CERCAP Support Facility Framework
Bangkok, May 1999


I. Context

  1. Thailandís Response to the Economic Crisis
  2. Prior and Ongoing Assistance
  3. Institutional Framework
  4. UN System Strategy for Supporting CERCAP

II. Project Justification

  1. Issues to Be Addressed
  2. Expected End of project situation
  3. Intended Beneficiaries
  4. Project Strategy and Implementation Arrangements
  5. Reasons for Assistance
  6. Special Considerations

III. Development Objective

IV. Immediate Objectives and Outputs

  1. To strengthen key capacities of the CERCAP Sub-Committee
  2. To support the institutional capacity of the Rajabhat Institutions in basic training for local facilitators
  3. To support the development of holistic information systems and centers
  4. To support the rapid development of capacities of the Community Support Core team

    V. Inputs

    VI. Resource Mobilisation

    VII. Risks

    VIII. Prior Obligations and Prerequisites

    IX. Review, Reporting, and Evaluation

    X. Legal Context

    XI. Budget


    The Annexes are not included in this document, however several can be reached through the marked links.

    Annex 1: The National Social Policy Committee Workshop Outcomes : a vision of coherent follow-up
    Annex 2: National Social Policy Committeeís Community Empowerment for Response to Crisis Action Plan (CERCAP)
    Annex 3: Ideas for Provincial Guidelines for the Implementation of the CERCAP
    Annex 4: Some Ideas on Guidelines for Village Empowerment
    Annex 5: UN System Response to the Economic Crisis and Its Social Impact in Thailand
    Annex 6: National CERCAP Implementation Core Team Terms of Reference
    Annex 7: Regional Learning Networks: Suggestions for the role of the 13 "demonstration provinces"



    1. CONTEXT

    1. Thailandís response to the economic crisis

      Thailand has taken major steps to deal with the financial and economic crisis. It has embarked on a macro-economic stabilization and adjustment program negotiated with the IMF and has taken measures to reflate the economy. On the social side, it has secured a social sector loan from the Asian Development Bank and a Social Investment Programme Loan from the World Bank.

      One of Thailandís main responses was to establish a National Social Policy Committee (NSPC) to address the social impacts of the economic crisis in the short-term and to develop a longer-term framework and strategy for making the society more resilient and immune to the social consequences of such crises.

      The NSPC aims at supporting Thai efforts to find effective solutions to alleviate the social impacts of the economic crisis and their deprivation effects on Thai people nationwide. It also seeks to enhance social reform efforts leading to the transformation of society in pursuit of the holistic people-centred development goals envisioned in the Eighth Plan. It is further expected that the NSPC give effect to the provisions of the New Constitution with regard to human rights, public participation and the empowerment of local communities to become self-governing units within the overall governance framework of the country.

      Within this policy framework and strategy, the NSPCís approach is to empower communities to respond to the crisis impact at the community level and to create an enabling environment for local communities to deal effectively and holistically with the impacts of the crisis on the community. This will require adjustments to the governance structure and strengthening of the capacities at all levels for more empowering public management and service. (See Annex 1: Framework and Policy Document)

      This approach has been elaborated into a Community Empowerment for Response to Crisis Action Plan (CERCAP), which was approved by the NSPC and the Cabinet and launched by the Prime Minister at a workshop with all major partners on March 16 at Government House. (See Annex 2: CERCAP document; Annex 3: Provincial Guidelines document; and Annex 4: Village Empowerment Guidelines document)

      The CERCAP seeks to empower communities to identify and prioritize issues and problems resulting from the economic crisis through participatory planning and action, involving community groups and other partners, and to manage and monitor their own crisis-response initiatives. The community capacity to take proactive initiatives and manage the process will develop through learning-by-doing. On a demand-driven basis their capacities with be strengthened to ensure optimum and effective use of resources available from various sources, including their own, with sustainable results. Outside support on specific technical issues and advice on project design will be provided by a Community Support Core Team at the Tambon level, backed up by technical agencies as required and requested.

      The CERCAP will take a social mobilization approach, generating necessary community support actions at the appropriate levels, from the national (policy) to the local (implementation and operation) levels. CERCAP will be implemented nationwide with 14 Regional Learning Centres in 13 provinces in the administrative regions of the Office of the Prime Minister and the Bangkok Metropolitan Area (See Annex 7). The CERCAP will draw on the lessons and experience of the Thai-UNCAP pilot area activities and will mainstream its local partnership approach, with the collaboration of the Thai-UNCAP team.

