REPUBLIC OF IRAQ - World Banksiteresources.worldbank.org/IRFFI/Resources/TATF07648.pdfEmergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex REPUBLIC OF

Document of The World Bank

FOR OFFICIAL USE ONLY

Report No:T7648-IQ

REPUBLIC OF IRAQ

TRUST FUND GRANT

OF US$90 MILLION

TO THE MINISTRY OF MUNICIPALITIES AND PUBLIC WORKS

FOR AN

EMERGENCY WATER SUPPLY, SANITATION AND URBAN RECONSTRUCTION PROJECT

World Bank Iraq Trust Fund TF053167 Trust Fund Grant TF054455

TECHNICAL ANNEX

December 27, 2004

Private Sector, Finance, and Infrastructure Group Middle East and North Africa Region This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization.

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex

REPUBLIC OF IRAQ


GRANT AND PROJECT SUMMARY

Grant Recipient: Ministry of Municipalities and Public Works (MMPW)

Beneficiary: Municipalities throughout Iraq Implementing Agencies: Ministry of Municipalities and Public Works

(MMPW) Loan/Credit/Grant: Grant Amount & Terms: US$90 million on Grant terms Objectives & Description: The principal objective of the project is to restore

some basic water supply, sanitation and urban services for urban areas outside Baghdad City through (a) the reconstruction and rehabilitation of existing facilities, and (b) providing capacity building support through training and technical assistance. The project will complement support by other donors. The project will also create vitally needed short-term employment and help build Iraq’s capacity to manage large-scale reconstruction.

Project Appraisal Document: This Project has been prepared in accordance with

Emergency Recovery Assistance procedures (Operational Policy 8.50). As such, there is no Project Appraisal Document for this Project.

Disbursement: The Project closing date is August 31, 2007. The

Grant is expected to be fully disbursed by December 31, 2007.

Project ID Number: P087910

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REPUBLIC OF IRAQ


CURRENCY EQUIVALENT

(Exchange Rate Effective September 10, 2004) Currency Unit = Iraqi Dinar (ID)

US$1 = ID 1, 460

ABBREVIATIONS AND ACRONYMS

CIDA Canadian International Development Agency CPA Coalition Provisional Authority DARM Diwan Al Rikaba El Malia (Iraqi Supreme Audit Institute) EOI Expression of Interest EU European Union FMR Financial Management Report GDP Gross Domestic Product ICB International Competitive Bidding ICRC International Committee for the Red Cross IDA International Development Association (World Bank Group) IFC International Finance Corporation (World Bank Group) ITF Iraq Trust Fund (administered by the World Bank) ISDS Integrated Safeguards Data Sheet IMF International Monetary Fund ISRB Iraqi Strategic Review Board KfW Kreditanstalt fur Wiederaufbau (German Development Bank) L/c/d liters per capita per day MIM Master Implementation Manual MMPW Ministry of Municipalities and Public Works MOB Mayoralty of Baghdad MOF Ministry of Finance MOPDC Ministry of Planning and Development Cooperation NCB National Competitive Bidding NGO Non-Governmental Organization OED World Bank - Operations Evaluation Department OP Operational Procedure PID Project Information Document PMT Project Management Team PMU Project Management Unit PP Procurement Plan SBD Standard Bidding Documents SOE Statement Of Expenditures TA Technical Assistance

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TOR Terms of Reference UN United Nations UNDG United Nation Development Group UNDP United Nations Development Program UNICEF United Nations Children’s Fund US United States USAID United States Agency for International Development

Vice President Christian Poortman Country Director Joseph Saba Sector Director Emmanuel Forestier Sector Manager, Acting Tjaarda Storm Van Leeuwen Task Team Leader Suhail J. S. Jme'an

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REPUBLIC OF IRAQ


Table of Contents

GRANT AND PROJECT SUMMARY .................................................................................. II CURRENCY EQUIVALENT .............................................................................................. III ABBREVIATIONS AND ACRONYMS............................................................................... III

A. BACKGROUND ................................................................................................................ 1 COUNTRY BACKGROUND .................................................................................................... 1 KEY SECTORAL CHALLENGES............................................................................................. 2 THE INTERNATIONAL RESPONSE......................................................................................... 5

B. THE RATIONALE FOR BANK INVOLVEMENT ...................................................... 7 APPLYING LESSONS LEARNED ............................................................................................ 7

C. THE PROJECT ................................................................................................................. 8 PROJECT OBJECTIVES.......................................................................................................... 9 PROJECT DESCRIPTION........................................................................................................ 9 PROJECT FINANCING ......................................................................................................... 13

D. INSTITUTIONAL AND IMPLENTATION ARRANGEMENTS ............................. 13 IMPLEMENTATION ARRANGEMENTS ................................................................................. 13 PROCUREMENT ................................................................................................................. 14 DISBURSEMENT................................................................................................................. 16 FINANCIAL MANAGEMENT................................................................................................ 17 ENVIRONMENTAL AND SOCIAL ASPECTS .......................................................................... 19 PROJECT SUPERVISION...................................................................................................... 19 MONITORING AND EVALUATION....................................................................................... 20

E. ECONOMIC JUSTIFICATIONS .................................................................................. 20

F. PROJECT RISKS............................................................................................................ 21

G. TIMETABLE OF KEY PORJECT PROCESSING EVENTS .................................. 25

Annex 1: Logical Framework and Key Performance Indicators..................................26 Annex 2: Detailed Project Costs...................................................................................28 Annex 3: Detailed Projects Description .......................................................................35 Annex 4: MMPW Organizational Charts .....................................................................44 Annex 5: Responsibility Matrix.....................................................................................47

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Annex 6: Procurement Arrangements...........................................................................49 Annex 7: Procurement Plan..........................................................................................57 Annex 8: Project Implementation Schedule..................................................................63 Annex 9: Financial Management and Disbursement....................................................66 Annex 10: Environmental and Social Safeguards Assessment Framework (ESSAF)...73 Annex 11: Performance Monitoring Indicators..........................................................116 Annex 12: Project Files ..............................................................................................117 Annex 13: World Bank Project Team .........................................................................118

Map: Project Location IBRD 33716

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REPUBLIC OF IRAQ


TECHNICAL ANNEX

A. BACKGROUND

COUNTRY BACKGROUND

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Large oil reserves and abundant human resources enabled Iraq to attain the status of a middle income country in the 1970s. The country developed good infrastructure. Education and healthcare systems were widely regarded as the best in the Middle East. Income per capita rose to over US$3,600 in the early 1980s. Since that time, successive wars and a repressive, state-dominated economic system have stifled economic growth and development and debilitated basic infrastructure and social services. International trade sanctions imposed in 1991 took a toll on the economy. Despite the country's rich resource endowment, Iraq's human development indicators are now among the lowest in the region and income per capita dropped to about US$800 by 2001, with continued decline thereafter. Although there is a paucity of reliable economic data, the 2003 Gross Domestic Product (GDP) was estimated at about US$13 to 17 billion, or about US$480 to 630 per person.

Years of conflicts, misdirected resources, and the affects of Iraq’s centralized command economy have stifled economic growth and development, curtailing Iraq’s ability to invest in new infrastructure and maintain existing facilities. Conflicts, looting, and sabotage have also resulted in direct damage to buildings, pipelines, communication equipment, and transportation links. Billing systems and associated revenues that maintain operations have collapsed. Today most Iraqis have limited access to essential basic services, including electricity, water supply, sanitation, and refuse collection. Serious environmental and health risks associated with contaminated water supplies, inappropriate handling of solid waste, and disposal of sewage threaten to further burden the already stressed health system. The concentration of economic and social activities in the main urban centers of Iraq has also led to a proliferation of under-serviced neighborhoods in major Iraqi cities.

At the end of the 2003 war, Iraq’s infrastructure was seriously degraded. The majority of the population had limited or inadequate access to essential basic services. Those who could afford it relied on costly alternatives for electricity and water services. Contaminated water supplies, improper handling of solid waste and disposal of sewage led to environmental degradation and increased health hazards. The majority of governorates suffer from insufficient and damaged urban roads and storm water drainage,

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street lighting and social facilities. What had escaped destruction and looting operates at minimal capacity due to years of neglect and lack of maintenance. This situation weakened urban economies and the income of the population. The deficiency of basic infrastructure services has added to the general lack of security in various parts of the country.

KEY SECTORAL CHALLENGES

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Iraq has been subjected to the classic symptoms and causes of urbanization trends usually experienced by developing countries and fuelled by an imbalanced distribution of spatial development. Close to 70 percent of the estimated Iraqi population of 26 million live in cities. Baghdad alone accounts for about 6 million, being 23 percent of the total. The remarkable speed of growth of major cities has been attributed to the concentration of the economic and social activities in the main urban centres, but that was not subsequently matched by the required expansion in the provision of services.

The Ministry of Municipalities and Public Works

The Ministry of Municipalities and Public Works (MMPW) was recently created out of the Civil Services Division of the Iraq Interior Ministry. The MMPW is the chief national policymaker for the provision of all municipal services, except for electricity and telecommunications. It is responsible for delivery of safe drinking water, environmental sanitation (wastewater and solid waste) services, urban development, municipal road works, and public land management.

The Ministry has offices in 266 municipalities in fifteen of the eighteen governorates in Iraq. The three Governorates of the Iraqi Kurdistan Region, Dohuk, Arbil, and Sulaimaniyah, are affiliated but administered separately. More than 40,000 employees serve in the Ministry of Municipalities & Public Works working at over 600 locations. The national general directorates provide administrative, financial and technical support to each Governorate and municipality. They are responsible for overseeing water distribution systems, sewerage, and other municipal services. They oversee installation and maintenance of water and sewerage treatment facilities. And they also set and oversee the standards for design and operation for all municipal services, such as refuse collection, municipal roads, cemeteries, abattoirs, and public parks.

The aim of the Ministry is to decentralize service delivery and administrative organization for increasing water supply coverage, reducing unaccounted for water losses, and increasing sewerage coverage, as well as responses to issues and interests expressed by local councils. The following sections summarize the current situation and sectoral challenges.

Water Supply and Sanitation Sector: Prior to the 1991 Gulf war, the population of Iraq enjoyed a relatively high level of water supply and sanitation services. The sector operated efficiently, utilizing then-current technologies. Water quality was generally good as there were 229 and 1332 water treatment plants and water treatment units, respectively, operating throughout the country. Over 95% of the urban population

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and over 75% of the rural population had access to safe potable water. Sanitation services covered about 75% of the urban communities (25% connected to sewerage systems and 50% with on-site septic tanks) and about 40% in rural areas.

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Since 1991, the water supply and sanitation sector has experienced a steady but devastating decline. Aging infrastructure, poorly maintained equipment, leaking water and sewer networks and low technical capacity and morale are some of the key problems of the sector. The lack of funding led to insufficient imports, lack of maintenance, and curtailment of needed expansion. These services were surpassed by other national priorities, which resulted in a serious degradation of the quality and extent of services delivered. Many Iraqi cities do not have adequate water or sewage treatment plants. Even in cities and communities where there are treatment systems, many have fallen into disrepair after years of neglect. At the same time, water and sewerage systems, with their intricate network of pumps, are constantly strained by regular and frequent power outages.

The current estimated daily demand for potable water is 9 million cubic meters. The MMPW's total potable water production capacity is approximately 6.8 million cubic meters per day based on 22 hours of operation per day. Potable water services only cover 80% of the Iraqi population via a 16,500 km network of which at least 30% needs replacement. Only 9% of the urban population outside Baghdad is served by sewerage systems, while rural areas and the north do not have piped sewerage systems. Moreover, the unavailability of continuous power supply due to infrastructure damages has crippled the ability of the ministries and water and sanitation authorities to manage and to operate basic services.

Diseases associated with poor sanitation, unsafe water and unhygienic practices had increased to alarming rates. Many Iraqi cities do not have adequate water or sewage treatment plants and even where there are treatment systems, many have fallen into disrepair from years of neglect. It is estimated that 50% of Iraq’s population have no access to clean drinking water. It is estimated that water related diseases are responsible for about 25% of all deaths of children in Iraq; about 109 per 1000 children die before the age of one.

Existing consumer tariffs are extremely low and barely cover the cost of water and operation and maintenance costs. Current prices of water do not reflect shadow prices in the production costs. Because of the prevailing volatile economic, political and security situation in Iraq, it is not expected that cost-reflective tariffs will be introduced immediately.

A recent UNICEF report describes the current situation as follows:

• Water services in most cities are limited to a few hours a day of poor quality water;

• Routine maintenance of water networks is rare and water losses are in excess of 50%;

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• More than 70% of all sewage is not treated, resulting in over one million cubic meters of raw sewage being discharged to rivers daily;

• Broken-down pumping stations have resulted in clogging of sewers causing backflows of sewage into streets, homes, hospitals and schools; and,

• Extensive leaking networks are causing sewage to seep back into the water supply system and posing serious health risks.

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Currently, there is an ongoing effort by donor countries, such as the United States (US) (through the US Agency for International Development (USAID)), Japan, the European Union (EU), etc., as well as efforts by multilateral agencies such as the United Nations Children’s Fund (UNICEF), the United Nations Development Programme (UNDP), the International Committee of the Red Cross (ICRC), and Non Governmental Organizations (NGOs), to restore the sector to standards that existed prior to the latest conflict. Their activities include clean water tankering each day to people, especially in the cities of Al-Basra, Al-Muthanna, Kirkuk, and Mosul, to mitigate against water-borne disease, repairing and expanding of water and sanitation facilities and their networks, water quality monitoring, procurement of much needed water treatment chemicals, garbage collection, and promotion of hygiene education.

Municipal Roads and Sidewalks: according to the United Nations/World Bank Joint Iraq Needs Assessment, October 2003, only 20-30 percent of the 14,193 km secondary roads linking towns with the Governorates are in good condition. While, just 10 percent of the 3,704 km roads that provide villages and towns with access to the secondary network are considered to be in good condition, as shown in Table 1 below.

Table 1: Length and Condition of Secondary and Tertiary Roads

Classification

Length (km) Good % Fair % Poor %

Secondary Roads 14,193 20

70 10

City and village Roads 3,704

10 30 60

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On the other hand, the MMPW estimates that about 17,000 km of roads, varying between 7-15 m in width, need paving or resurfacing. Maintenance of roads and sidewalks in the centres of the governorates started in 1999 as some equipment were imported under the Oil for Food Programme. However, most roads have not been well maintained in recent years, and storm water networks, signage, and other highway furniture that was damaged or missing has not been replaced or upgraded.

Iraq had one of the lowest vehicle ownership rates in the region with the demand being suppressed for a number of years. However, post-war lack of control led to an influx of about 500,000 vehicles, drastically increasing the size of Iraq’s vehicle fleet.

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The road system was not designed to cope with this volume, and traffic is beginning to choke transport within the cities. Furthermore, the unpaved and dilapidated conditions of roads in the cities and residential quarters, the lack of proper storm water drainage, and the formation of stagnant water pools and the muddy/sandy roads’ conditions are impeding the flow of human and vehicular traffic and increasing health risks. Improving the roads’ conditions and increasing their capacity in major urban areas becomes necessary for improved access of the populations to markets and social services and for the economic well-being of the city.

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Community Facilities: Urban authorities are responsible for a range of real estate properties such as parking lots, slaughterhouses, a number of factories and workshops, and leisure halls. Most of these buildings and facilities are in need of major maintenance and upgrading. Of special concern are the slaughterhouses, which are lacking any kind of modern meat processing equipment or butchering systems. The disposal and waste system, and animal retention areas and pens are primitive, ineffective, and a major health risk. Furthermore, environmental standards for odour control, waste disposal, and effluent control and treatment do not exist.

THE INTERNATIONAL RESPONSE

Following the invasion of Iraq in 2003, the international community was quick to recognize the need for a multilateral approach to the reconstruction and development of Iraq. At the request of the international community, the World Bank and the United Nations Development Group worked closely to produce an assessment of Iraq’s reconstruction needs. The Joint UN/WB Needs Assessment estimated total needs for the period 2004-2007 to be US$55 billion, comprising US$35.8 billion for the fourteen sectors covered by the Needs Assessment1, and US$19.4 billion estimated by the then Coalition Provisional Authority (CPA), for other sectors including security and oil. The Joint Needs Assessment served as a basis for an international donors’ conference held in Madrid in October of 2003, where donors pledged about US$32 billion for the period 2004-2007. Follow-up Donor Committee meetings are regularly held to review priorities submitted by each ministry, assess the progress made to date and coordinate bilateral and multilateral reconstruction efforts. To date, only a small portion of these pledges has been actually committed and disbursed.

To ensure swift, flexile, and coordinated donor financing for priority investments identified in the Needs Assessment, the World Bank and the UN designed an International Reconstruction Fund Facility for Iraq, consisting of two trust funds—a World Bank Iraq Trust Fund (ITF) and a UNDG Iraq Trust Fund—with mechanisms for close coordination. So far, about US$1 billion have been pledged for the UN and the World Bank Trust Funds for 2004/2005. Projects presented for funding under the Trusts Funds are submitted for approval to the Iraqi Strategic Review Board (ISRB), chaired by

1 The sectors are: education; health; employment creation; water and sanitation; transport and telecommunications; electricity; housing and land management; urban management; agriculture, water resources, and food security; finance; state-owned industries; investment climate; mine action; and government institutions. The cross-cutting themes are: gender, environment, and human rights.

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the Ministry of Planning and Development Cooperation (MOPDC), to ensure that projects are in-line with country priorities, and that no duplication occurs.

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Most of the US$32 billion pledged for Iraq’s reconstruction will be channelled bilaterally. The United States (US) is the single largest contributor to Iraq’s reconstruction, with an approximate supplemental budget of US$18.4 billion approved by US Congress in late 2003. The US has already awarded several major contracts for physical and social infrastructure rehabilitation. However, Iraq still faces a large gap in financing for emergency reconstruction and capacity building. Inadequate infrastructure service delivery remains a critical problem that lowers the quality of life in Iraq, contributes to poor security, and thwarts economic recovery and development.

The UN, which has experience working in Iraq under the Oil-For-Food program, is also expected to play an important role in addressing infrastructure needs. It currently has 23 agencies working in Iraq with local staff, and, like the World Bank, has established an operational presence in Amman for international staff. The UN and the World Bank sectors of intervention may overlap, making it essential that respective project teams work closely together to ensure that each institution capitalizes on its comparative advantages and duplication of works is avoided.

Many donors are contributing to the reconstruction process in Iraq. Donors also financed projects executed by national and international organizations and NGOs. Among the international organizations and NGOs active in the urban sector are UNICEF, UNHABITAT, the International Committee of the Red Cross (ICRC), Mercy Corps, World vision, Care, Première Urgence. Some of the donors’ activities in the urban sector include:

• USAID repaired hundreds of breaks in Iraq’s neglected water supply and

sewerage systems in Baghdad, Najaf, Karbala, Hillah, Fallujah, Wasit, Basra, Kirkuk and Mosul.

• CIDA financed UNICEF, Care Canada, and the ICRC for the rehabilitation of

water and sanitation systems, health, and education.

• ECHO funded emergency relief operations in the amount of Euros300 millions for rehabilitation of water supply and sanitation, with a particular emphasis on improving water and sanitation facilities in schools. ECHO funded ICRC, UNICEF, CARE, and Première Urgence.

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B. THE RATIONALE FOR BANK INVOLVEMENT

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In January 2004, the World Bank’s Board of Executive Directors discussed an Interim Strategy note of the World Bank Group for Iraq and authorized the Bank to act as administrator of the ITF, which was created jointly by the World Bank and other donors2.

