Document ofThe World Bank

FOR OFFICIAL USE ONLY

Report No: 21755

IMPLEMENTATION COMPLETION REPORT(IDA-30130)

ONA

CREDIT

IN THE AMOUNT OF SDR 43.7 MILLION (US$59.4 MILLION EQUIVALENT)

TO THE

GOVERNMENT OF INDIA

FOR THE

SECOND UTTAR PRADESH BASIC EDUCATION PROJECT

April 12, 2001

Education Sector UnitSouth Asia Region

This document has a restricted distribution and may be used by recipients only in the performance of theirofficial duties. Its contents may not otherwise be disclosed without World Bank authorization.

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CURRENCY EQUIVALENTS

(Exchange Rate Effective as indicated)

Currency Unit - Indian Rupees (Rs.)Rs. 100 - USS 2.16(2000-01)

USS 1.00 - Rs. 31.37 (1993-94)Rs. 31.39 (1994-95)Rs. 33.44 (1995-96)Rs. 35.50 (1996-97)Rs. 37.16 (1997-98)Rs. 41.30 (1998-99)Rs. 43.10 (1999-00)Rs. 46.37 (2000-01)

The figures indicate average exchange rates over Indian fiscal years.

FISCAL YEARApril I - March 31

ABBREVIATIONS AND ACRONYMS

AS Alternative SchoolsAWPB Annual Work Plan and BudgetAWS Anganwadis (Early Childhood Development Centers)BAS Baseline Assessment StudyBRC Block Resource CenterBSA Basic Shiksha Adhikari (Basic Education Officer)BSP Basic Shiks/ra Parishad (Basic Education Board)BTC Basic Training Certificate (for teachers of Elementary Schools)DBE Department of Basic EducationDCA Development Credit AgreementDEPC District Education Project CommitteeDIET District Institute of Education and TrainingDOE Department of EducationDPEP District Prinmary Education ProgranDPO District Project OfficeEAS End-term Assessment StudyECCE Early Childhood Care and EducationECE Early Childhood EducationEFAPB Education for All Project BoardEMIS Educational Management Information SystemESW Economic Sector WorkGC General CouncilGER Gross Enrollment RatioGOI Goverment of IndiaGOUP Govemment of Uttar PradeshHT Head TeacherICDS Integrated Child Development SevicesICR Implementation Completion ReportINSET Insevice TrainingMIS Management Wormation SystemMLL Minumurn Lvels of LeaningMS Mahila Sanakhya (Women's Empowerment Prop.)MTR Mid-Term ReviewNCERT National Council of Educational Resuch And TrainngNFE Non-formal EducationNGO Non-Governmental OrganizationNIEPA National Isttte of Educatonal Plming and AdniniusrtionNPRC Nyaya Pah Resource Cener (Custe lesel)OB Operation BlackboardPIP Project Implementation PiaaPMIS Project MYant formn SystemPRAC Policy Research Advisory CornnitteeQAG Quality Assurance GroupSAR Staff Appraisal ReportSC Scheduled CasteSCERT State Council of Educational Reseadh and TriningSIEMAT State Institute of Educational Mngment and TriningSPO State Project OfficeST Scheduled TribeUPBEP Uttar Pradesh Basic Education ProjectVEC Village Education Conunittee

Vice President: Meiko NishirnizuCountry Manager/Director: Edwin R. Lim

Sector Manager/Director Emmanuel Y. JienezTeam Leader: Edwand H. Heneveld

Task Team Leader: Venita Kaul

FOR OFFICLL USE ONLY

INDIASecond Uttar Pradesh Basic Education Project

CONTENTS

Page No.1. Project Data 1

2. Principal Performance Ratings 1

3. Assessment of Development Objective and Design, and of Quality at Entry I

4. Achievement of Objective and Outputs 4

5. Major Factors Affecting Implementation and Outcome 14

6. Sustainability 16

7. Bank and Borrower Performance 17

8. Lessons Learned 19

9. Partner Comments 21

10. Additional Information 21

Annex 1. Key Performance Indicators/Log Frame Matrix 23

Annex 2. Project Costs and Financing 25

Annex 3. Economic Costs and Benefits 27

Annex 4. Bank Inputs 28

Annex 5. Ratings for Achievement of Objectives/Outputs of Components 29

Annex 6. Ratings of Bank and Borrower Performance 30

Annex 7. List of Supporting Documents 31

Annex 8. Access and Retention 32

Annex 9. List of Studies completed under UPBEP at SIEMAT 37

Annex 10. Summary of Focus Group Discussion 38

Annex 11. List of NGOs involved in the Project 42

Annex 12. List of Pilot Projects and Innovations 43

Annex 13. Civil Works Progress 44

Annex 14. Government of Uttar Pradesh-Second Uttar Pradesh Basic Education Project 45Project Evaluation Report

MapIBRD 31400

This document has a restricted distribution and may be used by recipients only in theperformance of their official duties. Its contents may not be otherwise disclosed withoutWorld Bank authorization.

Project ID. P05063 8 Project Name: Second Uttar Pradesh BasicEducation Project

Team Leader: Venita Kaul TL Unit: SASED

ICR Type: Core ICR Report Date: April 12, 2001

1. Project Data

Name. Second Uttar Pradesh Basic Education Project L/C/TFNumber: IDA-30130CountrylDepartment. INDIA Region: South Asia Regional

Office

Sector/subsector: EP - Primary Education

KEY DATESOriginal Revised/lctual

PCD: 06/01/97 Effective: 03/30/98Appraisal: 07/02/97 MTR:Approval: 12/04/97 Closing: 09/30/2000

Borrower/Implementing Agency: Government of India/Govemment of Uttar Pradesh/EFAPBOther Partners:

STAFF Current At AppraisalVice Pr esident: Meiko Nishimizu Joseph WoodCountry Manager: Edwin Lim Heinz VerginSector Manager: Emmanuel Y. Jimenez Richard SkolnikTeam Leader at ICR. Edward H. Heneveld Adrian VerspoorICR Primary Author. Venita Kaul

2. Principal Performance Ratings

(HS=Highly Satisfactory, S=Satisfactory, U=Unsatisfactory. HL=Highly Likely, L=Likely, UN=Unlikely, HUN=HighlyUnlikely, HU=Highly Unsatisfactory, H=High, SU=Substantial, M=Modest, N=Negligible)

Outcome: HS

Sustainability: L

Institutional Development Impact: SU

Bank Performance: HS

Borrower Performance: HS

QAG (if available) ICRQuality at Entry: S

Project at Risk at Any Time: No

3. Assessment of Development Objective and Design, and of Quality at Entry

3.1 Original Objective:3.1.1 Uttar Pradesh Basic Education Project (UPBEP) was designed towards the following objectives: (a)improving access; (b) improving quality; and (c) building institutional capacity to manage elementaryeducation. The specific targets under each of these three categories are listed in the following table:

Improving Access Improving Quality & Building Institutional CapacityCompletion ._

UPBEP

i) Percentage of girls, i) Primary and Upper primary i) EFAPB to be fully functional.including Scheduled Castes( dropout and repetition rates will ii) State Institute of EducationalSC) and Scheduled Tribes( ST) be reduced by 50% over baseline Mangement and Training (SIEMATgirls, not in school will be estimates to be operational, providing 1000reduced by 50% over baseline ii) Grade V learning achievement person weeks of training andestimates; will improve by 50% over baseline completing at least five major policyii) 300,000 primary places will achievement levels; studies, annually.have been established, iii) Village Education Committees iii) District Institutes of Education ar daccording to norms, for (VECs) will be fully functional for Training (DIETs) and Block Resourcecurrently unserved children 50% of schools in the initial 10 Centers (BRCs) to be operationaliii) 150,000 upper primary districts. providing 1000 person weeks ofplaces will have been training in each district annually.established, according to iv) Trained planning and managementnorms, for currently unserved teams to be in place in both initial ai dchildren. reserve districts.iv) Additional 150,000 v) A state plan for extension of thechildren will be enrolled in basic education program will benon-formal primary education completed.

vi) Fully functional computerizedManagement Information System(MIS) both at state level and 10 proj- ;ctdistricts will be in place.vii) Achievement assessment systemwill be established.viii) State Council of EducationalResearch and Training (SCERT) wi Ihave improved procedures forcurriculum research and developmer tand textbook development.(ix) Primary curriculum will be revisedbased on Minimum Levels of Leami ig(MLL) and a new generation ofimproved textbooks provided to theschools.

UPBEP II*

Establish capacity to enroll: Improve learning achievement(i) All 6-10 year old children. and completion rates(ii) 75% of 11-13 year oldchildren.

*UPBEPII (Credit No. 30130-1997) objectives/targets are also included since this additional credit is not a stand-alone pr jectbut was proposed only to complement the investments made in UPBEP in the same 17 districts. UPBEPII was an outcom, ofan unanticipated surge in enrolments in UPBEP districts, resulting in a corresponding increase in demand for facilities an(:teachers.Therefore two of the three objectives of UPBEP i.e. improving access and improving quality and completion wereextended to UPBEPII as well. The text of the Implementation Completion Report of the two credits, therefore, rem ainscommon except for Section 3.5 on 'Quality at entry', Annex I on Key Performance Indicators, Annex 2 on Project Costsand Financing and Annex 4 on Bank Inputs.

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3.1.2 At the time of project preparation in 1992/93, the educational situation in the project districts wasamong the worst in India. The Gross Enrolment Ratio(GER) at that stage was only 63.3 percent for theprimary grades. The situation was even worse in the upper primary grades with the GER being only 32.5percent. Surveys suggested that less than 40 percent of girls from a cohort entering school completed thefirst five years of schooling. The baseline achievement tests in three districts showed that about half of thestudents in Grade 5, on whom literacy and numeracy tests were administered, had not mastered even Grade2 competencies. The support for teacher development and overall management of the education system wasalso inadequate. The objectives and programming included in the Government of India's (GOI) five-yearPlan recognized these conditions, and Government of Uttar Pradesh (GOUP) was aware that change wasneeded. The Bank's sector lending strategy and the Country Assistance Strategy (CAS) for Indiarecognized the link between education and reducing poverty and thus, supported the project's objectives.

3.1.3 The commitment of the Bank and India to universalizing elementary education after the JomtienConference in 1990, supported by revisions to India's national education policy in 1992, provided acommon ground for project planning. The research work done mainly by the state, prior to projectpreparation, also helped produce consensus among the Government of India, the state government and theWorld Bank that the Projects' three development objectives could use "unorthodox" design features (e.g.,management by an autonomous society, community construction of schools, financing of localnon-governmental organizations) on a large scale from the start of the project. Both GOI and the Bankallowed the state to develop its own design, and the Bank was particularly successful at providing supportwithout being intrusive. The investment in "softer" inputs -- research, training, improving young children'sschool readiness, teacher training, local supervision and support for teachers, learning materials, grants toteachers and schools for improving learning, and alternative delivery systems for hard-to-serve children --were evidence of a common understanding among all three participating entities that there are a complex setof factors that influence student's learning and continuation in school. Subsequent project designs for thesix national District Primary Education Programme (DPEP) projects that the Bank is now supporting builton this initial design.

3.2 Revised Objective:As soon as implementation of UPBEP started, the demand for places in schools in the project districtsincreased so rapidly that the need for more school facilities and additional teachers than originally plannedbecame fully apparent. Four years after UPBEP started, the second Basic Education Project-wasformulated for the same districts as the first project. The specific objectives for UPBEP II were to assist inthe establishment of the capacity to enroll all 6-10 year oldchildren and 75% of 11-13-year-old children.Also, as with UPBEP, the project sought to improve student leaming achievement and school completionrates. Following the mid-term review in 1996, with the agreement of the Bank, the targets for non-formaleducation were reduced with a view to encourage formal schooling.

UPBEP II complements the investments supported by the UP Basic Education Project (Cr. 2509-IN) whichwas approved in FY93 and which will close on September 30, 2000. UPBEP was designed to expandaccess, improve student learning and enhance the GOUP's capacity to manage elementary education in 10(increased to 17 through bifurcation) districts in UP, to produce more and better educated primary andupper primary school graduates. Project interventions to date have resulted in much higher than anticipatedgrowth in enrollments, resulting in unacceptably large classes and an acute shortage of classrooms. Theinvestments supported by UPBEP II are designed to assist GOUP deal with this surge in enrollments.Together with the investment of Credit 2509-IN, the project would: (1) establish the capacity to enroll all6-10 year old children; (2) establish the capacity to enroll 75 percent of 11-13 year old children; and (3)improve student learning achievement and completion rates.

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3.3 Original Components:The three objectives of UPBEP were further classified into sub-components: (i) Improving access:promoting community school construction program, improving non -formal primary education; (ii)improving quality and completion: strengthening community participation, improving readiness to learn.improving staff and teachers performance and school management, improving curriculum and textbooks,strengthening programs for women's education, rehabilitating dilapidated school buildings, supporting pilotprojects and innovations; and (iii) Building institutional capacity: Improving planning, management andprofessional support structures, improving information for planning, management and professional support.

3.4 Revised Components:None of the components was revised during implementation.

3.5 Quality at Entry:UPBEP II

3.5.1 As indicated above, UPBEP II was designed to specifically complement the UPBEP by assisting theGOUP to cope with the unanticipated surge in enrolments in the project districts in the first three years ofimplementation, as this was posing a potential threat to the quality of education. The Mid-term review(MTR) of UPBEP in 1996, identified the need for an estimated 16,000 classrooms and teachers to provideplaces in schools for classes of 45 for all 6-10 year olds and 75 percent of 12-14 year old children by 2000.It also indicated considerable variation among project districts in the observed outcomes of UPBEP anddemonstrated no clear evidence of increased learning achievement related to project inputs. These findingsof the MTR informed the development objectives of the UPBEP II which, therefore, focussed on Accessand Quality Improvement. As part of the preparation, the GOUP was encouraged by the Bank to prepa-ea comprehensive plan for pedagogical improvement and carry out a classroom observation study. Thesector finance study was also updated and GOUP agreed to carry out teacher rationalisation andredeployment to address the issue of teacher student ratio. As an influence of the multi-state, GOIsponsored the District Primary Education program (DPEP) which was concurrently being implemented,provision was made for teacher and school improvement grants to be made available in a decentralisedmode for enhancing the motivation of teachers and VECs and improving quality of teaching- learning.

Considering the limited objectives of the UPBEP II, the design and preparation of the project wasneed-based and appropriate. An analysis of the expenditure pattern and component-wise distribution ofexpenditure also indicates consistency with the PAD estimates. This reflects more realistic planning ascompared to UPBEP. The quality at entry is therefore rated as Satisfactory.

4. Achievement of Objective and Outputs

4.1 Ouitcome/achievement of objective:4.1.1 Expanding access

In UPBEP, the planned project objectives for access at the primary stage were to increase the GER to 7 !percent for girls and 85 percent for boys. For the Scheduled Caste (SC) children, the target was 71 percentfor girls and 109 percent for boys. Three sources of data have been used to assess these outcomes: (i) theDirectorate of Basic Education, which collects data from recognized private schools and all governmentprimary schools; (ii) the Educational Management Information System (EMIS), which was established i i1997 and is restricted to government primary and elementary schools and recognized private schools; and(iii) a survey of 24 blocks in six project districts undertaken in 1999 by SIEMAT. While there continue tobe problems with the coverage and quality of the data, each of the sources suggests that, without doubt,primary enrolments have increased dramatically, particularly for all girls and for SC girls, with the over ill

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GER ranging between 93 and 102 percent (Annex XIII). The Directorate of Basic Education estimates thattotal enrolments increased from 2.6 million (in 1993) to 5.00 million (in 2000) and the girls' enrolmentsincreased from 31 percent of the total (in 1993) to 43 percent (in 2000). Enrolment growth in the projectdistricts is estimated to have been around 33 percentage points higher than in non-project districts.Enrolment data generated by the EMIS indicates that enrolments since 1997 have increased by 20 percentoverall, with higher increase for girls and for SC girls, in particular. The overall net enrolment rate wasestimated in the survey of six districts to be around 84 percent. The slowing down of the growth of Class 1enrolments since 1997 suggests that the final phase of the universalization of primary education willprovide a greater challenge.

The access objective for primary schooling in UPBEP II was to assist in establishing the capacity to enrolall primary aged children. All estimates of number of primary places created suggest that there aresufficient places across the state within govemrnent and all private schools combined to have achieved theplanned objective, though some children in remote villages will not have access to school within the statenorm of 1 km.

For the upper primary stage, the objectives for UPBEP were to increase the GER to 64 percent for girlsand to 76 percent for boys. For SC children, the planned increase was to 22 percent for girls and 43percent for boys. The EMIS does not currently collect data on upper primary schooling. According to lessreliable data from the Directorate, enrolments in project districts increased from 708,000 in 1993 to 1.76million in 2000, an increase of 148 percent. For girls the GER in 2000 is 65 percent, and for SC girls 43percent. For boys the rates were 78 and 61 percent, respectively. All objectives have thus been met. ForUPBEP II, the objective was to assist in providing places for 75 percent of the age group. The grossenrolment ratio was 72 percent in 2000, which indicates that this objective has almost been met.

