Input:
human, environmental and social rights’ [63] ; Amartya Sen, in a report presenting his preliminary findings for a project on human security and development coordinated by the United Nations Commission on Human Security, linked human security to human dignity as “the protection and preservation of human survival and daily life and also the avoidance of indignities that can result in injury, insult and contempt as well as the participation and empowerment of individuals and communities” [64] ; the United Nations Development Program (UNDP) was the most expansive in its Human Development Report where it proposed a unique definition of “freedom from fear and freedom from want.” [65] This has been heavily criticized as being too vague, not objectively measurable, too woolly, too encompassing and lacking specification. [66] Barry Buzan has been instrumental in trying to formalize the limit the scope of the term in outlining four basic areas of threat: physical threat (pain, injury, death), economic threat (seizure or destruction of property, denial of access to work), threat to rights (imprisonment, denial of normal civil liberties) and threat to position and status (demolition, public humiliation). [67] What is apparent is that most definitions of human security are aimed at transcending the dominant orthodox paradigm that view critical concerns on basic needs or human rights as a problem of interstate politics and reinstating these concerns within the realm of the ethical and the moral. The notion of human security also clarifies the rigid separation between the different material and non-material dimensions of insecurity. It is applicable in contexts of transition and change, making it a dynamic concept which relates to the past, present and future perceptions of (in)security. The dilemma is in determining how to balance the freedom of action of the individuals against the potential or actual threats that such freedom poses to others. In other words, what Buzan describes as enhancing the liberation of community without amplifying the oppression by authority. [68] The challenge is to move beyond abstract all-encompassing enunciations of human security and focus on specific solutions for specific political issues.

The final part of this analysis will develop the specific threats and entitlements that legitimise refugee status on account of human security. This will detail a two-tired approach which lists (non-exhaustively) the specific conditions of insecurity and provides an explanatory framework for host states to assess refugee claims.

63 Steven Lonergan et al., _The Index of Human Insecurity_, VISO Bulletin Issue No. 6 (Jan. 2000).
64 Third Meeting of the Commission on Human Security, Haga Castle, Stockholm 9-10 June 2002: report p 4. By way of background information, the Commission on Human Security convened to discuss issues on the relationships between human security, human rights and democracy. The findings of two main research projects were presented: Amartya Sen’s ‘human security and development’ and Sadako Ogata (former UNHCR) on ‘human security in conflict situations.’ 65 _United Nations Development Program_, _New Dimensions of Human Security_, U.N. Development Program, Human Development Report 1993 at 24 (1993). The UNDP later added that human security comprises two further aspects: safety from such chronic threats as hunger disease and repression; and the protection from sudden and hurtful disruptions in patterns of daily life. (see United Nations Development Programme, Human Development Report 1994, at Chapter 2, p24/5).
66 Raquel Freitas ‘Human Security and Refugee Protection after September 11: A reassessment,” _Refugee_, 20(4) (2002), p36 67 Barry Buzan, _Peoples, States and Fear,_ (1991), chapter 1, p37 68 ibid., p37 17


Input:
#### **HUMANITARIAN AND STABLIZATION TRENDS**

The Bekaa valley has received the highest number of Syrian refugees in Lebanon which has put strains on already fragile services and increased the vulnerability of host communities, as they compete over employment, accommodation, access to public services, and infrastructure. More than 40 per cent of the refugee population live in Informal Tented Settlements; and as a result, have limited access to basic services.

Winterization campaign was finalized in April and reached over 270,000 registered refugees, some of whom reside in remote locations.

In 2015, five agencies will be financing their own cash programs while a total of 19 organizations are working on assessing almost 25,000 households; of those, over 9,000 are expected to benefit from $175 per month in cash assistance.
Household visits as part of the targeting process confirmed that the highest number of poor refugee families in sub-standard shelter live in the Bekaa.

The evictions committee continues to track and respond to the security-driven LAF evictions mostly taking place in Central Bekaa. The committee’s members are consistently conducting vulnerability and technical assessments and mobilizing assistance where needed.

Through the National Poverty Targeting Program, MoSA aims to help 18,000 poor Lebanese families that have been affected by the impact of the Syria crisis. At the moment only 7-8 per cent are being targeted due to lack of resources.

Interventions with municipalities through the Mapping of Risk and Resource programme have taken place in 16 municipalities. In addition, socio-cultural and socio-economic committees aiming at supporting Lebanese-Lebanese social stability by reducing tensions between Lebanese citizens themselves and supporting social interaction between Lebanese and Syrians have been established in Central Bekaa municipalities (Bar Elias, Majd El-Anjar, Taalbaya, Saadnayel, Terbol and Zahle). Local peacebuilding bodies have been created in several municipalities in West Bekaa, supported by UNDP’s “Peace Building in Lebanon”. Other innovative institutional support include the Municipal Support Assistant Programme where some international NGOs have seconded staff to several m ~~unicipalities to support the work of the~~ municipality staff and provide information to refugees.

#### **MOST VULNERABLE LOCALITIES**

There are 38 vulnerable localities in the Bekaa governorate, six of which ar ~~e~~ classified as most vulnerable. Twenty of the 38 localities are al ~~so considered as~~ substantial and high pressure where the ratio of refugees to d ~~eprived Lebanese~~ is at least three to one or more. Inter-sectoral coverage has incr ~~eased in the most~~ vulnerable localities witnessing the highest pressure, ho ~~wever livelihood~~ interventions are lacking in many of them.

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**Informal Tented**
**Settlements**

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#### **HUMANITARIAN ACTORS**

Zahle West Bekaa Rachaya Key contacts

**UNHCR** Maeve Murphy, murphym@unhcr.org **UNDP** George Akl, george.akl@undp.org
**Ministery of Social Affairs (MoSA)** Hussein Salemm, hussein.salemm@hotmail.com

**Bekaa Governor** Mr. Antoine Sleiman

10 19 4 13 10 19 4 9 6 4 9 11 8 6 810 5 9 7 11 5 6 4 4 2 7 4 4 7 2 3 2 1 2 2 5 4 1 1

**53 UN Agencies and NGOs operating in Bekaa**

ABAAD, ACF, AJEM Lebanon, AMEL, Arab Puppet Theatre, AVSI, Beyond, CARE, CLMC Lebanon, DRC, EPL, FAO, HabitatForHumanity, HI, Himaya, Humedica, HWA, IA, IMC, Intersos, IOCC Lebanon, IOM, IQRAA, IR Lebanon, IRC, IRW, ISAD, KAFA, Lebanese Red Cross, MAP-UK, MDM, MEDAIR, Medical Teams International, Mercy Corps, MoSA, MS Lebanon, MSL Lebanon, NRC, OXFAM, RI, SCI, SFCG, UNDP, UNFPA, UNHCR, UNIDO, UNRWA, URDA, Welfare Association, WHO, WVI

**Disclaimer:** The boundaries and names shown on this map do not imply official endorsement or acceptance by the United Nations.
**Data Source:** Lebanese Population - Central Administration of Statistics (CAS) year 2002 dataset,   Poverty data: CAS, UNDP and MoSA Living Conditions and Household Budget Survey 2004-5,
Syrian Refugee Population - UNHCR as of 30/06/2015, Humanitarian Intervention Data - Activity Info as of 30/06/2015, Palestinian Refugee Population- UNRWA, Lebanese Returnees data IOM as of 30/06/2015

Living Conditions and Household Budget Survey


Input:
#### **HUMANITARIAN AND STABLIZATION TRENDS**

Due to the drastic increase of population as a result of the Syria crisis, basic services and infrastructure are now considered a common and priority need all over the governorate, this includes water, electricity, solid and water waste management and public roads. The lack of shelter has also been particularly affected by the crisis. Wadi Khaled continues to be an area particularly deprived and has suffered from the breakdown of commercial trade with Syria.

Poor infrastructure is causing an increase of tensions between host and refugee communities. A study conducted in one of the villages in Akkar before and after implementation of infrastructure work, indicated a positive change in the perception of people towards each other, the community leaders and public sector in addition to an increase of sense of trust, safety and hope.

Public institutions including schools and public health centers need more support to provide better services to more beneficiaries. Competition in the labor market remains a trend in Akkar governorate especially in the construction field between Lebanese and Syrians. This varies from a village to another as each has its own specifications.

Social interaction between communities has improved since December. However, some have reported more negative Lebanese/Lebanese relations. 82 per cent of people in Akkar reported no violence in their area and 80 per cent reported that resource strain leads to social tension in their community.

A recent assessment revealed that both Lebanese and refugee communities identified employment as their top priority needs. This finding is consistent ~~with data from VASyR 2014 which noted that~~ Akkar was the region with the highest percentage of Syrian refugee ho ~~useholds (49%) that did not have any working m~~ embers.

Interventions with municipalities through the Mapping of Risk and Resource programme have taken place in 14 municipalities.