This project is fully consistent with the Interim Strategy Note, which emphasizes the need for rapid rehabilitation of critical infrastructure and services, short-term employment generation, and institutional capacity building as prerequisites for long-term sustainable recovery.

There are important reasons for the Bank to be involved at this stage in rehabilitating Iraq’s infrastructure:

• Bank financing can complement ongoing infrastructure investments. Despite relatively large amounts of financing for infrastructure from bilateral donors, there remains a huge financing gap for infrastructure rehabilitation, which remains one of the biggest obstacles to economic recovery. This gap has recently increased with the decision of the US to reallocate about US$3.4 billion towards security, of which over US$1 billion had been allocated to the Water Supply and Sanitation sectors;

• The Bank is in a position to share international experiences and best

practices based on the Bank’s considerable international experience with infrastructure reconstruction projects in conflict-affected areas (including Bosnia-Herzegovina, Ethiopia, West Bank and Gaza, and Afghanistan);

• Bank financing, unlike the financing of many other donors, will be

implemented by Iraqi institutions (ministries and agencies), which will ensure Iraqi ownership and build Iraq’s institutional capacity, both crucial for the country’s sustainable development; and

• The Bank will couple financing for rehabilitation with policy advice, assisting the

Government with urgent policy decisions, while laying the ground for sector restructuring, essential for long-term sustainability of infrastructure investments.

APPLYING LESSONS LEARNED

The Bank’s increased role in post-conflict reconstruction over the past decade has provided a wealth of experience on which to draw. Now guided by the World Bank Operational Policy (OP) 2.30, Development Cooperation and Conflict, the Bank’s reconstruction efforts put a premium on early but selective engagement, flexibility in design and implementation, capacity building, coordination with donors and other partners, and close monitoring and evaluation. Notwithstanding the broadening into

2 To date, the Donor Committee includes: Australia, Canada, EC, Finland, Iceland, India, Japan, Korea, Kuwait, Netherlands, Norway, Qatar, Spain, Sweden, Turkey, United Kingdom, and the United States.

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multi-sectoral assistance, the World Bank Operations Evaluation Department (OED) has recognized the Bank’s continued comparative advantage in rebuilding physical infrastructure3.

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On the question of working in insecure environments, OP 2.30 recognizes that even in countries in conflict the Bank should “continue efforts at poverty reduction and maintenance of socioeconomic assets” and in developing a program for a country in transition from conflict may become involved incrementally. The Bank’s recent experience in Afghanistan provides the clearest precedent where selective assistance was mobilized ahead of, and in support of, a fully-developed transitional support strategy.

In line with these lessons, the project will be kept flexible to permit a quick response to changing circumstances. In addition, the Bank has conducted generic training, including project management, procurement, financial management, and environmental and social safeguards, for staff members of ministries associated with infrastructure. Further capacity building will take place in the coming months to ensure client readiness in project implementation. Early and effective collaboration with other donor agencies has also proven vital in previous emergency operations, such as Afghanistan. Accordingly, the project team is in close contact with other external partners, including the United Nations, United States, European Union, United Kingdom, and Japan. The project team is also in regular discussions through videoconferences with representatives of line ministries; several face-to-face meetings have taken place outside of Iraq.

C. THE PROJECT

The project represents the part of the Emergency Infrastructure Reconstruction Program, described in the Project Information Document (PID) of April 21, 2004, which intended to cover five sectors: water supply and sanitation, electricity, urban rehabilitation, transport, and telecommunications. In view of the limited availability of funds at the World Bank Iraq Trust Fund (WBITF), and the expressed interest of donors for certain sectors, the project will focus on the urgent water supply, sanitation and municipal infrastructure needs of cities outside Baghdad. A companion water supply and sanitation project for Baghdad is being proposed given the Capital City’s independent status, its historical responsibility for infrastructure services within its boundary, and the severity of the physical and environmental damages to its facilities during the last conflict.

3 OED, The Worldbank’s Experience with Post-conflict Reconstruction (1998)

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PROJECT OBJECTIVES

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The principal objective of the project is to restore some basic water supply, sanitation and urban services for urban areas outside Baghdad City through (a) the reconstruction and rehabilitation of existing facilities, and (b) providing capacity building support through training and technical assistance. This project also aims to improve the existing environmental and health conditions by renewing the old water networks and sanitation services. It will also contribute to the reduction of waterborne diseases through the reduction of water supply by tankers and the provision of potable water and sanitation networks. This would also help improve the economic conditions of the population by reducing the amounts of water obtained from tankers, which is generally more expensive. The project will complement support by other donors. The project will also create vitally needed short-term employment and help build Iraq’s capacity to manage large-scale reconstruction.

PROJECT DESCRIPTION

The project addresses the urgent sectoral needs of urban communities outside Baghdad including rehabilitation of water and sewer networks, pumping stations, small treatment plants, community roads and other urban facilities. It provides support to the MMWP to better manage projects at the design, supervision, operation and maintenance stages by building the capacity of its staff. Project components and their estimated costs4 are summarized below and described in further detail in Annex 3.

Component 1 - Rehabilitation and Upgrading of Karbala Water and Sewerage Systems (Estimated cost of US$16.34 million)

Karbala is one of the most holy sites and consequently centres for pilgrimage for

Shia’aa Moslems; Karbala’s resident population is about 580,000 inhabitants and its visitors population can reach 3 to 4 millions during religious days. The main objective of this component is to provide an adequate supply of potable water and effective sewerage services to the resident and visiting population of Karbala. The component consists of the rehabilitation of two treatment plants, part of the distribution network, and trunk and lateral sewer lines.

Component 2 - Rehabilitation and Upgrading of Majar Water Supply System (Estimated cost of US$3.16 million)

The Majar District in the Maysan Governorate has a population of approximately

120,000. The villages to be served under this project are Mabroka and Al-Yarmook, which have a combined population of about 18,000 and are considered to be two of the poorest villages in the Governorate. The main objective of the proposed component is to supply the 18,000 inhabitants of the aforementioned villages with potable water. It consists of replacement of two water treatment units, rehabilitation and extension of

4 The estimated total costs for components 1 through 12 exclude physical and price contingencies (approximately 10%), as well as design and training costs, accounted for in component 13.

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distribution networks, pumping stations and installation of about 3,000 house connections.

Component 3 - Rehabilitation and Upgrading of Beji Water Supply System (Estimated total cost of US$1.83 million)

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The targeted villages to be served under this project are Albu To'ama & Hajaj, which have a combined population of about 16,000 inhabitants. These villages are spread out in a number of independent rural and agricultural communities and are considered two of the poorest villages in the Governorate of Salah Al-Din. This component consists of replacement of two water treatment units, rehabilitation of distribution networks and installation of approximately 2,000 house connections.

Component 4 - Rehabilitation and Upgrading of Kena’an Water Supply System (Estimated cost of US$1.89 million)

The proposed component will serve three villages in the Kena’an district: Ezdihar,

Hameed Al-Seba and Mohammed Abbas. The villages have a combined population of about 22,000, and are considered to be three of the poorest villages in the Governorate of Diyala. This component aims to better water services while improving economic conditions and reducing the incidence of waterborne diseases. It consists of replacement of three water treatment units, rehabilitation of distribution networks and installation of about 2,700 house connections.

Component 5 - Upgrading of Al Hussainia Water Supply System (Estimated total of US$7.60 million)

This component will serve one of the poorest cities in Baghdad Governorate that

has suffered from years of neglect. It has a total population of approximately 135,000 inhabitants of which more than 60% do not have access to adequate water supply for all purposes. The proposed component will serve to increase the quantity, quality and access to potable water for the inhabitants of Al Hussainia city while reducing the demand on Baghdad pipeline. This component consists mainly of the supply and construction of a water intake, a raw water transmission line, a water treatment plant consisting of five water treatments units, with recommended two- year’s supply of spare parts, and a distribution network including house connections.

Component 6 - Upgrading of Al-Samawa Water Supply System (Estimated cost of US$12.34 million)

This component aims at reducing the shortage in potable water supply in Al-

Samawa (population 196,000), Al-Khadir (population 86,000) and Al-Suwair (population 38,000) cities and in 10 large villages along the potable water pipeline between Al-Rumaitha and Al-Samawa, with an estimated population of 44,000. It consists of supply and installation of 8 water treatment units, to cover part of the potable water shortage in both Al-Samawa and Al-Khidir. It also includes the supply and installation of 25 km of a new water pipeline to convey potable water to both areas, a staging water tank with

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capacity to serve Al-Khadir city. In addition, the component includes the rehabilitation and upgrading of three low lift pumps (two operational and one stand by pump), three high lift pumps (two operational and one stand by pump) and a pumping station.

Component 7 – Upgrading of Badawa Water Supply System (Estimated cost of US$1.50 million)

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This project is located in Badawa slum, Quarter 94, in Arbil City where about 6,000 thousand extremely poor families, with a total size of 42,000 inhabitants, live. The area is completely dependant on water wells to supply drinking water. The existing water distribution network is available to only 30% of the population and provides about 14 l/c/d. Losses in the network exceed 20% and the limited supply is often interrupted by power failures. The proposed component will help provide potable water and sewerage services to the population of Badawa, and will protect the water wells. The component consists of supplying and installing a water distribution network, drilling 10 wells, installing pump houses, storage tanks, chlorinators and diesel generators.

Component 8 - Upgrading of Dohuk Water Supply and Stormwater Drainage Systems (Estimated cost of US$4.92 million)

Over the past 2 years the Governorate of Dohuk has distributed 10,000 plots of

land in the western sector of the city to poor and displaced families. At present, a population of approximately 32,000 lives in the component area without any sewage or potable water services. This component will consist mainly of supplying and constructing a water distribution network and a storm-water drainage system to relieve the existing conditions.

Component 9 - Upgrading of Dukan Water Supply System (Estimated cost of US$4.48 million)

The existing water supply system in Dukan was first constructed in 1982 and is in

urgent need for a total and complete rehabilitation. The objective of this component is to increase the access and supply of water to parts of Dukan. This component will address all aspects of rehabilitation and upgrading of the existing water supply system: it will include the installation of a water supply system (distribution network, pumps, reservoir tanks, etc.), the construction of intake works and the construction of a water treatment plant.

Component 10 - Karbala Urban Rehabilitation (Estimated cost of US$6.40 million)

Karbala is an important religious centre that attracts around 5,000 daily visitors and around 3 to 4 million visitors during important religious events. The streets and squares in the city are in a dilapidated condition, due to the conflict and lack of maintenance and resources. In their current state, they are impeding the flow of vehicular and human traffic of both the locals and visitors. The bazaar is in a derelict state that needs urgent rehabilitation and upgrading. Lastly, the existing slaughterhouse which

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currently serves as the only public slaughterhouse in the Governorate is outdated, severely contaminated, and located within a major residential area. The objective of this component is to carry out urgently needed urban rehabilitation projects to accommodate the large number of visitors in an area that has not undergone rehabilitation works for over a decade. This component involves (i) the rehabilitation of existing damaged streets and squares, (ii) the rehabilitation of the traditional market (Bazaar) in Al-Abbas street; and, (iii) an Environmental Impact Assessment Study (EIAS) and Design of a New Municipal Slaughterhouse.

Component 11 – Badawa Urban Rehabilitation (Estimated cost of US$7.76 million)

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44.

45.

This component will address the poverty stricken district of Badawa in south-eastern Arbil. The work is municipal in nature and compliments the concurrent World Bank initiative for Water & Sanitation Improvements for this area. This component includes (i) the construction of storm water network to collect and drain rainwater into the city trunk main, and, (ii) upgrading of un-paved neighbourhood roads and main streets.

Component 12 - Basra Urban Rehabilitation (Estimated cost of US$7.78 million)

This component addresses the deteriorated condition of the main streets, the unpaved internal streets, and the stagnant water pools due to the lack of storm water drainage in Al-Jamiaa neighbourhood west of Basra. The work is municipal in nature and will focus on the selected sub-district (Al-Jamiaa) within the larger Al-Qibla district and is aimed to improve the municipal service sector. The component will provide for: (i) resurfacing of main streets, (ii) upgrading of neighbourhood internal dirt roads to paved roads, (iii) the construction of pedestrian sidewalks; and, (iv) construction of a new storm water drainage network.

Component 13 - Capacity Building and Technical Assistance (Estimated total cost of US$ 4.00 million)

This component is essential to ensure the proper implementation of the project

and to train MMWP staff throughout Iraq on efficient utility practices and financing. It will include the following activities:

a. Consulting services to complete final designs and tender documents; b. Consulting services for construction and implementation supervision; c. Capacity building and training in specific technical areas; d. Design and implementation of appropriate accounting, financial

management, information, billing and collection, and related systems; e. Consulting services to asses demand characteristics, cost of supply, demand

management and tariff structures; f. Individual consultants to support the Project Management Team (PMT); g. International audits;

12


h. Office equipment, vehicles, furniture and operation costs for the PMT; and, i. Feasibility studies and final designs for follow-up projects.

46.

47.

48.

49.

50.

This project will improve the quality of life of more than 2 million Iraqi citizens. Nevertheless, the needs remain quite high. The UN/WB Joint Needs Assessment estimated at US$6.8 billion the total rehabilitation needs of the Water Supply and Sanitation sector and at US$384 million of the Urban Management sector. Based on these figures, this project will contribute to less than 1% and about 8% of the total needs, respectively.

PROJECT FINANCING

A Grant of US$90 million is proposed to cover the costs of this project. The MMWP has agreed to cover the cost of Iraqi staff seconded to the Project Management Team (PMT), described below.

D. INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS

The MMPW will be the implementing agency and the Recipient of the Grant. Other Iraqi institutions such as the Ministry of the Environment and the Ministry of Water Resources would be associated indirectly with the project for clearances and reviews in accordance with national requirements.

IMPLEMENTATION ARRANGEMENTS

The project will be implemented by the MMPW. The PMT reporting to the Minister of the MMWP has been nominated with experienced staff seconded, on a full time basis, from existing technical and financial units. Many of these staff have attended initial training courses and workshops organized by the World Bank, UN agencies and other bilateral donors. The PMT will closely coordinate its daily activities with the different departments of the ministry. The PMT includes, but is not be limited to a core team of: a director, two procurement specialist, two project engineers, one financial management specialist, one environmental safeguards specialist, one administrative assistant, one quality assurance staff and one legal advisor.

The PMT will be supported, from time to time by consultants of different expertise to assist with final designs, tender documents, tendering, financial management and supervision of works. The consultants will also provide on-the-job training. The capacity building component provides financing for additional professional training locally or with international institutes.

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51.

52.

53.

54.

55.

International and local consultants were recruited by the World Bank to assist the MMPW to complete the project briefs and to carry out initial analysis and due diligence on all the proposed sub-projects. The consultants’ assessments have been received and reviewed by Bank staff.

To the extent possible, components have been separated into small size packages to allow for local contractors’ participation in the reconstruction efforts. Nevertheless, some components have been grouped into large sector contracts for equipment supply to simplify implementation and permit direct disbursement of funds.

The MOPDC and ISRB have reviewed and cleared all the proposed sub-projects. In line with the requirements of the Iraq Trust Fund, a monitoring agent will be recruited to ensure adherence to the overall requirements of the Trust Fund.

PROCUREMENT

Procurement for this Project will be carried out in accordance with the World Bank’s “Guidelines: Procurement Under IBRD Loans and IDA Credits” dated May 2004; and “Guidelines: Selection and Employment of Consultants by World Bank Grant Recipients” dated May 2004, and the provisions stipulated in the Grant Agreement. Also, procurement will be undertaken in conformity with the Master Implementation Manual (MIM), due for completion in December 2004. Detailed description of the procurement methods or consultant selection methods are specified in the Procurement Plan (PP) (Annex 7). The PP will be updated at least annually or as required to reflect the actual project implementation needs and improvements in institutional capacity.

Procurement of Works and Goods: For International Competitive Bidding (ICB) of Works and Goods, the standard bidding documents (SBD) of the Bank will be used. These will be: Procurement of Works, Procurement of Smaller Works, Supply and Installation of Equipment (to be used for the construction and installation of water treatment plants and facilities, with appropriate modifications) and the SBD for the Procurement of Goods. For procurement under National Competitive Bidding (NCB), agreement should be reached on a standard bidding document, in Arabic, that will be acceptable to the Bank, in line with the MIM. In case development of these SBDs is delayed, Bank Standard Bidding Documents for Smaller Works could be used with appropriate modifications that are specific to Iraq. Simple Works will be procured following the procedures of procurement of minor works on the basis of quotations obtained from three qualified domestic contractors in response to a written invitation. Shopping of Goods will be used as presented in the procurement arrangement.

56. Selection of Consultants: Consultants’ services procured under this project will include: selection of consultants to provide engineering services such as review update and finalization of the detailed design and preparation of tender documents of the projects that will be financed by the proposed Grant; selection of a specialized firm and individuals to assist the PMT in project implementation in the areas of : training of MMPW staff in procurement, financial management, project management and other technical fields as needed. Shortlists of consultants for services estimated to cost less than

14


US$100,000 equivalent per contract may be composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines.

Assessment of MMPW capacity with procurement 57.

58.

59.

60.

61.

62.

Based on the existing information on the overall environment for procurement in Iraq and in particular within the MMPW, the overall procurement risk assessment is judged to be high.

The MMPW is currently implementing projects financed by the Iraqi national budget (US$220 million) as well as other sizable infrastructure projects financed by donors. This reflects that the MMPW is capable of implementing all projects financed under the Grant using its own staff and facilities. The Bank, however, would work closely with its counterpart team in the Ministry to build knowledge in Bank procurement guidelines.

There is no centralized procurement department in the current organizational structure of the MMPW. Procurement is carried out by each department of the MMPW through a specialized unit. International and local procurement are closely coordinated with the Department of Administrative Affairs and Department of Technical Affairs.

Procurement activities under the project will be carried out by the PMT; two procurement staff has been recruited. These recruits will be trained on and become well-versed in Bank procurement procedures within the first three months after Grant signing. Such training can be obtained through attending formal courses in international institutions that delivers training on Bank procurement.

Construction supervision and site progress reporting will be the responsibility of the technical department of the field office of the MMPW located at the different Governorates, while procurement will be implemented centrally by the PMT. The same will apply to three northern Governorates (Arbil, Duhkan and Sulaimaniah) which report to Kurdestan Regional Governorate. The procurement will be handled entirely by the PMT established within the MMPW, as per the agreement between the MMPW and the Ministry of Municipalities and Tourism (MMT), on the behalf of the three northern governorates.

Given that the procurement environment which prevailed in Iraq during the last two decades was different from the norms of acceptable international practice and the legal and regulatory changes introduced by the then CPA, public procurement will predictably bear a high level of risk in the near future. The risk lies essentially in the lack of good laws and regulations, modern standard documentation, lack of training of concerned staff in procurement using Bank guidelines and international sound procurement practice, the lack of law enforcement which would increase the risk of looting and the damaging of facilities, and the inability of Bank procurement staff to supervise project in the field.

15


63.

64.

65.

On the positive side however, Iraq has a wealth of procurement and engineering staff that may be retrained rapidly to operate a reformed procurement system, and use new procurement documents and tools as they become available. Eight of the MMPW staff has already received two three-week training courses in procurement, financial, and project management that were organized by the World Bank in Jordan.

Recommendations and Action Plan to Build the Agencies Capacity:

- Two procurement officers are assigned to the PMT. These two officers will receive both formal and ad-hoc procurement training on efficient handling of the procurement activities under the project.

- An international consultant with field offices in Iraq will be recruited to assist the PMT in procurement, financial and project management. This firm would assist MMPW in establishing a procurement monitoring and reporting system.

