The World Bank IMPLEMENTATION COMPLETION AND RESULTS REPORT

Transcription

1 Public Disclosure Authorized Document of FOR OFFICIAL USE ONLY Report No: ICR Public Disclosure Authorized IMPLEMENTATION COMPLETION AND RESULTS REPORT TF0A1647 and TF0A1648 ON A SMALL GRANT IN THE AMOUNT OF USD 1.05 MILLION Public Disclosure Authorized TO THE The Association of Extractive Industries Transparency Initiative FOR June 29, 2018 Public Disclosure Authorized Energy & Extractives Global Practice Other Region

2 Regional Vice President: Makhtar Diop Country Director: Riccardo Puliti Senior Global Practice Director: Riccardo Puliti Practice Manager: Christopher Gilbert Sheldon Task Team Leader(s): Diana M. Corbin ICR Main Contributor: Diana M. Corbin

3 ABBREVIATIONS AND ACRONYMS EITI EGPS MDTF Extractive Industries Transparency Initiative Extractives Global Programmatic Support Multi-Donor Trust Fund

4 TABLE OF CONTENTS DATA SHEET... ERROR! BOOKMARK NOT DEFINED. I. PROJECT CONTEXT AND DEVELOPMENT OBJECTIVES... 4 II. OUTCOME... 4 III. KEY FACTORS THAT AFFECTED IMPLEMENTATION AND OUTCOME... 5 IV. BANK PERFORMANCE, COMPLIANCE ISSUES, AND RISK TO DEVELOPMENT OUTCOME... 7 V. LESSONS LEARNED AND RECOMMENDATIONS... 8 ANNEX 1. RESULTS FRAMEWORK AND KEY OUTPUTS... 9 ANNEX 2. PROJECT COST BY COMPONENT... 16

5 DATA SHEET BASIC INFORMATION Product Information Project ID P Country World Original EA Category Not Required (C) Project Name Extractive Industries Transparancy Initiative Validation and Data Support Financing Instrument Investment Project Financing Revised EA Category Not Required (C) Organizations Borrower The Association of Extractive Industries Transparency Initiative Implementing Agency International EITI Secretariat Project Development Objective (PDO) Original PDO Proposed Objective is to improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat's work on data accessibility, EITI mainstreaming and Implementing Country validation. Page 1 of 16

6 FINANCE_T BL FINANCING Original Amount (US$) Revised Amount (US$) Actual Disbursed (US$) Donor Financing TF-A , , ,251 TF-A , , ,589 Total 1,270,000 1,046,251 1,024,840 Total Project Cost 1,270,000 1,046,251 1,024,840 KEY DATES Approval Effectiveness Original Closing Actual Closing 08-Dec Dec Dec Dec-2017 RESTRUCTURING AND/OR ADDITIONAL FINANCING Date(s) 04-Aug-2017 Amount Disbursed (US$M) Key Revisions 0.57 Additional Financing Change in Results Framework Change in Components and Cost KEY RATINGS Outcome Bank Performance M&E Quality Satisfactory Satisfactory Modest RATINGS OF PROJECT PERFORMANCE IN ISRs No. Date ISR Archived DO Rating IP Rating Actual Disbursements (US$M) Jul-2016 Satisfactory Satisfactory Apr-2017 Satisfactory Satisfactory 0.44 Page 2 of 16

7 ADM STAFF Role At Approval At ICR Regional Vice President: Laura Tuck Makhtar Diop Country Director: Charles M. Feinstein Riccardo Puliti Senior Global Practice Director: Anita Marangoly George Riccardo Puliti Practice Manager: Christopher Gilbert Sheldon Christopher Gilbert Sheldon Task Team Leader(s): Ekaterina Mikhaylova Diana M. Corbin ICR Contributing Author: Diana M. Corbin Page 3 of 16

8 I. PROJECT CONTEXT AND DEVELOPMENT OBJECTIVES Context The Extractive Industries Transparency Initiative (EITI) is a global initiative, with an International Secretariat based in Oslo, Norway. The EITI Standard promotes open and accountable management of the extractives sector globally. Project Development Objectives (PDOs) The Project Development Objective is to improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat s work on data accessibility, EITI mainstreaming and Implementing Country validation. Key Expected Outcomes and Outcome Indicators Improve data accessibility (Indicator: increase webpage views) Develop and test mainstreaming methodology (Indicator: Implement pilots) Improve Validation in implementing countries (Indicator: Validation pilots completed and analyzed, them implemented) Components Component 1: EITI Data Portal Component 2: Mainstreaming Component 3: Validations Component 4: EITI Global Conference 2016 Component 5: Regional Training II. OUTCOME Assessment of Achievement of Each Objective/Outcome The Project Development Objective was to improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat s work on data accessibility, EITI mainstreaming and implementing country validations. The PDO remained relevant throughout the project. PDO level indicators remained relevant, and based on their achievement (see below) the PDO is considered as achieved. One additional indicator was added at restructuring in August 2017 to reflect additional activities related to the regional workshops. - Data accessibility was improved through the upgrading of the website. - EITI mainstreaming methodology was developed and tested as can be seen through the report submitted to the EITI Board in December Country validation methodology was developed, tested and applied to 21 countries. Page 4 of 16

