Community Actions Plans which are publicly displayed in Jamaot Development Committee offices outline village investments, number of participating households, costs and beneficiary contributions.

SLM small grant allocation mechanisms (塔吉克斯坦)

描述

Mechanisms to facilitate participatory decision-making about grant allocation among land users and improve transparency and accountability in flow of funds to beneficiaries in small-grant programmes for SLM.

Aims / objectives: As part of the Community Agriculture & Watershed Management Project (CAWMP), this approach helped beneficiaries and project partners allocate grants and manage the flow of funding while promoting fairness, transparency, and ownership. It facilitated appropriate SLM choices across the highly variable agricultural, climatic and geographic conditions. Almost 4000 rural investments including SLM technologies were implemented, resulting in over 96,000ha under improved land management practices and benefits for more than 43,000 households in Tajikistan’s uplands.

Methods: This approach set a fixed budget per village, limited the grant value received per household as well as the total size of any one grant, required minimum levels of beneficiary contributions, and provided grant money to beneficiaries, enabling them to purchase the inputs.

Stages of implementation: Fixed village budget: In their Community Action Plans (CAP) villages assigned priorities to grants within a set budget amount for the entire village. Project guidelines specified a formula for this budget based on amounts per investment type per household excluding beneficiary contributions ($30/household for farm productivity, $74/household for land management, and $30/household for rural infrastructure). The number of households in a village multiplied by these per-household-amounts determined the overall size of the grant funding for that village. Grant allocation limits. The villages were informed of their overall budget as well as the household limits for each category. They chose investments for groups of households (Common Interest Groups, CIGs) and allocated grant funds to subprojects accordingly. The household limits ensured that collectively at least 50% of the families would benefit directly. In practice, about 75%, of a total of about 57000 households in the project sites participated in the farm productivity and land resource management investments, and 60% in rural infrastructure investments. Grant size. Except in a few cases requiring special approval, the Project-financed grants for each subproject were lower than US$5,000, which reduced risks of the funds being used for purposes for unrelated to the Project. Beneficiary Contribution. Beneficiaries were required to contribute a minimum of 25% of the grant amount in labor, materials or cash which increased their stake in the investment, thereby strengthening ownership and sustainability. At least 5% of the grant amount for rural infrastructure had to be contributed in cash at the start in order to demonstrate financial sustainability.

Role of stakeholders: Fund flow. Once a grant proposal was approved, the PMU transferred the grant amount to the local savings bank according to the schedule specified in the agreement between Jamoat Development Committee (JDC) and CIGs. The JDC accountant transferred the funds fromthe bank to the CIGs. The CIGs then had the responsibility for purchasing inputs, which created an incentive for selecting cost-effective inputs.

地点

地点: Jirgital, Tajikibad, Vanj, Aini, Matcha, Penjikent, Danghara, Sughd, Region of Republican Subordination, Khatlon, GBAO, 塔吉克斯坦

选定地点的地理参考
  • 68.683, 38.499

启动日期: 2005

终止年份: 2012

方法的类型
Community Actions Plans which are publicly displayed in Jamaot Development Committee offices outline village investments, number of participating households, costs and beneficiary contributions.

方法目标和有利环境

该方法的主要目的/目标
The Approach focused mainly on other activities than SLM (small grant programmes, participatory decision-making, village-level, fixed budgets, fund flow arrangements, farmer groups)

Practical and feasible mechanisms for beneficiaries and project partners for: a) grant allocation and fund flow that promote fairness, transparency, and beneficiary ownership in the context of Tajikistan; and b) facilitate appropriate SLM choices across the highly variable agro-climatic and other geographic conditions of the country.