Coordination among different a ~~ctors is increasing and joint eforts are made to e~~ nsure good service delivery in a context of reduced resources.

#### **MOST VULNERABLE LOCALITIES**

There are 32 vulnerable localities in Akkar, five of which are classified as most vulnerable. Eleven of the 32 loca ~~lities are also considered as subs~~ tantial and high pressure where the ratio of refu ~~gees to deprived Lebanese is at le~~ ast three to one or more.

( Major cities Aamayer Most Vulnerable 4th Most Vulnerable 5th Most Vulnerable ~~Qbaiyat~~

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**Settlements**

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~~P~~ ~~Informal Settlements~~

#### **HUMANITARIAN ACTORS**

Akkar 15 7 19 4 7 5 3 8 9 810 4 ~~Halba~~ ~~Cheikh Taba~~

**50 UN Agencies and NGOs operating in Akkar**

ABAAD, AEC, AJEM Lebanon, ANERA, ARCPA, Beyond, CCP JAPAN, CLMC Lebanon, CONCERN, CYC, Danish Red Cross, DRC, FAO, Heartland, HI, Himaya, HWA, IA, ILO, IMC, IOCC Lebanon, IOM, IQRAA, IR Lebanon, IRC, IRD, Leb Relief, Lebanese Red Cross, LFPADE, Makassed, MAP-UK, MoSA, MS Lebanon, MSL Lebanon, NRC, Pal_Scouts, Palestinian Scouts & Guides Association, PU-AMI, Relief & Reconc, RI, SCI, SFCG, Solidarités, UNDP, UNFPA, UNHCR, UNRWA, URDA, WCH, WHO Key contacts

**UNHCR** Monica Noro, noro@unhcr.org **UNDP** Alain Chatry, alain.chatry@undp.org
**Ministery of Social Affairs (MoSA)** Ziad Nadri, ziadnadri@gmail.com

**Akkar Governor** Mr Imad Labaki

**Disclaimer:** The boundaries and names shown on this map do not imply official endorsement or acceptance by the United Nations.
**Data Source:** Lebanese Population - Central Administration of Statistics (CAS) year 2002 dataset,   Poverty data: CAS, UNDP and MoSA Living Conditions and Household Budget Survey 2004-5,
Syrian Refugee Population - UNHCR as of 30/06/2015, Humanitarian Intervention Data - Activity Info as of 30/06/2015, Palestinian Refugee Population- UNRWA, Lebanese Returnees data IOM as of 30/06/2015

Living Conditions and Household Budget Survey


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) Implementing Agency : State Committee for Affairs of Refugees and Internally Displaced Persons

**PROJECT FINANCING DATA (US$, Millions)**

**SUMMARY-NewFin1**

**Total Project Cost** 2.00

**Total Financing** 2.00

**Financing Gap** 0.00

**DETAILS-NewFinEnh1**

**Non-World Bank Group Financing**

Trust Funds 2.00 State and Peace Building Fund 2.00

**Expected Disbursements (in USD Million)**

**Fiscal**
2023 2024 2025 2026
**Year**

**Annu**
0.50 1.00 0.40 0.10
**al**

**Cumu**
0.50 1.50 1.90 2.00
**lative**

**INSTITUTIONAL DATA**

**Financing & Implementation Modalities**

**Situations of Urgent Need of Assistance or Capacity Constraints**

[ ] Fragile State(s) [✔] Fragile within a non-fragile Country

**Other Situations**

[ ] Small State(s) [ ] Conflict [ ] Responding to Natural or Man-made Disaster

[ ] Financial Intermediaries (FI) [ ] Series of Projects (SOP)

[ ] Performance-Based Conditions (PBCs) [ ] Contingent Emergency Response Component (CERC) Page 2 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) vulnerable due to their long-standing situation of displacement and who may not have an opportunity to return to their places of origin for some time.

9. Since November 2021, the World Bank has been providing analytical and technical assistance to the Government through a State and Peacebuilding Fund-financed, Bank-executed grant called _Support for Peacebuilding and Recovery in Azerbaijan_ . This grant has financed analytical work that aims to inform a policy dialogue between the Bank and SCRI, including a survey of IDPs which focused on understanding the current livelihoods, service delivery, and social inclusion, and future aspirations; and a lessons learned paper on livelihood activities for IDPs. As IDPs are just beginning to return to liberated areas, it is a critical time for the Bank to engage with GoA on a policy dialogue as the steps that are taken now will have long-lasting effects. The Bank will mobilize its growing knowledge and experience in addressing the challenges of forced displacement to support the Government. In addition to the analytical work undertaken, activity under the SPF grant also includes support for the Joint Recovery Needs Assessment (JRNA) for Fizuli, Agdam and Jabrayil, and just-in-time advice to the Office of Special Representative (OSR) of the President to the Karabakh Economic Region on issues including management information systems, local governance, and smart city development. Preparation of the JRNA will benefit from the knowledge gained through the proposed Improved Livelihoods for Internally Displaced Persons (ILIDP) Project and the OSR will benefit from the Project as well given their role in facilitating the sustainable return of IDPs.

10. **The IDP survey and lessons learned paper on livelihoods described above have informed**
**the design of the proposed project by summarizing the current living conditions of IDPs as well**
**as lessons from implementation of previous livelihood programs** . Though both studies are in
the process of being finalized, they have provided valuable inputs to the design of this project.
The study of lessons from other livelihoods and job training programs revealed the need for close support for training participants to ensure the sustainability of their achievements. This has resulted in the incorporation of mentors into the project design from the time of project launch through completion and an emphasis on community-based support to address the unique context of each IDP settlement. The household survey found that 22 percent of household members are unemployed and 30 percent of respondents are looking for work. There remains a reliance on state support with 90 percent of respondents receiving an IDP allowance. To address their income generation needs, respondents identified various skills they would like to acquire with males wanting to have skills in the agriculture/fishery, automotive and land transport, and construction sectors while women preferred garments/sewing, health care and community development. While the data collected through the survey on job and skills provides useful benchmarking information, more localized labor market surveys will need to be undertaken to identify targeted opportunities in the communities where IDPs are living to support livelihoods that provide greater incomes over sustained periods.

Page 9 of 34

IDP survey
survey on job and skills
survey of IDPs

household survey
localized labor market surveys


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) 11. **Findings from the IDP survey reveal limitations in IDP civic engagement and social**
**cohesion.** There is a very low level of IDP participation in social activities in their communities
such as youth and women’s groups, cultural activities, agricultural or entrepreneurship activities.
Only eight percent of respondents participate in such activities. Forty two percent of respondents said that they either do not know where to, or would not want to, lodge a complaint or make a request regarding the delivery of services. In terms of social cohesion and community integration, 61 percent of respondents said that they felt well integrated into their village/city and only 40 percent felt that if someone in their family was in an emergency, they could count on support of their community. While the survey did not collect comparative data for non-IDPs, these findings indicate that the unique living conditions of IDPs may limit their participation in community-based activities and lead them to feel less well-supported by their communities. This may be a significant challenge for people who are returning to their places of origin as these places are less likely to have established local governance arrangements. Given that these are essentially newly created villages and cities, they will take time to operate effectively, posing challenges for the returnees. In order for these new settlements to succeed, there will need to be active engagement of residents to identify and to help resolve challenges that arise. By participating in local decision-making processes and social organizations, IDPs can contribute to improving living conditions in their places of origin upon return and facilitating a smoother transition through more actively engaging.

**C. Higher Level Objectives to which the Project Contributes**

12. **The proposed project activities will contribute to the World Bank Group’s Azerbaijan**
**Country Partnership Framework (CPF) FY16 – FY20, Focus Area 1, Public Sector Management**
**and Service Delivery, Objective 1.2: Support access to, and satisfaction with, public services** .
While the CPF period concluded in FY20, its focus and priorities remain relevant as the process of preparing a new CPF moves forward. The CPF specifically states that it will build on successful engagement in selected areas of public services and applying global knowledge and expertise, by contributing to the agenda of improved service delivery through support to increased coverage of the most vulnerable, specifically IDPs to sustain their livelihoods.

13. **The proposed project will also contribute to World Bank FCV Strategy (2020 – 2025)**
**Pillar 3. Helping Countries to Transition out of Fragility** . The FCV Strategy highlights the
importance of WBG focus on strengthening the capacity and legitimacy of core institutions, renewing the social contract, and supporting livelihoods and economic development including through private sector development and entrepreneurship. Financing from the World Bankadministered State and Peacebuilding Fund (SPF) for the proposed project would be a reflection of World Bank support to Azerbaijan as part of the FCV Strategy.

Page 10 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) 16. **The project is targeting 520 vulnerable IDP participants with the aim of benefiting their**
**households, so a broader group of 2,100 total beneficiaries** . The average household size in
Azerbaijan is 4.1 persons.

