shall be accompanied
by all the supporting documents – receipts, invoices, statements, contract for the provision of transport
services, receipt and statement of accomplished works, a copy of the patent and the insurance policy
with the date and scope of services. The balance of undisbursed funds shall be returned to the cashier
or transferred to the transit account of the Project.
9.8. Rate for Accommodation and Per Diem
Daily expenses shall be provided in the amount of TJS 40 (Dushanbe), and TJS 30 in the regions
according to the GoT’s Decree No.531 dated October 31, 2008 (issuance #352 dated June 3,2014),
coming effective on 1 January 2015.
The costs for hotel accommodation shall be paid according to the GoT’s Decree No.531 (issuance #352
dated June 3, 2014) dated October 31, 2008, coming effective on 1 January 2015, in the amount of TJS
120 (Dushanbe), at the oblast, city and region level in the amount of TJS 80, and other level in the
amount of TJS 40 upon the documents provided. The receipt/invoice indicating the name, date, amount.
In the absence of documents, TJS 60/40/20 shall be paid for 1 day of stay, which is 50% of the per diem
according to the GoT’s Decree No.531 (issuance #352 dated June 3, 2014) dated October 31, 2008.
9.9. International Business Trip
The size of the costs (per diem, accommodation) shall be paid according to GoT’s Decree No.531
(issuance #352 dated June 3, 2014) dated October 31, 2008. International business travel related to the
project, to be funded from the Project, must be agreed with IDA. Travel budget shall be approved by the
Executive Director on the basis of the approval of donor, with articles of expenses for visa, travel
expenses within the host country, air ticket, accommodation/ per diems and insurance costs. In

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particular, the NSIFT/ESPMU should agree on the objectives and / or program of the trip, participants
and cost estimates for such trips.
9.10. Fixed Assets Accounting
Fixed assets include tangible assets with the operation life of more than one year, and which are used
for administrative purposes.
All fixed assets purchased in project implementation shall fully be managed by NSIFT/ESPMU. The
records for the acquired tangible assets shall be kept with the registry of inventory and serial number
for each item of fixed assets by classifications.
Operations for accounting of fixed assets (delivery, acceptance for accounting, transfer, cancellation)
shall be registered in the relevant documents.
9.11. Writing-Off of Fixed Assets
Assets, the actual service life of which is longer than the period used for calculation of depreciation,
shall remain on the balance sheet until expiration of physical operation of the asset, or until its loss due
stealing or actual loss. To write-off the fixed assets, a commission shall be established, a deficiency act
shall be provided to confirm the inadequacy of the fixed asset accompanied with the corresponding
order, approved by NSIFT Board and Investment and State property management Committee of RT. In
case of stealing or loss, an employee’s application, a written consent of Executive Director of NSIFT and
a certificate from the police authorities shall be provided.
ESPMU assets, the actual service life of which is longer than the period used for calculation of
depreciation, shall remain on the balance sheet until expiration of physical operation of the asset, or
until its loss due stealing or actual loss. To write-off the fixed assets, a commission shall be established, a
deficiency act shall be provided to confirm the inadequacy of the fixed asset accompanied with the
corresponding order, approved by ESPMU Commission and Investment and State property management
Committee of RT. In case of stealing or loss, an employee’s application, a written consent of Executive
Director of SE ESPMU and a certificate from the police authorities shall be provided.
9.12. Inventory Process
Inventory is a composition of the actual amount of assets purchased under the project irrespective of its
location with the accounting data.
The inventory of fixed assets of the project is carried out every year, as well as in case of change of
accountable persons, when the fact of stealing, abuse and damage to property is established, as well as
in the event of natural disaster, fire or other emergencies, or in other cases envisaged by legislation of
the Republic of Tajikistan.
Annually inventory shall be carried out in order to monitor effective, intended use, as well as the
physical availability of equipment. An order shall issue to conduct an inventory of the property with the
establishment of the commission and responsible persons and dates.
9.13. Maintenance of Vehicles and Fuel
Once a month, a waybill and route sheet shall be provided for each driver of the vehicle. The waybill
shall indicate the reading of odometer at the beginning and end of the period, i.e. the mileage of the