- Series of training sessions and workshops will be carried out during appraisal throughout project implementation. The target audience would be PMT staff and other employees of the MMPW.

- The Master Implementation Manual (MIM), expected to be finalized by January 2005, would be adapted to the particular circumstances of the MMPW. The MIM would provide standard procurement documents, evaluation reports, progress reports, filing requirements that would be followed throughout project implementation.

- The thresholds for prior review by the Bank are set at a low level, to allow Bank staff to provide hands-on training to staff of the PMT.

- A Project Launch Workshop would be held in Arabic (or with Arabic translation) soon after Grant signing. All staff involved in the implementation should attend the workshop and it will be most critical that this staff be assigned on time.

DISBURSEMENT

The proposed Grant of US$90 million is expected to be disbursed by August 31, 2007. Annex 2 describes the allocation of the Grant proceeds according to each expenditure category, as well as the time-based disbursement plan.

The Bank’s strategy in Iraq is to ensure Iraqi ownership and strengthen institutional capacity by financing operations that are implemented by Iraqi ministries and other recipient entities. Trained Project Management Teams (PMTs) will facilitate implementation and help ensure compliance with fiduciary and other safeguards. PMTs will be employed and paid by the implementing entity at regular salary levels, thereby avoiding the disadvantages of stand-alone Project Implementation Units that can erode civil service institutional capacity over the medium and long term. The project will finance specialized technical support in procurement, financial management, and other areas as needed. In addition, to ensure that project funds are used for the purposes intended and to help carry out project supervision, the World Bank will employ two independent firms as Fiduciary and Safeguards Monitoring Agents.

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66.

67.

68.

69.

70.

As a further compensating control, disbursements will be made primarily by direct payment by the Bank to the contractors, consultants, and vendors. Once authorized by the Ministry of Municipalities and Public Works (MMPW), direct payments will be made by the World Bank directly into the account of the contractor, consultant, or vendor in a commercial bank capable of receiving funds transferred from the international banking system.

The project management component and payments below the threshold of $10,000 normally will be made through payments by the Recipient from its own resources. These payments made from the Recipient’s own resources will be reimbursed, on a periodic basis, by the World Bank to the MMPW upon presentation of relevant supporting documents, proof of payment, and a signed withdrawal application. The PMT and the main financial counterparts from the MMPW will be subject to intensive training in the Bank’s disbursement procedures.

FINANCIAL MANAGEMENT

Bank policies require that Grant proceeds be used only for the purposes for which they were granted, with due regard to economy and efficiency, and the sustainable achievement of the project’s development objectives. The Recipient, MMPW, is required in this regard to cause the PMT to maintain an appropriate and adequate financial management system, including records and accounts, and prepare financial statements adequate to separately reflect the operations, resources, and expenditures of the project. The grant Agreement also commits the recipient to have financial statements of the project audited for each fiscal year by a qualified auditor acceptable to the Bank following internationally accepted standards. The audit report should be submitted to the Bank within six months of year end.

Financial Management Risk Assessment. The financial management risk associated with this operation is considered high. Critical risk factors are: (i) ongoing insecurity, which prevents on-site Bank supervision and assessments, including financial management assessments; (ii) the Bank’s limited knowledge of Iraq’s public financial management systems, controls, and procedures; (iii) the limited knowledge on the part of Iraqi authorities of Bank policies and guidelines; (iv) MMPW making available on a timely basis financial resources to honor payments below the value of $10,000; (v) difficult communication and flow of information between worksites and the PMT, which could delay payments; (vi) inefficiencies in Iraq’s banking system that delay payments and transfer of funds to contractors, suppliers, or MMPW; and (vii) variation orders that may exceed price contingencies and difficulty may be encountered in verifying justification for variation orders. Although the project design mitigates to the extent possible these risks, the project will require close monitoring and supervision during implementation. A detailed financial management risk assessment is in Annex 9.

The control risks will be mitigated by putting in place additional controls and procedures including: (a) the PMT will verify and authorize payments under the project and verify justification for variation orders; (b) the PMT will maintain accounting system for the project and retain project’s records and supporting documents; (c) a qualified

17


financial manager will be appointed for the PMT financed under the Grant, and the PMT will be assigned a competent financial officer and finance assistant from MMPW who will be supported by a financial management consultant; (d) the Minister will designate an internal auditor from the internal audit department of MMPW to track and verify the project financial transactions; (e) disbursements by the Bank will be made primarily by direct payments and on reimbursement basis supported by full documentation; (f) the Fiduciary Monitoring Agent will review project expenditures and Withdrawal Applications; (g) the internal audit department at MMPW will maintain ledger account for each contract to track all payments made against each contract and avoid overpayment; and (h) close control will be exercised on all project documents and payment supporting documents at the PMT.

71.

72.

73.

The accounting and reporting risks will be managed by putting in place a simple computerized system using spreadsheet applications, capable of recording all project expenditures, tracking project commitments in real time during the implementation period, and providing the data needed for the generation of project reports, including the Financial Monitoring Reports (FMR).

An external independent auditor with international experience will be engaged to perform the project audits and issue an independent opinion on the project financial statements. The external audit report will encompass all project activities and will be in accordance with internationally accepted auditing standards. The audit report along with the related financial statements should be submitted to the Bank not later than six months after the end of each of the project fiscal years.

All the above activities and procedures will be documented within a chapter of the project implementation plan, which will be line with the Master Implementation Manual. The project Financial Management arrangements and identified risks are detailed in Annex 9.

74. Reporting to Donors. The Bank will maintain separate records and ledger accounts in respect of the funds deposited by the donors with the Bank under the ITF. Within ninety (90) days of the end of each quarter (March 31, June 30, September 30, and December 31), the Bank will prepare, on a cash basis, an unaudited statements of receipts, disbursements, and fund balance with respect to the ITF and forward a copy to each donor. Each such statement will be expressed in United States Dollars, the currency in which the ITF funds will be maintained by the Bank. In addition, within one hundred and eighty (180) days of the completion of all disbursements relating to activities financed from the ITF, the Bank will prepare on a cash basis an unaudited financial statement of receipts, disbursements, and fund balance with respect to the ITF and forward a copy to each donor. 75. The Bank will furnish to the donors:

a. on a semi-annual basis, a consolidated report describing the operations of the ITF (including contributions, disbursements, and implementation progress) in the preceding six months; and

18


b. on an annual basis, a management assertion, together with an attestation from the Bank’s external auditors, concerning the adequacy of internal control over cash-based financial reporting for trust funds as a whole.

ENVIRONMENTAL AND SOCIAL ASPECTS

76. The project will be limited to the rehabilitation and reconstruction of existing damaged facilities, and as such, it is rated as a category “B” project, as opposed to category “A” projects with high environmental impacts. Based on section 13 of OP 4.01, exemption has been sought from the World Bank’s executive management (March 2004) in order that any Environmental Assessment requirements will not be conducted prior to project appraisal. Instead, all subprojects will be processed in accordance with the Environmental and Social Screening Assessment Framework (ESSAF) for Iraq, which was disclosed by the MMPW in October 2004. In addition, a waiver/exceptions to the notification requirements under paragraph 7(a) of the policy OP 7.50 has been sought and cleared on December 2, 2004. The ESSAF entails that: (a) all subprojects be screened by the MMPW through a checklist attached in the ESSAF; (b) that a code of practice be included as part of civil work contracts as well as of purchase and installation of equipment contracts; (c) that EMPs will be undertaken during project implementation for certain components that require due diligence and tight environmental management of issues and aspects, particularly component 5, 6, and 7 d) and that capacity building is undertaken on the environmental issues and on corrective environmental measures in order to enable the MMPW and the Ministry of Environment, to address any potential aspects that may arise during the screening and implementation of the components. The World Bank team and the Recipient will be taking the necessary measures to ensure compliance with the ESSAF.

77. It is anticipated that land acquisition and resettlement will be kept to a minimum and all land acquisition and resettlement will be carried out in accordance with these guidelines set forth in the ESSAF. Subproject proposals that would require demolishing houses or acquiring productive land will be carefully reviewed to minimize or avoid their impacts through alternative alignments. Proposals that require more than minor expansion along rights of way will be reviewed carefully. No land or asset acquisition may take place outside of the ESSAF guidelines. A format for Land Acquisition Assessment Data Sheet has also been prepared and is part of the ESSAF (Annex 10).

PROJECT SUPERVISION

78. Considering the unfamiliarity of the Iraqi counterparts with Bank guidelines and procedures, strong supervision efforts including frequent field visits would be needed, particularly during the early stages of project implementation. Should the security situation prevent Bank staff and international consultants from travelling to Iraq during project implementation, project supervision would primarily rely on local Iraqi consultants and UN partners in Iraq, supported by Bank staff and international consultants working from outside Iraq, in the addition to the Monitoring Agents mentioned above. Regional consultants with branch offices in Iraq could also be recruited to assist with project implementation.

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MONITORING AND EVALUATION

79. Performance indicators for the project have been identified during project appraisal and will be measured annually during supervision (annex 11). The MMPW will work with consultant(s) to establish a monitoring baseline against which performance can be measured. Annual reviews by the MMPW would be carried out to track compliance with Grant conditions and highlight lessons from implementation. A mid-term review is scheduled for August 2006 and a final project review is scheduled for August 2008 to evaluate overall project accomplishments. Furthermore, an independent Monitoring Agent will be appointed and funded by the World Bank to assess compliance with the Grant Agreement, as stipulated in the Trust Fund Conditions.

E. ECONOMIC JUSTIFICATIONS

80. An estimated population of more than two million people will benefit from the improvement in water and sanitation, and other municipal services made possible by the project, which only covers part of the most urgent needs of towns and cities outside Baghdad. Length of service and the quality of water will improve. Sewerage currently discharged in rivers and streams will be reduced thus lessening the risk of epidemics due to waterborne diseases (typhoid, etc.). The project will also help reduce the extensive leakages that cause sewerage to infiltrate water supply and will go a long way in addressing the problem of protecting the most vulnerable groups in society, which are the children and older people.

81. In addition, the project will increase the labour productivity by reducing the burden of disease of the whole population, regardless of age, and particularly on the working population, thereby increasing productivity and raising the standard of living of the population and especially that of poor families. This enhances the level of protection and reduces the vulnerability of children and older people. To ensure sustainability in a troubled context, the project provides for capacity building with the support of consultants in accounting, financial management, information systems, billing and collection and tariffs. Given the high positive externalities for investments of this type, the project is expected to be cost-effective. The economic and financial benefits of this project have not been quantified at this stage, as this is an emergency operation (as allowed under OP8.50).

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F. PROJECT RISKS

82. This project is being undertaken in post/continuing –conflict environment with a high range of risks. The table below summarizes the key risks identified, and indicates which measures are being taken to mitigate these risks.

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Table 2: Project Risks and Mitigation Measures

Risk Rating Mitigating Measures From outputs to objectives

Transition to a New Iraqi government – unknown outcomes that could affect project implementation

H Keeping project simple – involving all stakeholders. Downplaying any political aspects of project.

Administration changes in MMPW- jeopardizing current commitment to project design and inputs

H Building relationships at the technical level with current officials to ensure continuity in the event of change.

Sectoral priorities – difficult to establish in current political setting – possible disagreements between the MMPW and other controlling agencies (MOPDC, MOF)

S Ongoing communication with Bank counterparts working with MOF and MOPDC. Minister to make good case for sector. Involving all stakeholders through PMT.

Deterioration of fiscal conditions – sustainability problems for operations

S Avoiding capacity expansion that is likely to create budgetary constraints.

From Components to outputs Goods could be lost or stolen from central storage facility or from project sites

S Using strict procedures for delivery of goods and tight time schedules to install goods immediately.

Security conditions deteriorate making project completion difficult

S This risk is beyond the control of MMPW or WB. Involving security and police personnel could alleviate problems.

Difficulty and delays in hiring expatriate TA Consultants wherever local expertise is lacking

M Capacity –building will focus on local staff. Where possible support from international TA will be provided through virtual meetings, and meetings in Amman. In the event that local capacity is initially not adequate for rapid implementation, the MMPW needs to use agents for relevant aspects of implementation and monitoring in the early stages.

The Bank’s inability to carry out in- country supervision

S Consultants will be contracted to assist in supervision. In addition, special monitoring instruments would be designed for ITF-financed projects and use of MMWP implementation staff, supervision consultant and Monitoring Agent has been issued.

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Risk Rating Mitigating Measures Procurement Risks

The lack of good laws and regulations, modern standard documentation and the habits acquired by procurement staff in the previous era, which will take time to change

H Many senior qualified officer of MMPW received training in Amman on Bank Guidelines. Moreover continuous training to be provided on Financial Management and related aspects.

Weakness of procurement staff in using Bank procurement guidelines and international sound procurement practice

H Provide technical assistance to the PMT in procurement on World Bank procurement guidelines, bidding document preparation, bids evaluation and also will provide training in procurement. Close supervision by Bank staff.

Inability of Bank procurement staff to supervise project in the field

H Selecting an international consultant to conduct spot physical inspection and assist the PMT in reporting. Recruiting of a local consultant to work with the Bank.

Delays in implementing the procurement plan due to lack of experience in procurement planning and the volatile security conditions in Iraq

H The international consultant will provide assistance to the PMT in related issues and also will provide training in procurement

Overall Procurement Risk H

Financial Management Risks Limited knowledge of the Iraqi financial management systems, and capacity

H The Bank gained some knowledge on Iraqi Public Financial Management (PFM) by appointing a consulting firm to assess several Iraqi ministries. Bank staff also conducted their own interviews with Iraqi officials in Amman and reviewed PFM system documentation. Further knowledge was gained from an audit report issued by an international audit firm

Limited Financial Management (FM) capacity of MMPW, to comply with FM requirements.

H The PMT will staff will include a qualified financial manager, assisted by a financial officer, and a finance assistant. The financial manager will manage disbursements from the proceeds of the grants, supervise project accounts, retain financial records, and prepare project reports. The team will be assisted by a FM consultant. The Bank also engaged a consulting firm to prepare a Master Implementation Manual to be used by all projects financed under the Iraq Trust Fund.

Counterpart Funds not made available L The Iraqi contribution to the project will be in kind, i.e. the costs of staff assigned to the PMT and staff from the ministry

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Risk Rating Mitigating Measures working on the project.

The MMPW not being able to provide funds from its own resources for transaction below US$ 10 000

H The ministry commitment to provide the required funds was confirmed during negotiations.

Funds flow not taking place as planned H The flow of funds will concentrate on using direct payment; however inefficiencies in the banking and payment system in Iraq remain a major risk factor for such payments. The Bank uses Wachovia for US$ payment in Iraq. Also the Bank discussed with Citi Bank and Standard Chartered their abilities to transfer funds into Iraqi Banks

Accounting Policies and procedures not meeting the Bank minimum requirement

M Once the Master Implementation Manual and the project implementation plan have been finalized, well-defined financial policies and procedures will be in place. In addition, the financial management policies of the MMWP will apply to the project.

Internal Audit not taking place M The Minister will designate an auditor from the internal audit department to perform ex-ante verification on the project financial transactions. The internal auditor will be introduced to the project and trained in the use of Bank operational policies and procedures and the Grant Agreement covenants.

External audit not meeting Bank’s requirements

H External audit will be carried out by an independent auditor acceptable to the Bank with international experience, in accordance with terms of reference acceptable to the Bank. Appointment of the auditor will start after the grant signing

Inadequate Reporting and Financial Monitoring

H The PMT will prepare quarterly FMR and annual project financial statement. The format and contents of the FMR were agreed during negotiation.

Inadequate Information system to produce project reports

H A simple spreadsheet system will be installed to maintain project financial transactions and prepare project reports including FMRs.

Difficulty in verifying justification for variation orders and possibility of variation orders exceeding price contingencies

H PMT will be responsible for verifying variation orders. The fiduciary monitoring agent will assist, to the extent feasible. Price contingencies have been calculated on the basis of recent prices. Given the volatility of the market, however, should price contingencies be insufficient to cover the variation orders, scope of work will be scaled back.

Overall Financial Management Risk H

Legend: L: Low M: Medium S: Substantial H: High

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G. TIMETABLE OF KEY PROJECT PROCESSING EVENTS

Sequence Timing Time taken to prepare and process the project 10 months Identification and preparation mission January 21 - 25, 2004 Pre-appraisal May 3 - 16, 2004 Appraisal October 2 -10, 2004 Negotiations November 30, 2004 Grant Signing December 8, 2004 Planned closing date August 31, 2007

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Annex 1: Logical Framework and Key Performance Indicators

Hierarchy of Objectives

Key Performance Indicators

Monitoring and Evaluation

Critical Assumption and Risks

Sector-related Iraq Interim Strategy Goal: 1. Restore essential infrastructure and services.

2. Build Iraq institutional capacity.

Sector Indicators: 1. Improved water supply, sanitation and urban services. 2. Functioning municipal authorities.

Sector / country report Progress reports for Iraq Transitional Strategy. Progress reports of PMT on municipal operations.

(Goal to Bank Mission) Stable security situation and favorable macroeconomic climate. MMPW committed to sector strengthening.

Project Development Objectives:

Outcome / Impact Indicators5

Project Reports (Objectives to Goal)

1. To assist in restoring basic water supply, sanitation and urban services for selected urban areas outside Baghdad

1.1. Increase in the quantity of water produced in the project cities 1.2. Increase in the quantity of sewage treated in Karbala. 1.3. Improvement in the % of water samples meeting WHO biological and chemical standards. 1.4. Improvements in travel circulation in the project cities.

Baseline studies Project supervision reports PMT quarterly and annual reports Environmental surveys.

Level of violence and looting of water facilities is ending Continued MMPW commitment to sector strengthening. Continued donors’ support for complementary investments.

Outputs Output Indicators Project Reports (Outputs to Objectives)

1. Increased water output and quality in the project cities.

1.1. Karbala water system rehabilitated. 1.2. Majar water system upgraded. 1.3. Beji water system upgraded. 1.4. Kena’an water system upgraded. 1.5 Al Hussainia water system upgraded. 1.6 Dohuk water system upgraded. 1.7. Al-Samawa water system upgraded. 1.8. Badawa slum (Arbil) water system upgraded.

Project supervision reports Mid-term review report ICR report

Qualified PMT staff is selected. Experienced contractors are able to carry out daily activities. PMT consultants are able to monitor quality of work.

5 Exact percentages to be determined by the consultant(s)

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2. Improved sewerage/stormwater conveyance 3. Municipal roads in project cities upgraded. 4. Improved operational capacity of municipal authorities in project cities.

1.9. Dukan water system upgraded. 2.1 Central Karbala sewers rehabilitated. 2.2 Dohuk stormwater rehabilitated 3.1 Central Karbala municipal roads & market rehabilitated. 3.2 Badawa slum municipal roads and storm sewers rehabilitated. 3.3 Basra-Al Jameaa municipal roads rehabilitated. 4.1 Training of municipal staff completed.

Bank staff / consultants are able to supervise project activities.

Project Components / sub-components:

Inputs ( US$ millions ) Project reports Critical Assumptions

1. Karbala water supply

2. Majar water supply.

3. Beji water supply.

4. Kena’an water supply

5. Al-Husainia water supply

6. Al-Samawa water supply

7. Badawa slum water supply

8. Dohuk water supply

9. Dukan water supply

10. Karbala roads and market

11. Badawa slum roads

12. Basra-Al Jameaa roads

13. TA & capacity building

14. Contingencies

Total

16.340 3.160 1.830 1.890 7.600 12.340 1.500 4.920 4.480 6.400 7.760 7.780 4.000 10.000 90.000

Project supervision reports

Goods and supplies are delivered to project sites at reasonable costs. Contractors are able to carry out their daily construction activities. Bank staff / Consultants are able to visit project sites for supervision Counter part funds for PMT salaries are available.

