Implementation Manual
Implementation Manual
For Liaoning Urban Poverty Reduction Project Funded by Japanese Social Development Fund
Liaoning Provincial Management Office of the Japanese Social Development Fund Grant Project
1
Implementation Manual
Contents
1. Project Description…………………………………………………………1
1.1 Project Background.……………………………………………………………………………….1
1.2 ProjectObjectives..………………………………………………………………………………..1
1.3 Project ImplementationArea………………………………………………………………..1
1.4 Project AreaBackground.……………………………………………………………………..2
1.5 Project Contents………..…………………………………………………………………………..3
1.6 Project Investment………………………………………………………………………………..4
2. Project Management………………………………………………………5
2.1 Management Institute……………………………………………………………………………5
2.2 Responsibilities of Different Project ManagementInstitutes……………….8
2.3 Project Management…………………………………………………………………………….14
3. Project Contents & Technological Support………………….18
3.1 Project Contents…………………………………………………………………………………..18
3.2 Project Technological Support……………………………………………………………..21
4. Project Implementation Procedures……………………………22
4.1 Project Preparations……………………………………………………………………………22
4.2 Project Participatory Working Procedures………………………………………….24
4.3 Selection & Implementation Procedures of Subprojects…………………..28
4.4 Monitoring & Evaluation……………………………………………………………………..38
5. Fund Disbursement……………………………………………………..40
5.1 Reference Documents andResponsibilities of Different Project Management Institutes………………………………………………………………………………40
5.2 Disbursement Method………………………………………………………………………….40
5.3 Application and Disbursement Procedures………………………………………….41
5.4 Restrictions…………………………………………………………………………………………..42
6. Others…………………………………………………………………………..44
7.Abbreviation…………………………………………………………45
8. Annex……………………………………………………………………………46
Annex 1. Code of Subproject, Project District, SNC and Community…...... ……………………46
Annex 2. Residents Information in the Project Area………………………………..48
Annex 3. Information of Residents Under the SLS in the Project Area……52
Annex 4. General Table of Project Investment & Fund Collection…………….56
Annex 5. World Bank Grant Fund Allocation Plan……………………………………..57
Annex 6. Project Application Approval Form of All Types………………………….61
Annex 7. Contract Between Project Beneficiary and Community…………….64
Annex 8. Application Submitted by the Project Community to the SNC….66
Annex 9. Application Submitted by the SNC to the DPMO……………………….68
Annex10. Application Submitted by the DPMO to the LPPMO………………….69
Annex 11. Disbursement Notice Submitted by the LPPMO to the FDLP…..70
Annex 12. Statistical Table of Project Community Basic Information………71
Annex 13. Statistical Table of All Types…………………………………………………….72
Annex 14. Meeting Statistical Form…………………………………………………………..75
Annex 15. Project Monitoring Form……………………………………………………………76
Annex 16. Community Publicity Form……………………………………………………….77
List of Tables
Table 1-1 Project Area Basic Information…………………………………………………….3
Table 1-2 Project Investment and Fund Collection Plan………………………………5
Table 4-1 Project Preparations Procedures……………………………………………….23
Table 4-2Project Participatory Working Procedures…………………………………26
Table 4-3 Implementation Steps of the Vocational Skill Training Subproject…………………………………………………………………………………………………..29
Table4-4 Implementation Steps of the Micro-business Supporting Subproject…………………………………………………………………………………………………..32
Table4-5 Selection & Implementation Steps of the Community Environment Improvement Subproject……………………………………………………..35
Table4-6 Monitoring & Evaluation on Subprojects……………………………………38
Table 4-7 Monitoring and Evaluation on Project Impacts………………………….39
List of Figures
Figure 2-1 Project Management Institutes Structure………………………………. 6
Figure 2-2 Project Application Procedures…………………………………………………15
Figure 2-3 Appeal and Reply Procedures…………………………………………………..17
Figure 4-1 Project Preparations………………………………………………………………….22
Figure 4-2 Project Working Procedures……………………………………………………..25
Figure 4-3 Selection & Implementation Steps of the Vocational Skill Training Subproject…………………………………………………………………………………….28
Figure 4-4 Selection & Implementation Steps of the Micro-business Supporting Subproject……………………………………………………………………………….31
Figure 4-5 Selection & Implementation Steps of the Community Environment and Sanitation Improvement Subproject…………………………….34
Figure 5-1 Project Fund Flow……………………………………………………………………..43
1
Implementation Manual
1. Project Description
1.1 Project Background
Due to the effect of the South-east Asian Economic Crisis and the adjustment of the industrial structure of China, Liaoning province, as an old industrial basis in China, had 360,000 state-owned enterprise workers being laid off by the end of 2001, most of whom were people working hard in the front line of production, specializing in relevant technological work, obeying administrative arrangement, but lacking in adaptiveness and strong senses of the marketing economy system. Many of these people can only rely on the Social Living Stipend (SLS) to maintain their daily life since there is a slim chance for them to find a new job or to run some business by themselves.