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car, as well as fuel consumption. This process shall be checked by an administrative officer based on,
which distributes fuel by projects, depending on whether one or the other trip was made on any project.
Each driver shall provide a report on a waybill and route sheet once in a month, where they mark every
trip with indication kilometers signed by the employee initiating the trip and confirmed by the NSIFT
Executive Director/ESPMU Executive Director.
Every driver is provided with a fuel card to fuel his vehicle (gasoline A-92), which should be used by
fueling stations of the selected company contracted by NSIFT/ESPMU.
Selected, contracted company shall provide a monthly electronic report on fueling and an invoice to
NSIFT/ESPMU. The administrative offices shall, based on details and drivers’ reports, the vehicles’ route
indicating kilometers shall write off gasoline and lubricants and withdraws according to consumption by
each vehicle in compliance with the norms specified in the data sheet. Fuel balance in the tank at the
end of the month, the balance of fuel shall be used next month. Provision of fuel and lubricants shall be
strictly limited per each vehicle per month in accordance with the annual budget. Fuel shall be
replenished over the limit, if necessary, in the event of business trips using a vehicle, and the driver shall
be seconded in accordance with the order signed by the NSIFT Executive Director/ESPMU Director.
Sustainable safety of vehicles shall be the responsibility of the drivers responsible for their according to
the agreement on material liability signed between the driver and NSIFT/ESPMU. Each driver shall park
his vehicle in a safe place when it is not in use and during off-hours. Drivers shall monitor the technical
condition and keep the vehicle clean. Drivers shall notify NSIFT/ESPMU on the need in technical
maintenance. Administrative officer shall maintain records on the maintenance and repair of vehicle.
9.14. Insurance of NSIFT’s Property and Vehicles
NSIFT/ESPMU insured property and vehicles with the insurance company according to the signed
contract:
Insurance of the drivers and passengers in case of car accidents;
Vehicles.
The main risk group to be covered by the insurance contract shall be the following types of:
Fire, lightning, explosion of gas used for domestic purposes
Natural disasters: earthquakes, monster volcano, storm, hurricane, flood
Exposure to water: flooding from nearby objects or ground water, water and heating pipes
breakthroughs, fire protection systems
Theft, robbery, hooliganism with trespassing
Breaking windows and other glass structures
Fall of objects: trees, light poles, aircraft and their parts
Car accidents
Hijacking
Malicious acts.
9.15. Payroll
The time sheet is filled out monthly in 1C system on the basis of a hard copy of the time sheet. The
report sheet is signed by the Chief Specialist for Personnel Development of the Administrative

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Department, Project Coordinator, Financial Manager and approved by the Executive Director with a
hard copy.
Wages, sick leave, deductions from wages, income tax and contributions for social insurance shall be
reflected in the payroll to be signed by a disbursement specialist and by an authorized signatory of the
first signature. Electronic version of the payroll shall be sent by e-mail to commercial bank for further
crediting the salary to the employees’ personal bank accounts.
Remuneration during the period of temporary disability shall be made on the basis of sick leave issued
by medical institutions, in accordance with the current legislation of the Republic of Tajikistan.
9.16. Payment for Training
Training means study visits, training courses, seminars and other training activities associated with the
Project and not included in contracts with service providers, including cost of training materials, rental
of premises and equipment, travel expenses, accommodation and meals for participants and trainers,
trainers’ fees, fee for course and other related costs, all on the basis of annual budgets satisfactory for
the Association.
Annual budgets should be prepared and approved before the beginning of the fiscal year. When
planning a training, there is a need on preparation of the training budget indicating the title, date, venue
of the training by expenditure articles and the amounts to be signed by the executor, agreed with
Financial Manager and approved by the NSIFT Executive Director and agreed with IDA:
a. Title of training, venue, date or terms,
b. List of participants, name, position and signature
c. Travel expenses of participants on the basis of:
Air tickets based on boarding passes (in case of absence on the basis of a written request by
NSIFT / Project and confirmation of the flight by name from the airline) – through transfer or
cash.
Accounts of the Contractor of PE / IP under the Contract for the provision of transportation
services, the Service Performed Act, copies of the patent with the date, the scope of services
provided) – through transfer or cash.
In the case of rental of vehicles, the trainees shall be provided with a contract for transport
services, receipt and Statement of accomplished works, a copy of the patent and the insurance
policy with the date; the funds are to be transferred to the account of the Project responsible
specialist or by cash who submitted the application for payment with further submission of
advance payment report.
d. Payment for stationery/reproduction of handout materials based on:
Invoices indicating the name of the goods, quantity and amount to the service provider-by
transfer or cash.
in exceptional cases, the absence of the Contractor’s bank details, in remote regions where
there is no opportunity to transfer funds – by agreement with the management, on the basis of
a check-of cash register machine (CRM), or a purchase certificate with a copy of the patent with
the date and field of activity, the funds are to be transferred to account of the Project
responsible specialist or by cash who submitted the application for payment with further
submission of advance payment report.
These stationery materials or materials are distributed to the participants of the training that should
sign a distribution list, confirming receiving them. This serves as the basis for writing off stationery