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Annex 2: Detailed Project Costs

Table A: Grant Costs by Components Project Component

Local Cost

Foreign Cost

Total Cost

% of Total

1.Rehabilitation and Upgrading of Karbala Water Supply and Sewerage Systems. 1a. Rehabilitation of Hay Al-Hussain Water Treatment Plant. 1b. Replacement of water supply network and construction of a sewer network. 1c. Supply and installation of Al-Safi water water treatment units and accessories.

4.310

0.500

3.310

0.500

12.030

2.500

7.630

1.900

16.340

3.000

10.940

2.400

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2. Rehabilitation and Upgrading of Majar Water Supply System. 2a. Construction of the water distribution network 2b. Supply and installation of two water water treatment units

1.060

1.000 0.060

2.100

1.500 0.600

3.160

2.500 0.660

3

3. Rehabilitation and Upgrading of Beji Water Supply System. 3a. Supply and installation of water distribution network 3b. Supply and installation of two water water treatment units

0.480

0.420

0.060

1.350

0.750

0.600

1.830

1.170

0.660

2

4. Rehabilitation and Upgrading of Kena’an Water Supply System. 4a. Supply and installation of water distribution network 4b. Supply and installation of three water water treatment units

0.440

0.350

0.090

1.450

0.550

0.900

1.890

0.900

0.990

2

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Project Component

Local Cost

Foreign Cost

Total Cost

% of Total

5. Upgrading of Al Hussainia Water Supply System. 5a. Construction of a water intake and a 14 km. Transmission main 5b. Construction of the water distribution network including house connections 5c. Supply and installation of five water water treatment units

2.300

1.000

1.000

0.300

5.300

1.200

1.670

2.430

7.600

2.200

2.670

2.730

8

6. Upgrading of Al- Samawa Water Supply System. 6a. Supply and installation of eight water treatment units 6b. Supply and installation of transmission lines 6c. Construction of power building and ground storage 6d. Supply and installation of high and low lift pumps, generators and chlorinators

2.660

0.120

1.750

0.550

0.240

9.680

2.400

6.880

-

0.400

12.340

2.520

8.630

0.550

0.640

14

7. Upgrading of Badawa Water Supply System

0.500 1.000 1.500 2

8. Upgrading of Dohuk Water Supply and Stormwater Systems. 8a. Construction of water distribution network 8b. Construction of sewers network

2.720

0.7002.020

2.200

2.200-

4.920

2.900 2.020

5

9. Upgrading of Dukan Water Supply System. 9a. Rehabilitation of the water intake, pumping station, transmission line and distribution network 9b. Extension of water treatment plant

2.780

0.600

2.180

1.700

0.940

0.760

4.480

1.540

2.940

5

29


Project Component

Local Cost

Foreign Cost

Total Cost

% of Total

10. Karbala Urban Rehabilitation. 10a. Rehabilitation of streets 10b. Rehabilitation of traditional market

6.400

5.6000.800

-

- -

6.400

5.600 0.800

7

11. Badawa Urban Rehabilitation

7.760 - 7.760 9

12. Basra Urban Rehabilitation

7.780 - 7.780 9

13. Technical Assistance and Capacity Building. 13a. Consultants for final designs and Supervision 13b. Consultants for a feasibility study and

EIA for a slaughterhouse in Karbala 13c. Audits 13d. Training and capacity building 13e. IT Equipment 13f. Project Management Cost

2.600

2.000

0.400

0.1000.100

-0.100

1.400

0.300

0.200

0.1000.3000.400

-

4.000

2.300

0.600

0.200 0.400 0.400 0.100

4

BASELINE COST

41.780 38.220

80.000

88

14. PMT Salaries 15. Price Contingency

0.450

2.090

-

1.910

0.450

4.000

1 4

16. Physical Contingency

3.130 2.870 6.000 7

TOTAL PROJECT COST

47.450 43.000

90.450

100

30

Em

ergency Water Supply, Sanitation and Urban Reconstruction Project Technical A

Table B: Allocation of Grant Proceeds

Expenditure Category Amount in US$ %

Works 38,220,000 100%

Goods & Equipment 41,780,000 100%

Consultant's services 3,900,000 100%

Project Management Costs 100,000 100%

Unallocated 10,000,000 -

Total Grant Costs 90,000,000 100%

Table C: Disbursement Schedule (US$ million)

Calendar Year 2005 2006 2007 Absolute 20.7 49.3 20.1

Cumulative 20.7 69.9 90.0 FY 05 06 07 08

nnex

31

Emer

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ater

Sup

ply,

San

itatio

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Proj

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32

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Sup

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San

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Tech

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32

Tab

le C

: Dis

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emen

t Pla

n (C

alen

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Yea

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Emer

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Sup

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San

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d

33

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34

Figu

re 1

: Dis

burs

emne

t Pla

n

0102030405060708090100

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

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Q4

2005

2006

2007

Cal

enda

r Y

ear

Million US$


35

- Rehabilitation of raw water intake (included under Bechtel contract).

Annex 3: Detailed Projects Description

Component 1 - Rehabilitation and Upgrading of Karbala Water and Sewerage

Systems (Estimated cost of US$16.34 million) Karbala, along with Najaf, is the most holy sites and consequently centers for pilgrimage for Shia Moslems. This component aims to improve the water and sewerage services for Karbala’s resident population of about 500,000 inhabitants and its visitors population of 2 to 3 millions annually. The main objectives of this component are to provide an adequate supply of potable water and effective sewerage services to the resident population of Karbala including the new, unconnected residence sectors. It will also allow for sufficient flexibility in the systems such that adequate services will be maintained to both the resident and visiting population during religious days, as well as improve the environmental and health conditions by renewing the old water network and sanitation services. Finally, this component will contribute to the reduction of water born diseases through the elimination of water supply by tankers and the provision of potable water and sanitation networks. The infrastructure deficiencies to be rectified by this project are identified as follows:

Al-Safi Water Treatment Plant suffers from frequent mechanical and electrical failure and accumulation of debris at the raw water intake arising as a result of poor intake design.

The extent of network bursts and leaks and general poor condition of pipes render it difficult and time consuming to operate and maintain.

Hay Al-Hussain Water Treatment Plant’s sedimentation tanks are corroded and the filter building has cavities under the foundations extending to 600m2, which needs to be rectified. The chlorinators have suffered from a lack of proper maintenance and need to be replaced.

The water intake from the Al-Hussainia river requires rehabilitation. Bechtel will implement the rehabilitation works.

The old shrine area sewer lines (covering Al – Shuhada’a square to Al – Sa’adyia pumping station (P3) branch, Al – Alqami street branch and Al – Sidra street branch) need rehabilitation.

The component consists of the rehabilitation of two treatment plants, the distribution network, public stand pipes, sewer lines and public hygiene sanitation points, primarily:

Rehabilitation of Al – Safi Water Treatment Plant including five water treatment units of 200 m3/hr each, high and low lift pumping stations, 400 m3 concrete distribution chamber, 2,000 m3 concrete ground storage tank, power building, three chlorinators, piping and valves.

Rehabilitation of Hay Al-Hussain Water Treatment Plant, including:


- Replacement of metal sedimcapacity.

entation tanks with new ones of the same

- Replacement of flash mixers.

- Minor repairs to high lift pumps.

h. As per

, 1,230 m length. - Al – Sidra street branch. As per attached sketch of uPVC pipes DN110-400

arbala Governorate Water Division staff

The MThe vil project are Mabroka and Al-Yarmook, which have a combined population of about 18,000 and are considered to be two of the poorest villages

nts but p

- lacun

- roduction and

distr s;

- Stabilisation of building settlement - Rehabilitation of washwater pumps.

- Replacement of two chlorinators. - Cleaning of ground storage tank (removal of sediments). - Demolish existing concrete sedimentation tank. - Construction of four houses of 100m2 each for operation and maintenance

staff.

Shrine area distribution network of 14.35 km DI pipe of 300–700mm diameter and 95 km uPVC pipes of 110–225mm diameters, fire hydrants and 11,000 house connections.

Replacement of shrine area sewer lines as follows:

- Al – Shuhada’a square to Al – Sa’adyia pumping station (P3) brancattached sketch of uPVC pipes DN110-300 mm, 6,500 m length.

- Al – Alqami street branch. As per attached sketch of uPVC pipes DN110-300 mm

mm, 710 m length.

Provide mobile water quality laboratory for routine chemical and biological analysis

Technical assistance to K

Component 2 - Rehabilitation and Upgrading of Majar Water Supply System (Estimated cost of US$3.16 million) ajar district in the Maysan governorate has a population of approximately 120,000. lages to be served under this

in the Governorate. The main objective of the proposed component is to supply the 18,000 inhabitants of the aforementioned villages with potable water. Water for Mabroka and Al-Yarmook villages has historically been supplied from their own packaged treatment pla

su plies have now significantly fallen short of demand for three reasons:

k of maintenance of the electro-mechanical equipment in the villages (the packaged it and pumps have all ceased to function);

rapid expansion of the population without a parallel increase in pibution capacities of the water treatment facilities and distribution network

36


- lack s The tw v es without adequate sewerage systems. The propose w t will increase the per capita water consump o y that septic tanks need to be evacuated resulting npriority t ill also be required in the medium term. Recently, th age into the rivers as a step to r

The project ents consists of supply and installation of two water treatment units, istribution networks, pumping stations and about 3,000 house connections for each village

are f

Mabr

of pare parts and consumables.

o illages are agricultural villagd ater supply improvement projecti n and thus will increase the frequenc i additional household costs. Improved water supplies to this region are a top bu an adequate sanitation system w

e MMPW have prohibited the discharge of untreated sewwa ds reducing the pollution of the rivers.

compond

as ollows:

oka Village

- 00 m3/hr capacity - Supply and installation of 1 km of 250mm diameter uPVC pipe to connect the WTP to

the n w- Supply eters (110-

225mm

Al-Yarm

Supply and installation of one water treatment unit of 2

et ork and installation of 55 km of uPVC pipes with different diam

) including house connections.

ook Village

- Supply and installation of one water treatment unit of 200 m3/hr -

to the network - Supply and installation of 26 km of uPVC pipes with different diameters (110-

employment opportunities.

Th nsists of the following:

• S 3

c

Supply and installation of 8 km of 250mm diameter uPVC pipes to connect the WTP

225mm) including house connections.

Component 3 - Rehabilitation and Upgrading of Beji Water Supply Systems

(Estimated cost of US$1.83 million)

The targeted villages to be served under this project are Albu To'ama & Hajaj, which have a combined population of about 16,000 inhabitants. These villages are spread out in a number of independent rural and agricultural communities and are considered two of the poorest villages in the Governorate of Salah Al-Din. This project component will supply potable water, while contributing to i- the reduction of water borne diseases by reducing the water supply from dirty tankers, and ii, the improvement of the economic condition for the population by decreasing the purchase of water from tankers and creating

e project will serve two villages and simply co

upply and installation of two water treatment units of 200 m /hr each including all ivil and electro-mechanical works and fences.

37


• D f 250mm diameter uPVC and 32,500m length of uPVC pipes with different diameters (110-225mm) including 2000 house connections.

•

istribution networks, 2,750m length o

Technical assistance of concerned engineers and technicians. The project components per each village are as follows: Albu To'ama Village:

- Supply and installation of one water treatment unit of 200 m3/hr. where the average

nd installation of 17.5 km length of uPVC pipes with different diameters ) including house connections

A H

supply will exceed 250 l/c/d - Supply and installation of 1,250 m length of 250mm. diameter uPVC pipes to connect to the network - Supply a

(110-225mm

l- ajaj Village:

tallation of 15 km length of uPVC pipes with different diameters ncluding house connections

m The villages have a combined population of b of

Diya ic ondit terborne diseases. The project consists of the

- Supply and installation of one water treatment unit of 200 m3/hr. where the average supply will exceed 300 l/c/d

- Supply and installation of 1,500m length of 250mm. diameter uPVC pipes to connect to the network

- Supply and ins(110-225mm) i

Component 4 - Rehabilitation and Upgrading of Kena’an Water Supply Systems (Estimated cost of US$1.89million)

The proposed component will serve three villages in the Kena’an district; Ezdihar,

eed Al-Seba and Mohammed Abbas.Haa out 22,000, and are considered to be three of the poorest villages in the Governorate

la e water services while improving econom. This component aims to improvions and reducing the incidence of wac

followings:

• Supply and installation of three water treatment units of 200 m3/hr each including all civil, electro-mechanical and site works.

• Supply and construct distribution networks of 250mm diameter DI and 110mm

diameter uPVC pipework with different lengths including 2700 house connections.

The project components per each village are as follows:

38


Al- Ezdihar Village:

The total population of the village is 12,500 inhabitants. old water treatment unit of 50 m3/hr capacity that suppli

Currently, there is a very es the village with water

rrosion, frequent faults and high to poor maintenance and lack of

plies a limited distribution network of asbestos cement pipes. The ents are as follows:

illage:

from Abu-Dighar river. The unit suffers from coleakage and its output doesn’t exceed 50 % due spare parts. It supproject’s compon - Supply and installation of one water treatment unit of 200 m3/hr;

Supply and installation of 200m of 250mm diameter DI pipe to connect the WTP to the network;

- Supply and installation of l 5 km of 110mm diameter uPVC pipes including house connections.

Hameed Al-Seba V

3

The total population of the village is 3,500 inhabitants .The village depends on two wells, one of them is owned by the government and the other one is a private one, as main water supply. The project components are as follows:

- Supply and installation of one water treatment unit of 200 m /hr capacity; - Supply and installation of 1 km of 250mm diameter DI pipe to connect the

WTP to the network; - Supply and installation of 5 km of 110mm diameter uPVC pipes including

house connections.

Mohammed Abbas Village:

The total population of the village is 6,000 inhabitants. This village depends on raw water from Mahrot river as its main water supply. The project components are as follows:

- Supply and installation of one water treatment unit of 200 m3/hr capacity

10mm diameter uPVC pipes including

cost of US$7.60 million)

T Baghdad Governorate that has suffered from years of neglect. It has a total population of approximately 135,000 inhabitants of which only small proportions have access to potable water and more than 60% do not have access to adequate water supply for all purposes. The proposed component will serve to i-increase the quantity, quality and access to potable water for the

- Supply and installation of 1.5 km of 250mm diameter DI pipe to connect the WTP to the network

- Supply and installation of 8 km of 1house connections.

Component 5 - Upgrading of Al Hussainia Water Supply System (Estimated

his component will serve one of the poorest cities in

39


inhabitants of Al Hussainia city, ii- improve the economic conditions of the population, particularly poor families, by reducing their need to purchase water from tankers, iii- contrisuppliprovidnetwooperatpipelinriver i a raw water transmission line, a water treatment plant consisting of five water treatm y of spare parts), and a

Ccost )

covering part of the shortage in potable water supply in Al-

amawa (population 196,000), Al-Khadir (population 86,000) and Al-Suwair (population 38,00and Aof 8 w per day, to cover part of the potable water shortage in both Al-Samawa and Al-Khidir. It also includes the supply and install staging wa r component inc stallation of the followings:

• Three the river, two duty and one standby pump and associated distribution chamber

n of 8 water treatment units of 200 m3/hr each, a total of 38,400 m3 per day, to address the potable water shortage in both Al-Samawa and

• • 5 km water pipeline of 800 mm diameter to reinforce the existing pipeline

and convey potable water to both cities • A s i• Pum in• Chlorin tricity supplies • Tec i

operati the project.

bute to the reduction in the incidence of water borne diseases by reducing the water ed by dirty tankers, iv- improve the living standards of the population through ing a reliable water service, v- improve the management of the water distribution rk, including its operation and maintenance, by building the capacity of the staff ing/maintaining the system, and vi- reduce the demand on Baghdad Water Authority es. This component consists mainly of the supply and construction of a raw water

ntake,ent units each of 200m3/hr capacity (with recommended two- year’s suppl

distribution network including house connections.

omponent 6 - Upgrading of Al-Samawa Water Supply System. (Estimated of US$12.34 million

This component aims at S

0) cities and 10 large villages along the potable water pipeline between Al-Rumaitha l-Samawa with estimated population of 44,000. It consists of supply and installation ater treatment units of 200 m3/hr each, a total of 32,000 m3

ation of 25 km of a new water pipeline to convey potable water to both areas, ate tank of 2,500 m3 capacity to serve Al-Khadir only. In addition, the

ludes the supply and in

low lift pumps from

• Supply and installatio

Al-Khedir. High lift pumping station containing three pumps, two duty and one stand-by pump. A new 2

tag ng water tank of 2500 m3 capacity to serve Al-Khedir only p g station

ation equipment and elechn cal assistance for the concerned staff responsible for the design, supervision,

on & maintenance of

Component 7 - Upgrading of Badawa Water Supply System (Estimated cost of S$1.5million) U

This project is located in the Badawa slum, Quarter 94 (Arbil City in Arbil Governorate) where about 6,000 thousand extremely poor families, with a total size of 42,000 inhabitants, live. The area is completely dependant on water wells to supply drinking water. The existing water distribution network is available to only 30% of the population and

40


provides about 14 l/c/d. Losses in the network exceed 20% and the limited supply is often interrupted by power failures. The proposed component will help provide potable water and sewerage services to nearly 42,000 persons, and will protect the water wells. The component consists of supplying and installing a water distribution network, drilling 10 wells to 300 m depth, installing pump houses, storage tanks, chlorinators and diesel generators.

Component 8 – Rehabilitation and upgrading of Dohuk Water Supply and Sewerage Systems (Estimated total cost of US$4.92 million)

Over the past 2 years the Governorate of Dohuk has distributed 10,000 plots of land in the western sector of the city to poor and displaced families whose villages were destroyed by the prarea without any sewage or potable water services. Water fees from private providers amount to, on average, US$100 per month, which accounts for about 30% of household

er 900 mm, total length 9,300m and 352 manholes

rete pipes of diameter 600 mm, total length 1,200m and 40 manholes of

C(E

D in tourist areas in the region whereby thousands of tourists visit it on e emand especially during weekends anand h is in urgent need for a total and complete rehabilitation. The objective of this component is to increase the access and supply of wupgrading of the existing water supply system it involves:

• Rehabilitation of the intake works.

evious regime. At present, a population of approximately 32,000 lives in the project

income. Furthermore, the unhygienic state of the purchased water has led to water borne infections which resulted in chronic infections in response to long period and persistent exposure to this contaminated water. This component will consist mainly of supplying and installing a water distribution network as follows to relieve the existing conditions:

Ductile iron water distribution network of total length of 5.5 km (uPVC is not recommended to be used because of the nature of the rocks in the area). The network will be fed from storage tanks with a total capacity of 4,000 m³. The tanks are located at a height of 40m above the households and will be filled through the existing main lines from Dohuk WTP.

• Storm water system 10.5 km long as follows:

- concrete pipes of diametof 1.2 x 1.2m;

- conc1 x 1m.

omponent 9 – Rehabilitation and upgrading of Dukan Water Supply stimated cost of US$4.48 million)

ukan is one of the ma w ekends. There is a significant increase in water dd public holidays. The existing water supply system was first constructed back in 1982

as been neglected for a long time, and

ater to parts of Dukan. This component will address all aspects of rehabilitation and

• Construction of a proper water treatment plant (WTP) with standby generator. • Construction of high lift pump station. • Installation of a service reservoir - 1,800m³ capacity. • Installation of new transmission main.