Finally, another specific access objective for UPBEP, which covered both primary and upper primaryschooling, was a 50 percent reduction in the percentage of girls out of school. The total out-of-school girlsaged 6 -14 years are reported to have decreased from 1.48 million in 1993 to 0.58 million in 2000, areduction of 61 percent. In 1993, out-of-school girls aged 6-14 years were equal to 50.0 percent of the agegroup. In 2000, the percentage is reported to have fallen to 18.2 percent. These figures need to beregarded as estimates only, but given the strong evidence of growth in primary school enrolments, theobjective is very likely to have been met. This is further corroborated by the focus group discussions, assummarized in Annex 11.

Although achievements in enrolments have been significant, a fall-out of this has been the increasing pupilteacher ratios and high pupil classroom ratios. At the primary stage, the pupil teacher ratio was estimatedto be 47:1 in 1993. The EMIS data show 56 and 60 pupils per teacher in 1997 and 2000, respectively.Further, within districts there are wide variations between schools, with pupil teacher ratios in someschools of over 100: 1. The Government is currently in the process of reducing the ratio through localrecruitment of para teachers. Average class size has fallen from 54 in 1997 to 50 in 2000. However, it is64 and above in three districts and again there are wide variations among schools. The inconsistencies inpupil-teacher ratio and average class size are largely due to uneven distribution of teachers, which thegovernment is now trying to rationalize.

One area where the project has not achieved its access objectives is in non-formal education. The initialobjective was to provide an additional 150,000 places (in 5000 new centers). A total of 441 centers (3965children in primary and 885 children in upper primary) have been established and the overall enrolment hasbeen constant since 1997, according to the EMIS. The GOUP's decision to scale down the NFE objectiveand to give greater emphasis to placing children in formal schools was endorsed by the Mid-Term Reviewin December 1996.

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4.1.2. Improving Quality and Completion

Dropout and Repetition Rates: The baseline estimates for overall dropout rates for children in primaryschool were 60 percent for girls and 40 percent for boys. No detailed cohort studies have been undertaken.The application of the reconstructed cohort analysis methodology to EMIS data generates a current cycledropout rate of 27.7 percent, with virtually no gender differences (though the result depends critically onthe assumption made about the number of times a child repeats a class). The dropout rate estimated fromthe sample survey was slightly higher at 32 percent. Thus, both data sources suggest that the target forreducing the dropout rate is close to being achieved. The average class repetition rate at the primary stagein 1999-2000, as obtained from EMIS data, is 3.3 percent as compared to approximately 12 percent (1'93)indicating a considerable reduction. The dropout and the repetition rates in each class have been used bxthe state project officials to calculate the average number of years of teaching inputs required to produceone per primary school completer. This has exactly met the SAR target of about 6.3 years compared to abaseline estimate of 8.6 years, implying considerable gains in system efficiency.

For the upper primary stage, no estimates of the dropout and repetition rates were available at the start ofthe project and the EMIS also does not yet cover this stage of schooling. Consequently, it is not possible toevaluate whether the project objective of reducing the dropout rate by 50 percent over baseline estimate,has been achieved. However, a recent survey across three districts reports a dropout rate of 13.9 percerl.The average repetition rate (per grade) for upper primary grades is reported to be 3.8 percent in the sampledistricts. Overall, the current estimates of both dropout and repetition appear to be relatively low (seeAnnex 13).

Learning Achievement: The SAR had set the target of 50 percent improvement in Grade 5 learningachievement levels over the baseline achievement survey (BAS). While the mid-term assessment (MAS Idid not indicate any definite improvement over the baseline, the Final Achievement Survey (FAS) indicatesa significant increase over BAS and MAS levels, surpassing the planned targets. The extremely skeweddistribution of scores however raises certain reservations about the methodology used and validity of theachievement levels attained. At another level of analysis, given the intensive pedagogical interventionsmade in the project, the FAS and another end-term study on classroom processes indicate a definiteimprovement over the baseline in terms of outcomes related to classroom quality such as teacherattendance, frequency of assessment, correction of tests and homework, etc. The study on classroomprocesses also observed the quality of teacher student interaction, instances of child initiated learning andoverall socio-emotional climate in the classroom. The study concluded that the extensive training ofteachers, availability of attractive textbooks, supplementary reading material and teaching learningmaterials, made possible by the TLM fund under the project, have evidently contributed to more interestingclassrooms and an observable change towards more child-friendly behavior in teachers, as compared to thebaseline. This was also confirmed in the course of the focus group discussions held in three districts(Annex 11). However, the new teaching methods that are advocated require further consolidation at theschool level, supported by a more conducive teacher pupil ratio. At the upper primary stage the qualityaspects received attention only in the last two years of the project in the form of teacher grants, schoollibraries, curriculum revision, preparation of new textbooks and teacher training. The impact of these has,therefore, not been studied. Overall, the review does indicate the need for more robust and independentmonitoring and evaluation mechanisms to assess impact of interventions and make mid-course corrections,where needed.

Village Education Committees: VECs are statutory bodies under the Basic Education Act for providingdecentralised school management. The SAR had set the target of fully functional VECs for 50 percent ofthe schools by the end of the project. Under UPBEP, the VECs were activated in 12,568 villages in the

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project districts. The functions envisaged for the VECs were to disburse funds for school construction andsupervision; purchase educational material; community contact and mobilization, carry out micro planning;supervise schools, alternative schools and Early Childhood Care and Education (ECCE) centers, resourcemanagement of funds like school improvement funds; and secure convergence with other departments, etc.Involving VECs in school supervision and development, including delegation of some financial control tothem, seems to have led to a sense of ownership of schools and some responsibility towards them.However, in terms of overall impact, while an exact estimate of fully functional VECs is not available, theirperformance could be considered by and large satisfactory in school construction and organization ofenrolment drives. Their involvement in regular school management does not yet appear to be significant.

4.1.3 Building Institutional Capacity

The project has contributed significantly to the development of instituional capacity in the state forplanning and management of elementary education in the state. In consonance with the planned projectobjectives, new institutions were created and existing institutions strengthened under the project. Anautonomous EFAPB, established in Lucknow, is fully functional and through its state project office anddistrict project offices will continue to supervise implementation of sustained activities for two more yearsin UPBEP districts. SIEMAT has been established and has emerged as a Regional Research and ResourceCenter (RRRC) for the Northern Hindi speaking states. It has exceeded the SAR target of 1000 personweeks by providing 2000 person weeks of training to the state, districts and block level officials. TenDistrict Institutes of Education and Training (DIETS) were provided additional residential places for 40trainees, audio-visual equipment and opportunities for staff development under the project. These providesupport to the quality component of the project under the present institutional arrangement. Block resourcecenters (BRC) were established in 176 blocks and Nyaya Panchayat Resource Centers (NPRC) in 1768Nyaya Panchayats to provide in-service training and on-site professional support to all teachers in adecentralized mode. These are at present fully functional. The BRCs have provided 43,000 person weeksof training to teachers annually, again exceeding the SAR target. Trained planning and management teamswere positioned in the initial project districts but the need for establishing such teams in reserved districts(proposed in the event of savings) did not arise as no surplus project funds were available. A state plan forthe extension of the basic education program was prepared which resulted in subsequent projects, i.e.,DPEP II (UP component) and UP DPEP III. A computerized management information system, set inplace under the project, is functional in the project districts. However, while data quality collected by theEMIS has improved, it is still uneven. The coverage is also limited to govemment schools and someprivate recognized schools. Due to the detailed data collection formats that need to be filled out by schools,private schools often do not complete them. The capacity at the state, district and block levels to analyzethe data is also still limited, and analytical capacity is yet to be developed, especially in the districts. TheSCERT was strengthened and actively involved in curriculum revision, textbook development and teachertraining. However, long-term capacities do not seem to have been significantly developed.

4.2 Outputs by components:A. Expanding Access

4.2.1 Community school construction program: UPBEP set targets of 300,000 additional primaryschool places and 150,000 upper primary places on the basis of existing norms. To reach the targets,2,052 new primary schools and 1,220 additional classrooms were planned, together with the reconstructionof 1,049 existing schools. The targets for new schools and additional classrooms were later revised (inSeptember 1997) to 3,370 and 3,650, respectively. However, on the basis of actual requirement, 3,444additional schools and 3,429 additional classrooms were built. Thus, the number of schools built slightlyexceeded the targets while the number of additional classrooms was slightly below the target. Similarly,

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the original target of 1,077 upper primary schools was revised to 1,460 and 1,457 schools were actuallyconstructed; 223 schools were rehabilitated against the target of 280. In addition to schoolbuildings, 10,201 toilets and 5,300 hand pumps were planned for and the targets met.

The school construction targets in UPBEP II were to build an additional 600 primary and 307 upperprimary schools, and an additional 11,000 classrooms in existing primary schools. The construction ofnew schools exceeded the target (1,259 primary and 601 upper primary). In addition, 870 primary schoolsand 80 upper primary schools were rehabilitated, and 7,011 additional classrooms were constructed.Essentially the targets for school construction have been reached, and in the case of both projects,significantly surpassed.

The planned modalities of school construction on such a scale were novel in India at the time for such alarge program. Construction was to be managed by VECs on sites selected by them on common villageland, with technical support provided by a junior engineer posted at the block level. The size of thecompleted school construction program, the introduction of many design innovations, the relatively low unitcosts achieved, and the ability of the program to attract additional (matching) support from discretionarysources of district funding are evidence of the success of the general approach. Indeed, the low unit costsplus the matching funds are the reasons for many of the construction targets having been upwardly revisedand met. The focus group discussions with different groups of stakeholders (Annex 11) indicated that thecommunity perceived the extensive civil works carried out under the project as one of its most significantcontributions.

4.2.2 Improving non-formal primary education: A further sub project target of UPBEP was theexpansion of a higher quality non-formal education program. The specific target was an additional300,000 places to cater to 150,000 children implying the opening of 5000 centers. The project was tofinance leaming materials, training, supervision and honoraria of instructors. The mid-term review inDecember1996 reported that 800 centers had been established in three blocks in each district. It did notcomment on the fact that the review of the NFE program assured during negotiations had not taken placebut did recommend evaluation before any further expansion. An evaluation was accordingly undertaken in1998. Since demand for this intervention was less than for formal schools, the focus shifted towardsgreater efforts to mainstream the children. By the end of the project, 441 new centers were operating, butplans have been made to close these in the near future. Altemative and more context specific models ofnon-formal schooling are now being explored under the DPEP.

B. Improving Quality and Completion

4.2.3 Strengthening Community Participation: The project provided training to VEC members in all theproject districts. Two rounds of 3 day training programs were organized for approximately 0.3 millionVEC members. The VECs were reconstituted under the project as a sub-committee of the gram panchayatwith enhanced representation of women, SC/ST groups, disabled and Mahila Samakhya functionaries, thusinviting wider participation of the community. Subsequent to the enactment of the Panchayati Raj Act, tleVECs were again reconstituted by reducing the membership to only five members out of which twomembers are ex-officio (gram pradhanand the school head). The reduced membership has the risk oflimiting community participation.

4.2.4 Improving Readiness to learn: The SAR proposed establishment of 1000 ECCE centers attached toprimary schools on a pilot basis. To avoid duplication, these were proposed in non-ICDS (Integrated ChildDevelopment Services) blocks. Subsequently, the state decided to strengthen the educational component ofthe existing ICDS centers using an activity-based approach, before moving into non-ICDS blocks. This

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evolved into a two-fold strategy of (a) coordination with the existing ICDS, and (b) support to NGOs toestablish new ECCE centers in non-ICDS sites. Thus 1200 existing ICDS centers were strengthened and50 new centers established through an NGO in one district. Coordination was directed towards: (i)improving the quality of the school readiness component through training of workers in ECE, supply ofplay materials and development of an improved methodology for monitoring; and (ii) facilitatingparticipation of girls in primary schools through provision of altemative sibling care facility by relocationof ECCE centersianganwadis (AWS) in or near school premises and synchronizing of their timings withprimary schools. For the extended timing, additional honorarium was paid to the workers from the project.However, relocation was not always possible due to inconvenient locations and impact on other services inthe ICDS. Mid-term evaluation indicated a positive impact of ECCE interventions in terms of the statedobjectives and recommended further consolidation of quality and the establishment of more institutionalizedmechanisms of convergence with ICDS. UPBEP has demonstrated a model of convergence that has thepotential to facilitate better adjustment of children in school and enhance girls' participation. This has led toa policy decision at the state level to relocate all new ICDS centers in school premises. The sustainabilityof the other initiatives undertaken is somewhat uncertain in view of inadequate ownership by the ICDS.

4.2.5 Improving Teacher and Staff Performance and School Management: UPBEP and UPBEP II haveboth made significant contributions toward conversion of single teacher schools at the primary stage to atleast two teacher schools in the project districts. However, 15 percent of schools in project districts stillcontinue as single teacher schools. Of the total costs of UPBEP and UPBEP II, 39 and 46 percent,respectively, were allocated for additional salaries, mainly of teachers, 50 percent of whom were expectedto be women. The original project targets were later revised to meet enhanced enrolments. Thus in all,9482 teachers for new schools and 15,175 additional teachers have been appointed under both projects atthe primary stage and 8855 teachers at the upper primary stage. In addition, a total of 5685 'para teachers'known as shiksha mitras have also been appointed under the para teacher scheme which was instituted inthe last year of the project, i.e., 2000. Of these 3812 shiksha mitrashave been targeted to single teacherschools. This scheme was introduced by GOUP in the context of an unfavourable fiscal situation to meetthe demand for additional teachers created by the unanticipated increase in enrollment. The scheme alsoaddresses the issue of teacher absenteeism and non availability of teachers in remote areas by bringing inlocal accountability. However, the target for qualified female teachers, specified as 50 percent of totalteachers, could not be entirely realized due to the unavailability of female teachers. Under the shikshamitra scheme, where local persons are recruited, 50 percent reservation has been made mandatory forwomen. Another initiative for improving school management has been the upgrading of 2262 posts ofassistant teachers to that of head teachers for schools which did not have these positions. While projecttargets have been met for appointment of teachers, the number of teachers appointed in the project districts,as a whole to achieve the state teacher pupil norm of 1:40, is still insufficient given the high enrolments.Overall, across all project districts the ratio in 2000 is still 1:60 for primary schools.

For further strengthening of school management and teacher performance decentralized, on-site resourcefacilities have been created in the form of Block Resource Centers (BRCs) and Nyaya Panchayat ResourceCenters( NPRCs) which have been linked vertically to the DIETS. BRC and NPRC coordinators areexpected to provide support through classroom visits, short meetings and discussions at the center. Moresignificant than the establishment of these structures have been the conceptualization of the inter-linkages inroles among the DIETS-BRCs-NPRCs-schools and the internalization of this concept of a chain ofresource support by the functionaries at all levels. However, the capacity of the BRC and NPRCcoordinators to provide support for teacher development, as envisaged, still needs further strengtheningsupported by a reduction in administrative responsibilities expected of them.

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A major intervention of the UPBEP has been the opportunity it has provided to 42,300 primary teachersand 6,330 upper primary teachers to come out of their work situations and be exposed to new ideas andmethods of teaching. A very comprehensive training design addressing different levels of functionaries,using a modular approach was planned at the initial stage of project preparation, as indicated in the SAP,which was subsequently redesigned, based on emerging needs in the first year of implementation.Accordingly, a system of regular in-service training to the teachers was initiated and almost all teachers inthe project districts received five cycles of training. The priority was indicated for training in reading an imathematics for Grades 1-3 and on multi-grade teaching. While the focus has been on language,mathematics and science, multigrade teaching did not get the due attention and has still to be addressedmore effectively. For upper primary teachers the focus was on science and mathematics training. Inaddition five rounds of training were also completed for head teachers, BRC and CRC coordinators inaccordance with their expected functions. In addition to these cadres, the project has also completed fiverounds of training for 425 master trainers, 504 District Program Officers (DPOs), 698 Mother TeacherAssociations (MTAs) and two rounds of training 12,568 heads of VECs and approximately 0.3 millionVEC members. To reach teachers in far flung areas and to complement the face-to-face interaction modcof training, distance education was utilized during the last two years of the project and teleconferencing wasorganized on activity-based teaching-learning, use of Teaching Learning Materials (TLM) and changesvisible in the classrooms. There has, however, not been any significant follow up on the training to assei.simpact other than that assessed through the study on classroom processes.