9 Overall Outcome Rating Overall Outcome is rated as Satisfactory. The rationale for the rating and more details on implementation experience for each component are provided below. 1. Through implementation of Component One, data accessibility and use has been enhanced as evidenced by the increased number of EITI website users, which grew from 15,000 to 120,000 during the reporting period. In addition, the website s format is being replicated at some EITI national secretariats, to help improve their accessibility and use. 2. With support under Component 2, a strategy and action plan for EITI mainstreaming were developed and discussed with the EITI Board, to enable the EITI initiative to move forward on this objective. 3. The pilot validation methodology and procedures were developed and tested with support under Component 3, and 21 validations were completed before the end of the project. These experiences are being discussed and reviewed by the EITI Board and stakeholders, to identify further refinements and efficiencies. 4. With support under Component 4, 20 participants from EITI implementing countries attended and participated at the EITI Global Conference in Lima, Peru in February During the conference, participants learned about refinements to the EITI Standard 2013, and elected the new EITI Board representatives from each constituency. 5. As described above, participants at the four regional training sessions enhanced their awareness of the lessons learned from the 2016 Pilot Validations, to assist implementing country participants in addressing common barriers to compliance, and to progress work on emerging issues (such as mainstreaming, disclosure of beneficial ownership data and commodity trading). Other Outcomes and Impacts This was the first Recipient-Executed grant to the EITI International Secretariat (IS). In the past, support to the IS was provided through Bank-Executed contracts, with the IS providing a service such as training for implementing countries. Through the implementation of this Recipient-Executed grant, IS gained insight into the World Bank s Financial Management and procurement processes, which helped the IS to understand the perspective of the EITI implementing countries when they receive Recipient-Executed grants to implement the initiative. Even though the EGPS Donors have decided that funding for the IS through the EGPS shall be limited going forward, this grant provided needed funding for the activities, and helped to deepen the understanding of both teams the WB EGPS team and the EITI International Secretariat team. III. KEY FACTORS THAT AFFECTED IMPLEMENTATION AND OUTCOME Component 1: EITI Data Portal. While this component was successfully completed, in terms of project financing from the EITI-MDTF financed part of the project. Only a small amount of the portal component was funded by the grant due to a delay of this deliverable since the end disbursement date of the parent trust fund (TF053509) was December 31, As a result, the International Secretariat had to finance Page 5 of 16

10 the portal from other sources and two-thirds of the grant was cancelled. The application also allows third parties to access and utilize the information in accordance with the EITI s open data policy. Completed in May 2016, the Data Portal is one of the most important features of the eiti.org website and has also been replicated by some EITI national secretariats. Component 2: Mainstreaming. EITI Mainstreaming is about encouraging and recognizing countries that make transparency an integral feature of their governance and management of the extractive industries. EITI implementing countries are increasingly making the information required by the EITI Standard available through government and corporate reporting systems (databases, websites, annual reports, and portals). This helps to ensure that this data is timely, reliable and accessible. In 2016 the EITI Standard was revised to encourage these efforts, and the grant provided support to these efforts. All activities were completed, and implementation was smooth despite some delays in the beginning. Mainstreaming studies and workshops were completed in Kazakhstan and the Kyrgyz Republic, and an in-depth study and guidance were prepared for Nigeria. Component 3: Validations. Every country that joins the EITI as a member is assessed against the EITI Standard in a process called Validation. EITI Validation reviews the country s progress against the EITI Requirements, analyses the impact, and makes recommendations for strengthening the process and improving the governance of the sector. The EITI Board, through the EITI Secretariat, oversees the Validation process. The Board then ascribes the country as having made satisfactory progress (sometimes referred to as compliance ), meaningful progress, inadequate progress or no progress. Under the first grant, the new validation methodology/process was piloted in five countries in After the pilots, an additional 16 validations were completed, for a total of 21 validations completed by December Component 4: EITI Global Conference The EITI Global Conference took place in Lima, Peru in February The grant funded participation of 20 attendees from EITI implementing countries (WB client countries). Component 5: Regional Training. An additional component for US$350,000 was approved in August 2017 to finance four regional training workshops on EITI in the second half of The workshops were held in Southeast Asia, Anglophone Africa, Francophone Africa, and Latin America and the Caribbean. The objective of each of the regional training sessions was to build awareness of the lessons learned from the 2016 Pilot Validations, to assist implementing countries in addressing common barriers to compliance, and to progress work on emerging issues (such as mainstreaming, disclosure of beneficial ownership data and commodity trading). The additional component was a logical extension of the ongoing work on validation, as well as mainstreaming pilots. The additional component focused on ensuring use of the results of the ongoing initiatives. 1 Validations completed by December 2017 in: Azerbaijan, Mongolia, Nigeria, Peru, Timor-Leste, Ghana, Kyrgyz Republic, Mauritania, Sao Tomé e Principe, Solomon Islands, Tajikistan, Liberia, Mali, Philippines, Mozambique, Honduras, Tanzania, Zambia, Iraq, Niger (and Norway). Page 6 of 16