The SLM Approach addressed the following problems: Prior to CAWMP, no practical incentives in donor-funded grant programmes for beneficiaries to consider how to optimise returns according to local conditions. Limited choice of technologies, elite capture of resources, requests for large grants and absence of beneficiary contributions led to inappropriate investments for local agro-climatic conditions, and poor returns and investments not maintained in subsequent years.
推动实施本办法所应用技术的条件
阻碍实施本办法所应用技术的条件
  • 社会/文化/宗教规范和价值观: Grant allocations vulnerable to elite capture and/or political influence. Time taken to address such pressures. Treatment through the SLM Approach: Participatory planning and full disclosure at the start of planning to villagers of available funding and its calculation at village and household levels.
  • 财务资源和服务的可用性/可得性: Beneficiary dependence on donors/implementing agencies since resources given were “in-kind” and not cash. Treatment through the SLM Approach: Adopted “good practice” from other countries with arrangements for direct cash transfers to beneficiaries organised as groups of farmers who then had responsibility for managing financial resources and procurement for chosen investments.
  • 机构设置: Lack of active participation by beneficiaries in decision-making over grant amounts and choice of investments. Treatment through the SLM Approach: Innovative rules about grant allocations enabling villagers to consider various options of grant amounts and types of investments in a participatory manner, taking into account their local conditions.
  • 了解SLM,获得技术支持: Participatory planning processes lacked consideration of multiple factors, e.g., grant amount, choice of technologies, local context, beneficiary contribution, selection of beneficiaries. Treatment through the SLM Approach: Inclusion of participatory rural appraisal, formulae and rules governing grant allocations in CAP preparation. First 3 proposals for each investment category in project sites reviewed to assess understanding of guidelines. Random review thereafter.

相关利益相关者的参与和角色

该方法涉及的利益相关者及其职责
该方法涉及哪些利益相关者/执行机构? 指定利益相关者 说明利益相关者的角色
当地土地使用者/当地社区 CIGs (Groups of households) Local cultural and social conditions determined the extent to which women took part in the grant allocation decision-making, and as members of CIGs managing small grant funds. In some more remote communities, it was not generally acceptable for women to be active participants. In other areas, women only CIGs were formed. Marginal groups within a generally poor upland rural population participated in grant allocation decisions and as CIG members in managing small grant funds. In some villages, vulnerable and poor households were targeted as priority recipients of grants through the allocation mechanism. Participated grant allocation decision making and fund management
NGO JDCs – locally registered NGOs JDCs managed fund transfers to CIGs based based on formal agreements
国家政府(规划者、决策者) Project Management Unit
领导机构
Project Management Unit and CIGs
当地土地使用者/当地社区参与该方法的不同阶段
被动
外部支持
互动
自我动员
启动/动机
x
计划
x
Potential beneficiaries consulted for social assessment conducted during project design which then influenced project approaches.
实施
x
Villagers made grant allocation decisions. CIGs managed grant funds and bought inputs.
监测/评估
x
JDCs release grant funds according to benchmarks in formal agreements with CIGs.
Research
x
流程图

CAWMP - Implementation Arrangements and Fund Flow Arrangements to Land-Users

作者:Project Management Unit (Dushanbe, Tajikistan)
有关SLM技术选择的决策

决策是由......做出的

  • 仅限土地使用者(自主)
  • 主要是土地使用者,由SLM专家提供支持
  • 所有相关参与者,作为参与式方法的一部分
  • 主要是SLM专家,咨询土地使用者之后
  • 仅限SLM专家
  • 政治家和领袖

决策是基于

  • 对充分记录的SLM知识进行评估(基于证据的决策)
  • 研究结果
  • 个人经验和意见(无记录)

技术支持、能力建设和知识管理

以下活动或服务是该方法的一部分
能力建设/培训
向以下利益相关者提供培训
  • 土地使用者
  • 现场工作人员/顾问
  • JDCs
培训形式
  • 在职
  • 农民对农民
  • 示范区域
  • 公开会议
  • 课程
涵盖的主题

Grant allocation mechanisms. Fund flow arrangements and management.