41


• Installation of new distribution network. • Installation of all auxiliary equipment. • Capacity building of WTP Operators

Component 10 - Karbala Urban Rehabilitation (Estimated cost of US$6.40

million)

Karbal daily and around 4-5 illion visitors during large religious events. The streets and squares in the city are in a

ergone rehabilitation works for over a decade.

unding areas, with provisions for storm water drainage;

) aar) in Al-Abbas street; and,

(iii) Envir t Assessment Study (EIAS) and Design of a New Municipal Slaughterhouse.

Component 11 - Badawa Urban Rehabilitation (Estimated cost of US$7.76

This component will address the poverty stricken district of Badawa in south-eastern Arbil. TW

meters apart.

• and 2 of internal streets of which:

a is an important religious city attracting around 5,000 visitors

mdilapidated condition, due to the conflict and lack of maintenance and resources. In their current state, they are impeding the flow of vehicular and human traffic of both the locals and visitors. The bazaar is in a derelict state that needs urgent rehabilitation and upgrading. Lastly, the existing slaughterhouse which currently serves as the only public slaughterhouse in the Governorate is outdated, severely contaminated, and located within a major residential area.

The objective of this component is to carry out urgently needed urban rehabilitation projects to accommodate the large number of visitors in a area that has not und

This component involves:

(i) Rehabilitation of existing damaged streets and squares in the city centre as well as surro

(ii Rehabilitation of the traditional market (Baz

onmental Impac

million)

he work is municipal in nature and compliments the concurrent World Bank initiative for ater & Sanitation Improvements for this area. This component includes:

• Construction of Storm Water Network to collect and drain rainwater into the city trunk main. The network consists of 15,200 meters of drainage pipelines (400mm to 1400mm in diameters) covering 30% of the neighbourhood streets, with curb inlets spaced 43 meters apart and manholes spaced about 45

Upgrading (with side-walk provision) of un-paved neighbourhood roads main streets. These include 510,000m

42

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- Five main streets of widths varying between 10 and 30 meters and a total tres.

- Nine internal roads of widths varying between 2 and 9 meters and a total length of around 11.8 kilometres.

ent 12 - Basra Urban Rehabilitation (Estimated cost of US$7.78 million)

(ii) Upgrading of 18,385 metres of the neighbourhood’s internal dirt roads to

sidewalks; and,

of a new storm water drainage network, to collect and drain rainwater to two pumping stations, which in turn will pump into the city trunk

Component 13 - Capacity building and Technical Assistance (Estimated cost of

This comMMWP staff throughout Iraq on efficient utility practices and financing. It will include the following activities:

ulting services for support to complete final designs and tender documents; k. Consulting services for construction supervision;

n. Consulting services to asses demand characteristics, cost of supply, demand

o. p. q. r. ity studies and final designs for follow-up projects.

length of around 38.5 kilome

Compon

This component addresses the deteriorated condition of the main streets, the unpaved internal streets, and the stagnant water pools due to the lack of storm water drainage in Al-Jamiaa neighbourhood west of Basra. The work is municipal in nature and will focus on the selected sub-district (Al-Jamiaa) within the larger Al-Qibla district and is aimed to improve the municipal service sector. The component will provide for:

(i) Resurfacing of 8,900 metres of main streets, 12-20 metres wide;

paved roads, 4-10 metres wide;

(iii) Construction of pedestrian

(iv) Construction

main, 600 metres away from the neighbourhood.

US$ 4.00 million)

ponent is essential to ensure the proper implementation of the project and to train

j. Cons

l. Capacity building and training in specific technical areas; m. Design and implementation of appropriate accounting, financial management,

information, billing and collection, and related systems;

management and tariff structures; Individual consultants to support the Project Management Team (PMT); International audits; Office equipment, vehicles and furniture for the PMT; and, Feasibil

43


Annex 4: MM

PW Organizational Charts

1. General Organization Chart

2. World Bank Project Management Team

44

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47

nex 5: Responsibility Matrix

No. Activities Agencies / Entities Involved

An

MM

PW

PMT

WB

CO

NS

AU

D

1.00 Financial Management 1.01 Prepare estimates for minor e E A expenditur s 1.02 Transfer Funds to MMPW N E 1.03 Launch Workshop N E E 1.04 Document Accounting, Reporting &

Auditing Procedures E R S

1.05 Appoint Project Auditor E N R 1.06 Appoint Financial Managem N E R ent 1.07 Remit Specimen of Signatur E R es E 1.08 Request replenishment of W

from WB E R ithdrawals

N

1.09 Prepare r or Direct Pa E equest f yments 1.10 Review c d authorize N E laims an payments 1.11 Make pay ithin 10 da

payment authorization N E ments w ys of

1.12 Monitor P r timelin E ayment fo ess N 1.13 Keep project accounts E 1.14 Prepare m ancial r E S onthly Fin eports 1.15 Supervision of FM aspects N E 2.00 Planning ng & E , Monitori valuation

2-01 Establish preparationimplementation, technical m(supervision & reporting procedures at centre and at project sites)

E R S project , onitoring

2-02 Prepare goods – delivery pla E S ns 2-03 Review procurement procedures E R S 2-04 Conduct annual audits N S R E 2-05 Review Implementation Progress E S 2-06 Review Technical Documentation and

contracts S E

2-07 Compare project estimates with actual prices

E E

2-08 Review timeliness of implementation E N 2-9 Conduct site visits to assess progress and E S


No. Activities Agencies / Entities Involved

MM

PW

A

PMT

WB

CO

NS

UD

E R S

3-00 Procurement 3-01 Prepare and revise a procurement plan

(PP) E A S

3-02 Establish a procurement monitoring E system at MMPW

N E R

Prepare simplified bidshopping procedures for s

3-04 Prepare and revise a project operational E manual

R S

3-05 Prepare standard bidding documents (SBD)

R S E

3-06 Prepare bidding documents (ICB & NCB) E R S 3-07 Ensure Consistency with selection criteria S 3-08 Invite bids / quotes E S

Evaluate Bids 3-10 Obtain WB No objections if required A E 3-11 Award and sign contracts N E E 3-12 Supervise implementation and progress E S S 3-13 Conduct spot physical inspections at sites E S 3-14 Coordinate procurement training to

MMPW and PMT staff N N S E

/clear E= Execute S= Support

F Ministry of Finance

Ministry of Municipalities & Public s

World Bank Project Management T

Pro

: World Bank

quality of work 2-10 Prepare quarterly progress reports for the

MMPW and the WB

3-03 ding documents for maller contacts

A R E

3-09 E S

3-15 Conduct training on procurement S N E Key:

R= Review A= Approve N= Notified

Legend:

MO

MMPW Work

WBPMT: eam

CONS: ject consultants

WB

AUD: Auditor

48


nex 6: Procurement Arrangements

A. General

Procurement for this project will be carried out in accordance with the World Bank’s "Guidelines: Procurement Under IBRD Loans and IDA Credits" dated May 2004; and "Guidelines: Selection and Employment of Consultants by World Bank Borrowers” dated

y the pro io sti late in the Legal Agre tract to be financed by the Grant, the different procurement

ethods, estimated costs, prior review requirements, and orrower and the an ro ct team in the

Proc t Plan. The Procurement Plan will be updated at least annually or as required e tion nee an im ve nts in institutional

capacity. A General Procurement Notice was published in the UNDB on October 14, 4

l irst-hand knowledge of the Iraqi public

proc system, the World Bank commissioned an international consultant to (MIM) ith all projects

financed by the World Bank Trust Fund. When this is finalized, by the end January 2004, arr ing ut oc me t under Bank ide a standard bidd g d cument for use

e ive Bidding (NCB), sam les dif ren rm under r tional shopping, direct contra ing d t pic

cr

ICB pro u

• of 800 mm dia ter P e to convey potable water to both cities in Al-Samawa and Al-Khader

An

Ma 2004, Appendix 1 to this annex, andement. For each con

vis ns pu d

methods or consultant selection mtime frame shall be agreed between the B

uremen B k p je

to r flect the actual project implementa ds d pro me

200 and will be updated at least annually.

In ight of the absence of the Bank’s furement

prepare a Master Implementation Manual for use in connection w

it will provide a general framework for c y o pr ure nadministered projects. Additionally, it will prov in ound r National Competit p of fe t fo s for useinte national and na ct , an y al forms of evaluation reports. Pro urement of Works Wo ks under the project would include:

(i)Works that will be contracted following ced res:

Supply and installation of 25 km me DI pip at an estimated cost of

US$8.624 million;

fo

Rehabilitation of Al-Hussainia

(ii) Works will be contracted llowing NCB procedures:

1. Water Treatment Plant at an estimated cost of US$ 3.0 million;

2. R supply network and construction of a trunk and lateral se

eplacement of waterwers in Central Karbala (4 packages) at estim

3 onstruction of 90km length distribution systated cost US$ 10.941 million;

. C em in Majar of different materials raes 2.5 million;

4. Construction of distribution networks in Beji

nging in size between 110- 250mm including 3,000 house connection, at an timated cost of US$

, 35km pipes of different material etween 110-250mm including house connections, at an estimated

cost of US$1.171 million; 5. Construction of distribution networks in Kena’an

ranging in size b

. 20.7km pipes of different material ranging in size between 110-250mm including house connections;

49

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex 6. Construction of 14km main raw water transmission line from the intake to water

treatment and water network in Al-Hussainia at an estimated cost of US$2.2

7. Construction of distribution network in Al-Hussainiamillion;

including house connections at cost US$2.67 million;

. Construction of power building and a staging water tank of 2500 m3 capacity to estimated

8serve al-Khadir at estimated cost US$0.55 million;

9. Construction of water distribution network, drilling of 10 wells, pump houses, and storage tanks in Badawa, at an estimated cost of US$ 1.5 million;

10. Construction of water distribution network in Dohuk, total length of 55Km of DI pipes, at an estimated cost of US$ 2.9 million;

11. Construction of 10.5km stormwater sewers, 900 and 600mm diameter mainly reinforced concrete in Dohuk, at an estimated cost of US$ 2.03 million;

12. Rehabilitation of the intake works, Construction of pump station, reservoir tank- 1800m³ capacity, new transmission main, new distribution network, and all auxiliary equipment in Dukan, at an estimated cost of US$ 1.538 million;

13. Construction of water treatment plant in Dukan, at an estimated cost of US$ 2.944 million;

14. Rehabilitation of streets in Karbala city (two packages), at an estimated cost of US$ 5.6 million;

15. Rehabilitation of traditional market at al Abbas street Bazar in Karbala, at an estimated cost of US$ 0.796 million;

16. Construction of the main and interior roads in Badawa (three packages), construction of stormwater 1drainage (three packages), at an estimated cost of US$ 7.76 million;

17. Resurfacing and paving the streets of Al-Jamea district in Basra including storm water (three packages), at an estimated cost of US$ 7.78 million.

include:

cedures:

1.

Procurement of Goods Goods procured under this project would

(i) Contracts that will be procured following ICB pro

Supply and installation of Al Safi water treatment plant in Karbala , high and low lift pumps, chlorinators, piping valves and associated civil works, at an estimated cost of US$ 2.4 million;

s of 200 m3/hr each including all civil and electro-mechanical works and fences Majar, at an estimated cost of

3. nstallation of two water treatment units of 200 m3/hr each including

2. Supply and installation of two water treatment unit

US$ 0.66 million; Supply and iall civil and electro-mechanical works and fences in Beji, at an estimated cost of US$ 0.66 million;

4. Supply and installation of two water treatment units of 200 m3/hr each including all civil and electro-mechanical works and fences in Kena’an, at an estimated cost of US$ 0.99 million;

5. Supply and installation of high and low lift pumping station, generators, installation of chlorination units in Al Hussainia , at an estimated cost of US$ 2.73 million;

50

6. Supply and installation of 8 water treatment units of 200 m3/hr each, a total of 32,000 m3 per day in Samawa, at an estimated cost of US$ 2.52 million;

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex 7. Supply and installation of high and low lift PS, generators, installation of

chlorination units in Samawa, at an estimated cost of US$ 0.64 million.

The

(ii) Contracts that will be procured following NCB procedures:

1. Supply of IT equipment and office furniture at an estimated cost of US$ 0.4.

following provisions apply to procurement of Works and Goods under the project

• Bid packages with an estimated contract value of more than US$ 3.0 million equivalent would be procured using ICB procedures. Bid packages with an estimated contract value of less than US$ 3.0 million would be procured using NCB procedures.

Direct Contracting may be used for works and Goods of an emergency nature and

•

e request for quotations will contain the

• andard Bidding

Documents (SBD) for all ICB contracts and SBD satisfactory to the Bank for

consulting services in the fields of:

(i) Des be financed by the Grant. The selection process should be launched at the earliest time possible as this comstudiesQCBS for values above $100,000 and selection based on Consultants Qualifications (CQ) for

(ii) feasibility study and EIA for a slaughterhouse in Karbala, esti

(iii) procure ll be Least Cost Selection ( LCS).

(iv)specialPMfor values mil

following the requirements in paragraph 3.6 of the Guidelines for Procurement under IBRD Loans and IDA Credits.

• Shopping may also be used for goods estimated to cost less than US$100,000 equivalent per contract. The request for quotations shall be in writing and addressed to at least three suppliers. Thfollowing as a minimum: technical specifications, delivery time, payment conditions and any other information that may assist the suppliers in preparing competitive offers.

The procurement shall be carried out using the Bank’s St

NCB contracts.

Selection of Consultants: The project will require

ign and construction supervision of the projects that will

ponent is on a critical path. This component also includes social and environmental . Estimated cost of US$ 2.40. The methods of procurement to be used will be

values less then $100,000.

Consultants for a mated cost of US$ 0.60. The method of procurement to be used will be QCBS.

Financial auditing services at an estimated cost of US$ 0.20. The method of ment to be used wi

Strengthening the MMPW and Training: this sub-component includes several ized training activities and targeted technical assistance for the MMPW staff and

T to assist in project management. The methods of selection to be used will be LCS training and CQ for the technical assistance for values below $200,000 and QCBS for

higher then $200,000. The estimated budget for these activities is US$0.40 lion.

51

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex The following provisions apply to procurement of Consultants under the project

ment of Services will be carried out in accordance with the Guidelines: SePro re lection and Emplo May 2004. The stan R he standard forms of ion of ind lified

estimated to cost less than $200,000 equivalent per contract may be composed enti yConsulUS$10accorda ions of paragraph 2.7 of the Consultant Guidelines

B.

cuyment of Consultants by World Bank Borrowers dated

ard equest for Proposal (RFP) for Selection of Consultants and tdcontracts will be used for all contracts above US$100,000 equivalent. Selectividual consultants will be carried by comparison of CV’s and using simp

contracts, acceptable to the Bank. For evaluation of firms, the Sample Form of Evaluation Report for Selection of Consultants will be used. Shortlists of consultants for services

rel of national consultants in accordance with the provisions of paragraph 2.7 of the tant Guidelines. Shortlists of consultants for services estimated to cost less than 0,000 equivalent per contract may be composed entirely of national consultants in nce with the provis

Assessment of the agency’s capacity to implement procurement

minary assessment of the procurement capacity of the MMPW has been carried Hiba Tahboub, Sr. Procurement S

A preliout by pecialist. This assessment is based on

iscussions with the MMPW staff in Amman, during the pre-appraisal mission in March 200 acommiIraq is

The MIraq. The three Governorates of the Iraqi Kurdistan Region, Duhok, Erbil, and

ulaimaniyah, are affiliated but administered separately. More than 42,500 employees serv inThe igovern pality. They are responsible for overseeing distribution systems

r water, sewerage, and other municipal services. They oversee installation and e ,

ced under the loan using its own staff and facilities. The

te General of the MMPW

Departments. The second Central Committee is the Bid evaluation Committee, chaired by the Deputy Minister for Technical Affairs and attended by members from

d4 nd the outcomes of an assessment report that was carried out by a consultant

ssioned by the Bank. Moreover, a brief review of public procurement system in provided in Appendix 2 of this annex.

inistry has offices in 252 municipalities in fifteen of the eighteen governorates in

Se the Ministry of Municipalities and Public Works working at over 680 locations. D rectorates General provide administrative, financial and technical support to each

orate and municifomaintenance of water and sewerage treatment facilities. And they also set and oversee thstandards for design and operations for all municipal services, such as refuse collectionmunicipal roads, cemeteries, abattoirs, and public parks.

Ministry staff are already busy with projects to rehabilitate existing, or construct new, facilities all over the country. The ministry is currently implementing projects financed by the Iraqi national budget in the year 2004 ( US$ 220 million) as well as other sizable infrastructure projects financed by donors. This reflects that the MMPW is capable of implementing all projects finanWorld Bank, however, would work closely with its counterpart team in the Ministry to build the knowledge in Bank procurement.

There is no centralized procurement department in the current organizational structure of the MMPW. Procurement is carried out by each Directorathrough a specialized unit. International and local procurement are closely coordinated with the Departments of Technical and Legal Affairs.

There are two Central Committees involved in the projects procurement processes in the MMPW. The first central committee is responsible for bid opening and chaired by the Deputy Minister for Administrative Affairs, and attended by members from the technical and legal

52

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex technical financial and legal departments. Recommendations of both committees should

on and site gres n unit in each ern ntrally by the

r future. The risk lies essentially in the lack

Bank staff at the Iraq Interim

t.

ll be carried out during appraisal throughout project implementation. The target audience would be PMT staff and

be approved by the Minister.

Procurement activities under the project will be carried out by the Project Management Team (PMT) which has been established in MMPW directly reporting to the Minister. The PMT will be staffed mainly of MMPW staff who are transferred from their existing directorates to work, on a full-time basis, as PMT staff. The PMT will closely coordinate its daily activities with the different directorates of the MMPW. It is critical that at least two qualified procurement staff members are selected prior to the Grant Agreement Signing. These recruits should be trained on and become well-versed in Bank procurement procedures within the first three months after Grant Agreement Signing. Such training can be obtained through attending formal courses in international institutions that delivers training on World Bank procurement procedures.

he Project will be implemented in ten Governorates. Construction supervisiTpro s reporting will be the responsibility of the technical implementatioGov orate reporting to the PMT. Procurement will be implemented cePMT. The same will apply to the three northern Governorates ( Erbil, Dukan and Sulaimania) which report to the Kurdestan Regional Government.

Given that the procurement environment which prevailed in Iraq during the last two decades was more or less different from the norms of acceptable international practice and the legal and regulatory changes introduced by the CPA, public procurement will predictably bear a high level of risk in the neaof applicable laws and regulations, modern standard documentation, lack of training of concerned staff in procurement using World Bank guidelines and international sound procurement practice, the lack of law enforcement which would increase the risk of looting and the damaging of facilities, and the inability of World Bank procurement staff to supervise project in the field.

On the positive side however, Iraq has a wealth of procurement and engineering staff that may be retrained rapidly to operate a reformed procurement system, and use new procurement documents and tools as they become available. Eight of the MMPW staff have already received two three-week training courses in procurement, financial, and project management that were organized by the WorldOffice in Amman, Jordan. Recommendations and Action Plan to Build the Agencies Capacity

• Two procurement officers will be assigned to the PMT. These two officers will receive both formal and ad-hoc procurement training to efficient handling of the procurement activities under the projec

• An international project management firm will be recruited to assist the PMT in procurement, financial and project management. This firm would assist MMPW in establishing a procurement monitoring and reporting system and introducing .

• Series of training sessions and workshops wi

other employees of MMPW. • The Master Implementation Manual (MIM), expected to be finalized by the end

of January 2004, would be adapted to the particular circumstances of the MMPW. The MIM will provide standard procurement documents, evaluation reports,

53

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex progress reports, filing requirements that would be followed throughout project implementation.

• The thresholds for prior review by the Bank are set at a low level, to allow World Bank staff to provide hands-on training to staff of the PMT.

