BACKGROUND:
As per the Project Appraisal Document (PAD), the project activities would be predominantly pro-poor, directed primarily at small & marginal landholders, poor fishing communities and the landless even though the over-riding objective is to stimulate growth of Assam’s agricultural economy. This necessitated intensive social mobilization activities, hence, the Social Management Unit (SMU) established within ARIAS Society w.e.f. 15/02/2003 continue to function under Project Coordination Unit (PCU) to oversee the social aspects of the project. This is a result of the agreement between Government of Assam (GoA) & the World Bank during appraisal to follow the ARIAS pattern of social mobilization that became a part of the implementation arrangement agreed with the Bank as under para 2 of Annexure 6 (Implementation Arrangements) of PAD – “Implementation agencies would make extensive use of NGOs, wherever farmer interest or community groups are to be formed, such as for Irrigation development and farm mechanization groups, tanks and beel fisheries, mini-watershed drainage and the formation of milk cooperative societies – following a pattern initiated under ARIAS”. Further, under para 14 of Annexure 10 (Safeguard Policy Issues) of the PAD on implementation capacity it has been mentioned that - “GoA, through the ARIAS Society and implementing departments has already implemented the Assam Rural Infrastructure & Agricultural Services Project, which had initially build the capacity to deal with the relevant social and environmental issues. The PCU already has fully operational Social Development Unit (SDU)….” In addition as per Schedule 2 of the Project Agreement signed between GoA and the World Bank, it is binding on GoA to maintain staff under PCU on social mobilization (para 3) and collaborate with “NGOs, community groups, or beneficiaries, as may be necessary & appropriate, with respect to the design, preparation and implementation Sub-projects” (para 4). SMU is headed by a Social Development Specialist and supported by two Assistant Social Development Specialists to work under the direct supervision of the State Project Director, ARIAS Society.

ROLE of SMU:
The SMU is required to advise the Project Management on activities/processes to be adopted for achieving the Social Development Objectives of the Project, i.e. Participation, Inclusiveness, Gender Sensitivity, Equity, Transparency and Sustainability. Had been and is responsible for understanding the Social Development Objectives and Social Safeguard Policies of the World Bank incorporated in the design of the Project and developing strategy/approach to achieve these objectives. During preparation of AACP SMU had prepared the social development aspects of the project in-house as mentioned under para 14 of Annexure 10 of PAD e.g. the Project Operational Manual, Social Mobilization Framework, Capacity Building Strategy and Communications Strategy accepted by the World Bank. Another role of SMU is to strengthen and improve the capacity of the participating communities/groups, NGOs and line department officials in long term strategic collaborative planning, implementation & monitoring of the activities in addition to ensure compliance of the Social Safeguard Policies of the World Bank.
Specific role of SMU in project implementation are outlined below.

Project Operational Manual (POM):

• It is binding on the GoA to implement the project activities as provided by the “Project Operational Manual” (POM) prepared and referred to under serial 9 of Annexure 12 (Documents in the Project File) of the PAD. This has been part of the Schedule 2 of the Project Agreement signed between the GoA and the World Bank under para (A) 1, which read, "Assam shall implement the Project in accordance with the provisions of the Operational Manual and the Financial Management Manual in a manner satisfactory to the Association".

• POM is a manual for use by the concerned officials of participating GoA departments, NGOs and community in implementing the Sub-projects in a transparent, systematic and participatory manner. The manual explain the roles & responsibilities of different stakeholders like the World Bank, GoA, NGOs and participating groups/community for all project activities and detailing criteria & procedure for selection, application forms, MOUs, cost sharing pattern of matching grant schemes, formats for record & accounts keeping and arrangement for flow of funds down to implementing units in the field.

• The Legal Agreement signed between the GoI and the World Bank defines POM under Article I Section 1.02 (j) as – “means the manual dated July 2004, as amended from time to time, satisfactory to the Association, containing inter alia, the operating procedures for the carrying out of the Project, including the criteria for the selection of Beneficiaries and sub-projects and the procedures for carrying out the Sub-Projects (as this term is hereinafter defined)”. Sub-project “means a project or an activity approved by the line department for financing under Part A of the Project, in accordance with the criteria and procedures set forth in the Operation Manual”.

• POM is a live document needing periodic updates to accommodate the lessons from the field or need based changes in approach/procedure agreed between the GoA and the World Bank. However, as per the Legal Agreement it can be modified only when found to be satisfactory by the World Bank. The AACP POM was prepared during July 2004, when many of the issues were not very clear and, hence, being updated in consultation with the relevant line departments, NGOs and community accommodating the recommendations of the World Bank and field experiences of first year operation.

Sub Project Cycle and Sub Project Agreement:

• Sub Project Cycles(SPC) for each of the Sub-projects of Agriculture, Fisheries, Dairy, Forest, Livestock & Rural Roads as defined above have been prepared indicating sequence of the activities, timeframe and agency/officials responsible to improve implementation and monitoring of the activities within a Sub-project. The idea is to create a clear idea about the implementation of a Sub-project before taking up any activity by the implementing GoA officials, NGO coordinators and participating communities. The SPCs are being translated into local languages (Assamese, Bodo & Bengali) and converted into charts & posters using low cost materials for display in the farmers’ houses or important public places so that they understand and participate in the sequence of activities of the Sub-project concerned before getting the actual benefit.