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(indicating the name of the participant, the name of the stationery, the number and signature of the
participant (recipient)).
e. Payment for catering to participants on the basis of:
Invoices indicating the name, quantity, amount, Service Agreement, invoice / Act of performed
services, certificate or copy of the patent and insurance police with the date, the scope of the
services provided – by transfer or by cash.
In exceptional cases, the absence of the Executor’s bank details, in remote regions where there
is no opportunity to transfer funds – by agreement with the management, on the basis of a
check-of cash register machine (CRM), or a purchase certificate with a copy of the patent with
the date and field of activity, the funds are to be transferred to account of the Project
responsible specialist or by cash who submitted the application for payment with further
submission of advance payment report, the Act to write-off products used for organization of
nutrition for participants shall be prepared with signing by several members of the training.
f. Payment for accommodation services to participants on the basis of:
Hotel invoices for payment indicating the names of the participants, the date of residence, the
amount, the contract, the Act of the executed services signed on both sides – by transfer or by
cash.
In exceptional cases, the absence of the Executor’s bank details, in remote regions where there
is no opportunity to transfer funds – by agreement with the management, on the basis of a
check-of cash register machine (CRM), or receipt with stamp of State Tax Inspection (STI),
indicating the name of participant, date of accommodation, and funds are to be transferred to
account of the Project responsible specialist or by cash who submitted the application for
payment with further submission of advance payment report.
g. Payment for renting the hall on the basis of:
Invoices for payment indicating the date of conduction and amount – by transfer or by cash.
In exceptional cases of the absence of bank details of the Executor in remote regions where the
premises cannot be provided, it is permissible, by agreement with the management, on the
basis of a check-of cash register machine (CRM), or receipt with stamp of State Tax Inspection
(STI), indicating the name of participant, date of accommodation, and funds are to be
transferred to account of the Project responsible specialist or by cash who submitted the
application for payment with further submission of advance payment report.
Based on training completion results, budget execution report shall be prepared for all items of
expenditure and descriptive report.
NSIFT should avoid be providing cash advances for the training needs. In cases when it is not possible,
those amounts could be provided to a responsible staff in installments, after receiving the proof of the
eligible use of the previous tranche (e.g. after receiving the scanned copies of documents proving
occurrence of eligible expenditures at the end of each training day or two).
The confirmation of the participants’ list and actual presence of the trainees as recorded in the
participants’ list, as well as correctness and actual occurrence of expenditures in petty cash distribution
sheets for reimbursement of trainees’ expenditures (such as transportation, accommodation cost and
per diems) will be approved by the trainer and another responsible staff of NSIFT. The participation and
cash distribution lists should include trainees contact details (such as mobile phone numbers), which
would enable NSIFT to conduct ad hoc verification of participants lists and distributed cash amounts.
9.17. Project Incremental Operating Costs
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Project incremental operating costs include the costs associated with the implementation, management
and monitoring, including office rent, operation and maintenance of vehicles, office equipment and
supplies, communications costs, support for information systems, translation costs, bank charges, travel
and per diem costs, salaries of contractual staff, social charges, office administration costs and other
reasonable expenditures directly associated with carrying out the Project, as agreed with IDA; and based
on an annual budget acceptable to IDA.
For each project, in preparing the budget for the year, an analysis of available resources shall be carried
out by category of expenditure and currencies SDR/USD/TJS. Based on the data, the analysis shall be
carried out; at the beginning, the funds shall be calculated on the duration of the project and allocated
for the year (quarter, month), all the expenditure items shall be carefully analyzed before budget
planning. As a result, we see a picture of each project: the purpose and timeline of the articles for all the
projects.
Project operating costs relating to all projects, in particular communal costs (electricity, heat, water and
waste), Internet, communication services, office security and others shall be allocated to projects in
proportions/amounts agreed with donors.
9.18. Controls Over Bank Guarantees
The disbursement specialist will be responsible for the due diligence process for and monitoring of the
bank guarantees (or other corresponding guarantees) received during the Project implementation. The
disbursement specialist will register the bank guarantees in registration book, verify its compliance to
the sample formats acceptable to IDA, constantly monitor approaching the bank guaranty expiration
date, and inform the financial manager on the need to take respective actions: 14 days before expiration
of the bank guarantee, the supplier/contractor/consultant should be requested to provide the extension
of the guarantee, otherwise, if there is a need (for example, in case the advance was not fully
recovered), to submit to the issuing commercial bank a request for encashment of the guarantee.
The disbursement specialist will also be responsible for timely and proportional recovery of advance
paid from subsequent payments to suppliers/contractors/consultants in accordance with the contract
and bank guarantee terms.
9.19. Filing and Archiving Procedures
NSIFT/ESPMU has adopted the procedures for filing/document management with the aim to ensure
proper control and security of the overall documentation, internal distribution of data and information,
tracking tasks and their execution.
Responsible staff is assigned to keep certain types of documents. The project’s financial and
disbursement documents and payment supporting documents should be kept with Accounting
department. The Procurement Specialist shall be responsible for keeping all procurement related
documents and shall be responsible for preserving the original copies of the overall correspondence,
translated copies, internal acts as well as copies of all newspaper articles and press releases relating to
the Project.
Letters submitted to NSIFT/ESPMU are registered, numbered, the date of the acceptance marked by
Receptionists, as well as notes stating to which department it is addressed.
For project implementation, the supporting documentation for each payment (invoice and attached
statements of work, a copy of the signed payment order, and the copy of instruments delegating