**C. PDO-Level Results Indicators**

17. **Achievement of the proposed Project Development Objective, will be measured**
**through the following indicators:**

- Percentage of participants self-employed or employed by firms

- Increase in income of households with individuals participating in the project

- Percentage of registered participants completing training and receiving certificates

- Beneficiaries of job-focused interventions, of which female (core World Bank
indicator)

- Percentage of beneficiaries taking a more active role in their communities
disaggregated by gender and persons with disability 18. **Baseline data on indicators will be collected to facilitate the measurement of project**
**impact.** Upon registration of participants for project support, data will be gathered to establish
baseline conditions for each beneficiary and their household. Follow-up surveys will be conducted to compare baseline conditions to those after the completion of project activities.

**III.** **PROJECT DESCRIPTION**

**A. Project Components**

19. **Component 1: Skills development.** This component will support IDPs who are interested in pursuing business/employment opportunities to obtain specialized skills to improve their incomegenerating potential through enrollment in vocational training and apprenticeships to be followed by job acquisition and business skills support under Component 2. There will be two, staggered rounds of participant intakes, each with at least 260 students. Implementation of the component will begin with SCRI utilizing its networks in IDP communities to organize meetings with representatives of ExCom, municipalities, CSOs, communities and other relevant bodies in target areas, to advertise the project and to solicit applications. Local governments will be trained so that they can advise potential applicants on the eligibility criteria and how to apply for project support. SCRI will also recruit mentors who will provide ongoing support throughout the duration of the project, beginning with hands-on support to applicants in filling out applications and advising on career options. Special efforts will be made to reach out to persons with disabilities to enable them to apply for participation in the project and to identify suitable business and/or job opportunities. Each mentor will be responsible for Page 12 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) approximately 45 students per round of participants.

20. Criteria for selection of participants will include IDPs who are considered vulnerable as measured by: a) housing status, b) income level, c) level of education, d) access to services, e) employment status, and f) disability. Selection of participants will also aim to include a balance of men and women, with at least 50% of beneficiaries being women. Applicants who are seeking training in skills that have been determined in the needs survey as being in high demand will also be preferred over those proposing training in areas where there is more limited labor market demand. Skills areas may include, among others: business/trade, agri-business, vocational activities (i.e., carpenter, cook, hairdresser), use of digital technology, among others, with a focus on employment potential and to the extent possible avoiding gender stereotypes. A Selection Committee will be formed to review and endorse the list of approved applicants and the most appropriate training institute or apprenticeship for each applicant. As it is expected that the majority but not all participants will successfully complete the training courses, a modest oversubscription will be planned with the aim of reaching or exceeding the target of 520 total beneficiaries.

21. To understand better the real opportunities for IDPs, particularly about the types of professions that are most in demand in the project areas, the project will ask IDPs (as part of the application process) to fill out a basic labor market assessment form. The process for this will be a day where the mentors work with potential project participants and explain to them how they can find out more about the kinds of opportunities they have in their communities and how to find out about potential income from different activities. In addition to the information collected by IDPs from local employers, the State Employment Agency and the mentors will share additional information that is available about the local labor market and broader national labor market trends that could be used to strategically direct project participants into promising areas of career development and form partnerships with employers and/or training providers to facilitate this. An effort will be made to identify employment pathways where labor market demand is growing and which move away from conservative gender norms which often limit women to professions such as sewing, cooking and beauty salons where income may be limited due to market saturation and low pay.

22. Public and private training providers will be identified by SCRI together with the State Employment Agency, Ministry of Education and Science, and the State Agency for Vocational Education under the Ministry of Education and Science. The use of training providers under the LSLP allowed for flexible arrangements that are responsive to participant needs as well as partnership arrangements that were efficient to manage. Training institutes will be chosen based on the effectiveness of their performance under the LSLP, their accessibility to the project areas, quality of facilities, range of skills taught, demonstrated success with quality training, experience in training of IDPs, student retention, and track record of placing students into jobs and/or self-employment. After reviewing applicant training, checking these against labor market needs and aggregating these needs into courses offered by identified training providers, service agreements will be signed with each institution for an agreed curriculum of training lasting up to 6 months, with some flexibility to extend Page 13 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) will recruit an environmental and social specialist for the purposes of the project and all PIU and field staff will undergo training on relevant aspects of the ESF at project initiation.

34. **The SCRI team has not yet implemented projects under the World Bank’s new**
**procurement framework.** The team will be supported with training and assistance from WB
procurement staff in the implementation of the project procurement strategy for development (PPSD) which was developed during project preparation.

**B. Results Monitoring and Evaluation**

35. **The PIU within SCRI will be responsible for monitoring and evaluating the outcomes of**
**the project** **against agreed indicators as set out in the Results Framework.** A consultant will be
hired as an M&E Specialist to undertake and coordinate this work and to report on results indicators. The M&E Specialist will collect baseline data, which will enable the Committee to compare the before and after situation for project participants. Data after training program completion will be collected by the M&E Specialist and if additional data collection support is needed, SCRI will engage the staff of its Monitoring Department and the M&E Specialist will provide staff with the needed training and quality assurance supervision. Participants in civic engagement and social cohesion training will be tested on their knowledge and tracked to assess whether they are more active in their communities as a result of the training. Special emphasis will be placed on assessing the difference in project benefits between male and female participants and for persons with disabilities. The PIU will prepare semi-annual reports to provide a summary of implementation progress on project activities and cross-cutting functions (FM, Procurement, and Environmental and Social Risk Management) of the project.

36. **Baseline data that is collected on income and other household characteristics will be**
**structured in such a way to allow for comparison to national poverty lines and levels of income.**
While such data comparisons will not be incorporated into the results framework, they will be used to assess the extent to which the project is helping to move beneficiaries out of poverty and into situations of greater economic self-reliance.

**C. Sustainability**

37. **As the Government is in the process of adjusting its approach to support IDPs as some**
**of them prepare to relocate, or consider future relocation back to homeland territories, the**
**proposed activities will assist the government in developing and implementing a revised**
**approach to IDPs that can be scaled up in the future.** As the response to the recent conflict is
still unfolding, IDP support is likely to evolve and be the focus of increased support from the Government and international development partners, including the Bank. The grant is expected to contribute directly to improving the wellbeing and livelihood prospects of IDPs, as well as to strengthening government capacity to plan for effective livelihood support programs for IDPs.

Page 17 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125) mechanism, stakeholder engagement, labor terms and conditions and occupational health and safety, among other applicable requirements.

46. **Fiduciary risks are considered Moderate.** While SCRI did not directly manage funds from the LSLP, FM and Procurement experts who worked in SDFI on the LSLP are now working in SCRI and would be engaged in the PIU. These experts have long-term experience with World Bank fiduciary requirements and will receive training on any new aspects of FM and Procurement introduced since the closing of the LSLP. There are also no large-scale procurement activities included in the design, but rather smaller payments to finance training and small goods packages for participants. Strong fiduciary mechanisms will be put in place for the procurement of equipment and assets under the project.

47. **Stakeholder risks are Moderate.** There is only one implementing agency responsible for implementation, so intragovernmental coordination should not be complicated. There are different development partners and civil society organizations supporting IDPs, so coordination with these partners would be important. Existing Government-convened coordination bodies would be used to facilitate information sharing and collaboration with other organizations that are engaged in supporting IDPs. In addition, a Selection Committee will be formed to make decisions regarding the selection of project beneficiaries and the provision of supplies and equipment under Component 2.

**VI.** **APPRAISAL SUMMARY**

**Technical, Economic and Financial Analysis**

48. Most of the technical design of the project has been implemented under the Youth Support Program (YSP) which was a subcomponent of the LSLP. These activities were implemented between 2018 and 2020 and evaluated using baseline and endline data collected from 827 persons out of the total number of 833 individuals that had participated in the YSP. This survey found that 86.7% of respondents (717 persons) were employed or self-employed. This figure was 0.4% (only 3 persons) at the baseline. 52% of beneficiaries were men and 48% women.
More than 91% of working beneficiaries were self-employed with the remainder working for other employers. Almost all the employed/self-employed respondents were found to be working in the field of their vocational study, except for 3 persons. Average monthly nominal income of the households surveyed, from all working individuals, increased by more than 2.5 times between the baseline and endline survey. As such, the design of the YSP has proven to be effective, so it has served as the basis of the design of this project.

**Financial Management**

49. Financial Management (FM) functions under the proposed grant, including flow of funds, Page 20 of 34


Input:
**[The World Bank]**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125)

**VII. RESULTS FRAMEWORK AND MONITORING**

**Results Framework**
**COUNTRY : Azerbaijan**
**SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan**

**Project Development Objectives**

Enhance civic engagement, technical skills and opportunities for income generation for vulnerable IDP households in Azerbaijan.