• A Project Launch Workshop would be held in Arabic (or with Arabic translation) soon after project effectiveness. All staff involved in implementation should attend the workshop and it will be most critical that this staff be assigned on time.

C. Procurement Plan The MMPW, at appraisal, developed a Procurement Plan for project implementation which provides the basis for the procurement methods (Appendix 6). This plan has been agreed between the World Bank and the PMT on October 6, 2004 and is available at

urement consultant that will work for the Bank from within Iraq. During the interim period, Bank staff and the concerned Iraqi procurement

PMT office in Baghdad and the World Bank Iraq Interim Office in Amman. It will also be available in the Project’s database and in the Bank’s external website. The Procurement Plan will be updated in agreement with the Project Team annually or as required to reflect the actual project implementation needs and improvements in institutional capacity.

D. Frequency of Procurement Supervision In addition to the prior review supervision to be carried out from Bank offices, the capacity assessment of the Implementing Agency has recommended four supervision missions per year to visit the field to carry out post review of procurement actions. Until security conditions make travel to Iraq possible for Bank staff, the Bank will employ a Monitoring Agent, an independent firm, which will operate in Iraq and support the Bank in carrying out its supervision function, including spot checks. In addition, the Bank will rely on reports from a local proc

staff will meet outside Iraq to do off-site supervision as well as use of videoconference facilities.

54

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex Append

idding

ix 1 to Annex 6

Additional Provisions for National Competitive B

consistbe followed in procurement under National Competitive Bidding procedures:

1. Standard bidding documents approved by the World Bank shall be used.

5. Foreign bidders shall not be precluded from bidding and no preference of any

aluation of bids shall be made in strict adherence to the criteria disclosed in the bidding documents, in a format, and within the specified period, agreed with the Administrator.

10. Bids shall not be rejected merely on the basis of a comparison with an official estimate without the prior concurrence of the Administrator.

11. Split award or lottery in award of contracts shall not be carried out. When two or more bidders quote the same price, an investigation shall be made to determine any evidence of collusion, following which: (A) if collusion is determined, the parties involved shall be disqualified and the award shall then be made to the next lowest evaluated and qualified bidder; and (B) if no evidence of collusion can be confirmed, then fresh bids shall be invited after receiving the concurrence of the Bank;

12. Contracts shall be awarded to the lowest evaluated bidders within the initial period of bid validity so that extensions are not necessary. Extension of bid validity may be sought only under exceptional circumstances.

13. Extension of bid validity shall not be allowed without the prior concurrence of the Bank (A) for the first request for extension if it is longer than eight weeks; and (B) for all subsequent requests for extensions irrespective of the period.

14. Negotiations shall not be allowed with the lowest evaluated or any other bidders.

In order to ensure economy, efficiency, transparency and broad ency with the provisions of Section I of the Guidelines, the following criteria shall

2. Invitations to bid shall be advertised in at least one widely circulated national daily newspaper and bidding documents shall be made available to prospective bidders, at least 28 days prior to the deadline for the submission of bids.

3. Bids shall not be invited on the basis of percentage premium or discount over the estimated cost.

4. Bidding documents shall be made available, by mail or in person, to all who are willing to pay the required fee.

kind shall be given to national bidders. 6. Qualification criteria (in case pre-qualifications were not carried out) shall be

stated in the bidding documents, and if a registration process is required, a foreign firm determined to be the lowest evaluated bidder shall be given reasonable opportunity of registering, without any hindrance i.e. no non-registration status should be considered as a non-eligibility-to-bid criterion.

7. Bidders may deliver bids, at their option, either in person or by courier service or by mail.

8. Bids shall be opened in public in one place preferably immediately, but no later than one hour, after the deadline for submission of bids.

9. Ev

55

Emergency Water Supply, Sanitation and Urban Reconstruction Project Technical Annex 15. Re-bidding shall not be carried out without the Administrator’s prior concurrence

rs or suppliers shall provide performance security as indicated in the contract documents. A contractor’s or a supplier’s performance security shall apply to

and all contracto

a specific contract under which it was furnished.

56


Annex 7

1. G

Project information:

Country: Republic of Iraq Recipient: Ministry of Municipalities and Public Works (MMPW) Project Name: Emergency Water Supply, Sanitation and Urban Reconstruction Project Grant No.: P087910 Grant Amount: US$ 90 million

2. Bank’s approval Date of the procurement Plan: Original: October 9th, 2004 Revised: December 2, 2004 (no changes).

3. Date of General Procurement Notice: October 7, 2004

4. Period covered by this procurement plan: 24 months

I. Goods and Works and Non-Consulting Services.

1. Prior Review Thresholds: Procurement Decisions subject to Prior Review by the Bank as stated in Appendix 1 to the Guidelines for Procurement:

Procurement Method Prior Review Threshold Comments

: Procurement Plan

eneral

1. ICB and LIB (Goods) All 2. NCB (Goods) >= US$100,000 and first two contracts

irrespective of the value

3. ICB (Works) All 4. NCB (Works) >= US$250,000 and first two contracts

irrespective of the value

5. Shopping (goods and works) >= US$100,000 and first two contracts irrespective of the value

6. Direct contracting All

2. Prequalification. NA

4. Reference to (if any) Project Operational/Procurement Manual NA.

5. Any Other Special Procurement Arrangements: No advance procurement or retroactive financing planned under the project.

57

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6.

Proc

urem

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acka

ges w

ith M

etho

ds a

nd T

ime

Sche

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– C

ontin

ued

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Proj

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60

nued

Proc

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able

- co

nti

60


II. Selection of Consultants

1. Prior Review Threshold: Selection decisions subject to Prior Review by Bank as stated in Appendix 1 to the Guidelines Selection and Employment of Consultants:

Selection Method Prior Review Threshold Comments 1. Competitive Methods (Firms) > = US$100,000 and first two

contracts irrespective of the value or the selection method

2. Single Source (Firms) All 3. Individual Consultants > = US$30,000 4. Single Source (Individual) All

2. Short list comprising entirely of national consultants: Short list of consultants for

services, estimated to cost less than US$100,000 equivalent per contract, may comprise entirely national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines.

3. Any Other Special Selection Arrangements: No.

4. Consultancy Assignments with Selection Methods and Time Schedule

1 2 3 4 5 6

Description of Assignment

Estimated Cost (mUS$)

Selection Method

Review by Bank (Prior / Post)

Expected Proposals Submission Date

Comments

TA to PMT 2.4 QCBS Prior 121/1/2004

International firm with mostly local staff. Services to extend for 24 months with declining staff as needed.

feasibility study and EIAslauuse KarFinaAud

for a ghterhoin bala

0.6 QCBS Prior 6/01/2005

ncial it 0.2 LCS Prior 2/01/2005

61


III. Implementing Agency Capacity Building Activities with Time Schedule

1. . No

ExpecteA

Start

ate

ments

In this section the agreed Capacity Building Activities are listed with time schedule

. d outcome / ctivity Description

Estimated Estimated Cost Duration D

Com

aff 0.4 3 cycles of 2

weeks Training of MMPW/PMT procurement / financial/ technical st

12/04/04

62

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Ann

ex 8

: Pro

ject

Impl

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tatio

n Sc

hedu

le

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65


66

Annex 9: Financial Management and Disbursement

I. Summary

these risks, the project will require close monitoring and supervision during implementation. A detailed risk assessment is in Section VII.

6 Special purpose audit on five ministries conducted by qualified audit firm revealed several irregular transactions and breaches of the control system of those ministries.

Under the World Bank Iraq Trust Fund, the MMPW, as the implementing agency, is the Grant Recipient. The Grant financial resources will be managed by the MMPW within the framework of the MMPW financial management system and additional World Bank procurement and financial management procedures. The Grant funds will be made available to the MMPW who will enter into contractual agreements with contractors, consultants and suppliers for the rehabilitation and construction of activities financed under the project. In view of the current security situation it has not been possible for WB staff to travel to Iraq. In lieu of this, the MMPW financial management assessment was carried out by a regional consulting firm. The assessment covered the current financial management system at the MMPW in order to identify the risks associated with the control environment, the accounting, reporting and auditing procedures in place and proposed actions to reduce and manage such risks. This assessment showed that the systems in place at MMPW are based on principles and procedures defined by the legal framework and operational decrees applicable to the public sector in Iraq. These procedures prepare reports based on budget line expenditures and include several layers of routine authorization controls. The assessment described the organization structure of the MMPW, the accounting system used, reporting, the internal control procedures, and payments control mechanisms. The assessment showed various weaknesses in the control system and control environment6. Accordingly, the Bank will introduce additional control measures to the project.- The financial management assessment project files include a copy of the assessment documentation. II. Financial Management Risk Assessment The financial management risk associated with this operation is considered as high. Critical risk factors are: (i) ongoing insecurity, which prevents on-site Bank supervision and assessments, including financial management assessments; (ii) the Bank’s limited knowledge of Iraq’s public financial management systems, controls, and procedures; (iii) the limited knowledge on the part of Iraqi authorities of Bank policies and guidelines; (iv) the possibility of MMPW not making available on a timely basis financial resources to honor payments below the value of $10,000; (v) difficult communication and flow of information between worksites and the PMT, which could delay payments; (vi) inefficiencies in Iraq’s banking system that delay payments and transfer of funds to contractors, suppliers, or MMPW; and (vii) variation orders that may exceed price contingencies and difficulty may be encountered in verifying justification for variation orders. Although the project design mitigates to the extent possible


III. Risk Mitigation Measures The overall high risk will be partially mitigated by putting in place additional controls and

rocedures.

MPW who will be

the documented in a chapter of the project

e detailed in the project implementation plan in rder to define the relation between all stakeholders involved with the project implementation nd facilitate the flow of project information.

p

The control risk will be partially mitigated by putting in place additional controls and procedures, including: (a) the PMT will verify and authorize payments under the project and will verify justification for variation orders; (b) the PMT will maintain accounting system for the project and retain project’s records and supporting documents, (c) a qualified financial manager will be appointed for the PMT financed under the Grant, and the PMT will be ssigned a competent financial officer and finance assistant from Ma

supported by a financial management consultant; (d) the Minister will designate an internal auditor from the internal audit department of MMPW to track and verify the project financial transactions; (e) disbursements by the Bank will be made primarily by direct payments and on reimbursement basis supported by full documentation; (f) the Fiduciary Monitoring Agent will review project expenditures and Withdrawal Applications; (g) the internal audit department at MMPW will maintain ledger account for each contract to track all payments made against each contract and avoid overpayment; and (h) close control will be exercised on all project documents and payment supporting documents at the PMT.

The accounting and reporting risks will be managed by putting in place a simple computerized system using spreadsheet applications, capable of recording all project expenditures, tracking project commitments in real time during the implementation period, and providing the data needed for the generation of project reports, including the Financial Monitoring Reports FMR). (

ll above activities and procedures will beA

implementation plan and will be in line with the Master Implementation Manual IV. Financial Management Arrangements. Flow of Information. As per current control regulations all invoices, or work orders will be signed and approved by the local technical implementation units in the districts and will be remitted to PMT for payment under cover letter signed by the manager of the unit. Contracting and payment processes will be centralized at the PMT level. The PMT will verify all claims and will maintain up-to-date invoices register and general ledger to record all payments incurred. The MMPW internal auditor designated to the project by the Minister will perform ex-ante checking to all financial transactions. Financial Management Procedures. The project procedures and the parallel accounting ystem that are managed by the PMT will bs

oa

67


V. Project Reports Project reports should be remitted to the Bank following the agreed format and frequency. The proposed format of the reports is in the project files and was agreed upon with the MMPW representatives during negotiations.

Quarterly Reports: The MMPW will generate Financial Monitoring Reports (FMRs) and submit them to the Bank as part of the project progress report, or separately, within 45 days from the end of the quarter. These FMRs include two sections:

h Financial Reports will include a cash flow statement, beginning and ending project cash balances and an expenditure report by activity or contract comparing actual and planned expenditures. Also, a narrative report explaining major variances when compared to plan and the proposed corrective actions should be included as an annex to the financial reports.

h Contracts Reports will include information on the major rehabilitation and construction contracts, showing contract financial status against plan, including information on all authorized contract variations.

These reports should be remitted to the Bank within 45 days from the end of the period. The proposed format of the reports is in the project files and will be agreed upon with the MMPW representatives during negotiations.

Annual Reports: Audited Project Financial Statements that will be submitted to the Bank no later than six months after the end of the fiscal year, include:

1. Statement of sources and utilization of funds, indicating funds received and

lances. 3. Statement of payments made using SOEs procedures, if allowed later by the Bank, as

expenditures. 2. Appropriate schedules classifying project activities, showing cumulative ba

defined in the legal agreement.

Reporting To Donors. The Bank will maintain separate records and ledger accounts in respect of the funds deposited by the donors with the Bank under the ITF. Within ninety (90) days of the end of each quarter (March 31, June 30, September 30, and December 31), the Bank will prepare, on a cash basis, an unaudited statements of receipts, disbursements, and fund balance with respect to the ITF and forward a copy to each donor. Each such statement will be expressed in United States Dollars, the currency in which the ITF funds will be maintained by the Bank. In addition, within one hundred and eighty (180) days of the ompletion of all disbursements relating to activities financed from the ITF, the Bank will c

prepare on a cash basis an unaudited financial statement of receipts, disbursements, and fund balance with respect to the ITF and forward a copy to each donor. The Bank will furnish to the donors:

68


a. on a semi-annual basis, a consolidated report describing the operations of the ITF (including contributions, disbursements, and implementation progress) in the

anagement assertion, together with an attestation from the Bank’s external auditors, concerning the adequacy of internal control over cash-

An project externaaccordareport to the Bank not later than six months after year end. The auditor selection process will be launched directly after the Grant Agreement is signed. In addition to the audit reports, the auddeficienrecomm cover the expenditures made through direct payments as well as expenditures reimbursed to the MMPW in terms of their

VII. Disbursement Arrangements and Associated Risk

August 31, 2007. The Bank's stra y financing operations that are implemented by Iraqi ministries and other recipient entities. Trained PMTs wil ards. PM y avoidin one Project Implementation Units that can erode civil service institutional capacity over the medium and long term. The project will finance

eeded. t

nts.

y , direct

ntractor, the

he project management component costs and payments below the threshold of US$10,000 ments by the Recipient from its own resources. These

ayments made from the Recipient’s own resources will be reimbursed, on a periodic basis, by the World Bank to the MMPW upon presentation of proof of payment and a signed withdrawal

preceding six months; and

b. on an annual basis, a m

based financial reporting for trust funds as a whole.

VI. Auditing Arrangements

external independent auditor with international experience will be engaged to perform the audit and issue an independent opinion on the project financial statements. The

l audit report will encompass all of the Project’s activities and will be presented in nce with internationally accepted auditing standards. MMPW will remit a project audit

itor will prepare a “management letter” identifying any observations, comments, and cies in the system and controls that the auditor considers pertinent, and will provide endations for their improvements. The audit will

substantiation and their eligibility and compliance with the Grant Agreement. An escrow account will be used to pay the auditor after the project closing date.

The Grant of US$90 million is expected to be disbursed bytegy in Iraq is to ensure Iraqi ownership and strengthen institutional capacity b

l facilitate implementation and help ensure compliance with fiduciary and other safeguTs will be employed and paid by the implementing entity at regular salary levels, thereb

g the disadvantages of stand-al

specialized technical support in procurement, financial management, and other areas as nIn addition, to ensure that project funds are used for the purposes intended and to help carry ouproject supervision, the World Bank will employ two independent firms as Monitoring Age As a further compensating control, disbursements will be made primarily by direct payment bthe Bank to the contractors, consultants, and vendors. Once authorized by the MMPWpayments will be made by the World Bank directly into the account of the coconsultant, or vendor in a commercial bank capable of receiving funds transferred frominternational banking system. Tnormally will be made through payp

69


applications. T to intensiv Use of Statements of Expenditures (SOEs). Initially supporting documentation will be provide o th e option of Expend cumentation will be maintained at the PMT of MMPW and made available for review by Bank representatives upon request; any

me will be retained for up to one year from the date the Bank

he PMT and the main financial counterparts from the MMPW will be subject e training in the Bank's disbursement procedures.

d t e Bank for all requests to disburse funds under the Grant. The Bank has thto allow expenditures under US$10,000 to be made by means of Statementsitures (SOEs). If SOEs are allowed the supporting do

docu ntation relating to SOEs receives the second Grant audit report. VIII. Financial Management Risk Assessment: The following table summarizes the identified risks, the risk assessment, and mitigation measures: Identified Risks Risk

Rating Mitigation Measures

Limited knowledge of the Iraqi financial management systems, and capacity

H The Bank gained some knowledge on Iraqi Public Financial Management (PFM) by appointing a consulting firm to assess several Iraqi ministries. Bank staff also conducted their own interviews with Iraqi

in Amman and reviewed PFM cumentation. Further knowledge

officials system dowas gained from an audit report issued by an international audit firm

Limited Financial Management (FM) capacity of MMPW, to comply with FM requirements.

H The PMT will staff will include a qualified financial manager, assisted by a financial officer, and a finance assistant. The financial manager will manage disbursements from the proceeds of the grants, supervise project accounts, retain financial records, and prepare project reports. The team will be assisted by a FM consultant. The Bank also engaged a consulting firm to prepare a Master Implementation Manual to be used by all projects financed under the Iraq Trust Fund.

Counterpart Funds not made available L The Iraqi contribution to the project will be in kind, i.e. the costs of staff assigned to the PMT and staff from the ministry working on the project.

The MMPW not being able to provide funds H The ministry commitment to provide the from its own resources for transaction below US$ 10 000

required funds was confirmed during negotiations.

Funds flow not taking place as planned H The flow of funds will concentrate on using direct payment; however inefficiencies in the banking and payment system in Iraq remain a major risk factor for such

70


payments. The Bank uses Wachovia for US$ payment in Iraq. Also the Bank discussed with Citi Bank and Standard Chartered their abilities to transfer funds into Iraqi Banks

ccounting Policies and procedures not meeting he Bank minimum requirement

M Once the Master Implementation Manual and the project implementation plan have been finalized, well-defined financial policies and procedures will be in place. In addition, the financial management policies of the MMWP will apply to the project.

Internal Audit not taking place

At

M The Minister will designate an auditor from the internal audit department to perform ex-ante verification on the project financial transactions. The internal auditor will be

e d

procedures and the Grant Agreement covenants.

introduced to the project and trained in thuse of Bank operational policies an

External audit not meeting Bank’s requirements

carried out by an independent auditor acceptable to the Bank

H External audit will be

with international experience, in accordance with terms of reference acceptable to the Bank. Appointment of the auditor will start after the grant signing The PMT will prepare quarterly FMR and annual project financial statement. The format and contents of the FMR were agreed during negotiation.

roject reports A simple spreadsheet system will be installed to maintain project financial transactions and prepare project reports including FMRs. PMT will be responsible for verifyinvariation orders. The fiduciary monitoringagent will assist, to the extent feasible. Price contingencies have been calculated on the basis of recent prices. Given the volatility of the market, however, should price contingencies be insufficient to cthe variation orders, scope of work will bescaled back.

L: Low M: Medium S: Substantial IX. Bank Financial Management Supervisio fter effectiveness will take the form of a launch wor inar on Bank rules,

sented. perv r to ained on Bank ill

gent, an i pend and support the Bank in carrying out its supervision funct

H: High

n: The first supervision mission akshop where a sem

regulations and guidelines will be preensure that the finance staff are well tr

Su ision will initially be intensive in orde guidelines and procedures. The Bank w

employ a Fiduciary Monitoring A nde ent firm, which will operate in Iraqion.