4.2.6 Improving curriculum and textbooks: As proposed in the SAR the primary and upper primarycurriculum were revised and textbooks re-written for primary grades. Textbooks for the upper primarystage are being finalized. While the initial revision of the primary level textbooks was in a more traditionalmode, using the MLL paradigm as originally planned, the training of teachers in activity-based teaching .edto a demand from teachers for a more child-friendly curriculum. and textbooks. Accordingly, a significantcontribution of the project has been the evolution of an altemative modality of textbook preparationinvolving teacher participation, as opposed to the traditional mode of books being written by subjectexperts. This modality has been further strengthened in the course of the DPEP project. Under UPBEP. ithas led to the development of more child-friendly supplementary material for children titled 'INDRA1DHANUSH' which is now being used by state institutions as reference for various curiculum relatedactivities. These books include experiences pertaining to the various regions and cultural groups of thestate. They also set the pace subsequently for development of more attractive and child-friendly textbooksfor primary education under the District Primary Education Program (DPEP). Guidelines for ECCE andsome additional material were also prepared under the project. Assessment of children consistent with tl etextbook approach and training of teachers in use of new textbooks are now receiving attention.

Although the need for creating an interesting leaming environment in the classrooms for promoting activelearning was acknowledged in the UPBEP design, the project initially did not make any provision forsupporting preparation of TLM by teachers. Subsequently, under UPBEP II a provision was made of R -,.500 and Rs. 700 per teacher for primary and upper primary grades, respectively. An end-term study onclassroom processes indicates that the majority of teachers have received their fund on an annual basis a:idhave been using it on production or purchase of learning material, or in some cases on procurement ofseating mats and on educational tours. They have begun to realize the merit of using learning materials andfeel this makes the children more attentive in the classroom. The study also indicates that teachers needmore encouragement in preparing and using these at their own initiative and on a more regular basis.

4.2.7 Strengthening Programs for Women's Education: The SAR proposed to improve theattractiveness and retention power of schooling and non-formal education for girls, removal of gender bi isin curricula, gender sensitivity training for teachers and appointment of female teachers to facilitate girls'

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participation. Mahila Samakhya (MS) was proposed to be used as a resource support in this context. Theproject's support to MS has helped mobilization of women's collectives for education, which has resulted ininnovative literacy initiatives for women and adolescent girls, residential camps for girls' education (MahilaShikshan Kendras) and a significant increase in girl's participation rates in regular schools in the projectareas. The continued role of women's groups in ensuring regular attendance of children (boys and girls)and improved achievement in school is a priority for the state government and in this context core supportto MS is assured.

Gender sensitization of stakeholders with a view to reducing gender bias in social attitudes has beenundertaken through training and production/telecast of video spots. More specifically, teacher-trainingmodules have been developed to address gender biased practices in the classroom. While the process hasgenerated a great deal of reflection and discussion among the functionaries resulting in a perceptible shift inbehavior, the process would require continued attention to achieve equity in full measure.

4.2.8 Supporting Pilot Projects and Innovations: The project's strategy recognized the need to test newstrategies for cost effectiveness before adopting them for widespread replication and to explore ways toinvolve NGOs in project activities. In this context, six new pilot projects, namely Work ExperiencePrograms for Girls to improve their retention, Stipend for SC/ST Girls, Community Libraries, Programnswith NGO involvement, Upper primary NFE Programme and Double Shift Schools, were initiated duringthe project period. The implementation experience/evaluation of these suggested replication of some ofthese initiatives such as Community libraries, double shift schools and work experience program for girls.The proposed stipend for SC girls was not initiated since the state government started a scheme ofscholarships. NGO participation was encouraged in the project through these innovative programs, forwhich a booklet was especially prepared and made available to NGOs giving specific guidance on therequirements of the programs and modalities for preparation of proposals. This initiative facilitated theprocess of NGO involvement. (Details of innovative projects are given in Annex 12).

C. Building Institutional Capacity

Establishing Education for All Pariyojana Board (EFAPB): In order to provide flexibility in projectmanagement and to ensure smooth disbursement of funds, EFAPB was established as a legally autonomoussociety under the UP Societies' Registration Act. It was responsible for the management andimplementation of the project and has, in the process, also strengthened the capacity of the Directorate ofBasic Education. The society consisted of 21 professional and technical staff, 5 accounting officials and11 support staff at the state level, and 48 professionals in the District Project Offices (DPO) financed on anincremental basis by UPBEP. UPBEP II funded 12 quality coordinators in the project districts. Theproject also funded furniture and equipment (including computers), vehicles, training and incrementaloperating costs. District Education Project Committees (DEPC) were formed to provide guidance to theDPOs. In addition to appraising and approving Annual Work Plan and Budget (AWPB), monitoring andevaluating project implementation, EFAPB stimulated preparation of a state plan for universalisation ofelementary education in UP. This resulted in the UP component of the multi-state DPEP II and DPEP IIIcovering 60 districts. The EFAPB also prepared the plan (based on the four sustainability studies) that willsustain the inter-linkages between the project and basic education structures after the project. In addition,EFAPB efforts resulted in statewide implementation of the renewed curriculum and textbooks and GOUPwas assisted in reviewing and revising the state's sector policy for elementary education.

Strengthening the State Council of Educational Research and Training (SCERT): In the initial stagesof the project the SCERT and its constituent institutions, i.e., the State Institute of Education (SIE) and theState Institute of Science Education (SISE), were not directly involved in the project activities, largely dueto issues related to capacity. Subsequently, in the interest of institutionalization and sustainability of

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project initiatives they were provided specific inputs for capacity building such as staff developmentactivities, consultancies, civil works, furniture and equipment and desktop facilities to strengthen SCERT'scapacity for textbook development. Two professionals were sent as part of a national team to Columbi iwhere they studied "Escuela Nueva" resulting in piloting of multi-grade projects in UP. The institution!scontributed to (a) revision of the curriculum for the primary and upper primary stage; (b) development jf anew generation of textbooks with teacher editions for primary and upper primary grades; (c) developmentof supplementary reading materials for grades I to 5; and (d) preparation of training modules for the fix ecycles of in-service training of teachers and training of DIET faculty for carrying out training of resourcepersons at the district level. With the help of a few individuals from its constituent institutions andconsultants, mid-term and final assessment of learning achievement surveys were conducted by SCERT.Given the continuing constraints on its functioning, particularly in terms of staff recruitment policy andlack of autonomy, an institutional development plan for SCERT is currently being prepared under theUPDPEP III. A more structured approach towards strengthening of SCERT will continue to be required.

Establishing State Institute of Educational Management and Training (SIEMAT): SIEMAT,established under the project, is the first of its kind in a state in India. Its main function envisaged in theSAR, as distinct from the existing SCERT which was more focussed on curriculum development, was taedevelopment and provision of training for state and district level educational planners and managers andconduct of operational and policy research. To this end the project financed civil works, equipment(computers and software), furniture, library books and journals, incremental staff salaries, consultancies,in-house research and studies, and staff development activities. The SIEMAT building complex and ho stelblock, both built under the project, are complete and fully functional. SIEMAT will, however, need to lieentrepreneurial in marketing its services if the current level of operation is to be sustained without projectsupport. In terms of performance, SIEMAT has exceeded the targets by providing 2000 person weeks oftraining to the state, district and block level officers out of which 1600 staff weeks of training was underUPBEP and UPBEP II. It has completed 23 research studies approved by its Policy Research AdvisoryCommittee (PRAC), and has initiated 191 action research projects, which were conducted by teachers andBRC and NPRC coordinators who were trained through the DIETs in the project districts. SIEMAT hasalso networked with national/international institutions working in the education sector. Despite state'scommitment of funds to support salaries of staff and to continue activities in the post project period,SIEMAT faces difficulties in recruiting and retaining quality staff.

Strengthening District Institutes of Education and Training (DIET): The SAR envisaged the DIETS asa professional support agency for curriculum and material development, training and evaluation that wculdsupport schools through the network of BRCs. They were expected to provide in-service training forteacher trainers, head teachers, VEC members and non-formal; instructors and supervisors. Under theproject a new academic supervision package was developed with a view to strengthening organic linkagesamong schools, NPRCs, BRCs and each DIET. Under this supervision package the DIETs are beingencouraged across the state to provide leadership to the BRCs and NPRCs for training teachers andproviding in-school professional support. The DIET faculty are given charge of specific blocks and theyparticipate in feedback sessions with BRC teams at the block level every month. DIETs have providedover 2000 person weeks of training to resource persons; provided training for conduct of 191 actionresearch projects in selected schools, BRCs and NPRCs and assisted SCERT in carrying out mid-termn andfinal learning achievement surveys. The project specifically financed additional residential space, furnisureand equipment, library books, transport and staff development inputs. Initially DIETs suffered fromstaffing problems but in project districts they are presently adequately staffed.

Establishing BRCs and NPRCs: The establishment of BRC and NPRC structures has been a significantcontribution of the project. It has highlighted the importance of systematization of teacher training throughdecentralized structures, to the extent that these structures have now been introduced in the entire state.

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Each NPRC coordinator is expected to oversee 10-15 schools in the cluster through the organization ofmonthly workshops for teachers and monthly visits to each primary and upper primary school. TheNPRCs organized monthly workshops and every primary and upper primary school was visited at leastonce a month by the NPRC coordinator during the last three years of the project. The BRCs provided43,000 person weeks of training to teachers annually through the five training cycles. In addition, they alsoimparted two cycles of training to 12,163 VEC members in supervision of school construction, and ineliciting community involvement for increasing enrollment and retention of students. The project financedthe construction of the centers, the incremental salaries of BRC and NPRC coordinators, furniture andequipment, library books, consultancies and training of their staff. The establishment of BRCs andNPRCs, to a level that they function as envisaged, took more time than anticipated at the planning stage.These institutions are now accepted as significant for quality improvement in basic education and are beingestablished across the state. While the respective roles of these institutions and their linkages with theschools and DIETs are well intemalised, in some cases the NPRCs are required to cover more than 20schools, which adversely affects periodicity of their school visits. As indicated in the focus groupdiscussions (Annex 1 1), assignment of administrative duties to NPRC coordinators also often interfereswith their academic responsibilities. This merits the state's attention.

Development of Management Information Systems: A computerized management information systemwas financed by the project to improve the information base for facilitating the decision-making process.The computerized Project Management Information System (PMIS) dealing with financial aspects of theproject is fully operational in the SPO and 12 project districts and the Education Management InformationSystem (EMIS) is operational in 12 districts. SIEMAT is involved in the analysis of district reports. In theinitial years the data collection system was different from the District Infonnation on SchoolEducation(DISE) which is now in use in the national DPEP. From 1998 onwards the project started usingDISE formats leading to a uniform system across the state. Annual statistical reports have been generatedfrom 1998 onwards. During the last two years the data has been used for participatory planning ofAWPBs in the project districts. The state reports that surveys by VECs have also been completed in 21662villages for micro planning and school mapping. Based on these surveys, village education plans have beendeveloped in 19939 villages. The low sub-district capacity to scrutinize data puts a question mark on thequality and use of the data. This aspect requires further strengthening. With the large turnover ofcomputer staff the problem of availability of adequate human resource remains.

Assessment of learning achievement: According to the project design a system of assessing learningachievement was to be developed in SIEMAT. While the mid-term and final baseline learning achievementsurveys were conducted by SCERT with the help of consultants, the long-term capacity for a system toassess leaming achievement is still not visible.

Research and evaluation studies: UPBEP established a funding mechanism for research in elementaryeducation under the Policy Research Advisory Committee (PRAC). A total of 63 research studies inprimary education were conducted by SIEMAT, SCERT, University Departments, Social ScienceResearch Institutes, NGOs and individual researchers. Research themes included issues related toenrollment, dropout, classroom processes, institutional development and evaluation of interventions. Inaddition, 191 action research projects in schools, BRCs and CRCs were also completed. The findings wereshared with stakeholders through a newsletter and discussions during the training programs. Given the nearabsence of any research on primary education prior to these projects, the amount of researches conducted issignificant However,the quality of research and quality control mechanism still need considerableimprovement.

4.3 Net Present Value/Economic rate of return:A cost benefit analysis is not required for the evaluation of basic education projects. The SAR, however,

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did provide an annex on the anticipated savings (in the cost of producing one primary school completer)resulting from expected gains in internal efficiency in the primary cycle. The calculation was made that ifthe Rs. 700 per pupil being provided for investments to raise quality and improve completion rates resultedin a halving of dropout and repetition rates, the total cost per completer of the five year cycle would fall byRs. 1100 through a reduction in the required teaching input from 8.7 to 6.3 years. The current repetitionand dropout data from the EMIS, presented in paragraph 4.1.2, suggest that this reduction has occurred

4.4 Financial rate of return:Not applicable for this project

4.5 Institutional development impact:The EFAPB, constituted under the project, brought in more professionalism at all levels in the Directorateof Basic Education through its demonstration of more effective planning, monitoring and supervisionprocedures and through involvement of the Directorate and other educational institutions in an effort tomake them more responsive to the needs of the stakeholders. Creation and integration of academic andmanagerial structures at all levels have contributed to greater professional rigor, systematization ofpedagogical renewal and teacher training processes and improved capacity for management of primaryeducation. The project experience has resulted in a process at the state level of moving away fromstandardized school building designs towards considering alternatives and has also led to revision of thenorm in terms of unit costs for school construction in the entire state. The new generation of textbooksdeveloped for grades 1 to 5 was distributed free to about 23 lakh girls and SC children for the first time,leading to enhanced enrolments. SCERT has been able to revise the pre-service teacher-trainingcurriculum, incorporating the new knowledge and successful practices emerging from the projectimplementation. Despite difficulties in recruiting and retaining quality staff, SIEMAT has created ademand for its services and products and is currently marketing these.

The state plan for the achievement of universal elementary education developed under the project resultedin UPDPEP II and UPDPEP III, covering 60 districts. Because of the overlapping period ofimplementation for the UPBEP and DPEP projects, there has been considerable cross learning between thetwo. For example, DPEP is using models of management structures developed under the UPBEP, and newtextbooks and teacher's guides developed under DPEP have been introduced in the UPBEP districts. Basedon the experiences of UPBEP and DPEP, GOUP has developed a draft policy document for elementaryeducation that recognizes all the elements incorporated in the projects. With GOUP commitment of fundsin the non-plan budget for sustaining structures and successful interventions and EFAPB's commitment forcontinued technical supervision for another two years, the impact is expected to deepen further.

5. Major Factors Affecting Implementation and Outcome

5.1 Factors outside the control of government or implementing agency:The conservative attitude and gender stereotypes in some communities continue to be impediments needinglong-term intervention. The limited availability of female teachers and their reluctance in joining rurallocations due to social inhibitions has also served as a constraint for girls' participation. The percentage offemale teachers in the teaching force in elementary schools in the project districts has increased by a mere 9percentage points from 18 to 27 percent during the project period. The Government policy of positivediscrimination to reserve 50% places in teacher training institutions for females will increase availability offemale teachers in the long term. The Government of Uttar Pradesh is trying to address this issue byappointing para teachers.

The Fifth Pay Commission (1996) recommendations of the GOI were required to be implemented by theGOUP, which resulted in escalating the costs of salaries, particularly of teachers. This led to disparities

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between project estimates and actual expenditure.

5.2 Factors generally subject to government control:

The project received full support and commitment from the Government of Uttar Pradesh for projectimplementation. Competent project directors were identified and continued for full tenure of theirappointments. The government never defaulted on the state share complement for the project, despite atight fiscal situation. GOUP is the only state government which has committed itself for sustaininginstitutions and successful interventions after project completion, with an explicit financial provision in thenon-plan budget. Three of the district collectors from the project districts had been members of theExecutive Committee of the EFAPB by rotation. GOUP has made the District Collector accountable forproject performance by designating UPBEP project performance as one of the factors in assessing eachcollector's annual performance. Based on the feedback from the field, GOUP has made several policychanges in teacher rationalization and transfer policy, ensuring teachers for rural schools and appointmentof para teachers. Timely submission of audited accounts, expeditious follow-up of recommendation of thesupervision mission and timely fulfillment of the requirement of the legal covenants are indicators of GOUPresponsiveness and commitment.

There have, at the same time, been some areas in which difficulties were experienced. While state anddistrict project offices have been fully staffed, staff turnover in DPOs has been relatively high. Staffing ofthe DIETs and SIEMAT took more time than anticipated at the planning stage. Bifurcation of districtsresulting in an increase in districts from 10 to 17 created transitory complications, which were sorted outby GOUP and EFPAB. The expansion of DPEP in the state to cover another 60 districts since 1997further increased GOUP's stake. As feedback from the field indicates, this tended to divert attention fromthe UPBEP project districts to some extent. The increasing pupil teacher ratio has also remained a concernthroughout the project and is considered one of the potential risks to the quality of education in thepost-project period.

5.3 Factors generally subject to implementing agency control:EFPAB's decision to involve the regular elementary education structures and institutions in projectimplementation paved the way for institutionalization and the sustainability of the gains even after projectcompletion. The project consistently demonstrated a commitment to an incremental, experimental approachthat led to a greater flexibility and adaptibility in use of project funds. The project management tookadvantage of the experiences and knowledge from both within and outside the state, which has facilitatedon-going reflections on problems as they arose and adaptations within the state context. Examples are seenin the evolving pedagogical renewal process, the improved textbooks and supplementary material, thedecentralized NPRC-BRC-DIET interlinkages, the early childhood education interventions in convergencewith the Integrated Child Development Services, and the community-based construction model.