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signature authority, if appropriate) shall be filed using a chronological numbering system. Upon the
completion of the Project the documents shall be archived and kept within 5 years as minimum.
9.20. Conflict of Interest and Fraud Reporting
Conflict of interest shall be interpreted but in no way limited to the following: any past, present or
prospective economic, financial and private direct and/or indirect (through relatives or partners)
interest, as well as ownership or other links with the NSIFT/ESPMU staff or companies, project
developers and individuals involved in projects financed directly by NSIFT/ESPMU. It is expected that all
officers, trustees, and staff of NSIFT/ESPMU will at all times adhere to the highest ethical standards in all
matters.
Where any officer, trustee, or staff member, or any spouse (or other person with whom one cohabits),
or lineal descendant or ascendant of same respectively, is an officer, director, or staff member of, or has
a financial interest in, any other association or other organization (including any vendor of goods or
services) with which NSIFT/ESPMU has entered into, or is considering entering into, any contract or
other transaction, such officer, trustee, or staff member shall disclose in writing to the NSIFT/ESPMU
director all material facts as to the relationship or interest. Individuals with conflicts of interest must
recluse themselves from participating in any part of the decisions related to the transaction giving rise to
the conflict.
No officer, trustee, or staff member shall use, for financial or other advantage, confidential or
proprietary information accessed by virtue of his or her position with NSIFT/ESPMU. Information does
not need to be marked as “proprietary” or “confidential” before this policy applies. Types of information
NSIFT/ESPMU considers proprietary or confidential include, for example, computer programs and
databases, such other information as personnel files, research and development information, strategic
plans, technical information, financial information, and advice of accountants and legal counsel. Only
individuals to whom proprietary and confidential information must be disclosed in the performance of
duties have a need to know this information.
Each case of fraud, waste or misuse of project resources or property identified by NSIFT/ESPMU
employee shall be reported in writing to its direct supervisor or to the NSIFT director if the issue is
neglected or unsettled by the supervisor. Should the NSIFT/ESPMU director fail to undertake any action
for suspending such fraud, waste or misuse, the issue shall be submitted to the higher authority of
NSIFT/ESPMU in writing by the same employee with sending a copy of such notification to the person
having committed an act of fraud, waste or misuse.
9.21. Fund Flows
The Executive Director of NSIFT/ESPMU shall be authorized for management of project bank/treasury
accounts. Each Implementing Agency will have separate project bank/treasury accounts. NSIFT/ESPMU
shall in writing request the MoF RT to open separate account with a state or commercial bank under the
Project. The Bank that will open the project accounts shall be acceptable for IDA and GoT. A two-party
Agreement shall be signed for opening the accounts between the NSIFT/ESPMU, and state or
commercial bank. Accounts shall be separately opened for each source as follows:
Designated account for IDA Grant in USD
Transit account for IDA Grant in TJS
Designated account for MDTF Grant in USD
Transit account for MDTF Grant in TJS