**Project Development Objective Indicators**

**Unit of** **Data Source /**
**Indicator Name** **Corporate** **End Target** **Frequency**
**Measure** **[Baseline ]** **Methodology**

**Name:** Percentage of
participants selfemployed or employed by firms Percentag e 0.00 80.00 Once, starting three months after trainees complete their courses.

Post-Training Completion Survey conducted at least three months after training completion.

**Responsibility for**
**Data Collection**

M&E Specialist with support from supplementary data collectors, as needed.

Description: The total number of individual participants completing their training programs divided by the number of individual participants completing their training programs that have either registered a business or where an employer has verified employment.

**Name:** Increase in income
of households with individuals participating Percentag e 0.00 30.00 Twice, once at baseline and once after training completion.

Baseline survey conducted after applicants are registered in the project, and a Post-Training M&E Specialist and supplementary data collectors, as Page 24 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125)

**Unit of** **Data Source /**
**Indicator Name** **Corporate** **End Target** **Frequency**
**Measure** **[Baseline ]** **Methodology**

in the project Completion Survey conducted at least three months after training completion.

**Responsibility for**
**Data Collection**

needed.

Description: Total participant household income reported at the time of applying for project enrolment divided by total income reported before project completion.

**Name:** Percentage of
registered participants completing training and receiving certificates Percentag e 0.00 85.00 Twice, once upon registration and once upon training certification.

Reports provided by training providers.

Description: Total number of participants receiving certificates divided by the total number of registered participants.

Total number of household members of applicants accepted and registered for training support.

Total number of household members in female participants accepted and registered for training support.

**Name:** Beneficiaries of
job-focused interventions Beneficiaries of jobfocused interventions Female ✔ Number 0.00 520.00 Once ✔ Number 0.00 260.00 Once M&E Specialist, training providers.

M&E Specialist M&E Specialist Page 25 of 34


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125)

**Unit of** **Data Source /**
**Indicator Name** **Corporate** **End Target** **Frequency**
**Measure** **[Baseline ]** **Methodology**

Description:

**Name:** Percentage of
beneficiaries taking a more active role in their communities Percentage of beneficiaries taking a more active role in their communities - female Percentag e Percentag e 0.00 50.00 Twice, once before civic engagement training and again at least three months after civic engagement training completion.

0.00 50.00 Twice, once before civic engagement training and again at least three months after civic engagement training completion.

For participants in Component 1 and 2 of the project, the Baseline Survey and Post-Training Completion Survey will be used for data collection.
For individuals trained only as part of Component 3, a separate pre-training survey will be conducted as well as a follow-up survey conducted at least three months after civic engagement training.

For participants in Component 1 and 2 of the project, the Baseline Survey and Post-Training Completion Survey will be used for data collection.
For individuals trained only as part of Component 3, a separate pre-training survey will be conducted as well as a follow-up survey conducted at least

**Responsibility for**
**Data Collection**

M&E Specialist M&E Specialist Page 26 of 34

Baseline Survey and Post-Training Completion Survey


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125)

**Unit of** **Data Source /**
**Indicator Name** **Corporate** **End Target** **Frequency**
**Measure** **[Baseline ]** **Methodology**

three months after civic engagement training.

Percentage of beneficiaries taking a more active role in their communities disabled Percentag e 0.00 50.00 Twice, once before civic engagement training and again at least three months after civic engagement training completion.

For participants in Component 1 and 2 of the project, the Baseline Survey and Post-Training Completion Survey will be used for data collection.
For individuals trained only as part of Component 3, a separate pre-training survey will be conducted as well as a follow-up survey conducted at least three months after civic engagement training.

**Responsibility for**
**Data Collection**

M&E Specialist Description: Total number of individuals trained in civic engagement topics who report a higher level of community activity compared to the level reported before receiving training and support.

**Intermediate Results Indicators**

**Responsibility for**
**Data Collection**

Page 27 of 34

**Indicator Name** **Corporate**

**Unit of**
**Measur**
**e**

**Data Source /**
**Baseline** **End Target** **Frequency**
**Methodology**

Baseline Survey and Post-Training Completion Survey


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125)

**Indicator Name** **Corporate**

**Name:** Number of local
governments participating in training on civic engagement

**Unit of**
**Measur**
**e**

**Data Source /**
**Baseline** **End Target** **Frequency**
**Methodology**

Number 0.00 15.00 Semi-annually

**Responsibility for**
**Data Collection**

Civic Engagement Service Provider, M&E specialist Civic Engagement Service Provider Civic Engagement Service Provider M&E Specialist and supplementary data collectors, as needed.

Page 28 of 34 Description: Total number of local government units who attended trainings

**Name:** Percentage
increase in participant knowledge of civic engagement concepts and methodologies Percentage increase in knowledge of civic engagement concepts and methodologies among persons with disabilities and representatives of organizations of persons with disabilities Percentag e Percentag e 0.00 50.00 Before and after each civic engagement training event 0.00 50.00 Before and after each civic engagement training event Reports provided by Civic Engagement Service Provider Pre and post training tests Pre and post training tests Description: Percentage increase in pre and post training test scores for individuals who participated in civic engagement training

**Name:** Percentage of
new businesses and employment still active after three months Percentag e 0.00 75.00 Once, at least three months after training completion, with the possibility of Post-Training Completion Survey


Input:
**The World Bank**
SPF: Improved Livelihoods for Internally Displaced Persons in Azerbaijan (P178125)

**Target Values**

**Project Development Objective Indicators FY**

**RESULT_FRAME_TBL_PDO**

**Indicator Name** **End Target**

Percentage of participants self-employed or employed by firms 80.00 Increase in income of households with individuals participating in the project 30.00 Percentage of registered participants completing training and receiving certificates 85.00 Beneficiaries of job-focused interventions 520.00 Beneficiaries of job-focused interventions - Female 260.00 Percentage of beneficiaries taking a more active role in their communities 50.00 Percentage of beneficiaries taking a more active role in their communities - female 50.00 Percentage of beneficiaries taking a more active role in their communities - disabled 50.00

**Intermediate Results Indicators FY**

**RESULT_FRAME_TBL_IO**

**Indicator Name** **Baseline** **End Target**

Number of local governments participating in training on civic engagement 0.00 15.00 Percentage increase in participant knowledge of civic engagement concepts and 0.00 75.00 methodologies Percentage increase in knowledge of civic engagement concepts and methodologies among persons with disabilities and representatives of organizations of persons with disabilities 0.00 75.00 Percentage of new businesses and employment still active after three months 0.00 75.00 Digital civic engagement platform created and operational N Yes Page 30 of 34


Input:
**The World Bank**
Generating Growth Opportunities and Productivity for Women Enterprises Uganda Project (P176747)

**Expected Disbursements (in US$, Millions)**

**WB Fiscal Year** 2022 2023 2024 2025 2026 2027

**Annual** 0.00 21.29 25.77 32.10 40.01 55.07

**Cumulative** 0.00 21.29 47.06 79.16 119.17 174.24

**INSTITUTIONAL DATA**

**Practice Area (Lead)** **Contributing Practice Areas**

Education, Finance, Competitiveness and Innovation, Gender,
Social Sustainability and Inclusion
Social Protection & Jobs

**Climate Change and Disaster Screening**

This operation has been screened for short and long-term climate change and disaster risks

**SYSTEMATIC OPERATIONS RISK-RATING TOOL (SORT)**

**Risk Category** **Rating**

1. Political and Governance  Moderate

2. Macroeconomic  Moderate

3. Sector Strategies and Policies  Moderate

4. Technical Design of Project or Program  Substantial

5. Institutional Capacity for Implementation and Sustainability  Substantial

6. Fiduciary  Substantial

7. Environment and Social  Substantial

8. Stakeholders  Low

9. Other  Moderate

10. Overall  Substantial

Page 3 of 77


Input:
**The World Bank**
Generating Growth Opportunities and Productivity for Women Enterprises Uganda Project (P176747)

**I.** **STRATEGIC CONTEXT**

**A. Country Context**

1. **Uganda has made significant progress towards socioeconomic transformation over the last three decades. The**
**country registered an average annual Gross Domestic Product (GDP) growth above 5 percent during the 2002 -2012**
**period.** However, the country’s growth trajectory remains volatile, following a leveling off of growth and the continuing
impacts of the Corona Virus Disease of 2019 (COVID-19). GDP growth decelerated to around 5 percent during 2013–2019
and the economy contracted by 1.1 percent in 2020 because of the Government of Uganda (GoU) strict COVID-19
containment measures and disruptions in global supply chains, which prompted a tightening of public investment and a
drop in consumption. With the loosening of containment measures, real GDP growth rebounded by over 13 percent in
the fourth quarter of fiscal 2021, as restrictions to contain COVID-19 were relaxed. Consumption, public investment, and
services all recovered strongly. However, new waves of infection in late 2021 and early 2022 led to the imposition of new
lockdown measures, disrupting the nascent economic recovery. The medium-term outlook remains uncertain. Under a
baseline scenario, real GDP is expected to grow by around 3.5-4.0 percent in fiscal 2022 and about 5.5 percent in fiscal
2023. Considering large global and domestic uncertainties, such as oil and food price shocks exacerbated by the war in
Ukraine, the recovery could be slower.