5.4 Costs andfinancing:GOUP was to contribute 13 percent of project costs to UPBEP and around 21.4 percent to UPBEP II.The larger percentage from the state in UPBEP II was needed to cover the larger budget for teachers'salaries. The Bank's contribution was on a declining scale and had already begun to decline in UPBEPwhen UPBEP II started. The state contributed its share, as agreed. The expenditure rate in UPBEP hasbeen 99 percent and in UPBEP II it was 98 percent until Novemeber 2000.

The component-wise distribution of the project expenditure for UPBEP reveals that civil works occupiedapproximately 30 percent and teachers' salaries about 54 percent of the total expenditure. In comparisonwith SAR estimates, the actual expenditure in the case of UPBEP has almost doubled, particularly forteachers' salaries (SAR projection 38.64 percent). The increase can be attributed to: (a) the demand for

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new schools in unserved areas, (b) increased enrolments, and (c) increase in teachers' salaries due torecommendations of the Fifth Pay Commission. An amendment had to be made in the DCA of UPBEPdated July 11, 1997 for appointment of about 3250 additinal teachers to take care of this enhanced demand.The differences with SAR estimates are not as sharp in UPBEP II (35 percent for civil works andapproximately 54 percent for total salaries) indicating a more realistic estimation, possibly based on lessonslearned from experiences of UPBEP implementation. The rate of expenditure was very low (6 percent) inthe first two years of implementation as compared to the Bank forecasts of more than 30 percent, largelydue to start-up delays.

6. Sustainability

6.1 Rationale for sustainability rating:The rating for sustainability has been given as likely'. The rationale for this rating includes (a) significantcommunity involvement in the construction of new schools and additional classrooms and the creation ofthe appropriate number of sanctioned teacher posts; (b) the Government's decision to continue theoperation of BRCs and NPRCs with coordinators and activity grants to ensure regular teacher training andsupport activities; (c) continuation of the school grant and teachers' grant (though the latter is at a reducedlevel) for school maintenance and the development of teaching-learning materials; (c) introduction of new%textbooks for the whole primary cycle across the state; (d) the establishment and fumctioning of SLEMAT;(e) allocation of Rs. 2232 million ($48 million) for 2000/2001 in the non-plan budget to sustain projectactivities including the additional teachers, teacher training, the TLM grant for teachers, training activitiesin the DIETS, BRCs,NPRCs and MS; (f) provision of staff in the district education office for thecontinuation of the EMIS; (g) the timeliness with which the state government has consistently contributedits financial share to the project Society; and (h) involvement and integration of the existing institutions andthe strength of the relationships between these institutions and the professional focus which has beencreated. Other positive factors, which will support the continuation of the project interventions, institutionsand processes, include (i) the two ongoing DPEP projects covering 60 districts, which will further theprocess of pedagogical renewal in the state and continually provide new lessons, and continuation of theSPO and its commitment for two years to oversee the implementation in the UPBEP project districts; (ii)the Government of India's new scheme for the universalization of elementary education (Sarva ShikshaAbhiyan) which can be expected to further provide the resources and support for the consolidation of theprogram for primary schooling as well as for the further expansion and reform of upper primary schooling;(iii) the reconstitution of VECs as sub-committees of the Gram Panchayat; and (iv) the acceptance by thestate govenmment of the need for an extensive program of fiscal reforms.

Overall, the State Project Office's approach to sustainability, which began with the commissioning of adetailed and comprehensive Sustainability Study 18 months prior to project completion, resulted in aconsiderable allocation in the 2000/2001 non-plan budget. This has provided an excellent lesson to belearnt for the seven DPEP-I States where project funding will cease in September 2001.

Some risks remain. First, the pupil teacher ratio averages 60:1 across project districts and rises to 74:1 inBhadohi: there are wide variations across schools within the districts. The Governnent has begun theprocess of appointing para teachers through the VECs to reduce these ratios to 45:1 but the pressure toregularize this process will need to be maintained. Second, the end of the project mode and the integrationof activities into the larger government system may reduce the vitality that the project has generated.Third, there is a risk that restructuring the VECs as a committee of the village panchayat together withtheir reduced membership will reduce the level of community involvement in schools. Fourth, interventionssuch as ECCE that have depended on collaboration with institutions external to the Department ofEducation are in danger of not being sustained now that project funding has ceased. And finally, the

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unpredictable fiscal situation in the state continues to pose an overall risk for sustaining project initiatives.

6.2 Transition arrangement to regular operations:A transition plan was explicitly made a part of the Sustainability Plan. Several of the arrangements thathave been described in para 6.1 above should ensure a smooth transition from the project mode. Inaddition, there has been an intensive campaign over the past year to highlight the role of the community andthe VECs in schools, and a new academic supervision package has been developed and institutionaldevelopment plans are being formulated in SCERT and SIEMAT. In addition, office orders have beenpassed for the adoption in the UPBEP districts over the next two years of all the pedagogical renewalactivities being developed in DPEP districts and management of these by the SPO, and for the continuationof the AWPB model of planning. District project offices are being subsumed into the district educationoffices together with the EMIS function, for which a post has been created.

7. Bank and Borrower Performance

Bank7. 1 Lending:The Bank's lending performance has been satisfactory. The Bank identified an experienced Task Leaderwho resided in India and who was supported by intemational professionals from inside and outside theBank during project preparation. The project design was consistent with both national and state goals forelementary education and the Bank's country assistance strategy. The project design incorporated thelessons learnt from small projects in India and other countries. The Bank, with the cooperation of theborrower, conducted studies on learning achievement, educational finance, textbook production anddistribution, efficiency analysis and analysis of available educational statistics as a part of preparation togain an in-depth understanding of the context needs and potential in the basic education sector in the state.During pre-appraisal and appraisal missions several workshops involving stakeholders (on research needs,in-service training, district plan preparation, etc.) were organized in the state to build local capacity forpreparation of the project. This sector work helped produce consensus among the GOI, GOUP and theWorld Bank regarding the design and project objectives. Throughout, the borrower took the lead in framingthe project's design, and the Bank was flexible and responsive to the state's preparations. Projectpreparation was rated as best practice in OED's annual review of project Economic Analysis in 1994.

An ex-post review of the project design indicates that the project objectives were clearly stated, riskappropriately identified and possible remedies suggested. The design of all aspects of project management,procurement, financial management, and management information systems were completed andsummarized in the 28 detailed annexes of the Staff Appraisal Report of UPBEP. Project performanceindicators were specified and baseline data on indicators, including student achievement in mathematics andlanguage for grades 2 and 5 for three districts, were included in the design. Process indicators for qualitywere, however, not specified. Also, the design was overly ambitious in envisaging the extent of changesexpected in classroom pedagogy at the primary stage while for upper primary it could have been morecomprehensive. There was also a lack of detailed preparation for civil works. The preparatory period tookmore time than anticipated as it was the first large basic education project prepared with a participatoryapproach and the capacity for such an exercise was limited at the district as well as state levels. The accesstargets were underestimated and had to be revised twice to meet the increasing enrollment demands.

7.2 Supervision:Supervision has been rated as highly satisfactory. The responsibility for project supervision, beginningwith the first one in 1994, rested with the World Bank's New Delhi Office. This arrangement strengthenedthe partnership between the GOUP implementation team and the Bank's India education team during thelife of the projects and has since confirmed the value added by decentralizing supervision arrangements to

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the field offices. During the first three years two interim missions, one for INSET and the other for civilconstruction were also organized to improve the quality of implementation in the two major components.With the installation of DPEP II in 17 additional UP districts in 1997, UPBEP supervision was broughtwithin the fold of the Joint Supervision mechanism for DPEP. This, however, reduced the frequency ofvisits to the state although it enriched certain quality aspects through cross sharing. The Bank team alsofacilitated providing technical assistance in the development of supplementary reading materials for grades1-5. The Bank responded with a sense of urgency to the increased demand for more schools and teacherscreated by an unanticipated surge in enrolments and prepared the complementary UPBEP II in 1997. Tv; oamendments to the legal agreement to meet the emerging demand have contributed to communityconfidence in GOUP. In 1999 the Bank's Quality Assurance Group rated the supervision of UPBEP andDPEP as 'highly satisfactory'.

In 1995, the Bank carried out an external evaluation of the quality of civil construction. This encouragedthe EFAPB to complete another external evaluation by Sulabh International in 1996 which indicated that55 out of 344 sites had unsatisfactory quality. The listed defects ranged from poor quality of flooring,cracks in walls and beams to undersizing of beams. The State Project Office took corrective measureswherever flaws were identified. Regular follow-up of implementation of legal covenants resulted in nodefault. The State Project Office followed procurement procedures throughout, except for the constructionof SIEMAT in the initial stage of implementation, wherein it was undertaken as a single sourceprocurement without obtaining Bank clearance. Bank management regularized this problem since this wasthe first, and now in retrospect, the only deviation from Bank procurement guidelines. While no financialspecialist participated in the supervision missions, aspects related to fmancial management were regularlymonitored. The report of the auditing firm was received regularly and followed up during supervisionmissions.

7.3 Overall Bank performance:Overall performance of the Bank is highly satisfactory. Interim thematic supervisions to complementbiannual supervisions, independent evaluation of the quality of civil construction, and the Bank'sresponsiveness and flexibility in responding to the project's evolution (e.g., the preparation and approval cfUJPBEP II to accommodate access demands, giving NGOs and civil society responsibility forimplementation tasks) have all contributed to the quality of implementation.

Borrower7.4 Preparation:Borrower's project preparation has been rated as satisfactory. The Government of Uttar Pradesh (GOUPtook the lead in preparing UPBEP, with technical assistance from the Government of India, privateconsultants (e.g., New Concept for carrying out baseline beneficiary assessment survey and focus groupdiscussions with the stakeholders) and the Bank's team. The project preparation took about two yearssince this was the first district-based project which followed participatory methodology. Capacity forundertaking such an exercise with stakeholder's participation was low, especially at the district level, butduring the preparation process it improved. Beneficiary assessment study including student achievementsurvey in language and mathematics for grades 2 and 5 were conducted, but initially only in three district3.For the remaining seven districts the study was conducted only mid-course in 1996. GOUP approval forcreating an autonomous EFPAB, constituting VECs, community construction of schools, policy toencourage girl's education, increased involvement of women in school development, curriculum andtextbook review and revision and making them available to all students, were included in the project design.EFAPB was established even before Board's approval of the project. The community was offered choicefrom a range of school designs. However, community construction lacked detailed preparation and had tobe later strengthened through development of a manual.

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7.5 Government implementation performance:Government implementation performance is rated highly satisfactory. GOUP provided an enabling policyenvironment for effective project implementation. Its commitrnent has been highly visible in regular andtimely flow of state share of funds to EFAPB for project implementation, in spite of adverse fiscal position.It is also reflected in posting of senior and commnitted officials, monitoring of implementation at the highestlevel and accountability of the district collector for implementation at the district level. GOUP alsoprovided support to the project implementation through regulations and procedural reforms such as teacherrationalization and transfer policy, convergence of inputs from different departments and creating interfacebetween PRIs, VECs and the Directorate of Basic Education. Bringing elementary education under thePanchayat Raj Institutions further endorsed the decentralized management of elementary education in theproject districts. The most significant contribution of GOUP is the commitment to sustain institutionscreated during the project period through budgetary support after project completion. GOUP did notdefault on any of the legal covenants and timely submission of the audit report. Teacher deployment andkeeping the teacher pupil ratio within the reasonable limit of 1:45 could not be effected by the GOUPlargely due to unanticipated surge in enrolments. This is now being addressed through institution of thepara-teacher scheme.

7.6 Implementing Agency:EFAPB, SPO performance is rated highly satisfactory. Six features that have contributed to thesuccessful implementation of UPBEP and UPBEP II are: (a) the SPO acted as an open learningorganization willing to use lessons and feedback from the field to identify problems and design solutions,using the flexibility provided in the project design; (b) networking with a number of institutions andindividuals within and outside the state, which enabled institutional development; (c) the follow-through ofthe implementation by the state and district institutions was quite visible; (d) the reporting mechanism wastimely and well executed; and (e) consistency in communication at various levels of implementation.EFAPB's efforts for community mobilization, particularly for the significant increase in participation ofgirls, reducing dropout, developing supplementary reading materials and revised textbooks, ensuring theirsupply in all the schools and availability to all the children, developing infrastructure for providing INSETto all teachers, providing in-school professional support and improving student learning in language andmathematics, particularly in the beginning grades, are significant achievements. The most significantcontribution of EFAPB has been its close working relationship with the regular structures and institutionsof the state, which ultimately resulted in improving chances of sustainability of the inputs after projectcompletion.

7.7 Overall Borrower performance:Overall performance of the borrower is rated as highly satisfactory. This is in view of the visible statecommitment, timely and systematic project implementation, efforts towards institutionalization andsustainability of the project processes, institutions and initiatives.

8. Lessons Learned

UPBEP and UPBEPII have the distinction of being very large-scale and complex programs geared towardseducational reform. These projects, which were the first Bank supported Basic Education Projects, havedemonstrated several achievements over the project period. More notable among these include, thesignificant impact of project interventions on access and enrolments, the pedagogical reform towards morechild centered education, the strengthening of institutional capacity through establishment of decentralisedteacher -support structures and the SIEMAT and a successful demonstration of community basedconstruction. There have, however, been some concerns as well which would need to be addressed morepointedly in future projects. These include the need for more robust and independent monitoring and

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evaluation mechanisms to track progress in project outcomes, the concern for further improvement in dataquality and utilisation, the need to synchronise enrolment growth with teacher appointments to regulateteacher- student ratios, and the need for more improved methods of securing and utilising feedback frornthe field to maximise the potential of community based organisations including village education comitteesfor school improvement.

The review of these successfully prepared and implemented projects has generated significant learning,particularly for project planning and implementation in the social sector. Some of the major lessons learnedare as follows:

Project Preparation:

1. Borrower's ownership of the project is critical to successful project implementation. This should bcensured by allowing the borrower to take the lead in designing a project which would best fit itscontext, with the Bank providing technical support.

2. The project management structure, although autonomous, should be closely linked with the state'smanagement structures. This will allow project financing to flow smoothly and provide for flexibile andexpeditious management procedures; at the same time this will not alienate the project's activities fromregular state activities and will improve prospects of sustainability.

3. Any project for school improvement should have a design that includes and is informed by relevantand updated educational research and incorporates, in a holistic and integrated way, a variety ofinputs that reflect what is known about the characteristics of good schools; for example, an attractiv-physical environment for learning; community involvement; significant funding for in-service training;a decentralized teacher training support system; TLMs and textbooks and individual teacher grants :ordeveloping need-based teaching learning materials.

4. The start-up of complex, comprehensive investments takes time, suggesting that as much detailedplanning as possible (e.g., civil works and initial training designs) should be done before funds startflowing and that targets for school-level inputs and student outcomes should be cautiously estimatedfor at least the first two years of implementation.

5. However, while quality of initial preparation is important, this is at best artificial until it gets testedagainst the field realities. The project design should therefore be adequately flexible to accomodate mndadapt to unanticipated factors emerging in the course of implementation. During preparation,therefore, a balance should be sought as in UPBEP, between planning and getting started.

6. Projects in the social sector are more process driven and require more complex, sustained andmulti-faceted interventions to achieve deep-rooted sustainable change. Therefore, lending instrumentssuch as the APL, which allow for more flexibility and time and a more process-based approach, mightbe more appropriate than short duration and target-bound project loans.

7. It is possible to mount large-scale interventions in the social sector if an alternative model with a 'startbig and continuously improve' approach is adopted as against the traditional "start small, think big amdgradually expand" model. However, the impact on the system of this model can be more widespreacand consistent if the project is embedded in, and supported by, a larger context of governance andsystem reforms.

8. Project interventions need to match existing and future field realities, as anticipated, to ensureapplicability and sustainability; for example, given that multi-grade teaching is likely to continue forsome time to come, teacher training should take this into account; similarly, schoool and classroomdesigns should be informed not only by the existing but by future needs as well.

Project Implementation:

1. Continuity of competent and committed project personnel in the life of the project is critical to the

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quality of implementation for which political will and commitment on the part of the borrower isrequired.

2. Commitment on the part of the borrower is required to make research and reflection as feedbackmechanisms into project implementation. For example, (a) the baseline, mid-term and final assessmentsof student learning; (b) studies on topics such as school construction quality, dropouts, communityparticipation, classroom processes, teacher supervision and support, and the role of private institutions;(c) introduction of action research by teachers; and (d) studies on data quality and usage.

3. Institutional development is a continuous process so that even sound success during the life of aproject (as with the establishment of the BRCs/NPRCs and SIEMAT) is probably not sufficient toguarantee long-term sustainability of the capacity that has been established. It is therefore essential toinvest in continued resource support even after the project, and to bring in more accountability at alllevels in order to maintain quality in the performance of institutions across the system.