    2. Prior and Ongoing Assistance

    Over the last year and a half, the UN System has been supporting Thailandís efforts to deal with the economic crisis and its social impacts. This involved a variety of activities supported by various UN Agencies in the areas of policy dialogue and development, formulation and implementation of quick response action programmes, and community empowerment. (See Annex 5 for a list) In particular, the UN System has been supporting the NSPC in the development of its policy framework, strategy and action plan. (See Section 3 of Annex 5)

    Related initiatives of the RTG are:

    More recently the RTG has also finalized a loan of 53 billion baht from the Miyazawa Fund of Japan. Bt5.9 billion will be spent on improving the quality of life for Thai communities. Each village will receive Bt100,000 to spend on improvements agreed by the community.

    All of the above resources will be more effectively used at the community level with the support of the whole systems of governance mobilized by the CERCAP.

    1. Institutional Framework

    The institutional framework of the CERCAP is as follows:

    1. UN System Strategy for Supporting CERCAP

    The UN System will develop strategies for supporting the CERCAP in a variety of ways:

    A UN System Strategy in Support of CERCAP is under development by a Task Group set up for this purpose.



    1. Issues to be addressed

    The policies and strategies developed by the RTG for the implementation of the CERCAP and the prevailing public service culture and capacities require that the following issues be addressed:

    1. Expected end of project situation

    It is expected that at the end of the two-year facility framework the following situation will be attained:

    Through the above processes, it is expected that the international and government support to communities to mitigate crisis impacts on them will be implemented with full community participation and ownership.

    1. Intended Beneficiaries

    The intended beneficiaries of the CERCAP and this support facility framework are:

    1. Project Strategy and Implementation Arrangements

    The Facility Fraamework supports the following elements of CERCAP:

    The implementation arrangements of the Project are as follows:

    1. Reasons for Assistance

      Thailandís response to the economic crisis has been from the outset mainly a developmental response, rather than a humanitarian relief effort. The crisis has spurred on the social and political reform movements, and has coincided with the enactment of the New Constitution of 1997 with its landmark provisions for participatory democracy, local self-government and human rights. The RTG has reconfirmed the holistic people-centred approach as the basis for responding to the social impacts of the crisis. His Majesty The Kingís New Theory of self-reliant and self-sufficient local development as the foundation of the prosperity of all Thais has been embraced at all levels of Thai society.

      The CERCAP is in the mainstream of these reforms in adopting the people-centered holistic approach to development and in empowering, activating and mobilizing communities across Thailand to deal with the impacts of the crisis on them in self-reliant and sustainable ways.

      The main reason for assistance is that the issues to be addressed to ensure the effectiveness of CERCAP (see section II. 1. above) present major challenges to the current capacities of the Thai system of governance. All these challenges are in areas that are central to UNDP and the UN Systemís development cooperation framework with Thailand and in which UNDP and the UN System have major comparative advantages as trusted external partners in the development of Thailand.

    2. Special Considerations

    This is a project in support of CERCAP, which is fundamentally a good governance initiative focused on the empowerment of communities to increase their self-reliance and self-steering in dealing with crises according to their own development visions. The emphasis is on the process of governance, not only on the results to be achieved by the process. CERCAP is based on the assumption that right thinking, right attitudes and right actions will lead to the right outcomes. The achievement of empowering participatory ways of dealing with the crisis impacts at the local level is the most critical element of the CERCAP approach.

    Another substantial challenge in CERCAP and indeed for this project will be to infuse a systemic concern with gender equity into the entire implementation apparatus from the Sub-Committee to the village committees. The participation of women in public life at the local level is very limited in Thailand. However, experience has shown that when an inclusive, holistic and gender-sensitive approach is emphasized, their participation rapidly increases, they contribute effectively and provide catalytic leadership in breaking out of habits and practices that are no longer seen as sustainable and desirable. The approach to gender has to be mainstreamed by focusing on institutional, rather than individual, capacities with support to institutional efforts to mobilize women, particularly at the community level, to participate actively and fully in CERCAP.


      To support Thailandís move towards participatory democracy within the framework of the New Constitution and towards holistic people-centred development within the framework of the Eighth National Economic and Social Development Plan through the Community Empowerment for Response to Crisis Action Plan (CERCAP).



    Immediate Objective 1: To strengthen key capacities of the CERCAP Sub-Committee effectively to support the implementation of the CERCAP at the local level.

    Output 1.1. Capacities of the CERCAP Sub-Committee to promote and facilitate participatory development processes strengthened.

    Activities: The CERCAP Project Management Team

    Output 1.2. Capacities to promote and support gender equity and to mobilize the participation of local women in CERCAP strengthened.

    Activities: The CERCAP Project Management Team

    Output 1.3. Capacities in social mobilization and networking for the effective implementation of CERCAP by all partners strengthened.