2. **The COVID-19 shock has been accompanied by increases in poverty and unemployment** . According to the latest
Uganda National Household Survey (UNHS), although overall poverty in 2019/20 (20.3 percent) was slightly lower than
in 2016/17 (21.4 percent), poverty in the COVID-19 period was significantly higher than in the pre-COVID-19 period. [1] It
increased to 21.9 percent during the first COVID-19 wave. Rising unemployment and work stoppages have pushed many
Ugandans, especially women, back into subsistence agriculture, setting back achievement of the country’s development
goal of reducing the share of the population dependent on subsistence agriculture as a main source of livelihood from
69 to 55 percent between 2020/21 and 2024/25. [2]

3. **Uganda is experiencing accelerating impacts from climate change that affect livelihoods in key sectors.** Rising
temperatures and variability in rainfall is producing more intense and longer lasting droughts as well as more frequent,
heavy precipitation events leading to flooding and landslides. These vulnerabilities are heightened given the economy’s
strong reliance on climate-sensitive sectors like agriculture and tourism. While women are particularly vulnerable to the
impacts of climate change, given their reliance on subsistence agriculture, they are also active in safeguarding resources
such as water, giving them important roles in protecting the environment.

4. **Supporting women’s entrepreneurship holds a critical place in Uganda’s efforts to revive its economy.** Currently,
women are less likely than men to be paid employees (13 percent of women compared with 23 percent of men), and
more likely to be self-employed (80 percent compared to men’s 70 percent). [3] In this context, promoting ways for women
to grow and expand their businesses is a good option to promote economic recovery. Micro, small, and medium
enterprises (MSMEs) created within the past five years now generate over 50 percent of formal jobs, and household
enterprises provide employment for another 3.1 million households. [4] Furthermore, women are particularly vulnerable

1 The Uganda Bureau of Statistics (UBOS) has recently announced poverty rates based on the UNHS 2019/2020. The data for this survey was
collected in two periods with a break during the strictest lockdown period between March–June 2020. The first data collection period started in
September 2019 and ended in February 2020, then it resumed in July 2020 and ended in November 2020.
2 Government of Uganda (2020), Third National Development Plan (NDP III).
3 GoU 2018. National Labour Force Survey.
4 World Bank. 2019. “Uganda Jobs Strategy for Inclusive Growth.”

Page 7 of 77

Uganda National Household Survey
National Labour Force Survey
UNHS


Input:
**The World Bank**
Generating Growth Opportunities and Productivity for Women Enterprises Uganda Project (P176747)

to climate change impacts but are also stewards of environmental management, have rich traditional knowledge and
experience adapting to climate change, and have great potential to contribute green, resilient recovery of the Ugandan
economy.

_**Refugees and Host Communities**_

5. **Uganda hosts the largest number of refugees in Africa, of which 52 percent are female.** Their number has more
than doubled since 2015 to almost 1.6 million. [5] About 94 percent of the refugees live in settlements across 12 Refugee
Hosting Districts (RHDs) with a population of 4,437,500 people (excluding Kampala), while the remainder live in urban
areas. GoU has invested consistently in improving access to services, infrastructure and livelihoods opportunities for
refugees and hosting communities both in rural and urban settings. There is a working age population (between 18 and
59) in refugee hosting districts of more than 315,000 refugee women and 918,000 host community women. [6] Half of all
refugee households are headed by women. [7 ]

6. **Uganda’s refugee population is overwhelmingly young and female, highly vulnerable to climate and other**
**shocks, and heavily dependent on government aid** . For refugee women, reduced humanitarian assistance and fewer
food rations coupled with the lockdowns and economic recession has further reduced their incomes and exacerbated
their vulnerability. They have been more adversely affected by climate-related and COVID-19 shocks than their Ugandan
counterparts and have been slower to recover. [8] Female refugees were more likely to stop working following COVID-19
lockdowns than Ugandan nationals or male refugees. While there was no difference based on gender, refugee businesses
were less likely to continue operating after COVID-19 shocks than those of Ugandan nationals. Compared to less than a
quarter of Ugandan households, at least half of refugee households borrowed money to cope with the impacts of the
COVID-19 emergency. Preliminary evidence suggests that many refugees in urban areas moved to rural areas during
lockdown and the subsequent months, due to difficulties of paying rent with reduced income. Under these intense
pressures, refugees are ten times more likely to suffer from depression. [9]

**B. Sectoral and Institutional Context**

7. **Uganda has the highest proportion of women’s business ownership in the Africa region.** The 2020 Mastercard
Global Index of Women Entrepreneurs estimated that women own nearly 40 percent of all businesses. [10] Earlier surveys
have presented more varied estimates, suggesting female-owned enterprises make up between 23–44 percent of all
businesses. [11] MSMEs are critical to the economic growth. They employ nearly 2.5 million people, 90 percent of all private
sector employees, produce 80 percent of manufactured products, and generate 20 percent of GDP. [12]

8. **Yet most women-led firms never grow past the micro level, while male-owned firms are twice as likely to move**
**from micro to small size** . Estimates from various surveys suggest that 80–94 percent of all women-owned firms in Uganda

5 United Nations High Commissioner for Refugees (UNHCR) and the Office of the Prime Minister (OPM). 2022. Uganda Comprehensive Refugee
Response Poral.

6 Host community numbers are UNHCR and OPM figures based on projected UBOS 2020 census data for women aged 20-59.
7 World Bank. 2019 Informing the Refugee Policy Response in Uganda: Results from the Uganda Refugee and Host Communities 2018 Household
Survey (English). Washington, DC: World Bank.
8 World Bank. 2021. Monitoring Social and Economic Impacts of COVID-19 on Refugees in Uganda: Results from the High-Frequency Phone - Third
Round. World Bank, Washington, DC. World Bank.
9 High-Frequency Phone Survey- Third Round. 2021.
10 Understood as firms in which at least 51 percent of shares are owned by women.
11 2021. Rapid Profiling of the Socioeconomic Dimensions of Female Entrepreneurs in Uganda. GROW Preparation, October 2021.
12 Financial inclusion and the growth of small medium enterprises in Uganda: empirical evidence from selected districts in Lango subregion. _J_
Innov Entrep 10, 23 (2021).

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Uganda Refugee and Host Communities 2018 Household Survey

2020 Mastercard Global Index of Women Entrepreneurs


Input:
**The World Bank**
Generating Growth Opportunities and Productivity for Women Enterprises Uganda Project (P176747)

owned enterprises without children. [19] With total fertility rates in Uganda still very high at 4.7 children per woman, care
burdens are compounded for women.

13. **Social norms and risks of violence against women also influence the choices of Ugandan women for businesses**
**sectors and sizes.** Women can feel discouraged from entering or expanding in more profitable (male-dominated) sectors,
as doing so may signal their transgression of gender norms about men being the main income providers in households.
Risk of violence also constitutes a significant barrier to women’s entrepreneurship in Uganda. A 2020 national survey of
violence against women reports that almost all (95 percent) of Ugandan women between 15–49 years old have
experienced physical or sexual violence from either an intimate partner or a non-partner during their lifetime. [20] This is
more than three times the global average (27 percent lifetime,) and the averages for Sub-Saharan Africa (33 percent
lifetime). _[21 ]_ More than half reported that their partners insisted on knowing where they were at all times (54 percent) and
control how they spend their money (29 percent).

14. **Women entrepreneurs are likely to be excluded from the channels of information, networks, and mentors**
**associated with the more profitable, male-dominated sectors and businesses within them** . Throughout a firm’s life, the
diversity of networks can impact whether an entrepreneur has access to credit, learns about new market opportunities,
and acquires the skills needed to successfully operate their businesses. [22] Studies of women entrepreneurs in Uganda find
that women who work closely with a mentor—often male, and usually a family member—are more likely to transition
into higher-profit sectors. [ 23] [24]

15. **Additional factors that block women from developing growth-oriented enterprises in profitable sectors are**
**related to the failure of existing business development services to address the needs of women-owned firms** .
According to an enterprise survey conducted in 2014, MSMEs lacked key skills needed for business growth. Only 28
percent of firms surveyed said they do book-keeping to track revenues and expenses; a mere 10 percent had invested in
training for employees; and just 36 percent had access to the internet. Female-owned firms appear to be particularly
lacking when it comes to the use of standard business practices. A recent microenterprise survey showed a gender gap
of 24 percentage points on an index of adoption of good business practices. Few training courses address the specific
challenges of formalizing a business, including meeting tax obligations, preparing proper records, fulfilling reporting
requirements, and obtaining licenses. Training tends to focus on limited topics, such as financial or computer literacy,
but leaves out training in life skills and support for network. Yet, global evidence demonstrates that developing socioemotional skills, through psychology-based trainings, are as important to enterprise success as strengthening business
skills. [25] Finally, many business development services continue to train women for sectors where women-owned firms are
over-represented, such as small trade or food service, rather than where they could diversify their business and earn
higher profits.