4. Decentralization is equally difficult to achieve since its success depends on the surrounding politicalenvironment, communities' internal socio-economic dynamics, and the public sector's existing capacityto provide sound governance.

5. Decentralised and field-based supervision by the Bank, with task management in the field, can addvalue to the quality and timeliness of supervision and this emerges as a significant factor contributingto the success of the project.

9. Partner Comments

(a) Borrower/implementing agency:

Comments of Ms. Neera Yadav, Principal Secretary, Department of Education, Government of U. P.,Lucknow:

Quote: I would like to place on record our appreciation of the association with the World Bank in theimplementation of the UP BEP-I & II projects in Uttar Pradesh. The UP BEP-I & II helped to target fundsto a priority sector such as elementary education in the State and helped to build up a programme forprimary education reform in the State. It showed the inmmense possibilities there were to improve primaryeducation services in the State and helped to create an atmosphere where the benefits of primary educationwere publicly acknowledged. Unquote:

Comments from the Government of India indicate that they "are in broad agreement with the report".Specific comments were largely editorial which have been appropriately incorporated in the text.

(b) Cofinanciers:Not Applicable

(c) Other partners (NGOs/private sector):Not Applicable

10. Additional Information

The following contributed to the preparation of the ICR.

Task Team Leader Venita KaulCo-Task Team Leader N. K. JangiraTeam Members Ward Heneveld, Keith Hinchliffe, Vandana Sipahimalani, S. Krishnan, RajatNarula, Renu Gupta Gertrude CooperConsultants Sharada Jain, Vijay Rewal, Kamal Gaur

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List of UPBEP It Districts

1. Varanasi2. Chandaully3. Bhadhoi4. Gorakhpur5. Allahabad6. Kaushambi7. Banada8. Chitrakut9. Etawah

10. Aurrai11. Sitapur12. Aligarh13. Hathras14. Saharanpur15. Pauri16. Nainital17. Udham Singh Nagar

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Annex 1. Key Performance Indicators/Log Frame Matrix

Outcome/Impact Indicators-Primary

INDICATOR PROJECTED IN LAST ACTUAL/LATEST ESTIMATEPSR*

EXPANDING ACCESS

Percentage of girls (SC and total) * Since the last PSR focussednot in school to be reduced by 50% only on operational issues Gross Enrollment Ratio (GER): 94.4over baseline estimates requiring follow-up from the %(Boys); 91.4 % (Girls)

previous mission conducted sixmonths earlier, the indicatorslisted in Column 1 were notdiscussed.

GER: (SC Boys/Girls) SC Boys: 126.2; SC Girls: 118.6

Enrolments: (SC/Boys/Girls) Boys: 2.9 million; Girls: 2.1 million

Enrolment in Non-Formal centers 3965 children in 441 non-formal centers

IMPROVING QUALITY ANDCOMPLETION

Dropout and repetition rates to be Dropout Rate --Boys: 27.9% Girls: 27%reduced by 50% over the baseline (More than 50% reduction over baseline).estimates Repetition rate- 3.3% (Baseline not

available)

Dropout Rate: SC/Boys/Girls SC Boys: 32.5; SC Girls: 31.8

Leaming Achievement: Grade V Targets surpassed. Methodology of studyscores to improve by 50% over has however raised questions.baseline achievement levels forSC/Boys/Girls

Output indicators - Primary

INDICATOR PROJECTED IN LAST ACTUAL/LATEST ESTIMATEPSR

Expanding access by opening 600 primary 1,259 new schools were constructedschools

Constructing 11,000 classrooms in existing 7,011 additional classrooms wereschools constructed

Rehabilitating schools 870 schools were rehabilitated

Improving Quality and Retention through 11,774 additional teachers were appointedappointment of additional teachers

Improving Quality and Retention through 5685 para teachers were appointedappointment of para teachers against the enhanced enrolment

Providing learning materials including Child friendly supplementary material -development of new materials for new 'INDRA DHANUSH 'have been developedschools for children and now have been adopted

by the state institutions

In-service training to new teachers All the teachers have undergone 5 cyclesof training

Establishing a teacher fund Provision was made of Rs. 500 perteacher

Establishing a school improvement fund Provision was made of Rs. 2000 perschool

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Outcome/Impact Indicators - Upper Primary

INDICATOR PROJECTED IN LAST PSR ACTUAL/LATEST ESTIMATE,

EXPANDING ACCESS

Enrolments -SC/Boys/Girls Increase 1.76 million in 2000 indicating anover the Baseline estimate increase of 148 percent over the

Baseline estimate

GER: SC/ST/Boys/Girls Girls: 65 percent, SC girls: 43 percent,Boys: 78 percent and SC Boys : 61percent

Enrolment for Non Formal: 855 children in 40 centersSC/Boys/Girls

IMPROVING QUALITY ANDCOMPLETION

Dropout Rate : Boys/Girls over the Girls: 12.8; Boys: 14.4Baseline estimates

Output Indicators - Upper Primary

INDICATOR PROJECTED IN LAST PSR ACTUAL/LATEST ESTIMATE

Expanding access by opening 307 Target surpassed. 601 schools wereUpper primary schools constructed

Rehabilitating schools 80 schools have been rehabiitated

Improving Quality and Retention 3401 additional teachers werethrough appointment of additional appointedteachers

Revision of textbooks in schools Finalization of textbooks is underprocess

In-service training to teachers No. of teachers trained DurationCycle 1 6330 8 DaysCycle 11 4950 8 Days

Establishing a school improvement Rs. 700 per teacher allocated for upperfund primary

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Annex 2. Project Costs and Financing

Project Cost by Component (in US$ million equivalent)

Project Cost By Component U#$ millin_Improving Quality and Retention 51.90 50.83Expanding Access 23.80 23.38

Total Baseline Cost 75.70 74.21

Total Project Costs 75.70 74.21Total Financing Required 75.70 74.21

Project Costs by Procurement Arran ements (A raisal Estimate) (US$ million e uivalent)Pt rocmtent Mttbod

Expenditure Category ICe Njr-

1. Works 0.00 0.00 23.80 0.00 23.80(0.00) (0.00) (21.40) (0.00) (21.40)

2. Goods 0.00 0.00 0.63 0.00 0.63(0.00) (0.00) (0.56) (0.00) (0.56)

3. Services 0.00 0.00 1.80 0.00 1.80Training (0.00) (0.00) (1.80) (0.00) (1.80)4. Miscellaneous 0.00 0.00 3.70 0.00 3.70Institutional Development (0.00) (0.00) (3.70) (0.00) (3.70)5. Miscellaneous- Studies 0.00 0.00 42.70 0.00 42.70

(0.00) (0.00) (28.29) (0.00) (28.29)6. Miscellaneous- Teacher 0.00 0.00 3.10 0.00 3.10& School Grant (0.00) (0.00) (3.10) (0.00) (3.10)

Total 0.00 0.00 75.73 0.00 75.73(0.00) (0.00) (58.85) (0.00) (58.85)

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Project Costs by Procurement Arrangements (Actual/Latest Estimate) (US$ million equivalent)

Procuremnt etoExpen Exditure Catogoty ICB 2 CNs8F. i Twt ost

I1. Works 0.00 0.00 27.03 1 0.00 27.03

(0.00) (0.00) (21.81) (0.00) (271.81)2 . Goods 0.00 0.00 2.34 0.00 2.34

(0.00) (0.00) (1.22) (0.00) (1.22)3 . Services 0.00 0.00 0.57 0.00 1i57Training (0.00) (0.00) (0.46) (0.00) (1046)4. Miscellaneous 0.00 0.00 0.00 0.00 ).00Institutional Development (0.00) (0.00) (0.00) (0.00) (17)00)

5. Miscellaneous- Studies 0.00 0.00 41.82 0.00 41.82(0.00) (0.00) (33.38) (0.00) (C-3.38)

6. Miscellaneous- Teacher 0.00 0.00 2.45 0.00 2.45& School Grant (0.00) (0.00) (1.77) (0.00) (1.77)

Total 0.00 0.00 74.21 0.00 74.21

(0.00) (0.00) (58.64) (0.00) (4 8.64)

Figures in parenthesis are the amounts to be financed by the IDA Credit. All costs include contingencies.

2; Includes civil works and goods to be procured through national shopping, consulting services, services of ccntractedstaff of the project management office, training, technical assistance services, and incremental operating cot ts related to(i) managing the project, and (ii) re-lending project funds to local govemment units.

Project Financing by Component (in US$ million e uivalent)

Comp t Appraisalo st i*4te Pl/cest 4$$AaiIDA Govt. I~F. IDA GIt Co1 Iv Govt. . ,.

Improving Quality and 37.45 14.45 38.15 12.68 101.9 8 '.8RetentionExpanding Access 21.40 2.40 20.49 2.89 95.7 120.4

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Annex 3: Economic Costs and Benefits

Not applicable for this project.

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Annex 4. Bank Inputs

(a) Missions:

Stage of Project Cycle No. of Persons and Specialty Performance Ra(e.g. 2 Economists, I FMS, etc.) Implementation Development

Month/Year Count Specialty Progress Objective

Identification/PreparationMarch 1996 3 1 Educationist, I Educational

Planner, I Architect

Appraisal/NegotiationJune 1997 3 3 Educationists

SupervisionSeptember 1997 8 2 Education Planners, I S S

Economist,3 Educationists, 1 Architect,I Management Specialist

March 1998 3 1 Education Planner, I Social S SDevelopment, I Educationist

October 1998 7 6 Educationists, I Education S SPlanner

April 1999 7 6 Educationists, I Education S SPlanner

November 1999 8 6 Educationists, I Education S SPlanner, I Economist

March 2000 8 6 Educationists, 2 Economists S S

ICRDecember 2000 10 2 Economists, I Social HS HS

Development, I EducationPlanner, 3 Educationists, IArchitect, I FinancialManagement Specialist, IProcurement Specialist

(b) Staff:

Stage of Project Cycle Actual/Latest Estimate__ __ __ _ No. Staff weeks USS ('000)

Identification/Preparation 53,997.78Appraisal/Negotiation Included in aboveSupervision 97,631.96ICR 48,000.00Total 199,629.74

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Annex 5. Ratings for Achievement of Objectives/Outputs of Components

(H=High, SU=Substantial, M=Modest, N--Negligible, NA=Not Applicable)Rating

OMacro policies O H OSUOM ON * NAFSector Policies OH *SUOM ON O NAZ Physical * H OSUOM O N O NAO Financial * H OSUOM O N O NAF Institutional Development 0 H * SU O M 0 N 0 NAOEnvironmental O H OSUOM O N * NA

SocialZ Poverty Reduction O H *SUOM O N O NA

Gender OH *SUOM ON ONAO Other (Please specify) OH OSUOM ON * NA

• Private sector development 0 H O SU O M 0 N * NAO Public sector management 0 H O SU O M 0 N * NAOI Other (Please specify) O H OSUOM O N * NA

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Annex 6. Ratings of Bank and Borrower Performance

(HS=Highly Satisfactory, S=Satisfactory, U=Unsatisfactory, HU=Highly Unsatisfactory)

6.1 Bank performance Rating

N Lending OHS OS OU OHU[? Supervision OHS OS OU OHUZ Overall *HS OS O U O HU

6.2 Borrower performance Rating

I Preparation O HS * S O U O HU2 Government implementation performance * HS 0 S 0 U 0 HU2 Implementation agency performance * HS O S O U O HUIZ Overall OHS Os O u O HU

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Annex 7. List of Supporting Documents

Basic Reports1. Aide Memoire, Appraisal Mission- UP BEP. December 12, 1992.2. Aide Memoire, Pre-Appraisal Mission- UP BEP. March 22, 1993.3. Baseline Survey of Three Districts of Uttar Pradesh (Varanasi, Sitapur and Nainital) - Volumes I, II, III.4. Development Credit Agreement. The World Bank. March 3, 1998.5. District Primary Education Programme - Status Report. October 1998.6. Draft Report - Study of UP EFAPB's Managerial Structures and Practices. Indian Institute of Management,

Lucknow,7. Education For All - UP BEP (1995).8. Education for All Project (Uttar Pradesh) - State Finance Studies (Education).9. Final Assessment Study (October 2000).

10. Joint Review Mission Reports (1st - 10th).11. Project Agreement Document. The World Bank. March 3, 1998.12. Project Appraisal Document. The World Bank. October 27,1997.13. Role of Village Education Committees in Sustainability of UP BEP - A study sponsored by UP EAPB.14. Second Baseline Assessment Study of 12 districts of UP BEP.15. Sustainability Plan for UP BEP. April 1999.16. UP BEP Civil Works Supervision Mission. November 1994 - July 1995.17. U.P. Basic Education Project - Project Implementation Plan. June 1997.18. U.P. Basic Education Project - Status Report. April 1995.19. U.P. Basic Education Project - Status Report. October 1998.20. U.P. Basic Education Project - Status Report. March 1999.21. Uttar Pradesh Basic Education Project: Understanding the Challenges of Sustainability and Mainstreaming.

May 1999.22. Uttar Pradesh: From Fiscal Crisis to Renewed Growth. The World Bank. Draft Report. 1998.

SIEMAT1. Research in Primary Education (UP BEP) - Research Abstracts by SIEMAT.2. Research schemes in UP BEP by SIEMAT.3. SIEMAT- Status Report (April 1999-March 2000).4. Work profile of SIEMAT under UP BEP.

Academic Support and Teacher TrainingI . A Study of Classroom Processes in UP BEP Districts of U.P - 1998-99 (By SIEMAT).2. Classroom Observation in Schools of UP BEP Districts (October 2000).3. Evaluation of the Pilot Project of Work Experience for Girls of Upper Primary Schools in Uttar Pradesh - The

Report (1998).4. Evaluation of Shiksha Ghar NFE Programme under UP EFA - July 1998.5. Strengthening Academic Support & Supervision - DIET-BRC-CRC School (March 2000).6. Study on Evaluation of Teachers Training Programme (Nov. 1996) by Ed.CIL.7. Study on the Role of School Library for Gaining Knowledge and Day-to-Day Information For Children by

SIEMAT (April 2000).8. Use of Teaching Learning Materials Developed by Teachers and The Utilisation of Teachers Grant.

Gender and ECCE1. ECCE Project Documentation Report - Supported by UPEFAPB (June 1997).2. Making A Difference - Primary Education for Girls in Uttar Pradesh-February 2000.3. Shishu Shiksha Kendras - Evaluation Report by NCERT.

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Additional Annex 8. Access and Retention

TABLE 1ENROLMENT IN PRIMARY GRADES (I-V), UPBEP DISTRICTS: 1993, 2000

(in thousands)

District 1993 2000 1993 2000

Boys Girl Tota Boys Girl Tota SC SC SC SC SC SCs I s I Boys Girl Tota Boys Girl Total

s 1 s

Varanasi 262 166 428 491 389 880 64 46 110 89 69 158

Gorakhpur 196 115 311 255 248 503 56 30 86 49 45 94

Allahabad 188 98 286 650 376 1026 104 76 180 110 93 20

Banda 138 91 229 197 157 354 16 14 30 24 17 41

Sitapur 108 99 207 248 235 483 48 32 80 48 42 90

Etawah 178 131 309 189 184 373 22 17 39 31 28 59

Aligarh 222 114 336 391 166 557 41 32 73 54 31 85

Saharanpur 125 77 202 256 202 458 39 29 68 60 48 108.

Pauri 77 67 144 52 61 113 6 4 10 8 8 16

Nainital III 69 180 129 123 252 16 13 29 34 30 64

Total 1605 1027 2632 2858 2141 4999 412 293 705 507 411 918

Source: Directorate of Basic EducationNote: The Directorate data cover primary grade enrolments in govemment primary, elementary and secondary schools, as well as inprivate recognized schools.

TABLE 2ENROLMENT IN PRIMARY GRADES (I-V), UPBEP DISTRICTS: 1997/88 to 2000/01

(in thousands)

Year Total Boys Girls SC Boys SC Girls

1997-98 3080 1734 1346 500 357

1998-99 3176 1716 1460 506 385

1999-2000 3414 1878 1536 544 435

2000-2001 3689 1982 1707 627 523

Source: Education Monitoring and Information System (EMIS), State Project OfficeNote: The EMIS covers primary enrolments in govemment primary and elementary schools only, plus in private recognizedschools.

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TABLE 3PRIMARY GROSS ENROLLMENT RATIOS (CLASSES I-V): 1993 and 2000

TOTAL

Number enrolled (1993) 2632

Population 6-l0 years (1993) 4156

GER (1993) 63.3

Number enrolled (2000) 4999

Population 6-10 years (2000) 4319

GER (2000) 115.7

Source: Directorate of Basic Education

TABLE 4PRIMARY GROSS ENROLLMENT RATIOS (CLASSES I-V): 1993 and 2000

TOTAL ALL BOYS ALL GIRLS SC BOYS SC GIRLS

Number enrolled 3080 1734 1346 500 357(in thousands)

(1997)

Population 6-10 3979 2125 1856 572 500years (in

thousands)(1997)

GER (1997) 77.4 81.6 72.5 87.4 71.4

Number enrolled 3689 1982 1707 627 523(in thousands)

(2000)

Population 6-10 3968 2100 1867 497 441years (in

thousands)(2000)

GER (2000) 93.0 94.4 91.4 126.2 118.6

Source: EMISNote: The EMIS team in SIEMAT use revised population estimates.