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Tender Account in TJS.
The NSIFT/ESPMU Executive Director or authorized person in accordance with Executive Director’s
Order shall act as primary signatories to the project accounts, while the Financial Manager shall have a
right of countersignature. The cards with signatures of the authorized persons and stamp shall be
notarized or approved by the Investment and state property management Committee of Republic of
Tajikistan and the Original card is provided to the Commercial Bank, in which the project accounts are
opened, in accordance with the signed double Agreement for opening and maintaining accounts for CSP,
NSIFT/ESPMU and state or commercial bank.
9.22. Designated Accounts
Based on the Agreement for the CASA1000 Community Support Project signed between the
Government of Republic of Tajikistan (GoRT) and the World Bank, NSIFT/ESPMU shall open designated
bank accounts for IDA grant in US dollars in state or commercial bank acceptable to IDA.
Disbursements from the IDA Grant Accounts will follow the transaction-based method, i.e., traditional
Bank procedures, including advances to designated accounts, direct payments and special commitments
as outlined in the Project Disbursement and Financial Information Letter (DFIL) dated 14February 2019
and the World Bank Disbursement Guidelines for Projects dated February 2017(the “Disbursement
Guidelines”) is available on the Association public website (https://www.worldbank.org). Applications
for withdrawal will be filled in through the World Bank’s Client Connection
(clientconnection.worldbank.org) using electronic tokens and endorsed by the NSIFT/ESPMU. ESPMU
will be filled WA in through the WB Client connection system but ESPMU has not electronic tokens
. IDA
shall receive a list of authorizes signatories following the templates provided in the DFIL on the letter
head of the MoFRT on behalf of NSIFT/ESPMU- Executive Director and Financial Manager with the
authorized signatures for Applications.
The filled and signed withdrawal applications with supporting documents, applications for receipt of
special commitments with a copy of a letter of credit of a commercial bank shall be sent to IDA (through
a Client Connection system website) in electronic form. All the applications shall be numbered in
ascending manner, separately and subsequently indicating Grant and Credit, once applications are
drawn. Instructions for filling of withdrawal applications and disbursement procedures are provided in
the manual “WB Disbursements”.
The Ceilings for the designated Accounts for Grant shall be USD 500 000 and for MDTF grant shall be
USD 100 000. Documentation of expenditures made from advances provided to the Project Designated
Accounts shall be done on a quarterly basis or, if required, more frequently. The minimum value of
applications for Reimbursement, Direct Payment and Special Commitment is USD 100,000 equivalent
within the Loan and is USD 20,000 equivalent within the MDTF.
The maximum payout for a special account of ESPMU is up to $ 300,000, but a minimum amount of
applications for reimbursement of up to USD 50,000.
Supporting documents should be provided with each application for withdrawal as set out below:
a. For requests for reimbursement of expenses and reporting on eligible expenses paid from DAs:
Records evidencing eligible expenditures (e.g. copies of receipts, suppliers’ invoices) for
payment for:
works, goods and non-consulting services against contracts valued at USD 200,000
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equivalent or more;
consultants’ services against contracts valued at USD 200 000 equivalent or
more for firms; and USD 50,000 equivalent or more for individual consultants.
Statement of Expenditures in the form attached to the Disbursement letter (Attachment 4 of the
Disbursement Letter) for all expenditures/contracts including
training and incremental
operational costs
.
List of payments against contracts that are subject to the Bank’s prior review, in the form
attached to the Disbursement letter (Attachment 5 of the Disbursement Letter and Annex 9.1
below).
A Designated Account reconciliation statement in the form attached to the Disbursement letter
(Attachment 6 of the Disbursement Letter and Annex 9.2 below) and corresponding bank
account statements.
b. For requests for direct payment:
Records evidencing eligible expenditures, e.g. copies of receipts, suppliers’ invoices.
Minimum Value of Applications for Direct Payment, Reimbursement and issuance of Special
Commitments shall be USD 200,000.
c. Special Commitments
Copy of the Letter of Credit
As specified in the Disbursement Letter, to the extent practicable, the proceeds of the IDA Grant shall be
disbursed before the proceeds of the IDA Credit.
d. Transit account
Transit Accounts shall be opened separately for each Designated Account and used solely for currency
exchange purposes (US dollars from the designated accounts into TJS). Transfers from the Designated
Accounts to the Transit Accounts shall be used for payments in the national currency only. The Transit
Accounts shall have a minimum balance at all times to avoid accumulation of exchange rate differences
which are not eligible to be covered from the project funds. The need for local currency funds shall be
estimated based on transactions entered into the accounting system for the current day. The transit
accounts will be opened and maintained in the state or commercial bank, where the DAs are held.
9.23. Cash Transactions
Cash receipts are:
Replenishment of funds from bank/treasury accounts withdrawn based on receipt,
Return to staff of undisbursed share of advance payments for travel expenses and small purchases.
Receipts shall be documented through Cash receipt order. The receipt must be certified with the
stamp and signature of a financial manager and disbursement specialist that is issued to all
employees who return cash.
Withdrawal receipts. The balance of funds should always be kept in the safe. When the check is
canceled, the disbursement specialist crosses out the check “canceled” with ink through the front of the
check and stores it in the checkbook.