    Activities: The CERCAP Project Management Team

    Output 1.4. CERCAP Sub-Committee capacities strengthened to develop strategies and media for communications and monitoring and evaluation, promoting and supporting the effective implementation of the CERCAP.

    Activities: The CERCAP Project Management Team

    Immediate Objective 2: To support the 36 Rajabhat Institutions (RIís) in rapidly building up their institutional capacities to provide basic training in participatory decision-making facilitation to locally selected people at the tambon and community levels.

    Immediate Objective 3: To support the development of holistic information systems and centres that will provide efficient local access to all information vital to the empowerment of communities to make and implement their own crisis-response plans, and facilitating the identification of gender and other disparities;

    Immediate Objective 4: To support the launching of the CERCAP in all provinces and the rapid development of the capacities of Community Support Core Teams at the tambon level, the Village Committees, TAO/TCís and community-based organizations in all aspects of participatory management of community development initiatives under the CERCAP (analysis, planning, implementation, monitoring and evaluation).

    Output 4.1. CERCAP launched in all 75 provinces and the Bangkok Metropolitan Area and the 13 CERCAP Regional Learning Networks launched.


    Output 4.2. Guidelines for the effective empowerment of local communities developed, published and distributed to all local communities in Thailand.

    Activities: The CDD, in collaboration with DOLA

    Output 4.3. Local action learning opportunities provided to 150 key participants in CERCAP at the local level in each of 12 regions and BMA per year for 2 years.

    Activities: The CDD, in collaboration with the other RLC partners organize and implement a system for

    Output 4.4. Local management development opportunities (team building, financial management, information management, human resource management, management for results, etc.) provided to 150 key local CERCAP managers in each of 12 regions and BMA per year for 2 years.

    Activities: The CDD, in collaboration with other RLN partners, designs and implements a system for


    1. INPUTS

    The RTG will provide:

    Funding of community crisis-response plans from earmarked budgetary resources

    Salaries of CERCAP implementers

    CERCAP related travel expenses

    Facilities (offices, meeting venues, vehicle and equipment support)

    Operating expenses

    MIS, communication and other systems support

    Capacity development, orientation and learning event expenses

    Inter-provincial exchange visits and learning tours

    Social mobilization expenses.

    UNDP will provide support to critical start-up budget items for catalytic purpose as follows:



    This project is designed as a holistic vehicle for external donor support to the CERCAP, not just from the UN System, but also from other interested donors.

    The following resource mobilization targets are established:

    RTG portion of CERCAP related budgets allocated to CERCAP capacity building and mobilization processes:

    Community contributions:

    Other Thai Partners (CSOís, PSOíS, RIís and other Learning institutions):

    Total Thai CERCAP Process Support $74 million

    External Donor Support

    CERCAP will generate a wide range of community initiatives aimed at dealing with the impacts of the crisis, which in turn will generate further demand for capacity building and learning opportunities that will benefit from donor support. The estimated demands for donor support (including this Projectís initial budget) are as follows.

    UN System: (about 30 percent) $2.6 million

    Other donors: $4.8 million

    Total External Donor Support: $7.4 million


    1. RISKS

    The following risks associated with the project could be identified:

    The probabilities associated with these risks are considered to vary from high to low. It would be prudent to monitor related indicators regularly.


    At this stage of the development of CERCAP and the formulation of this project, the following assumptions about the intentions and commitments of the RTG must be made, to be verified in later negotiations on this project, if necessary:



    The following arrangements will be made with regard to review, reporting and evaluation:



    This project document shall be the instrument envisaged in the Supplemental Provisions to the Project Document, attached hereto. The host country executing agency shall, for the purpose of the Supplemental Provisions to the project Document, refer to the Government Co-operating Agency described in Annex II.

    The following types of revisions may be made with the signature of the UN System Resident Coordinator only, provided he or she is assured that the other signatories of the project document have no objections to the proposed changes:

      1. Revisions in, or addition of any of the annexes of the project document;

      2. Revisions which do not involve significant changes in the immediate objectives, outputs or activities of a project but ate caused by the rearrangement of inputs already agreed to or by cost increases hue to inflation; and

      3. Mandatory annual revisions that replace the delivery of agreed project inputs or increased expense or other costs due to inflation or take into account agency expenditure flexibility.


    1. BUDGET

    Budget estimates for the Facility Framework for June 1999 to May 2001 appear on the next pages for a total UN System contribution of US$2.617 million.

    A UNDP CERCAP Support Project has already been approved under this Facility Framework for an initial period of one year and a budget of $610,000.00. The budget estimates for this Project follow the Framework budget estimates.

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    Dated: 21July1999