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TABLE 5PRIMARY GROSS ENROLLMENT RATIOS (CLASSES I-V): 1997 and 1999

GIRLS BOYS TOTAL

1997 87.2 101.7 95.4

1999 97.0 106.6 102.1

Source: SIEMATNote: The estimates are based on a sample survey of 24 blocks in 6 project districts.

TABLE 6PERCENTAGE OF SINGLE TEACHER SCHOOLS, PUPIL-TEACHER RATIO AND STUDENT

CLASSROOM RATIO IN PRIMARY SCHOOLING

District % of single teacher schools Pupil-Teacher ratio Student-Classroom ratio

1997-98 2000-01 1997-98 2000-01 1997-98 2000-01

Sitapur 12 45.7 54 III 49 64

Pauri 17.9 14.8 26 24 20 19

Allahabad 11.5 6.6 79 74 70 57

Saharanpur 12.2 12.9 55 58 50 46

Gorakhpur 10.1 23.1 70 64 70 55

U.S.Nagar 8.3 4.7 48 44 46 43

Bhadohi 6.8 7.5 85 79 75 67

Banda 6.1 7.7 56 55 60 56

Chitrakoot 6.7 17.6 53 64 54 59

Varanasi 4.1 6.3 62 64 65 65

Nainital 16.7 19.4 30 29 27 25

Etawah 12.7 14 57 49 59 45

Aligarh - - - - - -

Average 10.4 15 56.3 59.6 53.8 50.1

Source: EMIS

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TABLE 7ENROLMENT IN UPPER PRIMARY GRADES (VI-VII): 1993 AND 2000

(in thousands)

District Total enrolled

1993 2000

Varanasi 101 293

Gorakhpur 93 240

Allahabad 85 382

Banda 56 107

Etawah 85 180

Sitapur 67 94

Aligarh 93 179

Saharanpur 71 180

Pauri 22 43

Nainital 35 77

Total 708 1775

Source: Directorate of Basic EducationNote: The EMIS does not yet cover upper primary schooling.

TABLE 8UPPER PRIMARY GROSS ENROLMENT RATIOS (CLASSES VI-VIII): 1993 AND 2000

TOTAL

Number enrolled (in thousands) 708(1993)

Population I 1- 13 years (in thousands) 2176(1993)

GER (1993) 32.5

Number enrolled (in thousands) 1775(2000)

Population 11-13 years (in thousands) 2488(2000)

GER (2000) 71.3

Source: Directorate of Basic Education

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TABLE 9ESTIMATED PRIMARY CYCLE DROPOUT RATES

(percent)

YEAR ALL BOYS GIRLS SC BOYS SC GIRLS SC (TOTAL)

1993 50.0 40.0 60.0 -

2000 27.7 27.9 27.4 32.5 31.8 32.2

Source: 1993: Project Staff Appraisal Report2000: EMIS

TABLE 10ESTIMATED UPPER PRIMARY CYCLE DROPOUT RATES

(percent)

YEAR ALL BOYS GIRLS SC OBC MINORITY]

1999 13.9 14.4 12.8 17.6 14.8 17.9

Source: SIEMATNote- The estimates are based on a sample survey of 24 blocks in 6 project districts.

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Additional Annex 9. List of Studies completed under UPBEP at SIEMAT (1996-2000)

ENROLMENT1. A Study on Enrolment Attendance and Retention in Primary Schools in relation of Incentive Schemes2. Mid-day Meals Scheme effect on Enrolment and Retention at Primary Level3. Parishad vs. Private Schools: A Comparative Study4. Role of Community and Other Factors in Promoting Primary Education amongst Muslim Girls in the District

of Saharanpur

ACHIEVEMENT1. A Study of Learning Achievement of the Students, Facilities and Teaching-Learning material available at the

Primary Level Schools2. A Comparative Study of Achievement of Primary School Students, with and without Pre-Primary Education3. A Study of the Educational Achievement and Educational Conditions of the Child Labourers involved in the

Bangle Industry4. The Comparison between Formal and Non-formal Education in Relation to Girls' Education5. Understanding Underachievement in School Children

DROPOUTI. A Study of Socio-Cultural Context of Female School Dropouts in Etawah District, U.P.2. A Study of Repetition and Dropout among Minority Students3. Sample Study of Dropouts in six BEP Districts in U.P.4. Sample Study of Dropouts in Upper Primary Schools of three BEP Districts of U.P.5. District Base Sample Studies on Enrolment Trends, Dropout and Transition Rates in Classes I to V

TRAINING1. Impact of In-Service Teacher Training Programme (EFA) on the Social Emotional Climate of Classroom in

the Primary Parishadiya Schools of Sitapur (Project) and Barabanki (Non-project) Districts, U.P.2. An Evaluation of In-Service Teachers Training and its Impact on Classroom Teaching3. An Assessment of the Training needs of the Head Teacher for Effective Primary School Management4. Job Involvement and Problems of Female Teacher5. Impact of Innovative Teachers Training Teacher Competencies on Motivation, Attendance and Community

School Relationship6. Use of Teaching Learning Materials (TLM) developed by the Teachers and the Utilization of Teacher Grants

provided for the purpose under the U.P. "Education for All Programme"

MISCELLANEOUSI. Improving Effectiveness of Early Childhood Care & Education in U.P.2. Community Libraries in School in the Rural Areas of Uttar Pradesh: An Evaluation3. A Study of Environmental Awareness among Primary Grade Girl Students and their Parents in Varanasi4. A Study of Classroom Processes in EFA and Non-EFA Districts of Uttar Pradesh5. Role of VEC and Community Participation so far6. To Study the Role of School Library for Gaining Knowledge and Day to Day information for Children7. Community Participation in Construction and Maintenance of School Buildings and Benefits which accrue

viz-a-viz Departmental Construction

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Additional Annex 10. Summary of Focus Group Discussions (FGD)

As part of the ICR Mission activity FGD's were conducted with different categories of beneficiaries in thireeproject districts. The feedback obtained from these discussions is summarised below:

1. Major Questions addressed to the groups

* To what extent has the project contributed to improving quality of primary education in their respectiv-areas?

* What is your own role in improving primary school education?* How has the project helped you in carrying out your role better?

2. Category-wise Feedback

2.1 Administrative/Academiepersonnel

District Level Staff(One Group consisting of 6 District Level Staff, i.e., DPO, Regional Coordinator, District QualityCoordinator and BSAs)

* Female education has improved.- Community involvement has been established and is adequate.* Resource availability particularly in terms of civil works and materials has increased.

DIET(Two groups consisting of 27 faculty members)

- There is improved access, increase in enrolments and teaching-learning has become more activity basedas an outcome of the project.

* As a result of the project, DIET faculty are now assigned a block each and visit the BRC once a month forcore group meetings, which include participation of a BRC coordinator, an Assistant coordinator, a NPRCcoordinator, ABSA and DIET faculty.

* Training has been received by the faculty at various points of time and lack of primary school experience,which was initially a handicap, is less of a problem now.

* They feel the NPRC and BRC coordinators are good but need more training and delegation of powers.* VECs are active.* DIET faculty involved in demonstration of lessons. Encourage NPRC coordinators to provide academic

support to the schools which are otherwise more involved with administrative work.* The roles asigned to all levels of personnel are now more clearly understood.* Main problem in the field is shortage of rooms and teachers.

BRC Coordinators(Three groups: First of 14 members, Second of 10 members and Third of 6 members)

* The role of BRCs is well articulated and linkages with NPRC, DIET and school well established. Monthlymeeting of BRCs are held when DIET faculty participates. However, NPRCs should be more active andtake on more academic support responsibilities.

* The BRC and NPRC are expected to demonstrate lessons to the teachers and facilitate sharing of goodteachers amongst schools and use them as resource persons.

* In terms of impact of the project, enrolment and retention has increased but repetition continues to be aproblem; school quality has improved and students now like to go to their school; teachers are usingTLMs more and also applying joyful learning methods. This has helped change parents' attitudes.

* The group articulated a commitment to 'activity-based' pedagogy, with a focus on child and his/her

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learning. New textbooks are good and provide a stimulus to lesson preparation.* Under the project a school grading system has been developed for NPRCs and schools, thereby creating

competition amongst schools.* The faculty has received training annually.

NPRC Coordinators(Two groups: First of 7 and Second of 12 persons)

* Better access and infrastructure has led to increased enrolments. Teaching-learning process has improved.Free textbooks have been provided.

* They visit schools twice a month (but they still see themselves as inspectors rather than actually providingacademic support). Hold monthly meeting of headmasters at NPRC.

* Forty percent of time goes in administrative duties like pulse polio, elections, etc.* Shortage of teachers especially for mathematics and science is an issue. Suggested the need for individual

subject teachers at the primary stage too.

ABSA/SDI(One Group)

* See their role as shifting from administration inspection to observing and facilitating teaching in schools.- They are aware of the suggested changes in pedagogy which is now "Child-centered" teaching; the

students are engaged in leaming more as a result of this method; supervision requires more sensitivity;children no longer fear school and there is an absence of corporal punishment.

* New challenges are IED and remedial education for slower students.W Without continuation of regular training for teachers, UPBEP gains will recede.

* They showed awareness of UPBEP goals but are still intemalizing them: they have too many schools anda long agenda which now recognizes project structures like BRC/ NPRC but does not integrate them fullyin the field as yet.

State Project Office OfficialsIn terms of impact:

* Improvement in physical facilities is significant.* VECs and larger community have developed a greater feeling of ownership of schools because of

involvement in civil works. Have better understanding of value of education.* Capacity of DIET, BRC and NPRCs has been strengthened which augurs well for quality improvement.* Decentralisation of financial management was done at District, BRC and VEC levels.* System of school visits has been developed and objective parameters set for quality.* There has been a lot of leaming from experiences of other programs.

If UPBEP were to be redesigned and implemented

* Should have more emphasis on quality improvement, revision of textbooks, development of teachers'guide in early years of the project.

* Teachers should be made more accountable through community participation.* Maximum attention in the project should be on quality and retention.* Micro-planning data should be used more in the annual work plans.* Civil works should be preceded by adequate community mobilization activity

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2.2 Direct Beneficiaries

Mahila Samakhya(Two groups: First of 6 persons at district and Second of 4 persons at state level)

* High level of commitment and visible empowerment of workers seen.* MS has created a supportive environment for girls' education, evolved innovative methods for girls (. 1-14

yrs) education such as residential camps, strengthened MTA in project areas and helped in making ECCEcomponent more effective. They have also mobilized community participation in BEP processes like"School Chalo Abhiyan".

Anganwadi Workers (Under training at DIET)

* They have received training under the project. Find being with children more fun* Feel more like teachers with enhanced self-esteem. Despite longer hours of work, the ICDS - UPBEP

model is more satisfying and rewarding.

Teachers(6 Groups: First of 25, Second of 36, Third of 6, Fourth of 27, Fifth of 10 and Sixth of 10 persons)

* In terms of project impact there is significant achievement in physical facilities - access (each village hasa school); Increase in enrolments, particularly of girls; improvement in quality of training processes,textbooks, TLM availability and use, more accent on understanding, integration of SC/ST and girls, moreclassroom participation.

* VEC and community participation have increased. Social attitude towards teachers has changed for thebetter

* There is still a severe shortage of rooms and teachers - at least one teacher and a room per grade should bethere.

* About 50% of the children do not perform at the expected levels even now.* Burden of extra duties like. pulse polio, elections, etc., takes away much of their teaching time and hi- ders

their setting up a routine with the children* Some did not feel the need for a BRC or NPRC while others found it helpful.* No class IV employees like peons, etc., are available to them and the cleaning of classrooms, etc., has to

be done by the teachers or pupils.

Village Education Committees(Three Groups: First and Second of 10 each and Third of 30 persons)

* The project has had a significant impact on enrolment of girls. Major achievement has been schools nmdtoilets, free textbooks, more TLMs and overall improvement in physical conditions and environment.Teaching-learning has become more interactive

* VEC should have more powers to be able to be effective and some compensation should be given as anincentive. VECs contribution has been largely towards infrastructure and community mobilization. NMorecompetent/educated members should be ensured on the VECs for effective action. More training is alsorequired to update their knowledge base. Women's participation is poor in the VECs.

* Any future project should have bottom up planning to make it more acceptable.* Shortage of teachers is a major problem.* Gram Panchayat is more significant as an institution than the VEC in terms of performance and

involvement.

Parents(5 Groups: First of 25, Second of 10, Third of 15, Fourth of 5 and Fifth of 20)

* Feel more reassured about the school's functioning.

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* All children coming to schools due to easy access and better infrastructure facilities, i.e., toilets, drinkingwater.

* Teaching is good - use of TLMs, children enjoy going to the school. All children have textbooks.* Introduction of English at the primary stage is appreciated.* Dropout continues largely due to migration and transfers to private schools, which are considered better

quality.* Educated mothers are willing to teach but there seems to be no channel to teach in government schools.

Students(3 Groups: First of 20 children of Grades IVtV, Second of 12 primary children and Third of 8 upperprimary children)

* Highly motivated and active. Some children had moved from private schools after projectimplementation. They seem happy in school.

* Liked new textbooks and corroborated use of teaching aids like kits in science and mathematics.* Women teachers are seen as a positive factor in the school. No gender differences are evident.* They like most teachers but particularly those who spend time with them and help with their difficulties.

Accept that the teacher even canes when required.* Like introduction of English.* Could not articulate how things have changed after the project other than change of textbooks.

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Additional Annex 11. List of NGOs involved in the Project

Non-Formal Education1. Chacha Nehru Children's School Committee, Balepur, Pedaganj, Gorakhpur2. Purvanchal Gramin Vikas Sansthan, 4/19, Ismaylnagar, Gorakhpur3. Adarsh Shishu Shiksha Vihar, Dharmshala Bazar, Dakshini Zarepur, Gorakhpur4. Jaibharti Gramodyagh Sanstha, 6115 Swatantra Nagri, Saharanpur5. Shiksha Prasar Samiti, Chilkana, Saharanpur6. B. S. Samaj Sewa Sansthan, 73 Katara Balsingh, Etawh7. Mayana Gramodyogh Sewa Sansthan, Morarinagar, G. T. Road, Khurja, Aligarh

Early Childhood Care and Education1. Society for Action & Vision Enterprises, Lucknow

Research & EvaluationI. Media Research Group, F- 126, Rajori Garden, New Delhi2. J. P. S. Associates (Management Consultants), Dr. K. Shriram Office, 18, Awadh Bazar, Lucknow3. Operation Research Group (ORG), D-24, South Extension Institute, New Delhi4. Centre for Economic Research Development (CERD), 13/4550, Dyptiganj, Sadar Bazar, Dehi5. Govind Ballabh Pant Science Institute, Allahabad, Academic & Social Research, Allahabad6. Institute of Applied Research & Development, Indira Nagar, Lucknow7. Organization for Applied Socio-Economic System (OASES), New Delhi8. Indian Institute of Development Studies & Research, Allahabad9. U. P. Desco, Lucknow

10. Institute of Cooperative & Corporate Management Research & Training (ICCMRT), 21/467, Ring Road,Indira Nagar, Lucknow

11. PRATEEK, Dr. P. N. Sharma12. Council for Social Development, 53 Lodi Road, New Delhi13. Indian Institute of Management (IIM), Lucknow

Civil Works1. Sulabh International, A-700 (A), Sector C, Mahanagar2. Point Architect, I, Qaiser Chamber (GF), 46/67 Wazir Hasan Road, Lucknow3. Centre for Architectural Design and Development, 204, Lekhraj Dollar, Indira Nagar, Lucknow4. Sketch Consultant, K-736 Aaslaiana, Lucknow5. P. K. Peu Das, H-1483 Chittaranjan Park (FF), New Delhi6. Habitat Consultant Architects, C- 14, Green Park Extension, New Delhi7. Construction and Design Services, U. P. Jal Nigamn, Lucknow

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Additional Annex 12. List of Pilot Projects and Innovations

1. Work Experience Programs for GirlsThis pilot programme was launched in one Upper Primary School of three blocks of each district in1994-95 for three years. Traders were identified for imparting training to girls, depending on localconditions and needs. The impact of this scheme was evaluated and it indicated that there was no dropoutamongst girls. The evaluation has suggested diversification of trade for training purposes. The StateGovernnent is taking up a detailed planning for replicating the revised design for this program.

2. Stipend for SC/ST GirlsThe proposed stipend for SC girls was not initiated under the project because state government started itsown scheme of scholarships for SC and ST children for the entire state.