19 Delecourt, S. and Fitzpatrick, A. 2021. “Childcare Matters: Female Business Owners and the Baby-Profit Gap.” Management Science, Vol, 67, No.
7. May 13.
20 Uganda Bureau of Statistics (2021). Uganda Violence Against Women and Girls Survey 2020. Uganda Bureau of Statics. Kampala, Uganda. This
survey was designed as part of the UNHS and drew from UNHS samples which are nationally representative.
21 World Health Organization (2021). Violence against women prevalence estimates, 2018: global, regional and national prevalence estimates for
intimate partner violence against women and global and regional prevalence estimates for non-partner sexual violence against women. Geneva:
World Health Organization.
22 World Bank (2019). Profiting from Parity: Unlocking the Potential of Women’s Business in Africa. Washington, D.C.: World Bank.
23 Campos et al. 2015.
24 World Bank, 2022. Breaking Barriers: Female Entrepreneurs Who Cross Over to Male-Dominated Sectors. Washington, D.C.: World Bank.
25 Campos, F., Frese, M., Goldstein, M., Iacovone, L., Johnson, H. C., McKenzie, D., and Mensmann, M. 2017. “Teaching personal initiative beats
traditional training in boosting small business in West Africa.” Science, 357(6357), 1287-1290.

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national survey of violence against women


Input:
#### **Za’atari Refugee Camp -‐‐ Safety & Security Report (2013)**

(deWined
 as
 the
 ability
 to
 implement programs
 based
 on
 needs,
 rather
 than inWluence
 of
 other
 actors)
 arguably
 long contested
 between
 some
 of
 the
 longer-‐ staying
 informal
 refugee
 leaders
 and
 the camp
 management,
 then
 a
 number
 of conWidence
 building
 measures
 were
 required in
 the
 second
 and
 third
 quarters
 of
 2013.
These
 measures
 were
 implemented
 with
 a view
 to
 gaining
 acceptance
 among
 the broader
 camp
 population
 and
 the
 Wirst ‘district
 level’
 meetings
 comprising representative
 Wigures,
 rather
 than
 those Wigures
 that
 inWluenced
 the
 security
 dynamic, also
 occurred
 in
 June
 –
 according
 to
 one
 IP.

It
 was
 commonly
 understood
 that
 a signiWicant
 percentage
 of
 the
 security incidents
 that
 took
 place
 in
 the
 Wirst
 and second
 quarters
 of
 2013,
 particular
 the
 stone throwing,
 protests
 and
 in
 some
 cases disorder
 and
 violent
 protests
 were orchestrated
 by
 informal
 leaders
 in
 the
 camp to
 effect
 an
 outcome
 (change
 in
 distribution criteria)
 or
 preserve
 existing
 inWluence
 (being against
 veriWication
 processes).

With
 the
 camp
 co-‐ordination
 broadened along
 a
 sectorial
 approach
 and
 new
 IPs entering
 the
 camp
 together
 with
 an amenable
 donor
 environment,
 tangible evidence
 of
 the
 international
 community’s assistance
 was
 realised.

In
 addition
 to
 the
 changes
 in
 camp management,
 the
 FSU
 in
 concert
 with
 NRC established
 a
 Security
 Working
 Group
 and
 a weekly
 meeting
 for
 security
 focal
 points, which
 included
 UN
 agencies,
 NGOs,
 other implementing
 partners
 as
 well
 as
 SRCD
 with the
 objective
 of
 sharing
 information
 on
 the safety
 context
 and
 solving
 operational security
 issues.

_**Economics**_ Economics
 or
 more
 speciWically
 money contribute
 fundamentally
 to
 the
 camp dynamic.
 The _Champs
 Elysees_ or
 Market street
 has
 impressed
 even
 seasoned humanitarian
 workers
 as
 well
 as
 Jordanians with
 experience
 of
 other
 refugee
 camps
 in t h e i r c o u n t r y . T h e l e v e l - f entrepreneurialism
 across
 all
 facets
 of
 camp life
 has
 shaped
 a
 particular
 dynamic,
 which in
 turn
 has
 led
 more
 than
 one
 IP
 to
 declare that
 ‘economic
 factors
 are
 the
 main
 drivers
 of insecurity.’ Some
 unconWirmed
 estimates
 suggest
 that
 the retail
 activity
 in
 Za’atari
 camp
 equates
 to approximately
 US$
 2
 million
 a
 month,
 which is
 believed
 to
 exclude
 the
 illicit
 economy.
According
 to
 a
 senior
 camp
 ofWicial
 ‘400,000 people
 came
 in
 and
 300,000
 left.
 With
 the property
 that
 was
 sold,
 it
 created
 an economy
 ‘
 expanding
 to
 ‘the
 issue
 of
 buying consent
 from
 ‘host
 families.’
 Separately, though
 related,
 an
 ACTED
 Livelihoods
 Survey from
 August
 2013,
 stated
 that
 ‘selling
 goods from
 donations
 inside
 the
 camp’
 comprised 27%
 of
 income
 generating
 activities.

If
 the
 reported
 control
 over
 some
 cash
 for work
 (CFW)
 sites,
 ‘protection’
 for
 retail properties,
 rent
 for
 retail
 properties
 and various
 other
 illicit
 activities
 are
 included, then
 the
 real
 economy
 within
 the
 camp would
 be
 signiWicantly
 higher.
 With
 a
 Winancial incentive,
 competition
 between
 groups
 (clan or
 village)
 becomes
 solidiWied,
 which
 has
 led to
 numerous
 media
 reports
 of
 ‘maWia-‐like’ activities
 in
 the
 camp.

Where
 the
 economic
 factors
 can
 inWluence
 the safety
 and
 security
 context
 is
 when
 the economic
 interests
 of
 a
 group
 or
 informal leader
 is
 curtailed
 or
 threatened.
 Arguably, this
 has
 occurred
 during
 the
 ‘sweeping’
 or veriWication
 waves
 in
 the
 camp,
 when
 certain teams
 were
 denied
 access
 to
 primarily
 some of
 the
 older
 areas
 of
 the
 camp.
 It
 has
 also occurred
 during
 numerous
 caravan distributions,
 as
 they
 are
 viewed
 as
 a
 highly prized
 commodity
 in
 addition,
 of
 course,
 to being
 preferable
 to
 tents.
 Numerous
 sit-‐ins, seizures,
 thefts
 and
 smuggling
 of
 caravans have
 occurred,
 which
 have
 not
 uniquely
 been attributed
 to
 the
 shelter
 needs
 of
 refugee households.
 It
 is
 highly
 probable
 that
 the majority
 of
 intra-‐refugee
 intimidation
 and violence
 is
 not
 reported
 and
 settled informally
 and
 therefore
 the
 true
 scale
 of
 the economic
 conWlicts
 within
 the
 camp
 are almost
 impossible
 to
 ascertain.
_**Governance
 (formal
 &
 Informal)**_ In
 order
 to
 create
 decentralised
 interlocutors


Input:
To provide a sense of the size of these populations and the potential scale of the legal access problem, as of the end of 2017, UNHCR had counted 71.44 million persons of concern globally, including over 19.94 million refugees, 3.09 million asylum seekers, 39.11 million IDPs, 4.89 million returnees, 2.79 stateless persons, and 1.59 million others of concern. Global figures have increased every year since 2010. [4] This research focuses on the situation of asylum seekers, refugees, and returnees. [5] Although the protection of stateless persons who have not been forcibly displaced is an integral part of UNHCR’s core mandate, they have not been included in the scope of the research as a result of the limitations on existing data and project resources. Likewise, IDPs and others of concern are not explicitly included in the analysis, although it has been observed that in several countries IDPs can face greater barriers to access than refugees due to the lack of availability of appropriate ID credentials. Similarly, the research was unable to consider the situation of host communities, whose importance in addressing the challenges of displacement is being increasingly recognized. [6] Finally, due to limitations in scope and resources, the research has not unpacked demographic considerations such as gender and age. While telecommunications and financial regulations generally do not take into account such issues, specific barriers may exist for different demographic groups in certain contexts, which would need to be further examined.