11 IV. BANK PERFORMANCE, COMPLIANCE ISSUES, AND RISK TO DEVELOPMENT OUTCOME Bank performance was satisfactory, including close follow-up with recipient and explanation of WB policies and procedures in a timely manner as needed. There were no issues associated with Safeguards as the grant provided technical assistance and support to an international NGO based in Oslo. In terms of fiduciary compliance, there were some delays in the beginning due to the Recipient s lack of familiarity with World Bank policies and procedures related to recipient-executed trust fund grants. After some discussion and explanation from the original and final TTL, implementation went more smoothly. The project achieved its objectives and there are no risks to the project deliverables. However, there are certain risks to EITI and future direction of mainstreaming of the EITI (which is a complex endeavor which EITI countries are having difficulty to define and implement), as well as validation cost (which is a recurrent cost and most of the validations undertaken under this project will require re-validation in the next months for which funding is not guaranteed). In terms of risks to the project outcomes: 1. The EITI Data Portal developed under the project is up and running; its maintenance is continued by International Secretariat and it remains in use and up to date. 2. The EITI Mainstreaming pilots were completed and the EITI Board is assessing the next steps. The 2016 EITI Standard enables implementing countries to disclose the information required by the EITI Standard through routine government and corporate reporting, and consultation systems such as websites, annual reports etc. The EITI Board agreed that systematic disclosure should be firmly established as the default expectation, with EITI Reports used to address any gaps and concerns about data quality. Implementing countries could continue to publish annual EITI reports collating and analyzing the information from primary sources, to make this information more accessible and comprehensible, especially for stakeholders that do not have access to online information. Mainstreaming EITI will also be a challenge in the future, in general, but not related to the current grant, due to the increased costs associated with the Mainstreaming efforts, and the decrease in donor funding for International Management of the EITI (i.e., funding directly to the EITI International Secretariat instead of through EGPS or other funding mechanisms). 3. The Implementing Country Validations were completed, and the lessons learned were shared and discussed with stakeholders during the Regional Workshops. There was also a report to the EITI Board during the Board meeting in Oslo in February 2018, to discuss the lessons from the validations. 4. The EITI Global Conference 2016 took place as planned and updates to the EITI Standard 2013 were announced and explained. The supported attendees learned first-hand of the changes to the EITI Standard 2013 and how they would be implemented. 5. There is a risk to long-term sustainability for the EITI process due to the increased costs associated with the increased scope of the EITI process. Page 7 of 16

12 V. LESSONS LEARNED AND RECOMMENDATIONS Lessons learned include the following: There is a recognition of the importance of clearly defined activities during the process of designing the grant, which makes results and outputs more straightforward and easier to identify and report. In terms of the implementation of the grant, there were some issues early on with the International Secretariat s skills and understanding of Bank procedures. It would have been useful to do some orientation and training for this new RETF recipient at the beginning, to smooth progress and implementation. The team assumed that the recipient team would be able to pick up quickly, but there were significant delays in the beginning and a large portion of the initial grant had to be cancelled because they were not able to use it before the closing date of the original parent trust fund. WB and EITI International Secretariat joint planning and delivery of the Regional Workshops helped to increase ensure that participants would learn about the lessons from the validations completed to-date and were able to share their own experiences, especially the more experienced countries sharing with the newcomers, and establishing networks of support across the various regions.. Page 8 of 16

13 ANNEX 1. RESULTS FRAMEWORK AND KEY OUTPUTS A. RESULTS INDICATORS A.1 PDO Indicators Objective/Outcome: To improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat's work on data accessibility. Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion Component One: Improved accessibility and use of EITI summary data measured through the number of hits on the EITI website Number Nov Dec Dec-2017 Comments (achievements against targets): 140,000 users, 250,000 sessions, 817,000 page views. The data page continues to be one of the top 10 visited pages. Objective/Outcome: To improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat's work on EITI Mainstreaming. Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion Component Two: The Text None 1 1 Page 9 of 16