It is an urgent and long-term task for us to help unemployed workers outof poverty by increasingincome through reemployment. By the implementation of this project, the government of Liaoning province, the Japanese Social Development Fund and the World Bank (WB) hope to explore new ways to help them to flee from poverty, as well as to find out what can be done in urban poverty reduction work by urban grass-rootorganizations, such as the community administration committee (CAC) and the Women’s Federation (WF).
1.2 ProjectObjectives
(1)To help citizens under the SLS (poor people) obtain new labor skills, find out new ways to raise their living standards and finally escape from poverty.
(2)To enhance the ability of the unprivileged group—unemployed women to adapt themselves to the outside environment by vocational or self-employed entrepreneurship trainings, increase the income of laid-off women by supporting them to do some micro-business, and strengthen the organizing capacity of the District Women’s Federation (DWF) in urban laid-offs reemployment work.
(3)To strengthen the coordinating, organizing and servicing ability of community organizations by the implementation of microenvironment improvement projects in project communities.
(4)To gain lessons and experience for similar projects in the future.
(5)To help project communities in setting up a brand-new participatory decision-making mechanism for urban poverty reduction projects.
1.3 Project ImplementationArea
The implementation area of the project, thereafter referred as project area, is composed of 32 communities under the seven street neighborhood committees (SNC) of Tiexi District in Shenyang City (Tiexi Project District) and 20 communities under the three street neighborhood committees of Shuangta District of Chaoyang City (Shuangta Project District).
The names of the SNCs and communities in the project area are as follows:
(1) Tiexi Project Area of Shengyang City
①Shi Er Lu SNC: Xinli community, Shuangxi community, Xinhua community, Xinjian community, Guojia communit, Zhuanggong community and Shidai community
②Qigong SNC: Jianggong community, Xiongjiagang community, Xinzhu community, Dongyao community, Yiliao community and Guangyuan community
③Qinggong SNC: Liulu community, Zhonggongbei community, Nanqi community, Nanshi community
④Zhonggong SNC: Shuiyuan community, Tongxin community, Jianye community, Shongliao community and Zhaogong community
⑤Dugong SNC: Renmingli community, Baoliangli community
⑥Gongrencun SNC: Qidong community and Huayuan community
⑦Weigong SNC: Zhonghai community, Ermei community, Zandong community, Yuanxi community, Xihuan community and Shenliao community
(2) Shuangta Project District of Chaoyang City
①Hongqi SNC: Chaozhong community, Changqin community, Hongqi community, Chaofang community, Liaohe community, Jingxiang community, Xiliang community and Chaogong community
②Linhe SNC: Dongfeng community, Xingong community, Mengke community, Linhe community, Chaochai community, Tiexi community and Longjiang community
③Xinhua SNC: Haihe community, Zhulin community, Zhongxin community, Changjiang community and Xinbei community
Only the SNCs, communities mentioned above and the local citizens with registered permanent residence are beneficiaries; any other organizations or individuals shall not directly take advantage of the project.
1.4 Project AreaBackground
(1) Tiexi District, located in the southwest of Shenyang city with a total area of 39.6 square kilometers, had 37 large or medium-sized state-owned enterprises originally, accounting for 37.4% of the total amount of Shenyang’s state-owned enterprises. There are altogether 20 SNCs and 196 communities in this district. By the end of 2001, its population had amounted to 786,000, among whom 31,000 people from 12,000 families made a daily living by the Social Living Stipend, which constituted 3.94% of the total population.