• For funding to communities for any of the Sub-project under Grants category require signing of a “Sub Project Agreement (SPA)” with the participating community/group. The Legal Agreement define SPA under Article I Section 1.02 ((s) as – “Sub Project Agreement means an agreement entered into between a line department and a Beneficiary relating to carrying out of a Sub-project”. This is binding as per Schedule 1 (A) (3) (b) of the Legal Agreement where it has been mentioned that – “Notwithstanding the provisions of paragraph 1 above, no withdrawal shall be made ……..in respect of any grant under category 4 of the table in paragraph 1 above unless a Sub Project Agreement shall have been entered into, with a Beneficiary, for implementation of Sub-project using the proceeds of the Grant”. Accordingly all line departments in consultation with PCU and the World Bank have prepared SPAs for all Sub-projects under Grants schemes and being signed with the participating groups/community.

Participation of NGOs as Facilitators:

• In compliance of the para A (4) (a) of Schedule 2 of the "Project Agreement" and also para C (2) at page 6-7 of the PAD on "Institutional and Implementation Arrangements" wherein it has been mentioned that ‘Implementing agencies would make extensive use of NGOs, wherever farmers interest or community groups are to be formed – following the pattern initiated under ARIAS”. SMU is responsible for involving local NGOs as per the Terms of Reference (TOR) prepared by SMU in consultation with concerned line departments.

• The methodology/procedure for engagement of NGOs have been discussed extensively and agreed upon by GoA and the World Bank during preparation of the Project that has been reflected in the PAD under Annexure 6 as – “To simplify implementation arrangements, one lead NGO would be engaged for each districts to handle social mobilization and associated training needed for all project activities in that district. Lead NGOs are already in place for thirteen districts under ARIAS, and the contracts of these NGOs would now be extended to cover AACP activities. Additional NGOs for new districts included in AACP would be sole-sourced from a shortlist approved by the Bank” (para 2). On engagement of the additional new NGOs, the para 3 of the Annexure 6 specify – “A District Project Coordination Cell (DPCC) would be formed, comprising all implementing agencies active in that district and the Zila Parishad CEO, chaired by the Deputy Commissioner. ….. DPCC would nominate the lead NGO for their own district and regularly monitor performance against agreed milestones, to which part of the NGO’s contract fees would be tied. A State Project Coordination Committee (SPCC), chaired by the PC and comprising the Heads/Chief Engineers of all participating line Departments, would authorize engagement of all NGOs and meet monthly to monitor progress of district plan implementation and the performance of DPCCs”. The PCU is to engage & manage the NGOs directly as per para 7 of Annexure 7 of the PAD, which read – “As CBOs/NGOs would be providing support functions across more than one department, these will therefore be managed directly by the PCU”.

• The NGOs are on board in all 21 Project districts engaged following the above procedure. The details of the NGOs are available under NGO addresses of this site. The sector wise NGO milestones merged with the Sub Project Cycles have been prepared through participatory consultations. The NGO submit their Quarterly Report with the status of achievement of SPC milestones, with reason for non-achievement, to the District AACP Coordination Committee (DACC), chaired by the Deputy Commissioner/Addll. Deputy Commissioner with request for release of fund as per agreement. The concerned district head of the relevant line department scrutinize the report and recommend performance and fund release to the Deputy Commissioner/Addll. Deputy Commissioner, who finally recommend release of fund to PCU within 10 days.

Information Dissemination Programs:
As per the communication strategy of the Project, information dissemination program planed at two levels – a) project staff & NGOs & b) community. The audio-visual presentation, charts, posters & handouts are to be used for such programs.

Capacity Building Programs: The Project design provides for intensive capacity building of the stakeholders on inter alia social mobilization and participation as may be seen under para 16, Annexure 8 of the PAD which read – “Training activities involve………. building the capacity of communities, NGOs and line department staff in community mobilization and participation….” SMU is responsible for identifying the training need, preparing modules and conducting and/or guiding the NGOs in organizing such programs.

Participatory Monitoring & Evaluation:
The SMU is to ensure that the Sub-project activities are being monitored and evaluated in a participatory manner involving the participating groups/individuals. Participatory monitoring & evaluation formats are being developed in consultation with the concerned line departments for rating by the community on achievement of Sub Project Cycle milestones, on performance of the process adopted and outcome of the Sub-project in terms of incremental income of the group members.

Annual Stakeholders Meet: SMU is responsible for organizing Annual Stakeholders Meet at Zonal and State level for sharing the learning and experiences during a particular year and finding solutions to the problem areas and/or obtaining suggestions for better implementation performance.

Annual Sustainability Assessment: Sustainability is one of the major Social Development Objectives of AACP and, hence, SMU is to organize/undertake an annual participatory assessment of sustainability of the activities of preceding years, finding out reason for continuation or non-continuation of the activities, multiplier effect - if any, and modifying the model to make the activity sustainable.

Guidelines for AACP Rural Producer Organizations: A number of Rural Producer Organizations (RPOs) are being promoted under the project in form of Agro Service Groups (ASG) for STW & LLP, Farmer Interest Groups (FIG) under mechanization, Common Interest Groups – Fishery (CIG), Beel Development Committees (BDC), Community Tank management Groups (CTG), Dairy Cooperative Societies (DCS), Dairy SHG, Joint Forest Management Committees (JFMC) and Livestock Rearing Groups (LRG) to become an effective Local Institutions. Considering diversity of the RPOs in terms of activities, size and composition, it was felt that some guidelines need to be prepared for each of these RPOs to facilitate social mobilization. Accordingly the PIUs and SMU officials prepared guidelines for these RPOs jointly. One of the guiding principles in preparation of the guidelines is that these RPOs may produce about 1.2 lakhs groups at the end of the project and involvement of financial institutions after withdrawal of project support to ensure sustainability is very crucial – this would surely hold a good promise for future Micro-credit intervention in the State of Assam.