机构强化
机构已强化/建立
  • 是,少许
  • 是,适度
  • 是,非常
在下述层面上
  • 本地
  • 区域
  • 国家
描述机构、角色和职责、成员等.
支持类型
  • 财务
  • 能力建设/培训
  • 设备
进一步细节
JDCs received financial support for certain staff, some equipment for their offices, and training (see also TAJ047 for more information on JDC roles in the project). Note-cannot select more than one type of support in the pull-down menu
监测和评估
no. of land users involved aspects were regular monitored by project staff through measurements; indicators: Grant allocation – number of beneficiaries Grant allocation aspects were regular monitored by project staff through observations; indicators: Grant allocation - Estimated costs of rural investments Fund flow aspects were regular monitored by project staff through measurements; indicators: Fund flow - Timeliness of transfers from PMU to JDCs to CIGs, There were few changes in the Approach as a result of monitoring and evaluation: Delays in initial fund flow to CIGs due to a lack of details in financial management arrangements. Elaboration of manuals and training addressed this problem. There were no changes in the Technology as a result of monitoring and evaluation: Not directly relevant

融资和外部物质支持

SLM组成部分的年度预算,以美元计算
  • < 2,000
  • 2,000-10,000
  • 10,000-100,000
  • 100,000-1,000,000
  • > 1,000,000
Precise annual budget: 不适用
已向土地使用者提供以下服务或激励
  • 为土地使用者提供财政/物质支援
  • 特定投入的补贴
  • 信用
  • 其它激励或手段

影响分析和结论性陈述

方法的影响
是,很少
是,中等
是,支持力度很大
该方法是否帮助土地使用者实施和维护SLM技术?

The grant allocation mechanism fostered multi-factor decision-making, including consideration of local environmental conditions, by villagers. Fund flow arrangements enabled JDCs to manage about $7.4 million in small grants to about 4000 CIGs for rural production investments.

x
该方法是否有助于社会和经济弱势群体?

The project population is considered generally poor or very poor. Within this population, particularly vulnerable groups participated in rural production investments.

x
Did other land users / projects adopt the Approach?

: Portions of the approach and associated guidelines have been adopted in other donor-funded projects.

x
土地使用者实施SLM的主要动机
方法活动的可持续性
土地使用者能否维持通过该方法实施的措施(无外部支持的情况下)?

Grant allocation mechanism was understood and could be used for other sources of financing for groups of households at the village level. Fund flow mechanisms will require a sub-district presence to support transfers to village-based groups.:

结论和吸取的教训

长处: 土地使用者的观点
  • To be added based on project evaluation in 2011
长处: 编制者或其他关键资源人员的观点
  • Grant allocation mechanism easily understood and perceived to be fair and transparent. (How to sustain/ enhance this strength: Document application and disseminate widely.)
  • Multiple factors considered in decision-making including grant amount, choice of investment and number of beneficiaries, local conditions. (How to sustain/ enhance this strength: Improved environmental analyses in participatory planning would lead to more suitable choice of investments.)
  • CIG management of funds contributed to improved accountability and incentives to sustain investments. (How to sustain/ enhance this strength: Document and disseminate methods and results.)
弱点/缺点/风险: 土地使用者的观点如何克服
弱点/缺点/风险: 编制者或其他关键资源人员的观点如何克服

参考文献

编制者
  • Nandita Jain
Editors
审查者
  • David Streiff
  • Alexandra Gavilano
  • Joana Eichenberger
实施日期: May 24, 2011
上次更新: Nov. 2, 2021
资源人
WOCAT数据库中的完整描述
链接的SLM数据
文件编制者
机构 项目
主要参考文献
  • perational Manual for Community Mobilization, Rural Production Investments and Research and Demonstration Grants (2008) : Project Management Unit
  • Operational Manuals for JDCs and CIGs in Financial Management and Procurement (2007): Project Management Unit
  • CAWMP: Project Appraisal Document (2005) : World Bank website
This work is licensed under Creative Commons Attribution-NonCommercial-ShareaAlike 4.0 International