_**Research Questions**_ The main research questions driving the research [7] are:

1. What legal and regulatory barriers related to ID exist for asylum seekers, refugees,
and returnees to access mobile connectivity, bank accounts, and mobile money across 20 selected countries? [8] 2. What policy, regulatory, and operational good practices can be identified to mitigate these access barriers?
3. What strategic engagement and advocacy opportunities exist at national, regional, and global levels to improve the regulatory environment and State practice to facilitate inclusion?

_**Structure of Report**_ This report proceeds as follows: The next chapter discusses the benefits of connectivity, financial inclusion, and government-recognized ID credentials for populations of concern and for areas where they live. The report then reviews the two regulatory drivers that 4 UNHCR Population Statistics: http://popstats.unhcr.org/en/overview 5 The term ‘displaced’ is used in the report as a catch-all to capture these groups. Where necessary, more nuanced terms are used 6 See, for example, World Bank, _Forcibly Displaced._ 7 A brief note on methods: The research involved extensive desk research and literature reviews, interviews with experts in the humanitarian, development, and ID/registration policy domains, surveys of UNHCR country operations, and ongoing engagement with trade bodies such as GSMA as well as regulators, including at the International Telecommunications Union Global Symposium for Regulators.
8 Afghanistan, Bangladesh, Brazil, Burundi, Cameroon, Central African Republic, Chad, Democratic Republic of Congo, Ethiopia, Jordan, Kenya, Lebanon, Mauritania, Niger, Nigeria, Rwanda, Tanzania, Turkey, Uganda, and Zambia.

motivate the need for additional evidence and analysis: SIM registration and Know Your Customer (KYC)/Customer Due Diligence (CDD) requirements. The analysis provides a summary view into good practices and examples of challenges faced by displaced populations with respect to SIM registration and KYC/CDD policies and practices.
Among the report's key findings are both operational and policy insights. The report makes recommendations to both governments and humanitarian and development organizations, including UNHCR, before concluding with reflections on emerging issues and future research to reduce barriers to accessing connectivity and financial services.
This report is accompanied by a series of country reports which detail the state of laws and regulations requiring proof of ID across the 20 countries that were part of the study.

_**Intended Audience**_ This report is targeted at a wide audience: State bodies such as national telecommunications and financial regulators (including Central Banks and financial intelligence units), national refugee agencies, and national ID authorities, as well as legislatures; intergovernmental bodies such as the Financial Action Task Force (FATF) and regional associates; telecommunications policy bodies like the East African Communications Organisation; development partners such as the World Bank and funders; humanitarian agencies such as UNHCR, World Food Programme, and the International Committee of the Red Cross, as well as non-governmental organizations; financial service providers, mobile network operators, and relevant trade bodies such as the GSMA; and other organizations that work to provide displaced persons with access to connectivity or financial services. We appreciate that this research represents an initial foray into the subject matter and that it will undoubtedly raise more questions for each stakeholder that warrant further study.

7 8


Input:
**2. Humanitarian Context: Why Connectivity, Financial Services, and ID Matter**

All too often discussions on connectivity, financial inclusion, and ID take place in isolation.
This is partly to do with organizational structures within States and established ways of working within humanitarian agencies and between development partners. However, advances in technology and innovations in humanitarian assistance force us to think more holistically and comprehensively about the interdependencies across connectivity, financial inclusion, and ID, the humanitarian/development nexus, as well as the common challenges. [9] This chapter therefore develops an understanding of connectivity, financial inclusion, and ID attentive not only to key issues within each domain, but also the critical linkages.

_**Value of Connectivity for Displaced Persons**_ In 2016, the United Nations High Commissioner for Refugees conveyed in his preface to the _Connecting Refugees_ report that: “A connected refugee population can play a critical role in enabling organizations such as UNHCR to innovative effectively and to improve the quality of services that we provide. Connectivity has the potential to transform how we communicate, the way in which we respond to the protection needs of displaced people, and our delivery of humanitarian services. Most significantly, better connectivity can promote self-reliance by broadening the opportunities for refugees to improve their own lives. Access to the internet and mobile telephone services has the potential to create a powerful multiplier effect, boosting the well-being of refugees and of the communities that host them.” [10] Connectivity, and in particular mobile connectivity, has the potential to mitigate the effects of forced displacement in several ways. [11] Among the benefits of connectivity to refugees and other displaced populations are:

**•** **Communication** : Communicating with friends and family (both in one’s home and
host country) has been identified as the most important need to be connected. [12] Refugees and other displaced populations arguably have a greater need for communication than the general population because displacement often separates them from their loved ones and can cause social isolation. Communication can also help with family reunification.

**•** **Access to information** : The benefits of access to information for refugees and
other displaced populations are multifold and in some cases can be life-saving.
For some, connectivity can help mitigate 'information precarity' — a condition of information instability and insecurity that may result in heightened exposure to violence — by providing people with increased access to news and other 9 See, for example, A. Gelb and A. Metz, _Identification Revolution: Can Digital ID Be Harnessed for Development?_ and N. Oakeshott et al., _Empowering Refugees and Internally Displaced Persons through Digital Identity_ [: http://blogs.worldbank.org/voices/node/5636](http://blogs.worldbank.org/voices/node/5636) 10 UNHCR, _Connecting Refugees_, p. 5 11 There are, of course, attendant risks as well, which must be better understood and mitigated as connectivity efforts expand and deepen. For recent work in this area, see: _The Humanitarian Metadata Problem_ report by Privacy International and ICRC (on which UNHCR was involved) 12 UNHCR, _Connecting Refugees_, p. 16 information that is most relevant to their circumstances. [13] Connectivity can also facilitate better access to information about the situation in one's home country, allowing refugees to make better informed decisions about whether and when it might be safe to return home. [14]

**•** **Education** : Relatedly, connectivity has been shown to yield both formal and
informal education opportunities. [15]

**•** **Protection** : Connected refugees and others who are displaced can access
security-relevant information and security-enhancing services (e.g. protection incident reporting/tracking and hotline services) provided by agencies like UNHCR. Connectivity can help streamline the asylum process by facilitating more timely communication. It can also help in terms of enhancing community-based protection by assisting populations of concern to self-organize and engage more substantially with humanitarian programming. [16]

**•** **Livelihood opportunities:** Being connected can increase economic opportunity
in different ways. Mobile connectivity can help refugees and others create and sustain their own businesses. [17] Mobile phones help them search for market information, communicate with suppliers, and identify and connect with new customers. [18] In some cases, mobile connectivity may also allow for the possibility of working remotely, which may be important in situations where populations face constraints on the right to work or limited opportunities in the local economy. [19]

**•** **Social capital** : Mobile access can help bond and bridge social capital by facilitating
the revival of disrupted social networks, by helping refugees search for work and maintain contact with employers, and by enabling refugees to maintain and leverage extralocal networks. [20]

**•** **Mental health** : There is emerging evidence of a possible relationship between
refugee phone usage and mental health: A 2018 study found that each additional day a respondent used a phone the week prior to being surveyed was associated with a reduction in their probability of being depressed. [21]

**•** **Access to finance** : As will be discussed in the next section, access to financial
services via a mobile device has proven to be one of the most important benefits of connectivity, facilitating easier access to cash, including remittances, more efficient payment methods, and other applications.

Moreover, as suggested by the UN High Commissioner for Refugees, there are connectivity benefits not just to displaced persons, but also to other humanitarian stakeholders including aid agencies, host governments, and host communities. As examples, connectivity creates two-way communication opportunities between agencies and refugees to better understand the security and health risks among the population.

13 Campbell et al., _Syrian Refugees and Information Precarity_, p. 3 14 UNHCR, _Connecting Refugees_, p. 28 15 GSMA, _Mobile is a Lifeline_, pp. 28-30 16 UNHCR, _Connecting Refugees_, p. 32 17 GSMA, _Mobile is a Lifeline_, p. 23 18 Betts et al., _Refugee Economies_, p. 33 19 UNHCR, _Connecting Refugees_, p. 32 20 Göransson, _Apping and Resilience_, p. 2 21 Latonero et al., _Refugee Connectivity_, p. 27 9 10


Input:
In the host country:

- Limited protection of individual rights, such as freedom of movement, and the risk
of abuse or exploitation such as arbitrary arrest and detention

- Limited access to services and benefits, including mobile connectivity, finance,
and social protection schemes

- Inability to document life events (births, marriages, etc.)