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The Financial Manager should review all canceled checks to avoid suspicious notes or change the
amount of the check or the payee; It is also necessary to verify that all canceled, invalid checks are
sequentially numbered.
Cash store. Cash withdrawn from the bank account shall be stored separately in a safe; it is not allowed
to use the funds of other projects to cover expenses. Accounting for receiving funds for projects is
carried out separately. The disbursement specialist shall withdraw cash on the basis of the application or
expense report for compensation. Withdrawal of cash is made in exceptional cases. Exceptional cases
should be properly documented by exception reports and be approved by NSIFT/ESPMU director.
Use and types of cash payments. Receiving and disbursing funds from the Project cash desk are
considered as cash transactions and performed in accordance with the cash payment procedure.
All cash transactions are made by the Disbursement Specialist who is a staff with full financial
responsibility.
From the cash desk, cash can be issued for the project purposes.
Cash registration. On a monthly basis, the Disbursement specialist should prepare a cash flow
statement for the project.
9.24. Tender Accounts
Tender account shall be opened in TJS and USD. The account shall be used for accumulation of funds
provided by bidders. Tender funds shall be used for the activities associated with arrangement of tender
processes, including announcements, multiplication of tender documents, purchase of paper, toner,
cartridge and cabinet or accessories for storage of tender documentsor for other purposes of the project
by order of the Executive Director of the NSIFT/ESPMU.
9.25. Disbursements
Payments are made only for purposes of CASA1000 CSP implementation as specified in this Operating
Manual. All payments under the Project will be carried out, according to the supporting documents,
invoices for payment/invoices, way-bills, work performed acts to be attached to the signed
contracts/agreements. NSIFT/ESPMU, each implementing agency for its mandate, is responsible for the
correct use of funds deposited on the Project accounts. All payments are made directly from the project
accounts (or the World Bank in case of direct payment) to counterparty accounts.
Disbursements under Component 1: Subcomponent 1A for CoI village investment ESPMU/BT
Payment for components 1A and B (contracts for the supply and installation of equipment and
work) is made by direct payment
To provide all the necessary supporting documents for the performance works
Invoice according to the contract
Performance Works (ABP), signed by the Contractor, Chairman of the PSC, engineer for technical
supervision of ESPMU, CSP Project Coordinator and approved by the Chairman/Executive
Director of BT/Center
An application is being prepared to pay for the contractor throgh electronically through the WB
Client Connection system
Payout under component 1 for consulting services
Payment is made from the special account