3. Community LibrariesAfter launching a pilot program of six community libraries for children and the neo-literate, 1056 librarieswere opened in all project districts. SIEMAT's evaluation of community libraries has found the initiativeuseful. For a fuller assessment of its contribution to children's leaming, a detailed analysis of their readinghabits, ongoing availability of exciting materials and sharing of experiences in different districts may provehelpful.

4. Programs with NGO involvement:NGO participation in BEP has been elicited through innovative projects. A booklet has been preparedproviding informnation of the program, guidelines for selection of organizations and extension of assistanceto them, and formats for submission of proposals. Eight proposals have been approved by GOI andsanction has been accorded. NGOs would run the programs for two years.

5. Upper primary NFE Programme:Opening of upper primary non-formal education centers has been taken up in 2 project districts, viz.Sitapur and Banda. Two representatives Blocks of each District have been identified and 10 upper primaryNFE Centers have opened in each Block. The program piloted a non-fornal education model for children inthe 11-14 age group who do not attend school or who have discontinued their studies. Taking into accountlocal needs and constraints, the program offers a flexible altemative to formal schooling aimed at bringingout-of-school children to the desired upper primary competency level.

The Resource persons at the DIET in both districts have provided instructors of the centers 20 daystraining in two rounds. In Banda and Sitapur districts NFE centers are functional. In-depth evaluation ofthe initiative could provide guidelines for replication/revision.

6. Double Shift SchoolsThe project implemented a scheme of double shift schools known as Dwipali Yojna in selected blocks ofseven project districts. Under this scheme, a separate shift of school is being run for girls exclusively and afemale teacher is given the responsibility of managing the shift. This is being implemented in the lowestfemale literacy blocks of these districts. This scheme opens up the possibility of providing more focussedattention to girls' enrollment and retention.

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Additional Annex 13. Civil Works Progress

Physical Status - Targets and AchievementsCivil Works SAR Targets Revised Targets* Completed

Primary Schools 600 1284 1259Upper Primary Schools 307 642 601Additional Class Rooms 11000 7081 7011Reconstruction/Relocation (Primary) - 1216 870Reconstruction/Relocation (Upper 131 80Primary) _.__

* Revised by EC in view of fund availability due to devaluation.

Cost EstimatesActivity Unit Cost (Rs. lakhs)

Primary Schools 2.21Primary Schools (Hill) 2.52Upper Primary Schools 2.95Upper Primary Schools (Hill) 3.32Additional Class Rooms (1+2) 0.65Reconstruction/Relocation (Primary) 2.27/2.52Reconstruction/Relocation (Upper Primary) 2.95/3.32Block Resource Centres (BRC)Nyaya Panchayat Resource Centres (NPRC)RepairsToiletsDrinking water facility (Hand pumps)

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Additional Annex 14. Government of Uttar Pradesh - Project Evaluation Report

Government of Uttar Pradesh

SECOND UTTAR PRADESH BASIC EDUCATION PROJECTPROJECT EVALUATION REPORT

A. Assessment of Development Objective and Design

Uttar Pradesh, the most populated state in India, has also been one of country's least developed states with respectto social and educational indicators. The Uttar Pradesh Basic Education Project (UPBEP) was initiated with IDAsupport in 1993 with the purpose of reforming the sector and adopting measures that helps in expanding the reach,enhancing the quality and improving the systemic capacities at various levels. The project was designed as adistrict based programme with state providing technical support and guidance besides coordinating the wholeimplementation. The project has been operational in twelve districts of the state Initially ten districts wereidentified for the purpose which became twelve because of bifurcation of two districts. Later more districts werebifurcated and now these have become 17 districts. The project covers the entire area of these 17 districts.

Original Objectives

The project mainly aimed at accelerating the pace of the state's goal of universal enrolment and completion inelementary education. The specific objectives of the project were laid down as a) Building Institutional Capacity b)Improving Quality and Completion and c) Expanding Access. The Institutional Capacity Building objective was tobe achieved primarily by strengthening and revitalizing the existing institutions such as SCERT and DIETs,establishing new institutions at state, district and sub-district levels such as SIEMAT, BRC and NPRC, and bydeveloping systems and processes for improved academic and managerial performances. The objective ofImproving Quality and Completion was detailed out in terms of well-defined outcomes and targets for reducing thedropout and repetition rates, improving learning achievement, and making Village Education Committees fullyfunctional in project districts. The objective of expanding access was also expanded in form of outcomes ofreducing the percentage of non-school going girls, reducing the gaps in enrolment of different social groups,creation of extra schooling facilities and additional enrollment.

The objectives were spelt out clearly and were directly linked to the country's and state's priorities as reflected inthe New Education Policy (1986) and the Programme of Action (POA). The targets were disaggregated andreflected social commitments of the state by focusing on girls and SC children. Most of the objectives could betermed ambitious yet realistic considering the seven year time frame of the project. However, the objectiveregarding improving the learning achievement by 50 percent over the baseline level could have been furthersharpened and better defined by putting a minimum level to be achieved by all or a particular percentage ofchildren. The clear focus on well defined institutional development measures were in tune with the state'srequirements and priorities and reflected a long-term view of the sectoral reform. An emphasis on decentralizationand flexibility, and space for community bodies reflected the project's focus on creating ownership at all levels.

The objectives covered a broad spectrum and to that extent, were complex. This also implied that there wereconsiderable risks in the project. These risks were mainly linked with the change process and decentralisation,introduction of flexible mechanisms and involvement of various stakeholders required a different way offunctioning and this could face resistance. The capacities to handle envisaged institutional changes effectively werelimited and a failure to enhance those soon could mean significant risks.

UPBEP - II Objectives

Uttar Pradesh second Basic Education Project (UPBEP-II) was started in 1997 as a supplement to UPBEP torespond to the needs that had emerged after four years of implementation. The new phase was to assist the state to

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attain the original objectives by:* Establishing the capacity to enroll all 6-10 year old children* Establishing the capacity to enroll 75 percent of 11-13 year old children* Improving student learning achievement and completion rates.The above objectives did not lead to any major revisions in the original objectives.

B. Original Components

The project components were designed in view of the detailed objectives and also in the light of experiences drawnfrom several sources. The project components were:

(i) Improving Planning, Management and Professional Support structures(ii) Improving information for planning, management and professional support through conducting, microplanning, establishing MIS and conducting research and evaluation studies.(iii) Strengthening community participation by consolidating the experiences of the community school construct onprogramme in the state.(iv) Improving readiness to learn by opening of new Early Childhood centers, developing model packages forschool readiness and establishing better coordination with the ICDS programme.(v) Improving teacher and staff performance through regular teacher training and support activities.(vi) Improving curriculum and textbooks carrying out revisions and bringing out improved quality textbooks.(vii) Improving school management through making available the head teachers in all primary and upper primaryschools, and training of head teachers.(viii) Strengthening programmes for women's education through several direct and indirect measures.(ix) Rehabilitating infrastructure facilities in primary and upper primary schools by reconstructing buildings,constructing additional classrooms and toilets, carrying out repairs, etc.(x) Supporting pilot projects and innovations through certain identified projects in the initial stage and developir,gspecial innovating programmes for specific unserved groups.(xi) Starting Community School Construction programme by involving VECs in selection of sites, management ofconstruction, etc.(xii) Improving non-formal primary education through shifting the control of NFEs to VECs and providingintensive teacher training and materials to new NFE classes.

The above components related directly to the project objectives. The aspect of institutional development was dealtwith at different levels and from various perspectives. Apart from creating flexible institutional arrangements foimanagement with a degree of autonomy in decision-making and training of manager, the project also includedinterventions for strengthening the information and monitoring system. The components adopted to address theissues of quality and completion included interventions which emphasized broader social linkages. Theinterventions to be adopted for access took account of the needs of different types of out of school children, i.e.,girls, older children, etc.

The components were suitably selected even from the perspective of the state's capacity to implement thesecomponents. The state had created Basic Shiksha Parishad to manage the recurrent costs and routine managementof elementary education as early as early 1970s. As preparatory steps for implementing UPBEP, a number of sterswere taken to facilitate operationalization of these components. These included establishing UP Education for AllProject Board (UPEFA), preparing management plan for UPEFA and conducting Baseline Assessments forlearning achievement in selected project projects. The experiences of running certain basic education schemes inUP and other states fed to formulation of this project.

Revised ComponentsThe revised UPBEP - I and UPBEP - II components did not mean any major revisions or restructuring in theproject design.

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C. Achievement of Development Objective and Outputs

Outcome/Achievement of Objectives

Enrolment, Retention and Learner 's Achievement

The objectives of higher enrolment and retention have been achieved and even exceeded the targets set initially.The following details make this obvious.

Baseline SAR target Achievement (1999-2000)GER (Girls)Primary 50 71 95Upper Primary 30 64 65GER (Boys)Primary 82 85 115Upper Primary 57 76 78.5GER (SC Girls)Primary 39 71 97Upper Primary 9 43 22GER (SC Boys)Primary 91 109 118Upper Primary 32 43 61

Total enrolment in primary classes increased in all the project districts by about 5 percent during 1998-99 to1999-2000. The proportion of girls' enrolment in the total enrolment increased from 43.87% to 45.3 1% during thethree-year period for all the primary classes in the project districts. The number of Out of School Children in theage group of 6-14 years also declined significantly from 1993-94 to 1999-2000. The decrease has been significantfor girls and has vastly exceeded the project target. The number of non-school going girls in 2000 was only aboutone-fifth of the number that existed in project districts at the time of initiating the project. The project had aimed atreducing this number by 50% by the end of the project.

The Dropout rates at primary level have significantly reduced over the project period:

Dropout Baseline Target Achievement (EMIS-2000)RatePrimary ClassesBoys 40 20 27.9Girls 60 30 27.0Total 50 25 27.7

The decline in the dropout rate has been sharper for girls than that for boys. The Repetition rate for primary classeshas also been reduced from a base level range of 14%- 9% to 4.9% in 1998, thus achieving the target of reducingthe same by 50% over baseline estimates.

A sample survey undertaken by SIEMAT in three UPBEP districts, Pauri, Sitapur and Varanasi, regarding upperprimary classes showed an increase in the enrolment in these classes for both boys and girls. The rate of increasehas been greater for girls in all three districts. The same sample survey also showed an improvement in passpercentage. The repetition rates for upper primary classes are low at only 3.8% according to this sample survey.

Learning Achievement and Classroom Transaction

Learning Achievement Surveys were conducted on sample of students from classes II and V at three points of timein the project districts - Baseline, Mid-term and Final. All the districts have achieved the target of 50%

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improvement over baseline estimates in the average achievement scores. While the Mid-term Achievement Survey(MAS) did picture a mixed trend without showing any definite improvement over Baseline Achievement Survey(BAS) results, the Final Achievement Survey (FAS) presents a significant increase over BAS and MAS estimates.The increase has been significant for both Language and Mathematics, the subjects for which the surveys wereundertaken, and this is true for both the classes as well. There is no significant difference between the achievementof boys and girls either in class II or in class V for both Language and Mathematics in majority of districts. It couldbe inferred from these trends that pedagogical interventions take time to show results in terms of learningachievements of students, and only after a significant gap of five to six years the discernible changes can be seen.

A major Classroom Observation study conducted by SCERT showed a perceptible shift towards inclusion ofactivities despite the fact lecturing remains the main method and textbooks main medium. Girls were seen takinginitiatives in about half of the schools while SC students could be seen taking initiatives in about 40% of schocls.In at least seven project districts, the teachers were observed using some specific method for paying extra attentionto children with learning disabilities. The teaching aids and supplementary materials are being used but lack o .sufficient activity materials for children was noticed. Teachers' competence as evaluated on the scale of confidence,awareness, order and organization, flexibility, warmnth, creativity and dynamism, showed signs of improvement inproject districts. A minimum of one-third to a maximum of all schools in all project districts reported the presenceof parental interest in some form or the other.

Building institutional capacity

The objective of building institutional capacity has been adequately met with an achievement of almost all its sabcomponents. The UP Education for All Project Board (EFAPB) is fully functional and through its State projectoffice is implementing UPBEP-I, UPBEP-II and DPEP District Primary Education Programme (DPEP) wasintroduced in 15 (which became 18 after divisions) districts of UP in 1997. This was followed by its expansion tofirst 4 and then 38 more districts in 1999. (DPEP-II and III) in 77 districts of the state. The scale of operations islarge and some of the new mechanisms such as the practice of Annual Work Plan and Budget helped. The projecthad delegated a number of powers related to personnel management and fund disbursement to district level wilhclearly defined simple procedures. This resulted in responsive decision making and faster fund availability at thefield level.

The SCERT and its various wings have been actively associated with UPBEP in pedagogical related activities (-fmodule development, teacher training, development of textbooks and supplementary materials, and so on. Thisimplied an opportunity to be exposed to modem pedagogical practices and processes. The SIEMAT has beenestablished and fully functional. It has been conducting regular cadre based training of district level educationaladministrators, DIET faculties and Head teachers. In addition, theme based training programmes on leadership,gender, etc. have also been organised for educational administrators. It is providing about 2000 person weeks oftraining annually and has completed a number of major policy studies.

The UPBEP tried to make full use of the possibilities inherent in DIET by involving them as the lead institution forimplementation of all academic activities such as action research, training and field visits. At sub-district level, twonew structures were created, Block Resource Centre (BRC) at block level and Nyaya Panchayat Resource Centre(NPRC) at cluster level. BRC is a crucial link in the academic support chain comprising DIET, BRC, NPRC andPrimary School. 176 Block Resource Centres have been established and made fully functional to conductteacher-training programmes at decentralized levels. A total of about 43000 teachers in project districts are giventraining annually amounting to about 4300 person weeks of training on average in each district. The project hasfilled the gap of not having a readily accessible resource center for teachers at manageable distance by establishing1768 NPRCs.

One of the critical contributions of the project has been the activation, expansion and capacity building of VillageEducation Committees (VECs). VECs, which are statutory bodies under Basic Shiksha Adhiniyam, werereconstituted with enhanced representation to women, SC/ST groups, disabled and Mahila Samakhyafunctionaries. The project assigned several responsibilities of construction, supervision of ECCE and AlternatiN eSchooling centres to VECs reflecting increased trust and dependence on community organization. In order to

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enable VECs to perform these envisaged roles, the project provided training to VEC members in all the districts.Many VECs have successfully increased the rate of enrolment among the children of disadvantaged groups. VECsat few places were instrumental in converging with other development programmes and community for resourcemobilisation for improvement in schools including appointment of community teachers.

Computerized MIS have been developed and operationalised to improve the information support facilities todecision making process. The project has made computers available and the collection mechanisms are also inplace. The importance of research and evaluation in informing the choice of intervention and showing futuredirections was recognised and a number of studies covering various aspects of enrolment, drop-out, classroomprocesses, institutional development and micro issues relating to specific groups were conducted under the aegis ofthe project. One of the important interventions of the SIEMAT has been in the field of Action Research where itundertook a detail project of training teachers, BRC coordinators and DIET faculties and helped them undertakeaction research projects on diverse areas.

Improving Quality and Completion

Most of the objectives set for improving quality and completion have been met satisfactorily. A system of regularin-service training to the teachers was started and almost all primary teachers in project districts received fivecycles of training during the project. This was in sharp contrast to pre-project days when a district took four to fiveyears to complete one cycle of training for primary teachers and that too had not been a regular feature. The headteachers have undergone a number of training on School Improvement, VEC management, Construction, SchoolManagement and Academic Support and Supervision in addition to the regular training on pedagogical aspects.About 6000 upper primary teachers have received two rounds of training in teaching Mathematics and Science.BRC and NPRC coordinators have been provided two rounds of specific training in addition to undergoing allrounds of training meant for teachers. They have also undergone an initial round of orientation for the newSamarthan package, developed to introduce a more comprehensive academic monitoring and support system.

The means of distance education was accessed, developed and used during the last two years of the project to reachteachers staying in far flung areas and to complement the face to face interaction mode of training. This includeduse of radio broadcasts, use of audiotapes, audio-visual aids, teleconferencing and self-learning print materials.

The primary curriculum has been revised in the state with support of UPBEP as well as DPEP. Fourteen new titleshave been developed for primary classes textbooks. The state is currently in the process of developing newtextbooks for upper primary classes. The challenges at the primary level were so vast and critical that the upperprimary received less attention during the initial phase of the project. However, inclusion of upper primary in theproject helped in maintaining continuity in inputs and impacted positively upon participation of children,especially girls. One accomplishment of the project has been development of a series of five supplementary readersfor five primary classes in Hindi, in a participatory exercise involving teachers, writers, artists etc.

The project adopted 100 ICDS centres in each project district and strengthened them by means of providingtraining, materials and honoraria to extend the timings to match this with that of primary schools. The project alsofully supported opening and running of 50 additional centers by an NGO in a non-ICDS block in one projectdistrict. As part of the innovative pilot projects, 1056 community libraries were started in 176 blocks. About 250books were provided to each of these libraries. Another pilot project started under the project included initiating aprogramme of work experience for girls at upper primary level. The evaluation suggests that the work experienceproject had led to greater retention of girls in school - one of the primary objectives of the programme. The UPBEPhas been supporting the Mahila Samakhya (MS), a process oriented programme with direct and indirect links withthe project. Community participation in school activities was reported to be higher and livelier in MS areas.