- Inability to prove legal residence on the territory, creating the risk of _refoulement_
and preventing solutions Returning home:

- Inability to repatriate, because of difficulty proving nationality, especially for
children of refugees born in the host country

- Difficulty in maintaining a recognizsed family unit

- Difficulty obtaining ID credentials in the home country

- Difficulty claiming access to services, including social protection

- Difficulty reclaiming property and other rights

- Post-conflict population registries may intentionally or unintentionally exclude
groups The international protection regime requires that refugees who lack valid travel documents are issued with credentials to prove their identity by the authorities of the host State if they do not have a valid travel document. The authorities should also provide replacement documents and certificates that would usually be provided by the refugees’ country of origin, but can also be provided by an internationally recognized and mandated authority, such as UNHCR. [31] While outside the scope of the study, it is worth noting that the United Nations Guiding Principles on IDPs similarly recognize that IDPs and returning IDPs should be provided with all documents necessary for the enjoyment of their legal rights, including replacement documentation, without discrimination between men and women. [32] States are therefore primarily responsible for registering and providing ID credentials to asylum seekers and refugees as a crucial first step in ensuring their protection. [33] In line with its mandate, UNHCR has often provided support to States, particularly in situations of mass influx by undertaking refugee registration. The organization’s protection mandate provides a basis for it to undertake refugee registration and documentation where States are unable or unwilling to do so. In addition, UNHCR also supports States through the joint use of the digital tools contained in UNHCR’s Population Registration and Identity Management Ecosystem (“PRIMES”), including its biometrics systems. [34] Many States, particularly in Africa, are increasingly taking more responsibility for refugee registration and are considering including refugees in foundational ID platforms, where 31 See, for example, 1951 Convention on the Status of Refugees, Articles 25 & 27 32 UN Guiding Principles on Internal Displacement 1998, Principle 20 33 UNHCR Executive Committee Conclusion on Registration of Refugees and Asylum Seekers, No. 91 (LII) - 2001 34 See UNHCR PRIMES: https://www.unhcr.org/primes.html they exist or are under development. In some states, particularly those with Integrated Population Registration Systems, consideration is being given to interoperability between functional refugee registries and national registries, for example, to facilitate the deduplication of refugees from citizens and vice-versa in relevant registries. In light of States taking increasing responsibility for refugee registration, there are growing opportunities for greater government recognition of the ID credentials issued to registered refugees and to promote their greater inclusion in mainstream ID systems.

These approaches, recognized in the Global Compact on Refugees [35] (adopted in late 2018), can result in States being provided with a clearer picture of who lives on their territory, create efficiencies in distributing assistance, and prevent fraud. On the other hand, refugees and other displaced persons can expect to receive recognized ID credentials which can increase their access to services and protection. They are also consistent with the establishment of Integrated Population Registration Systems.

ID is no longer just paper-based and centered on breeder documents, such as birth certificates and ID cards. The concept is broadening to include digital ID, enabled by new technologies like smart cards and biometrics, allowing individuals to authenticate their ID electronically such as though electronic KYC (whereby, for example, an individual’s biometrics are verified by querying a data store to authenticate his or her identity). These developments increasingly facilitate transactions in the digital sphere. UNHCR believes displaced persons should also have access to a digital ID, which can help further facilitate access to connectivity and financial services, as well as broader digital inclusion. This aligns with the G20 High Level Principles on Digital Finance, Principle 7, which calls for States to "facilitate access to digital financial services by developing, or encouraging the development of, customer identity systems, products and services that are accessible, affordable, and verifiable and accommodate multiple needs and risk levels for a riskbased approach to customer due diligence". [36]

[35 Global Compact for Refugees, Final Draft, paragraphs 58 and 82: https://www.unhcr.org/events/](https://www.unhcr.org/events/conferences/5b3295167/official-version-final-draft-global-compact-refugees.html)
[conferences/5b3295167/official-version-final-draft-global-compact-refugees.html](https://www.unhcr.org/events/conferences/5b3295167/official-version-final-draft-global-compact-refugees.html) 36 G20 High-Level Principles for Digital Financial Inclusion: https://www.gpfi.org/publications/g20-high-level-principles-digital-financial-inclusion 13 14

Population Registration and Identity Management Ecosystem


Input:
Refugee ID cards issued by host governments have the potential to be the most empowering form of ID for refugee populations, permitting access to a range of services, however this will depend on the national context including the regulatory framework.
Returnees in possession of national ID cards are likewise more likely to be identified to access government or private sector services. However, it must be noted that in many countries considerable delays have been experienced in the issuance of these documents to asylum seekers and refugees. Moreover the credentials issued to asylum seekers and refugees, both by UNHCR and by States, are not always recognized as proof of ID to access all private or public services.

Table 2 provides a summary view of the impacts of legal and regulatory frameworks on access across the 20 countries studied. The sections that follow focus on identified regulatory good practices that facilitate legal access as well as examples of how the law can constrain access to mobile connectivity, bank accounts, and mobile money.

_**Access to SIM Cards**_ To what extent do legal and regulatory environments facilitate or constrain access to mobile connectivity, i.e. SIM cards? While SIM registration is required in all 20 countries included in the study, displaced populations' access varies widely depending on the group and host country.

None of the countries reviewed permits asylum seekers consistent legal access to SIM cards due to their lack of recognized ID credentials, though informal workarounds are common.

For refugees, compared to asylum seekers, legal access to SIMs is comparatively less restrictive in many countries. Legal access may depend on how efficiently and quickly ID credentials are issued to refugees. For example, in Ethiopia a refugee ID card jointly issued by the Administration for Refugee-Returnee Affairs and UNHCR permits legal access to a SIM card; as of January 2019, only 37% of the refugee population had been issued such an ID credential by the government, though this figure is expected to increase rapidly over 2019.

In extreme cases, such as in Bangladesh, the sale of SIMs to Rohingya refugees has been banned by the government, with severe penalties for those who contravene the ban.

**Case study: Bangladesh**

SIM registration is required by law in Bangladesh as specified in the _Cellular_ _Mobile Phone Operator Regulatory and Licensing Guidelines, 2011_ (see section 38 on Registration of Subscribers). Overseen by the Bangladesh Telecommunication Regulatory Commission (BTRC) within the Posts and Telecommunications Division, Bangladesh's SIM registration process requires subscribers to provide a copy of their national ID card or passport, as well as fingerprint biometrics verified against a national database (as of late 2015) [59] in order to activate a mobile connection.

It is prohibited to register more than 15 SIM cards using the same ID credential.
In 2017 the BTRC proposed to reduce the number of SIM cards that can be registered to any one person from 20 to 5, but mobile network operators strongly objected on the grounds that many legitimate connections would be affected. The regulator and industry subsequently negotiated a compromise of the current cap (15 SIMs per person). The BTRC regularly blocks SIM cards that have been registered against the same ID credential in excess of this cap. [60] The BTRC imposes a $50 fine for each unregistered SIM. [61] A 2016 legal challenge against biometric SIM registration, based on privacy grounds and concerns about access by foreign entities, was unsuccessful. [62] In January 2019, BTRC launched an International Mobile Equipment Identity (IMEI) database to reduce the use of illegally imported devices. [63] Legal access to SIM cards by refugees in Bangladesh is extremely challenging, namely due to a lack of access to required forms of ID. Moreover, the BTRC has reportedly banned the sale of SIMs to Rohingya refugees and has allegedly criminalized the provision of previously registered SIMs to Rohingya. [64] Individuals have been arrested for selling both mobile devices and SIMs to Rohingya [65] and mobile network operators have been warned not to provide connections to refugees in contravention of the law. [66] It has been reported that the government is currently developing a process to sell SIM cards to the Rohingya, though details on this process are scant.

59 bdnews24, _Bangladesh Launches Registration of Mobile Phone SIMs with Biometric Details_ : https://bdnews24.
com/bangladesh/2015/12/16/bangladesh-launches-registration-of-mobile-phone-sims-with-biometric-details 60 Bushell-Embling, _Bangladesh to Block 3m Registered SIMs_ : https://www.telecomasia.net/content/bangladesh-block-3m-registered-sims 61 The Daily Star, _SIM Re-registration a Must in Bangladesh_ [: https://www.thedailystar.net/frontpage/sim-re-registration-must-139189](https://www.thedailystar.net/frontpage/sim-re-registration-must-139189) 62 Mukut, _Biometric SIM Registration Legal_ : https://www.dhakatribune.com/bangladesh/2016/04/13/biometric-sim-registration-legal 63 The Daily Star, _One-third Handsets Imported Illegally_ : https://www.thedailystar.net/business/telecom/bangladesh-telecom-regulator-mobile-phone-imei-database-launched-legal-import-mobile-handset-1691311 64 bdnews24, _Bangladesh Regulator Bans Selling Mobile SIMs to Rohingya Refugees_ : https://bdnews24.com/ bangladesh/2017/09/23/bangladesh-regulator-bans-selling-mobile-sims-to-rohingya-refugees 65 The Daily Star, _5 Rohingyas Jailed for Selling Mobile, SIMs_ : https://www.thedailystar.net/rohingya-crisis/5-rohingyas-jailed-selling-mobile-sims-1487776 66 The Daily Star, _Operators Selling SIMs to Rohingyas to Face Action_ : Govt: https://www.thedailystar.net/business/operators-selling-sims-rohingyas-face-action-govt-1466884 23 24

International Mobile Equipment Identity (IMEI) database