14 presentation of a strategy and action plan for EITI mainstreaming to EITI Board 02-Nov Mar Dec-2017 Comments (achievements against targets): Two Mainstreaming Pilots - Kazakhstan and Kyrgyz Republic - were completed in Q A larger study was undertaken in Nigeria in Q The report was accepted by the EITI Board in December Objective/Outcome: To improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat's work on Implementing Country Validation. Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion Component Three: The successful completion of the validation pilot leading to an improved and more sustainable validation methodology for subsequent validation assessments Number Nov Dec Dec-2017 Comments (achievements against targets): Five pilot Validations were completed in As of December 31, 2017, 21 Validations were completed. Unlinked Indicators Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion Component Five: Number of regional EITI training sessions Number May Dec Dec-2017 Page 10 of 16

15 Comments (achievements against targets): Regional trainings completed in Southeast Asia, Anglophone Africa, Francophone Africa, and Latin America and the Caribbean. Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion Component Four: Supporting the EITI Global Conference Text Nov Apr Feb-2016 Comments (achievements against targets): Conference took place in February A.2 Intermediate Results Indicators Component: Component 1 - EITI Data Portal Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion The establishment of a new EITI Data Portal that is operational by the EITI Global Conference in February Yes/No N Y Y 02-Nov Jun Dec-2016 Comments (achievements against targets): Completed. Component: Component 2: Mainstreaming Page 11 of 16

16 Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion The completion of mainstreaming pilots across Implementing Countries with varying institutional capacities and levels of sector development Text Nov Apr Dec-2017 Comments (achievements against targets): Two Pilots - Kazakhstan and Kyrgyz Republic - were completed in Q A larger study was undertaken in Nigeria in Q The report was accepted in December 2017, subject to further amendments. Component: Component 3: Validations Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion The submission of a report to the EITI Board on the lessons learnt through the pilot process and recommendations for the way forward for the mainstreaming agenda Text Nov Dec Dec-2017 Comments (achievements against targets): EITI Board Paper 39-4A on encouraging systematic disclosure. Component: Component 4: EITI Global Conference 2016 Indicator Name Unit of Baseline Original Target Formally Revised Actual Achieved at Page 12 of 16

17 Measure Target Completion Number of participants in the EITI Global Conference 2016 supported through the grant Number Nov Nov Mar-2016 Comments (achievements against targets): Conference completed in March Component: Component 5: Regional Training Indicator Name Unit of Measure Baseline Original Target Formally Revised Target Actual Achieved at Completion Number of EITI Countries benefiting from regional training Number May Dec Dec-2017 Comments (achievements against targets): Representatives from 32 EITI countries participated in 2017 regional training events. Page 13 of 16

18 B. ORGANIZATION OF THE ASSESSMENT OF THE PDO Objective/Outcome 1: To improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat's work on data accessibility. Outcome Indicators Intermediate Results Indicators Key Outputs by Component (linked to the achievement of the Objective/Outcome 1) 1. Improved accessibility and use of EITI summary data measured through the number of hits on the EITI website. 1. Establishment of a new EITI Data Portal that is operational by the EITI Global Conference in February Increase number of users from 15,000 to 140, Website update completed on time. Objective/Outcome 2: To improve the effectiveness, relevance and sustainability of the EITI by supporting the International Secretariat's work on EITI Mainstreaming, Validations, training, and the Global Conference in Outcome Indicators Intermediate Results Indicators Key Outputs by Component (linked to the achievement of the Objective/Outcome 2) 1. Drafting and presentation of a strategy and action plan acceptable to the EITI Board for EITI Mainstreaming. 1. Submission of a report to the EITI Board on the lessons learnt through the pilot process and recommendations for the way forward for the mainstreaming agenda. 2. Completion of Mainstreaming Pilots across implementing countries with varying institutional capacities and levels of sector development. 3. Number of EITI countries benefiting from regional training. 4. Number of participants in the EITI Global Conference 2016 supported through the grant. 1. Lessons learned from validations presented to EITI board. Page 14 of 16

19 2. Mainstreaming pilots completed in Kazakhstan and Kyrgyz Republic, and study completed in Nigeria. 3. Representatives from 32 EITI countries participated in 2017 regional trainings. 4. Representatives from 20 countries attended the Global Conference with grant support. Page 15 of 16

20 . ANNEX 2. PROJECT COST BY COMPONENT Components Amount at Approval (US$M) Actual at Project Closing (US$M) Percentage of Approval (US$M) EITI Regional Training Establishment of EITI Portal EITII Mainstreaming Implementing Country validation EITI Annual Global Conference Total Page 16 of 16