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To provide all the necessary supporting documents for Performance work
Invoice according to the contract
a. Advance payment
The advance payment amount under the contracts of the Component 1 should not exceed 20% of the
contract amount.
Advance payment is made upon submitting:
i. Advance Payment Bank Guarantee (no more than 20% of the contract amount);
ii. Covering letter,
iii. Invoices for payment (for advance payment)
After confirming the authenticity of the bank guarantee, ESPMU makes a full prepayment.
b. Subsequent payments
Performed on the basis of:
i. A cover letter addressed to the ESPMU Executive Director signed by contractor
ii. The Invoice, signed by the Contractor, technical supervision engineer, CSP infrastructure
engineer, CSP Project Coordinator and approved by the ESPMU Executive Director,
iii. Invoice for payment signed by the Contractor
At the same time, the amount of each subsequent invoice for payment should be made by reducing the
amount of Work Completed Act (WCA) by 10% (deduction of amount of contract implementation
guarantees), decreasing the share of advance payment repayment.
c. Return of retention money
The refund of the retained guarantee amounts is made in accordance with the terms of the contracts;
the initial 5% is paid on the basis of the Statement of Accomplished Works and the Certificate of
Acceptance of Investment Costs, and the remaining 5% is paid after the expiration of the Defects
Liability Period, or on the basis of a Bank Guarantee (the contract should also state that if the project is
close to completion, the contractor is required to provide a Bank Guarantee for a Defects Liability Period
for obtaining a guarantee amount of 5%):
i. A cover letter addressed to the Executive Director signed by Contractor
d. Invoice for payment signed by the Contractor, the Return of retention money
The refund of the retained guarantee amounts is made in accordance with the terms of the contracts;
the initial 5% is paid on the basis of the Statement of Accomplished Works and the Certificate of
Acceptance of Investment Costs, and the remaining 5% is paid after the expiration of the Defects
Liability Period, or on the basis of a Bank Guarantee (the contract should also state that if the project is
close to completion, the contractor is required to provide a Bank Guarantee for a Defects Liability Period
for obtaining a guarantee amount of 5%):
i. A cover letter addressed to the Executive Director signed by Contractor
ii. Invoice for payment signed by the Contractor,
iii. The Project Engineering and Technical Specialist of the CSP.
Disbursements under Component 2: Community-led Investments in Socio-Economic Infrastructure
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Disbursements for subgrants and for the consulting services, including technical design for
communities.
NSIFT and Jamoat sign the Framework Agreement on awarding a grant to implement
subproject.
In accordance with the Framework Agreement,
the NSIFT and JPC shall sign a contract for supply of
works with the selected Supplier. According to the Framework Agreement, the NSIFT should pay for
preparation of DDE.
The contractor’s Statement of accomplished works (SAW) or invoices are initially paid from the
Project funds.
e. Advance payment
The advance payment amount under the contracts of the Component 2 should not exceed 20% of the
contract amount.
Advance payment is made upon submitting:
i. Advance Payment Bank Guarantee (no more than 20% of the contract amount);
ii. Covering letter, signed by JPC
iii. Invoices for payment (for advance payment).
After confirming the authenticity of the bank guarantee, NSIFT makes a full prepayment.
f. Subsequent payments
Performed on the basis of:
i. A cover letter addressed to the NSIFT Executive Director signed by JPC
ii. The Work Completed Act (WCA), signed by the Contractor, Chairperson of VPC, technical
supervision engineer, Chairperson of JPC, CSP infrastructure engineer, CSP Project Coordinator
and approved by the NSIFT Executive Director, the Jamoat Technical Supervisor, the Project
Engineering and Technical Specialist and approved by the NSIFT Executive Director

iii. Invoice for payment signed by the Contractor, the Chairperson of JPC (or an authorized person),
the Project Infrastructure Engineer.