In the project area with a total population of 159,000 according to the statistics in 2001, 6,400 people from 2,400 families lived on the Social Living Stipend, making up about 4.08% of the district’s total population (see Annex 2 and Annex 3 for details).
(2) Shuangta District that is a major district of Chaoyang city with a total area of 212 square kilometers originally got 10 large or medium-sized stare-own enterprises, accounting for 16.7% of the total number. There are 11 SNCs and 62 communities in the whole district. By the end of 2001 the total population had been 363,000, among whom 25,000 people out of 9,000 families that accounted for 6.89% of the total population relied on the Social Living Stipend.
In the project area with a population of 76,000by the end of 2001, 11,000 people out of 4,000 families maintained their daily life on the Social Living Stipend, which constituted 14.92% of the total population in this district (see Annex 2 and Annex 3 for details).
Table 1-1 Project Area Basic Information (Unit: Personal)
SNC Name / Community Number / Total Population in the project area A /Number under Social Living Stipend B
/ Proportion B/A (%) / Labor Under Social Living StipendTotal C+D / Male
C / Female
D
Tiexi District Total / 32 / 159188 / 6487 / 4.08% / 3326 / 1623 / 1703
Shi Er Lu SNC / 7 / 33362 / 1099 / 3.29% / 555 / 269 / 286
Qigong SNC / 6 / 24948 / 1585 / 6.35% / 922 / 451 / 471
Qinggong SNC / 4 / 28848 / 875 / 3.03% / 481 / 234 / 247
Weigong SNC / 6 / 34635 / 1219 / 3.52% / 643 / 318 / 325
Zhonggong SNC / 5 / 20684 / 1108 / 5.36% / 408 / 185 / 223
Dugong SNC / 2 / 7057 / 273 / 3.87% / 171 / 91 / 80
Gongrencun SNC / 2 / 9654 / 328 / 3.40% / 146 / 75 / 71
Shuangta District
Total / 20 / 76039 / 11348 / 14.92% / 7060 / 3455 / 3605
Linhe SNC / 7 / 19658 / 4089 / 20.80% / 2456 / 1198 / 1258
Hongqi SNC / 8 / 36261 / 4250 / 11.72% / 2711 / 1297 / 1414
Xinhua SNC / 5 / 20120 / 3009 / 14.96% / 1893 / 960 / 933
Project Total / 52 / 235227 / 17835 / 7.58% / 10386 / 5078 / 5308
1.5 Project Contents
The project is composed of five parts, namely Vocational Skill Training Subproject, Women’s Skill Training Subproject, Micro-business Supporting Subproject, Consulting Service Subproject and Community Environment Improvement Subproject.
(1)Vocational Skill Training Subproject is designed to supply various vocational skill trainings for the poor people in the project communities.
(2)Women’s Skill Training Subproject is planned to supply different vocational skill trainings for the poor women, especially single mothers in the project communities; and provide fund support for the set-up of their micro-business by means of micro-credit according to their ability and needs.
(3)Micro-business Supporting Subproject is designed to provide fund support for the poor people in the project communities to set up micro-business by means of micro-credit according to their ability and needs.
(4)Consulting Service Subproject consists of:
- Engaging consulting specialists to train the staff who take responsibility for the projectin the provincial project management office, district project management offices, SNCs and community administration committees. The training includes explaining the implementation methods of the community participatory project, the responsibilities of different project managementinstitutes and the approval procedures of procurement and disbursement of the World Bank’s Loan (Grant) project.
- Engaging an experienced consulting institute to give the project communities guidance and assistance on making community poverty reduction plans, to give the poor people guidance and assistance on making up project proposals, to organize relevant training courses and to oversee, monitor and evaluate the implementation process of the project so as to ensure it is carried out in light of the procedures and methods prescribed in this Implementation Manual.
(5) Community Environment Improvement Subproject is planned to improve the community environmentby providing proper support for the micro-environment and sanitation improvement project in the project communities.