Inadequate Reporting and Financial Monitoring

H

Inadequate Information system to produce p

H

Difficulty in verifying justification for variation orders and possibility of variation orders exceeding price contingencies

H g

over

Overall Control Risk H

71


Action Due Date

Immediately After Grant Ag

Send Authorize Signatory letter to Bank After Grant Agreement Signature Project Launch (with Baghdad Water Project) 2nd week of January 2005

March 31, 2005 February 28, 2005

Identify the Financial Officer from the MMPW Launch the Auditor selection Process reement Signature

Finalize Project Implementation Plan The parallel accounting system in place

72


Annex 10: Environmental and Social Safeguards Assessment Framework (ESSAF)

the Pr (The Ministry s, Republic of g all the subprojects for

l impacts, d measures for their proper implementation and monitoring. This project specific ESSAF draws from the generic and overarching framework agreed upon with the Government of Iraq for all reconstruction and rehabilitation projects to be implemented on an emergency basis, and is especially tailored to the specific issues identified for the proposed intervention. The Project, Water Supply, Sanitation and Urban Reconstruction Project aims at restoring basic water supply, sanitation and urban services for urban areas outside the capital city of Baghdad through:

(a) carrying out reconstruction and rehabilitation of existing facilities and

(b) providing capacity building support through training and technical assistance. This project also aims to improve the existing environmental and health conditions by renewing the old water networks and sanitation services. It will also contribute to the reduction of water borne diseases through the reduction of water supply by tankers and the provision of potable water and sanitation networks. This would also help improve the economic conditions of the population by reducing the amounts of water obtained from tankers, which is generally more expensive. The project will complement support by other donors. The project will also create vitally needed short-term employment and help build Iraq’s capacity to manage large-scale reconstruction.

Project components and their estimated costs are summarized below:

Component 1 - Rehabilitation and Upgrading of Karbala Water and Sewerage Systems (Estimated cost of US$16.34 million)

The component consists of the rehabilitation of two treatment plants, part of the distribution network and sewer trunk and lateral sewers.

Component 2 - Rehabilitation and Upgrading of Majar Water Supply System (Estimated cost of US$3.16 million)

It consists of replacement of two water treatment units, rehabilitation and extension distribution networks, pumping stations and installation of about 3,000 house connections.

Component 3 - Rehabilitation and Upgrading of Beji Water Supply System

SSAF A) Introduction and Purpose of E

The purpose of this Framework is to assist oject Implementing Agencyof Municipalities and Public Work Iraq) in screenintheir likely social and environmenta detailing the require

73


(Estimated total cost of US$1.83 million) This component consists of replacement of two water treatment units, rehabilitation of dist imately 2,000 house connections.

It cand nections.

Thi ter system through the supply and construction of a wtreanet

Component 6 - Upgrading of Al-Samawa Water Supply System. (Estimated cost of

It cons r treatment units located in new site upstream the existing one. It also includes the supply and instincstanstat

The component consists of supplying and installing a water distribution network, drilling 10 wel ators.

ge

ting conditions.

t of

ork,

ribution networks and installation of approx

Component 4 - Rehabilitation and Upgrading of Kena’an Water Supply System (Estimated cost of US$1.89 million)

onsists of replacement of three water treatment units, rehabilitation of distribution networks he installation of about 2,700 house con t

Component 5 - Upgrading of Al Hussainia Water Supply System (Estimated total of US$7.60 million)

component consists in upgrading the wasater intake, a raw water transmission line, a water treatment plant consisting of five water tment units, with recommended two- year’s supply of spare parts, and a distribution

work including house connections.

US$12.34 million)

ists in upgrading the water system through the supply and installation of 8 wate

allation of 25 km of a new water pipeline, a staging water tank. In addition, the component ludes the rehabilitation and upgrading of three low lift pumps (two operational and one d by pump), three high lift pumps (two operational and one stand by pump) and a pumping ion.

Component 7 - Upgrading of Badawa Water Supply System (Estimated cost of US$1.50 million)

ls, installing pump houses, storage tanks, chlorinators and diesel gener

Component 8 - Upgrading of Dohuk Water Supply and Stormwater DrainaSystems (Estimated cost of US$4.92 million)

This component will consist mainly of supplying and constructing a water distribution network and a storm-water network to relieve the exis

Component 9 - Upgrading of Dukan Water Supply System (Estimated cosUS$4.48 million)

This component will address all aspects of rehabilitation and upgrading of the existing water supply system: it will include the installation of a water supply system (distribution netw

74


pumps, intake works and the construction of a water eatment plant.


This co n of existing damaged streets and squares, (ii) the habilitation of the traditional market (Bazaar) in Al-Abbas street; and, (iii) an Environmental

Component 11 - Badawa Urban Rehabilitation

his component includes (i) the construction of storm water network to collect and drain

Rehabilitation (Estimated cost of US$7.78 million)

The c vide for: (i) resurfacing of main streets, (ii) upgrading of eighb roads to paved roads, (iii) the construction of pedestrian sidewalks;

s remain quite high. The UN/WB Joint Needs Assessment estimated at US$6.8 billion the and at US$384 million of th these figures, this project will contribute to less than 1% and about 8% of the total needs, respectively.

reservoir tanks, etc.), the rehabilitation of tr

Component 10 - Karbala Urban Rehabilitation

mponent involves (i) the rehabilitatioreImpact Assessment Study (EIAS) and Design of a New Municipal Slaughterhouse.


Trainwater into the city trunk main, and, (ii) upgrading of un-paved neighbourhood roads and main streets.

Component 12 - Basra Urban

omponent will proourhood internal dirtn

and, (iv) construction of a new storm water drainage network.

Component 13 - Capacity Building and Technical Assistance (Estimated total cost of US$ 4.00 million)

This project will improve the quality of life of more than 2 million Iraqi citizens. Nevertheless, the need

total rehabilitation needs of the Water Supply and Sanitation sector e Urban Management sector. Based on

B) Safeguards Assessment s operation will be implemented in compliance with Thi the following applicable Safeguards

Policies of the World Bank as well as the Emergency Recovery Loan Policy of the Bank (O.P.

d subprojects are likely to focus on the retreaEnviron Safeguards Policy (OP 4.01).

potential adverse impacts, a limited Environmental Management Plan (EMP) will be done during project implementation (in compliance with O.P 4.01 in the case of emergency operations as defined by

8.50). OP 4.01 Environmental Assessment. Most of the propose

pair, rehabilitation, reconstruction and upgrading (where necessary) of priority networks and tment facilities. The work in these areas will be done in compliance with the World Bank

mental Assessment

Considering the nature and magnitude of potential environmental impacts of rehabilitation and reconstruction works, the proposed operations are classified as category ‘B’. For subprojects with

75


Emergency Recovery Loan Policy 8.50), particularly if new water supply and sewer systems are built and when dealing with chlorination units. TORs applying to water and sanitation projects attached to this document will have to be followed. For the rest of the subprojects with limited potential adverse imp agree to apply the following minimum standard

entation of disposal of debris; and 6) provisions for arrangements for monitoring effective

One of the subprojects, namely the design of a New Municipal Slaughterhouse, will be

subproject will protect existing water wells. This would be evidenced by an EMP (at least, if not by an EIA).

olition wastes, will have to be researched. are loaded with solid wastes problems that go back

many years and that include many types of wastes: hazardous, municipal and

at this stage: setting up new semi-structured landfills; using and upgrading existing dumps to an acceptable level and

ppropriate technology chunks of debris to powder-like ‘’wastes’’ that roject negotiations plans to build solid waste

subprojects will be screened for triggering of the resettlement policy. Any subprojects involving involuntary resettlement or land acquisition will

nly be approved after preparation of a resettlement plan acceptable to the Bank. The safeguards framew dures for identifying people who will be affected by the sub-projects and for proper determination of appropriate compensation. tural pro the cities targeted by the sub-projects namely the sacred city of Karbala and the touristic ity of Dukan, particularly if excavations are required, but assuming that they will not include large-

ase cultural property is not damaged by the project activities, identification of later assistance for the preservation of historic or archeological sites

acts and prior to appraisal, the implementing agency will s during implementation:

o completing the check list in attachment 2; 2) consider attachment 3 if applicable; 3) inclusion of standard environmental code of practice (ECOP) for water and wastewater in the repair and reconstruction bid documents of all subprojects; 4) review and oversight of any major reconstruction works by specialists; 5) implemenvironmentally and socially sound options for

y institutionaladequate budget and satisfactorimplementation.

othe subject of a full Environmental Impact Assessment study (component 10 Kerbala). Another subproject, component 7 Arbil, 10 water wells will be drilled to 300 m and the

o The issue of solid wastes, particularly of demAll the cities under this project

hospital/health care wastes. These wastes will be augmented by new demolition wastes from the subprojects and will compound the issue. This Project will have to deal with the issue at a collective level. Solutions are not easy

recycling the demolition/construction wastes by using a(rudimentary unit that converts large may be re-used/ recycled). During Plandfills have been mentioned by the Iraqi delegation.

OP 4.12 Involuntary Resettlement. The need for involuntary resettlement or land acquisition in specific subproject areas will only be known during project implementation, when site-specific plans are available. In the above sub projects, it might be that acquisition of linear stretches of land is necessary for the construction of new sewer lines. Therefore,

oork will therefore include proce

OP 11.03 Cultural Property. Operations may pose limited risks of damaging culperty in

cscale excavations, movement of earth or demolition. Nevertheless, projects and subprojects will be reviewed for their potential impact on cultural property and clear procedures will be required for identification, protection of cultural property from theft, and treatment of discovered artifacts, and will be included in standard bidding documents. Even in the c

might be carried out. If these opportunities occur, cultural property management plans following the application of chance find procedures would be prepared for those subprojects.

76


OP 7.50 Projects on International Waterways. Because the Project will be drawing on the intake of water from both the Tigris and the Euphrates and their tributaries therefore OP 7.50 has been triggered. However, the team has determined after deliberations and discussions that the Project falls within the exceptions to the notification requirements under Paragraph 7 a) of the policy. The team has (

thobtained a no objection from the RVP. Components affecting

e Tigris denvironme lrequirements w

IV. Safegua The lwith the fol i

A l(At

sub

Gui

Proarch

Relenv

A sCon

need attention and studying, the category of which will have to be determined prior to construction and based on

an Euphrates waters will be screened in checklist attachment 2 to identify nta issues, particularly for components 5 and 6. Decisions on actions and

ill be made with the concurrence of the Bank.

rd Screening and Mitigation

se ection, design, contracting, monitoring and evaluation of subprojects will be consistent low ng guidelines, codes of practice and requirements.

ist of negative characteristics rendering a proposed subproject ineligible for support tachment 1);

A proposed checklist of likely environment and social impacts to be filled out for each project or group of subprojects (Attachment 2);

delines for land and asset acquisition, entitlements and compensation(Attachment 3);

cedures for the protection of cultural property, including the chance discovery of aeological artifacts, unrecorded graveyards and burial sites(Attachment 4);

evant elements of the codes of practice for the prevention and mitigation of potential ironmental impacts (Attachment 5); and

ample Environmental Safeguards procedures as a basis for additional requirement to the tracts Technical Specifications (Attachment 6).

An EMP for sub projects identified as having adverse impacts and affecting a large number of people (more than 10.000) for which TORs are included with the ESSAF is to be carried out by an independent consultant., Note that the EMP will have to be prepared prior to construction (Attachment 7).

An Environmental Impact Assessment for component 10, the slaughterhouse, will be performed as this subproject is a category A.

Attachment 8 in case solid waste issues emerge and

estimates of quantities and impacts.

V. Responsibilities for Safeguard Screening and Mitigation The Ministry of Municipalities and Public Works will act as the implementation agency responsible for applying the safeguard screening and mitigation requirements to its own subprojects. A Safeguards Focal Point (SFP) will be identified in the Ministry with responsibility for overseeing the implementation of the Framework.

77


V Capacity-Building and Monitoring of Safeguard Framework Implementation As part of the capacity-building to be provided for implementation of the proposed operations, the Safeguards Focal Points and relevant staff of the concerned Ministry and Municipalities will also receive training in ESSAF’s application. To assist in this capacity-building, and to provide subsequent guidance and review of the ESSAF’s application, the World Bank and the Iraqi government will contract an international monitoring agency for the monitoring and supervision of the safeg

I.

uards. During supervision of these perations, the World Bank will assess the implementation of the ESSAF, and recommend additional

strengthening, if required.

II.

This ESSAF will be shared with the different stakeholders, with the concerned nongovernmArabic and inistry of Municipalities and Public Works (proponent) and will be made available at the World Bank’s InfoShop around and after appraisal in October 2004. Relevant subprojA letter from through the Bank’s InfoShop and will specify The proinfrastructu ltation and disclosu

o

V Consultation and Disclosure

ental organizations and with participating development partners. It would be disclosed in English by the M

ect specific safeguard documents/mitigation plans prepared subsequently will also be disclosed. the Ministry to the Bank will authorize disclosure

the modalities of disclosure in-country.

posed operations will support a number of feasibility and detailed design studies for future re investments for which World Bank safeguard policies relating to consu

re may apply.

78


Attachment 1

below will be ineligible for support under the proposed mergency reconstruction operation.

List of Negative Subproject Attributes

Subprojects with any of the attributes listede

Attributes of Ineligible Subprojects

GENERAL CHARACTERISTICS

Activities that could lead to significant conversion or degradation of critical natural habitats. cluding, but not limited to, any activity within: In

• Mesopotamian Marshlands; Shatt El Arab Wetlands; •• Wildlife Reserves; and • Parks and ecological sanctuaries. Activities that could lead to damages to cultural property, including but not limited to, any activities that would affect the following sites: • Archaeological and historical sites; and • Religious monuments, structures (for e.g. a shrine, a classified antiquity, an unclassified

antiquity but that has some value in the city) and cemeteries. Activities that would require pesticides that fall in WHO classes IA, IB, or II. Activities that would affect riparian rights Drinking Water Supply New or expanded piped water schemes to serve 10,000 or more households. Sanitation New wastewater treatment plants to serve 10,000 or more households. Solid Waste New disposal site or significant expansion of an existing disposal site. Roads New primary roads and highways. Irrigation New irrigation and drainage schemes. Dams Construction of dams more than 5 meters high. Rehabilitation of dams more than 15 meters high. Power New power generating capacity of more than 10 MW. Oil and Gas New exploration, production or distribution. Rehabilitation of production or distribution systems. Income Generating Activities Activities involving the use of fuelwood, including trees and bush. Activities involving the use of hazardous substances.

79


Attachment 2

Checklist of Likely Environmental and Social Impacts of Subprojects

uard Focal Point (SFP) or Project Implementation Unit (PIU) in Screening Subproject Applications. Note: One copy of this form and accompanying documentation to be kept in the PIU office and one copy to be sent to the task team l ring project implementation.

mber

Subproj

e to be Rehabilitated:

stimated Cost:

d Date of Commencement of Work:

ewed (circle answer): Yes __ No __

project Related Issues

No

Small

Medium

Large

This Form is to be used by the Safeg

eader of the World Bank prior to, or du

Name of Subproject:

Nu of Subproject:

Proposing Agency:

ect Location:

Subproject Objective:

Infrastructur

E

Propose

Technical Drawing/Specifications Revi

I. Sub S No ISSUES A. Zoning and Land Use Planning

1. Will the subproject affect land use zoning and planning or conflict with prevalent land use patterns?

2. Will the subproject involve significant land disturbance or site clearance?

3. Will the subproject land be subject to potential encroachment by urban or industrial use or located in an

80


area intended for urban or industrial development? B. Utilities and Facilities

. Will the subproject require the setting up of ancillary

4production facilities?

5. Will the subproject make significant demands on utilities and services?

. Will the subproject require significant levels of

more than 20 workers)?

6accommodation or service amenities to support the workforce during construction (e.g., contractor will need

C

Water and Soil Contamination

7. Will the subproject require large amounts of raw materials materials?

or construction

8. Will the subproject generate large amounts of residual wastes, construction material waste or cause soil erosion?

9. Will the subproject result in potential soil or water contamination (e.g., from oil, grease and fuel from equipment yards)?

10. Will the subproject lead to contamination of ground and surface waters by herbicides for vegetation control and chemicals (e.g., calcium chloride) for dust control?

11. Will the subproject lead to an increase in suspended sediments in streams affected by road cut erosion, decline in water quality and increased sedimentation downstream?

12. Will the subproject involve the use of chemicals or solvents?

13. Will the subproject lead to the destruction of vegetation in the right-of-way, borrow pits, waste dumps,

and equipment yards?

and soil

14. Will the subproject lead to the creation of stagnant water encouraging for

mosquito breeding and other disease vectors?

bodies in borrow pits, quarries, etc.,

D. Noise and Air Pollution Hazardous Substances 15. Will the subproject increase the levels of harmful air

emissions? 6. Will the subproject increa1 se ambient noise levels?

17. ill the subproject involve the storage, handling or of hazardous substances?

Wtransport

E.

Fauna and Flora

18. Will the subproject involve the disturbance or modification of existing drainage channels (rivers, canals) or surface water bodies (wetlands, marshes)?

19. Will the subproject lead to the destruction or damage of terrestrial or aquatic ecosystems or endangered sdirectly or by induced development?

pecies

Will the subproject lead to the disruption/destruction of 20.

81


wildlife through interruption of migratory routes, disturbance of wildlife habitats, and noise-related problems?

F.

Destruction/Disruption of Land and Vegetation

Will the subproinfrastructure being developed? Will the subproject lead to long-term or semi-permadestruction of soils in cleared areas not suited for agriculture?

23. ill the subproject lead to the interruption of subsoil and reas of cuts and fills)?

Woverland drainage patterns (in a

24. oad cuts?

Will the subproject lead to landslides, slumps, slips and other mass movements in r

25.

Will the subproject lead to erosion of lands below the roadbed receiving concentrated outflow carried by coveredor open drains?

Will the subproject lead to long-term or semi-permadestruction of soils agriculture? Will the subproject lead to health hazards and interferenof plant growth adjacent to roads by dust raised and by vehicles? Cultural Property

28. Will the subproject have an impact on archaeologicahistorical s

l or ites, including historic urban areas?

29. Will the subproject have an impact on religiomonuments, structures and/or cemeteries?

us

Have Chance Finds prothe subproject? Expropriation and Social Disturbance

31. ill the subproject involve land expropriation or Wdemolition of existing structures?

32. Will the subproject lead to induced settlements by woand others c

rkers ausing social and economic disruption?

33. Will the subproject lead to environmental and social disturbance by construction camps?

21. ject lead to unplanned use of the

22. nent

26. nent in cleared areas not suited for

27. ce blown

G.

30. cedures been prepared for use in

H.

82


II. Site

.No SSUES DO NOT KNOW

Related Issues

S I YES NO

1. Is the subproject located in an area with designatereserves?

d natural

2. Is the subproject located in an area with unique natural featur ? es Is the subproject located in an area with endangereconservation-

4. Is the subproject located in an area falling within 500 metenational forests, protected areas, wilderness areas, wetl

rs f ands,

ral

o

biodiversity, critical habitats, or sites of historical or cultuimportance?

5. Is the subproject located in an area which would createthe movement of conservation-worthy wildlife or livestock?

a barr r for

ie

Is the subprojectwater bodies, water courses or wetlands?

Is the subprojproperties such as archaeological, historical and/or religious itIs the subproject in an area with religious monuments, strucand/or cemete

9. the subproject in a polluted or contaminated area? Is 10. Is the subproject located in an area of high visual and landscape

quality? Is the subproject located in an area susceptible terosion? Is the subproject located in an area of seism

13. Is the subproject located in a densely populated area? Is the subproject

15. the subproject located in an area of tourist importance? Is 16. Is the subproject located near a waste dump? 17. Does the subproject have access to potable water?