At the same time, the amount of each subsequent invoice for payment should be made by reducing the
amount of Work Completed Act (WCA) by 10% (deduction of amount of contract implementation
guarantees), decreasing the share of advance payment repayment.
g. Return of retention money
The refund of the retained guarantee amounts is made in accordance with the terms of the contracts;
the initial 5% is paid on the basis of the Statement of Accomplished Works and the Certificate of
Acceptance of Investment Costs, and the remaining 5% is paid after the expiration of the Defects
Liability Period, or on the basis of a Bank Guarantee (the contract should also state that if the project is
close to completion, the contractor is required to provide a Bank Guarantee for a Defects Liability Period
for obtaining a guarantee amount of 5%):
i. A cover letter addressed to the Executive Director signed by Contractor

ii. Invoice for payment signed by the Contractor, the Jamoat Head (or an authorized person), the
Project Engineering and Technical Specialist of the CSP.

Consulting services under Component 2. Consulting services for the Component:
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Consultants to develop the detailed design and estimation documentation (DDE)
Design supervision
Technical Supervision.
Disbursements under Component 3: Community Mobilization, Capacity Building, and Local
Governance
Payments under the Component 3 will be made for consulting services, goods, training for capacity
development of communities, in accordance with general provisions (Financial Management). Payments
are made on the basis of the payment schedule specified in the contract, and the invoice signed by the
contractor and responsible NSIFT specialist specified in the contract. And also on the basis of the
training budgets and application submitted by the NSIFT staff, approved by the CSP Coordinator and
NSIFT Executive Director.
Payments for Component 4: Project Management, M&E, and Communications
Payments under the component will be carried out in accordance with the general rules on the basis of
the schedule of payments, invoices and the report/acceptance report signed by the contractor and the
responsible NSIFT specialist specified in the contract, audit services, purchase of goods and operating
costs.
All Project operational costs, including office costs, operation and maintenance of vehicles including fuel
expenses, operation and logistics of the office, communications, information system support, translation
services, payment for banking services, fees for services, travel, per diem, transportation expenses , staff
salaries, social deductions from the enterprise, cover costs and other reasonable expenses directly
related to the implementation of the Project, as well as earnings for salaries of administrative staff to
support the implementation of the project
9.26. Auditing Arrangements
External audit.
Under CSP, external audit of the project’s financial statements will be conducted
annually: (i) by independent private auditors acceptable to the IDA, on terms of reference (ToR)
acceptable to the IDA, and procured by NSIFT/ESPMU; and (ii) according to the International Standards
on Auditing (ISA) issued by the International Auditing and Assurance Standards Board of the
International Federation of Accountants (IFAC).
The annual audits of the Project financial statements shall be provided to the IDA within six months
after the end of each fiscal year and at the Project closing.
Payment for the auditors will be made on
Component 4 (Subcomponent 4A).
The sample audit Terms of Reference agreed with IDA.
NSIFT/ESPMU shall disclose for public an audit report under the Project within one month after receipt
thereof from auditors, and acceptance by IDA, at the NSIFT/ESPMU web-site.
Following the Bank’s formal receipt of these reports from the Borrower, the Bank will make them
publicly available according to World Bank Policy on Access to Information.
NSIFT/ESPMU will provide the auditor with free access to all project documents and records and all
other information that may be required for the auditing purposes.

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NSIFT/ESPMU, as well as Jamoats (who received sub-grants) will provide the auditor with free access to
all documents, records and all other information that may be required for audit purposes.

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ANNEXES

CASA1000 COMMUNITY SUPPORT PROJECT (CSP).pdf