Expanding Access

The objective of expanding access, as detailed out in the project, has been achieved completely. During the projectperiod 3457 new primary schools and 1 100 upper primary schools have been opened under UPBEP - I and 1284primary and 671 upper primary under UPBEP- II. These are more than the targets set initially for the project. In

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addition 1049 new buildings were created for existing schools. The project also laid emphasis on buildingdecentralized mechanisms for speedy implementation of repairs. Opening of these many new schools meantappointment of 9482 teachers for primary schools and 8855 teachers in upper primary schools under UPBEP I andII. In addition, 3401 teachers were appointed in existing schools to cater to additional enrolment under UPBEF - Iand 11774 under UPBEP - II. Provision of more teachers meant an improvement in teacher-pupil ratio in thes(districts as compared to non-project ones. Women constituted about 27 percent of teachers appointed for prima:yand about 18 percent of that for upper primary schools under the project. In addition to regular teachers, 5685 parateachers, known as Shikshamitra, have also been appointed for primary schools. In order to ensure adequaterepresentation of women, 50% seats have been reserved for women under this scheme. In urban areas, the projecthelped in relocating unviable schools to areas where demand existed with no corresponding supply of facilities.

441 Alternative Schooling Centres were opened for children who had either never been enrolled or had droppe,lout of the formal system. The scheme can be seen as a modified NFE scheme where the similar approach of atwo-year course with four semesters was followed with focus on provision for improved curriculum and textbooks,more intensive training and provision for more and better set of materials for learners at the centers, with a view tohelp the learners join the mainstream system once they complete their course in these centres. The evaluationssuggested that the scheme has succeeded in some of its objectives. Concerns were expressed regarding some of thelearning issues. The project responded by organizing one round of training programme for instructors andimproving the supervision system.

Girls' Education

The different project interventions mentioned under various heads above gave a definite thrust to girls' education.The emphasis on early childhood and linking it with primary education paved the way for girls' participation inprimary schooling by freeing them from sibling care. The collaboration with Mahila Samakhya helped in gettingsupport of women for girls' education and also in organizing campaigns that were suitable and effective. Openingof new schools brought schools closer and encouraged parents to send their daughters to schools. The expansion ofupper-primary schooling especially helped girls in continuing with their education and improved transition rates.Model Cluster Development approach was adopted for low female literacy rate and low girls' participation ratepockets. Intensive inputs were provided through VECs, women's groups and motivators. The UPBEP madesignificant contribution in making the state develop into a learning model for Girls' education. The state hosted aninternational team compriKng members from different countries and shared its experiences of working towardsmaking education available and accessible to girls.

Systemic and Policy Impact

The project succeeded in infusing an element of professional rigour in the functioning of educationaladministrators at different levels. The administrators were trained in management, leadership, educationalplanning and got an opportunity to practice those in the project. The cadre based training organised by theSIEMAT for district level educational administrators (BSAs and ABSAs) has not been limited to project districtsand include officials from the entire state. The project also brought in the concept of making informed decisions inplanning and implementation. The introduction of EMIS and conduct of a number of research studies led to theiruse in planning and identification of problem areas as well as solutions.

The need for and relevance of a holistic approach to educational planning and implementation was established aythe project in the state. The project emphasized integrated management structures for implementation at alllevels. The committees were established at all levels drawing representation form several managerial and academicinstitutions of the basic education sector as well as from other departments/sectors. The design, components andmechanisms of UPBEP directly contributed to choice of interventions, planning and implementation in DPEP.The experiences of UPBEP helped the state in identifying the strategies that worked and those that do not. Some ofthe areas that could not be covered under UPBEP were included in DPEP because of learning from the project.Because of the overlapping period of implementation for the two projects, UPBEP and DPEP, there has been a lotof cross-learning between the two.

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The emphasis given to community involvement and strengthening of VECs as a grassroot organization in theproject has gained wider acceptance and recognition. Widening of VECs' membership and its recognition as astatutory body are measures that applied to the entire state. The process of decentralisation of educationalmanagement initiated under UPBEP was further advanced by GOUP's delegation of basic and non-formaleducation to PRIs in 1999. Education is one of the four committees to be constituted under Gram Panchayats as perthis delegation.

The pedagogical renewalprocess initiated under UPBEP is being carried out further by DPEP and extended to allnon-project (UPBEP or DPEP) districts as well. The importance of regular teacher training and support has beenrecognised and the GOUP has agreed for a complete overhaul and systematization of teacher training throughannual training packages in BRCs and follow up through CRCs. This has been accepted as an effective model andthe system is now going to be introduced in the entire state with establishment of BRCs and CRCstNPRCs in alldistricts. The service rules are being developed to incorporate these new institutions permanently in the educationsystem. The sustainability plan had highlighted the need for strengthening the organic linkages between school,NPRC, BRC and DIET. The UPBEP responded by developing a new academic supervision package which takesthis aspect into consideration. The implementation of the project has brought the quality aspects ofteaching-learning to the forefront. The importance of monitoring the quality through learning achievementassessments and documentation of classroom processes has been realized and incorporated as a necessarycomponent of all later projects.

The importance of involving stakeholders, ie., teachers, community, etc., in development of materials andconduct of training programmes meant an increased recognition of the role of stakeholders. An important anddirect systemic expression of the project has been incorporation of few positive and modem aspects of thepedagogical renewal interventions in the pre-service curriculum of Basic Teacher Training course in the state. Inthe context of construction, the UPBEP experience has resulted in the initiation of theprocess of redesigningschools and revision of unit costs for the entire state. There has been recognition of repairs and maintenance ofschools to upkeep infrastructure. Also, school building has been recognised as a full unit by including hand pumps,toilets etc apart from the main structure. An order has been passed to this effect by the GOUP.

The project has provided an innovative and replicable modelfor effective convergence between ICDS andprimary schools. Apart from revealing the importance of releasing girls from sibling care, this model alsoestablished the importance of school readiness in participation of children in schooling as well as quality ofeducation. The project experiences showed that proximity of schools to habitations helps in improving girls'participation and this led to the acceptance and adoption of the Education Guarantee School (EGS) scheme.Though the UPBEP itself could not achieve much in the field of developing specific models for specific groups ofout of school children, the initiation of the concept and experiences has resulted in the emergence of eight modelsof Alternative Schooling under DPEP in the state.

Based on the experiences of UPBEP and DPEP, The GOUP has developed a draftpolicy documentfor Basic andSecondary education which recognizes all the elements incorporated in the project. This outlines the importanceof physical environment, community involvement, pedagogical reforms, teachers' accountability, professionaleducational management, equality of opportunity to all social groups, Altemative schooling measures, EarlyChildhood education, etc.

D. Major Factors Affecting Implementation and Outcome

Although most objectives have been achieved and the outcomes have exceeded the project targets, there werecertain delays and minor problems, leading to slowing down the pace or affecting some of the sub-components.

Factors outside the control of government or implementing agencyThe procurement procedures recommended by the World Bank and mandatory for the project proved restrictive insome cases. There are also instances of the requirement of getting the Bank's approval for consultancy and certainother services leading to considerable delays

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Factors generally subject to government controlThe procedural aspects caused some initial delays in positioning of staff in the project. The SIEMAT has not beenable to attract/retain highly qualified professionals as faculty members because the state government has not agreedto pay the UGC scale of salaries despite the Executive Committee's approval and recommendation. The frequerttransfers of personnel at DIETs and District Project Offices, which has not been under the control of the project,also adversely affected the implementation to some extent.

Factors generally subject to implementing agency controlIn the initial phase, the project was highly focused on the aspects of physical infrastructure and teachers alone.Quality related aspects received greater attention only after first two to three years. The functioning of the projeztwas centralized initially and it took time for decentralized planning and management practices to take roots. Theproject personnel who were initially drawn primarily from the govemment were used to function in a rigid andcentralized environment and the same culture continued in the project management during the initial phase.

E. Project Costs and Financing

The expenditure rate in the project has been almost 100 percent till November 2000. The component wisedistribution of the project reveals that building educational physical as well as human infrastructure has been apriority. More than 80% of the expenditure was for building school infrastructure, either physical or human,something that can be seen as the necessary requirement for providing universal basic education

The rate of expenditure in the first two years was much less than initial forecasts of more than 30 percent in theSAR. The discussions with managers and nature of delays suggest that there are certain imminent and unavoidablepreparatory hurdles and the project design in future should take care of those. Any project which involves atransition in functioning style and appointment of personnel as per the government policies should allowappropriate time of at least one year for preparatory activities between project approval and take off. It also requirestime to put the newer systems in place, especially if the means and mechanisms happen to be different from whathave been in practice till then.

F. Sustainability of the Project

The sustainability of the project is highly likely as reflected by a number of factors including the govemmentcommitment and institutional development initiatives. The development of a policy document including criticalelements similar to project components, continuation of BRCs and NPRCs in UPBEP districts and adoption of theconcept for the entire state including non-DPEP districts, initiation of institutional development activities forselected DIETs and delegation of powers to PRIs are some of the measures that reveal positive indicators towarcdssustainability of project initiatives and outcomes. The VECs have been made a sub-committee of Panchayats wi-hstatutory powers and control.

The establishment and functioning of SIEMAT and strengthening of SCERT would also ensure the sustainabilityof a number of outcomes and approach in future. The GOUP is considering to provide greater autonomy to SCERTwhich could facilitate further flexibility in its functioning. The GOUP's decision to continue with all thepedagogical renewal activities in the UPBEP districts on the line of DPEP districts for the next two years reveal itscommitment to take the initiative to a logical end. The introduction of new textbooks and adoption of regularteacher training and support activities through BRCs and NPRCs would ensure continuity and help inmaintaining/improving the consciousness about quality of teaching learning processes.

The Sustainability Plan developed by the project had also estimated the extent of funding required in thepost-project period. The GOUP has accepted the estimate and allocated Rs.223 1.932 million for the year2000-2001. The approved list of activities include teacher training, TLM grant for teachers, DIET activity grant,support to MS, salaries for teachers, BRC, NPRC and SIEMAT personnel. The sustainability plan also included atransition plan for smooth changeover of the project into the post-project phase. The state has suitably responded tomost of the suggestions made in this regard depicting the seriousness on the part of the government.

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Transition Arrangements to regular Operation

The suggested transition plan in the sustainability study included many measures for strengthening institutions andcapacities at the local levels so that they could themselves take initiatives with some guidance from the above.Several steps have been taken in this regard. The new package for supervision has been developed to strengthen theorganic linkages between DIET, BRC and NPRC so that they function in a more integral manner. Both SCERTand SIEMAT are developing detailed institutional development plans to enable them to function more asresponsive organizations to the needs of the districts. Along with School Development Grant, the VEC has beenmade the agency for routing the TLM grants for teachers also, expecting the institution to play a larger role in thepost-project period. Recognizing the importance of maintenance of large number of construction activitiesundertaken in the project, the provision for school development grant has been retained in the state budget. Thestate has already accepted the practice of preparing AWP&B as an effective tool for guiding the activities for theyear and an office order has been passed making it compulsory for districts to continue the practice in thepost-project period.

G. Bank and Borrower Performance

The World Bank's Performance

LendingThe Bank's performance in this regard was satisfactory. The World Bank followed a rigorous process ofidentification, preparation assistance and appraisal for UPBEP. India had declared elementary education as apriority area and identification of Uttar Pradesh as the state for intervention was appropriate, this being the mostpopulated and one of the most educationally backward states in the country. Project preparation and appraisalprocess was professional, detailed and revealed an element of partnership between the Bank and the GOUP. Theproject appraisal was based on social, financial and economic analyses. The management, implementation andmonitoring plans were drafted in detail. The monitoring indicators were developed for all aspects of the project.However, almost all indictors were quantitative in nature and inclusion of process/qualitative indicators wouldhave further enriched the monitoring and feedback process. The implementing agency did realize the need andadded classroom processes study as an indicator for assessing impact of pedagogical inputs.

SupervisionThe device of Supervision Mission by the Bank after every six moths worked well largely and helped theimplementing agency in documenting the progress regularly. The multi-disciplinary composition of SupervisionMissions helped in providing useful feedback to the project implementation. These Missions also affected themotivation level of the field functionaries positively. The Bank also extended technical support to projectimplementation in the initial phase through consultancies provided for development of supplementary materials.

Overall Bank's PerformanceOverall, the Bank's performance can be termed as satisfactory and constructive. The role was significant inbringing in the aspect of professionalism in the project implementation.

The Borrower's Performance

PreparationThe state was adequately prepared for this kind of project in almost all respects. The state conducted all thepreparatory activities including studies as per the Bank's requirements in time and with competence.

Government Implementation PerformanceThe state government's performance has been highly satisfactory on many counts - in facilitating implementationof the project, in taking initiatives in sustaining some of the initiatives and outcomes, and also in extending theseto non-project areas. The state government has been releasing substantial sums of money in time forimplementation of the project. This was important for implementation as IDA operates on the basis ofreimbursements and there was no central government component n this project. The government agreed to create

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thousands of posts for teachers as well as for BRC and NPRC coordinators, which implied huge financialliabilities. Highly qualified professionals and senior bureaucrats were appointed who were successful in providi nigthe required guidance and push to the districts. The autonomy granted to implementing agency by the GOUPenabled professional functioning. Minor delays in appointment of personnel experienced during the initial phaseeased out once the project started operating in the full swing and its positive impact was visible.

Implementing AgencyThe implementing agency's performance was also satisfactory, as shown by the outcomes and completion of theproject objectives. The attainment of some of the targets was noteworthy because of their scale, complexity andintricacy. Suitable personnel were selected from within the system on deputation and from outside on contract onconsultancy basis. Decentralized decisions permitted by the project included a number of interventions involvingprocurement of materials and services. Monitoring mechanisms were established so that regular feedback isreceived and the quality of implementation is improved. Efforts were made to develop a new work culture whichwas more responsive and professional as compared to the typical bureaucratic system.

Overall Borrower's PerformanceOverall, the performance of the borrower was highly satisfactory, especially in implementing complex tasks in timeand making adequate efforts to institutionalize the positive practices.

H. Key Lessons Learned

* It is possible to implement a complex sector/sub-sector project with complex nature provided there is adequatepreparation and commitment from the state government.

* A long-term view is critical for a project aimed at reforming or bringing a major change in the functioning ofa sector. Considering the fact that these districts still require some more intensive inputs in pedagogicalreforms and institution building, it appears that a ten-year period is a more viable time-frame for a basiceducation project. The UPBEP experiences suggest that initial years go in developing systems, mechanisms,safeguards and devices to attain the quantitative targets (i.e., construction, training, etc.) and the longer periodwould allow the agencies to consolidate and emphasize the aspects of quality and institutionalization.

* The mechanism of Society controlled by an Executive Committee with representation of various governmentdepartments works well by ensuring government control and convergence and allowing greater flexibility anddecentralisation at the same time.

* Decentralisation is important for improved local management, enhanced responsiveness to local needs andfaster pace of implementation. However, the project also reflected that decentralisation is effective only whencombined with suitable capacity building measures.

* The states with huge population, inadequate infrastructure and poor participation rates need to invest heavilyon providing access in terms of building as well as teachers.

* The increased availability of upper primary schools ensured better enrolment and transition rates for girls.This showed that the demand for upper primary increases immediately after expansion of and improvemeni inthe primary education system. However, the experience also showed that the heavy load for the primaryclassed meant less importance and priority to upper primary classes in the initial phase of the project. Thesevaried experiences imply that the future projects should be designed in a manner that the interventions forupper primary should be built in immediately after putting systems for primary classes in place.

* The experience of work experience project suggested that inclusion of vocational elements at upper primarylevel directly impacts the demand for education among girls.

* The project interventions in the urban areas depicted that the situation of schooling processes or schoolinfrastructure is not much better in urban areas and the same must be included in any project aiming atimproving the basic education sector.

* Although substantial improvement in the functioning of existing institutions/personnel like SCERT, DIETSand educational administrators is possible with adequate and suitable exposure, the success depends upon tlhecombination of factors including leadership, capacity building, delegation of power and control, developmentof simple and flexible mechanisms.

* Establishment and operationalization of SIEMAT helped in establishing the importance of technical supportin area of educational planning and management.

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* The importance of informed decision making and close monitoring in planning, implementation andimprovement was established through conduct and use of research and evaluation studies, collection, analysesand utilization of MIS, and organization of periodical review meetings.

* The usefulness of holistic approach as compared to schematic approach in addressing the sectoral issues andbringing in reform-based changes was realized.

* The continuity of staff both at the top level and at the district levels is important to allow proper understandingand facilitate implementation in the desired direction and at right pace.

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MAP SECTION

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