1.6 Project Investment
The total investment for project construction amounts to RMB 11,678,100, equivalent of US $ 1,407,000 (exchange rate: 1:8.3, the same hereinafter). The resources of the fund include US $ 1,207,000 (RMB 10,018,100) from the World Bank constituting 85.78% of the total investment and RMB 1,660,000 (US $200,000) of China counterpart fund, which accounts for 14.22% of the total investment.
Among the China counterpart fund, RMB 1,100,000 comes from Tiexi District government and the rest RMB 560,000 from Shuangta District government.
The China counterpart fund is used to pay the grant transfer charge collected by the China Finance Ministry, 9% consulting service charge of the technology consulting service subproject, bidding agency fee collected by the purchase agency company, the administration fee of project construction collected by the provincial project management office, the district project management offices and the SNCs and so forth, among which the service charge, 9% consulting service charge, bidding agency fee, material printing fee and the SNCs’ bank account stamp fee are paid by the provincial project management office, thus the Tiexi District government and the Shuangta District government shall turn in RMB 349,000 and RMB 198,000 respectively from the China counterpart fund to the provincial project management office.
Table 1-2 Project Investment and Fund Collection Plan
(Unit: US$ Ten Thousand)
Total / Vocational Skill Training / Women’s Skill Training / Micro-Business Supporting / Consulting Service / Community Environment Improvement / Other ExpenditureTotal in the Province
Project
Total
Investment / 140.70 / 15.00 / 16.48 / 45.00 / 22.75 / 25.00 / 16.48
Investment Proportion / 100.0% / 10.7% / 11.7% / 32.0% / 16.2% / 17.7% / 11.7%
WB Grant / 120.70 / 15.00 / 15.00 / 45.00 / 20.70 / 25.00 / 0.00
China Counterpart
Fund / 20.00 / 0.00 / 1.48 / 0.00 / 2.05 / 0.00 / 16.48
Tiexi District
Project Investment / 88.85 / 9.03 / 10.99 / 27.40 / 15.16 / 15.36 / 10.91
Proportion in the Total Investment of the Same Type of Project / 63.1% / 60.2% / 66.7% / 60.9% / 66.6% / 61.4% / 66.2%
Proportion in the District’s Total Investment / 100.0% / 10.2% / 12.4% / 30.7% / 17.1% / 17.3% / 12.3%
WB Grant / 75.59 / 9.03 / 10.00 / 27.40 / 13.80 / 15.36 / 0.00
China Counterpart
Fund / 13.26 / 0.00 / 0.99 / 0.00 / 1.36 / 0.00 / 10.91
Shuangta District
Project Investment / 51.85 / 5.97 / 5.49 / 17.60 / 7.58 / 9.64 / 5.57
Proportion in the Total Investment of the Same Type of Project / 36.9% / 39.8% / 33.3% / 39.1% / 33.4% / 38.6% / 33.8%
Proportion in the District’s Total Investment / 100.0% / 11.5% / 10.6% / 33.9% / 14.6% / 18.6% / 10.8%
WB Grant / 45.11 / 5.97 / 5.00 / 17.60 / 6.90 / 9.64 / 0.00
China Counterpart
Fund / 6.75 / 0.00 / 0.49 / 0.00 / 0.68 / 0.00 / 5.57
2. Project Management
2.1 Management Institute
In order to ensure the smooth implementation of the project, Liaoning provincial government has founded a steering group for the Liaoning Province Urban Poverty Reduction World Bank Grant Project (Project Steering Group), and Liaoning Province Urban Poverty Reduction Project Management Office (Liaoning Provincial Project Management Office, or LPPMO).
The Tiexi District government and the Shuangta District government have also established the Urban Poverty Reduction Project Management Office respectively (District Project Management Office, or DPMO).
The SNCs and communities within the project area are responsible for organizing the implementation of the project.
See figure 2-1 for the structure of the project management organizations.
Figure 2-1 Project Management Institutes Structure
2.1.1 Project Steering Group
The project steering group is responsible for the policy-making in the implementation of the project. The group consists of:
Directing Institute: Development Planning Committee of Liaoning Province (DPCLP)
Member Institute: Finance Department of Liaoning Province
Civil Affairs Department of Liaoning Province
Labor and Social Security Department of Liaoning Province
Tiexi District Government of Shenyang City
Shuangta District Government of Chaoyang City
2.1.2 Project Management Office
Under the project administration group, there are two levels of project management office, namely the provincial project management office and the district project management office.
(1)Provincial Project Management Office
The Liaoning provincial project management office (LPPMO) takes charge of the routine work of the project. The LPPMO is set up in the DPCLP. The staff includes:
Director: Li Guo Yun, Development Planning Committee of Liaoning Province, vice-director
Vice-Director: Zhang Yang, Development Planning Committee of Liaoning Province, chief of Foreign Fund Division
Member: Huang Yang, Development Planning Committee of Liaoning Province, vice-chief of Foreign Fund Division
You Ji, Urban Environment Project Management Office of Liaoning Province, engineer
(2)District Project Management Office
①The Tiexi District Urban Poverty Reduction Project Management Office (Tiexi District Project Management Office) is composed of the following persons:
Director: Liu Bin, Tiexi District Government of Shenyang City, vice-governor
Vice-Director: Gong Ben Lin, Tiexi District Development Planning Bureau, director
Member: Bai Wei Guo, Tiexi District Development Planning Bureau, vice-director
Liu Ting Hui, Tiexi District Development Planning Bureau, chief of planning section
Len Bing, Bureau of Finance of Tiexi District, vice-director
Han Wen Shu, Department of Civil Affairs of Tiexi District, vice-director
Tian Jun Fu, Bureau of Labor of Tiexi District, vice-director
Liu Zheng Hai, Bureau of Urban Construction of Tiexi District, vice-director
Gu Xin Wei, Women’s Federation of Tiexi District, vice-president
②The Shuangta District Urban Poverty Reduction Project Management Office (Shuangta District Project Management Office) is composed of the following persons:
Director: Wang Wen Rui, Shuangta District Government of Shenyang City, vice-governor
Vice-director: Yang Zhi Sheng, Shuangta District Development Planning Committee, director
Member: Xiao Zhi Gang, Development Planning Committee of Chaoyang City, chief of Commerce Section
Yu He Jie, Shuangta District Development Planning Committee, director
Zhang Zhi Xiao, Shuangta District Development Planning Committee, vice-director
Zhang Fu Ting, Bureau of Finance of Shuangta District, vice-director
Meng Xiang Ru, Department of Civil Affairs of Shuangta District, vice-director
Guo Jing Hui, Bureau of Labor Shuangta District, vice-director
Qing Hai Bing, Bureau of Urban Construction of Shuangta District, vice-director
Ma Xin Chen, Bureau of Supervision of Shuangta District, vice-director
Liu Shu Juan, Organization and Publicity Department of Shuangta District, chief
The staff of the both district project management offices must be kept stable so as to ensure the consistency of the project implementation and work connections. Any change of contacting ways, offices places or staff members of the project management office shall be immediately informed in writing to the other two offices.
2.1.3Work Connections
Any notices or demands related to the project shall be stated in writing delivered either personally,or by registered letter or EMS. The application of telephone call, fax or e-mail shall be agreed upon by both offices. The office addresses are as follows:
Office name: Liaoning Province Urban Poverty Reduction World Bank Grant Project Management Office
Office address: Foreign Fund Office, Development Planning Committee of Liaoning Province
Mail address: 45-2 Beilin Street, Huanggu District, Shenyang City, Liaoning Province, PRC
Postal code: 110032
Telephone: ++86-24-86892807 86892948
Fax: ++86-24-86893567
E-mail:
Office name: Tiexi District Urban Poverty Reduction World Bank Grant Project Management Office
Office address: Planning Section, Tiexi District Development Planning Bureau
Mail address: #1 Jianshezhong Road, Tiexi District, Shenyang City, Liaoning Province, PRC
Postal code: 110021
Telephone: ++86-24-25854734 25850968
Fax: ++86-24-25852272
Email:
Office name: Shuangta District Urban Poverty Reduction World Bank Grant Project Management Office
Office address: Room 502, City Hall of Shuangta District
Mail address: #5 No.2 Wenhua Road Shuangta District, Chaoyang City, Liaoning Province, PRC