Is the subproject located far (1-2 km19. Is the subproject located in an area with a wastewater networ k?

Is the subproject located in the urban plan of the city? Signed b : _______________________________

Title: _______________________________ Date: _______________________________ Signed by Project Manager: Name: _______________________________ Title: _______________________________ Date: _______________________________

y Environment Specialist: Name

3. d or worthy ecosystems, fauna or flora?

6.

located close to groundwater sources, surface

7. ect located in an area with designated cultural s es?

8. tures ries?

11. o landslides or

12. ic faults?

14. located on prime agricultural land?

18. s ) from accessible roads?

20.

83


Attachment 3

Guidelines for Land and Asset Acquisition, Entitlements and Compensation

I. Objectives

R mum, and will be carried out in accordan ese guidelines. Subproject proposals that would require demolishing houses or

uiring avo their pacts through rnativ pansion alon rights o way should be

carefully place outside of these guidelines. A format a Lan 3(i).

2. T nsate negatively affected persons to ensure ll be assisted to improve, or at least to restore, their living standards, income

ning o u

C

. Based on the number of persons that may be affected by the project, Project Affected People Ps) a ollows:

( cq isition nd/or hysical ust RAP

iver can be prov ed by o d Bank nt Committee. In such cases, arati of the RAP.

( llowin documentation: (i) a

record of con ltation which assess ed, and (iii) a cord o the re eipt of ose affected (s below).

( land acquisition or any ther sig ificant adverse

ive social impact and improved livelihoods

E

project due to d by are:

tures/buildings, including recognized customary and traditional rights;

rights rooted in nd

t fall within (a) and (b) above, are eligible to resettlement assistance to restore their livelihood.

1. esettlement and land acquisition will be kept to a minice with th

acq productive land should be carefully reviewed to minimize or id imalte e alignments. Proposals that require more than minor ex

reviewed. No land or asset acquisition may takeg f

for d Acquisition Assessment Data Sheet is attached as Attachment

hese guidelines provide principles and instructions to compe that they wi

ear r production capacity to pre-project levels regardless of their land ten re status.

II. ategorization 3(PA

nd the magnitude of impacts, projects will be categorized as f

aa) Projects that will affect more than 200 PAPs due to landrelocation and where a full Resettlement Action Plan (RAP) m

ube produced. If the

a p

cannot be prepared prior to project appraisal, a wa id the W rlManaging Director (MD) in consultation with the Resettlemethe TT should agree with the Borrower on a timetable for prep on

b) Projects that will affect less than 200 persons require the fo gland acquisition assessment, (ii) the minutes or su sthe compensation claimed and agreement reach re f cthe compensation, or voluntary donation, by th ee

c) Projects that are not expected to have any o nsocial impacts; on the contrary, significant positare expected from such interventions.

III. ligibility 4. PAPs are identified as persons whose livelihood is directly affected by theacquisition of the land owned or use them. PAPs deemed eligible for compensation

(a) those who have formal legal rights to land, water resources or struc

(b) those who do not have such formal legal rights but have a claim to usufruct

customary law; a (c) those whose claim to land and water resources or building/structures do no

84


IV. Ac

or replacement costs for lost assets as described below:

the following means of ompensatio

(a)

lished;

the delivery of compensation should be made in , i.e., at the Community Meeting; and

(vi) in case of physical relocation, provision of civic infrastructure at the resettlement

(b) Project affected peoples losing access to a portion of their land or other economic assets

equivalent productive asset, according to the principles in (a) i-iv above.

VI. Consultation Process 8. The sets located in a proposed subproject area are consulted. Community meetings will be held in each affected district

quisition of Productive Assets and Compensation 5. PAPs are eligible f

(a) Voluntary contributions. Individuals may elect to voluntarily contribute land or assets

provided the persons making such contributions do so willingly and are informed that they have the right to refuse such contributions; and

(b) Contributions against compensation. A contributor/asset loser considered "affected" will

be eligible for compensation and other necessary assistance.

6. Voluntary contribution should be clearly documented to confirm the voluntary nature of the transition. The documentation should specify that the land is free of any squatters, encroachers or other claims. A format is shown in Attachment 3(i), which includes a Schedule for assessing any ompensation claimed and the agreement reached. c

V. Compensation Principles

. The project implementation agencies will ensure timely provision of7c n to affected peoples:

Project affected peoples losing access to a portion of their land or other productive assets with the remaining assets being economically viable are entitled to compensation at a replacement cost for that portion of land or assets lost to them. Compensation for the lost assets will be made according to the following principles:

(i) replacement land with an equally productive plot, cash or other equivalent productive assets;

(ii) materials and assistance to fully replace solid structures that will be demo

(iii) replacement of damaged or lost crops and trees, at market value;

(iv) other acceptable in-kind compensation;

(v) in case of cash compensation, public

sites.

rendering the remainder economically non-viable will have the options of compensation for the entire asset by provision of alternative land, cash or

implementing agencies will ensure that all occupants of land and owners of as

85


and village to inform the local population of their rights to compensation and options available in ty meetings shall reflect the discussions

ag ent, based on the format provided in achm

9. discussiand any evavailabl fo Subpro

factory compensation has been agreed between the affected person and the local community; and

the compensation has been delivered in a satisfactory manner

1. commuimplementairregularity repr entati mplaint may be submitted to the relevant implementing agency for consideration.

Verification 12. The e of compensatio ing engineers, who will mainta -economic monitors when they undertake reviews and post-project assessment. This process shall be specified in all relevant project documents, including dagency level.

accordance with these Guidelines. The Minutes of the communield, reements reached, and include details of the agreemh

Att ent 3(ii).

The implementing agency shall provide a copy of the Minutes to affected people and confirm in ons with each of them, their requests and preferences for compensation, agreements reached,

entual complaint. Copies will be recorded in the posted project documentation and be r inspection during supervision. e

ject Approval

10. In the event that a subproject involves acquisition against compensation, the implementing agency shall:

(a) not approve the subproject unless satis

(b) not allow works to start untilto the affected persons.

Complaints and Grievances

1 Initially, all complaints should be negotiated to reach an agreement at the local nity/village/district level. If this fails, complaints and grievances on these Guidelines,

tion of the agreements recorded in the Community Meeting Minutes or any alleged in carrying out the project can also be addressed by the affected peoples or their

ve at the municipal or district level. If this also fails, the coes

Community Meeting Minutes, including agreements of compensation and evidencn made shall be provided to the Municipality/district, to the supervis

in a record hereof, and to auditors and socio

etails of the relevant authority for complaints at the municipal/district or implementing

86


Attachment 3(i)

Land Acquisition Assessment Data Sheet (To be used to record information on all land to be acquired)

. Current uses: 6.

•

Number of Squatters:

s:

cquired (identify one):

ion

n proof must be obtained (notarized or witnessed statements) for the voluntary donation, or acceptance of the prices paid from those affected, together with proof of title being vested in the community, or guarantee of public access, by the title-holder.

9. Describe grievance mechanisms available:

1. Quantities of land/structures/other assets required: 2. Date to be acquired: 3. Locations: 4. Owners: 5

Users:

Number of Customary Claimants:

•

• Number of Encroacher

• Number of Owners:

• Number of Tenants:

• Others (specify): ______________________ Number: ___________________ 7. How land/structures/other assets will be a

• Donat

• Purchase 8. Transfer of Title:

• Ensure these lands/structures/other assets are free of claims or encumbrances.

• Writte

87


Attachment 3(ii)

Format to Document Co

he following agreement has been made on............................ day of...................……….

...........................(the Owner) nd ……………………………………………….(the Recipient).

. That the Owner holds the transferable right of ........................………………………of ...…………………………………………………………………………….

testifies that the land/structure is free of squatters or encroachers and not bject to other claims.

. That the Owner hereby Grants to the Recipient this asset for the construction and development ..for the benefit of the villagers and the public at large.

(Eit , 4. t claim any compensation against the Grant of this asset. (Or, in case of compensation:) 4. eceive compensation against the Grant of this asset as per the attached Schedule.

. That the Recipient agrees to accept this Grant of asset for the purposes mentioned.

. That the Recipient shall construct and develop the……………………and take all possible precautions to avoid damage to adjacent land/structure/other assets.

. That both the parties agree that the………………………so constructed/developed shall be

8. That the provisions of this agreement will come into force from the date of signing of this deed. __________

Sig ient

itnesses:

1. _____________________________ 2. ______________________________

(Signature, name and address)

ntribution of Assets

Tbetween...............................................resident of .................a 1land/structure/asset in...... 2. That the Ownersu 3of ..............................

her in case of donation:)

That the Owner will no

That the Owner will r

5 6

7public premises.

_________________________ _____________________________________ nature of the Owner Signature of the Recip

W

88


Schedule of Compensation of Asset Requisition

Summary of Units to be Compensated Agreed Compensation

land (m ): _____________________ ___________________

demolished (units/m ): _____________________ ___________________

demolished (e.g. mud,

. Trees or crops affected: _____________________ ___________________

. Water sources affected: _____________________ ___________________

ignatures of local community representatives, Sheikh/Head of Tribe:

clude record of any complaints raised by affected persons:

Affected Unit/Item a. Urban/agricultural

2 b. Houses/structures to be

2 c. Type of structure to be brick, cement block, etc.,) _____________________ Not Applicable. d e S In Map attached (showing affected areas and replacement areas):

89


Attachment 4

Protection of Cultural Property

erty include monuments, structures, works of art, or sites of significance points of iew, and are defined as sites and structures having archaeological, historical, architectural, or religious

ral sites with cultural values. This includes cemeteries, graveyards and graves.

. The initial phase of the proposed emergency reconstruction operations pose limited risks of since subprojects will largely consist of small investments in community

orks. Further, the list of negative subproject attributes, which would make a subproject ineligible for includes any activity that would adversely impact cultural property.

g procedures for identification, protection from theft, and treatment of provided in

ttachment 6.

hance Find Procedures

. Chance find procedures will be used as follows:

(a) Stop the construction activities in the area of the chance find;

(c) Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local

(d) Notify the supervisory Engineer who in turn will notify the responsible local authorities

and the Ministry of Culture immediately (within 24 hours or less); ulture would be in charge of protecting

and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists of the Ministry of Culture (within 72 hours). The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values;

(f) Decisions on how to handle the finding shall be taken by the responsible authorities and the Ministry of Culture. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage;

(g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Ministry of Culture; and

(h) Construction work could resume only after permission is given from the responsible local authorities and the Ministry of Culture concerning safeguard of the heritage.

4. These procedures must be referred to as standard provisions in construction contracts, when applicable, and as proposed in section 1.5 of Attachment 6. During project supervision, the Site Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed.

1. Cultural propvsignificance, and natu 2damaging cultural propertyinfrastructure and income generating activities, reconstruction of existing structures, and minor public wsupport (Attachment 1),Nevertheless, the followindiscovered artifacts should be followed and included in standard bidding documents asA C 3

(b) Delineate the discovered site or area;

authorities and the Ministry of Culture take over;

(e) Responsible local authorities and the Ministry of C

90


5. Relevant findings will be recorded in World Bank Project Supervision Reports (PSRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the project’s cultural property mitigation, manag e. ement, and activities, as appropriat

91


Attachment 5

Codes of Practice for Prevention and Mitigation of Environmental Impacts (particularly for components/activities that do not require a separate EMP)

Potential Impacts Prevention and Mitigation Measures

Water Supply • Repair and rehabilitation of existing piped water schemes. • New or expanded piped water schemes to serve fewer than 10,000 households. • Installation or rehabilitation of tubewells or dug wells. Disease caused by poor water quality:

• contamination by seepage from latrines, municipal waste or agricultural areas.

• high mineral concentrations.

• creation of stagnant pools of water.

• Prioritize leak detection and repair of pipe networks.

• Chemical and bacteriological testing of water quality from adjacent comparable sources prior to installation of new sources.

• Redesign to prevent contamination if adjacent comparable sources are found to be contaminated.

• Subsequent monitoring of installed or rehabilitated sources.

• Appropriate location, apron and drainage around tubewells and dug wells to prevent formation of stagnant pools.

• Provision of cover and hand-pump to prevent contamination of dug wells.

• Where pit latrines are used they should be located more than 10m from any water source. The base should be sealed and separated by at least 2m of sand or loamy soil from the groundwater table.

• Where nightsoil latrines or septic tanks are built they should be sealed. Outflows should drain either to a soak away located at least 10m from any water source or be connected to a working drain.

Depletion of water source:

• over-exploitation of aquifers.

• hazard of land subsidence.

• Urban interventions and abstraction limits to be planned in the context of groundwater investigations.

• Local water use planning (community and technical consultation).

92


Potential Impacts Prevention and Mitigation Measures Social Ris

• Lack of clear division of rights/ respo t in maintwells/pumps.

finition of user rightcreatgrou

Access to water may be captured

Use of foreign equipment/

• Potential impacts to cultural

Ensure sufficient community participation and organization for effective p e.

Include downstream water users (e.g. water supply, irrigation, livestock watering) in planning of water storage reservoirs.

• Identify proper mechanism of rights and responsibilities over through participatory village focus

Ensure that local accessible materials are used when developing/rehabilitating wells in order to provide maintenance.

Fguidelines of user rights through participatory focus groups; E

• Use archaeological chance find procedures and coordinate with a

ks:

nsibilities may resulenance problems of

• Lack of clear des for wells and pumps may well/pump/reservoir usagee exclusion of vulnerable groups. ps.

•by interest groups.

•materials may hinder maintenance of pumps/wells.

property.

lanning and management of infrastructur

•

•

• or each pump/well/reservoir/ borehole establish clear

nsure that access to water pumps/reservoirs is equitable to prevent capture by interest groups.

ppropriate agencies.

ment plants to serve less than 10,000 households.

• here pit latrines are used they should be located more than 10m from any water source. The base should be sealed and separated vertically by not less than 2m of sand or loamy soifrom the groundwater table.

here nightsoil latrines or septic tanks are built they should besealed. Outflows should drain either to a soak away located at least 10m from any water source or be connected to a working drain.

• Disease caused by poor handling Training and health education to be provided to nightsoil

h

• iners for nightsoil t

practices of nightsoil.

•

andlers where affected by interventions.

Protective clothing and appropriate contaransportation to be provided.

•

Sanitation and Wastewater • Latrines, cesspits. • Rehabilitation of wastewater treat Contamination of water supplies: • contamination of groundwater

because of seepage.

• contamination of surface waters due to flooding or over-flowing.

W

l

• W

Maintenance training to be delivered along with new latrines.

93


Potential Impacts Prevention and Mitigation Measures Disease caused by inadequate Nightsoil should be handled using protective clothing to

• ld be

.

is available.

sers of

excreta disposal or inappropriate use of latrines.

•

prevent any contamination of workers skin or clothes.

Where nightsoil is collected for agricultural use it shoustored for a sufficient period to destroy pathogens through composting. At the minimum it should be stored in direct sunlight and turned regularly for a period of at least 6 weeks

• Septic tanks should not be constructed nor septic waste collected unless primary and secondary treatment and safe disposal

• Health and hygiene education to be provided for all ulatrines.

• Awareness campaign to maintain sanitary conditions.

tential health and environmentarisks associated with use of treat

astewater effluent for irrigatio

•land

• duction in local propues • Reconsideration of rate structures.

•segments of population.

Secondary treatment of wastewater and chlorination of final effluent followed by aeration prior t

channels in addition to effluent monitoring at treatment plant outfall.

Po l

ed w n: • Socio-Economic Risk Permanent loss of productive

Re erty val

Ability to pay of poorer

•

o restricted wastewater reuse; initial monitoring of irrigation water quality in irrigation

• Purchase of replacement land.

• Monetary compensation.

94


Attachment 6

S in the

I. General

1. The Contractor and his employeesother measures required by the Engine tions on the environment.

2. The Contractor shall not be permitted to unnecessarily strip clear the right of way.

3. Remedial actions which cannot be effectively carried out during construction should be carried out on completion of each Section before

suance of the Taking Over Certificate

e , incl

ould be clear

borrow pits should be dressed as fish ponds, or drained and made safe, as agreed with the

4. mit construction works to between 6 am and 7 pm if it is to be carried out in or

. The Contractor shall avoid the use of heavy or noisy equipment in specified areas at night, or in nsitive areas such as near a hospital.

6. To prevent dust pollution during dry periods, the Contractor shall carry out regular watering of earth and gravel haul roads and shall cover material haulage trucks with tarpaulins to prevent spillage.

II. Transport

7. The Contractor shall use selected routes to the project site, as agreed with the Engineer, and appropriately sized vehicles suitable to the class of road, and shall restrict loads to prevent damage to roads and bridges used for transportation purposes. The Contractor shall be held responsible for any damage caused to the roads and bridges due to the transportation of excessive loads, and shall be required to repair such damage to the approval of the Engineer. 8. The Contractor shall not use any vehicles, either on or off road with grossly excessive, exhaust or noise emissions. In any built up areas, noise mufflers shall be installed and maintained in good condition on all motorized equipment under the control of the Contractor.

afeguards Procedures for Inclusion Technical Specifications of Contracts

shall adhere to the mitigation measures set down and take all er to prevent harm, and to minimize the impact of his opera

of the road (earthworks, pavement and drainage) and is :

(a) these sections should bundertaken without delay

landscaped and any necessary remedial works should beuding grassing and reforestation;

ed of debris and drains and culverts checked for clear flow (b) water courses shpaths; and

(c)

land owner.

The Contractor shall linear residential areas.

5se

95


9. Adequate traffic control measures shall be maintained by the Contractor throughout the duration of the Contract and such measures shall be subject to prior approval of the Engineer.

I. Workforce

hould whenever possible locally recruit the majority of the workforce and shall rovide appropriate training as necessary.

t causing pollution of nearby watercourses.

solid wastes generated by the labor camp and/or base camp.

fuels.

14. in appropriasettlements and not within 1,000 meters for asphalt plants. 15. The Contractor shall ensure that site offices, depots and particularly storage areas for diesel fuel and bitumen and asphalt plants are not located within 500 meters of watercourses, and are operated so that noduring perio his will require lubricants to be recycled and a ditch to be constructed around

e area with an approved settling pond/oil trap at the outlet.

l not use fuelwood as a means of heating during the processing or preparation of any materials forming part of the Works.

IV. uarries and Borrow Pits

rior approval of the Engineer, and the operation shall cease if so instructed by the Engineer. Borrow its shall be prohibited where they might interfere with the natural or designed drainage patterns. River

ed if they might undermine or damage the river banks, or carry too much fine aterial downstream.

emoved to limit the depth of material ove

of the Engineer, and not be lose to environmentally sensitive areas or to existing residential settlements, and shall be operated with

approved fitted dust control devices.

II 10. The Contractor sp 11. The Contractor shall install and maintain a temporary septic tank system for any residential labor camp and withou

12. The Contractor shall establish a method and system for storing and disposing of all

13. The Contractor shall not allow the use of fuelwood for cooking or heating in any labor camp or base camp and provide alternate facilities using other

The Contractor shall ensure that site offices, depots, asphalt plants and workshops are located te areas as approved by the Engineer and not within 500 meters of existing residential

pollutants enter watercourses, either overland or through groundwater seepage, especially ds of rain. T

th 16. The contractor shal

Q 17. Operation of a new borrow area, on land, in a river, or in an existing area, shall be subject topplocations shall be prohibitm 18. The Contractor shall ensure that all borrow pits used are left in a trim and tidy condition with stable side slopes, and are drained ensuring that no stagnant water bodies are created which could breed mosquitoes.

9. Rock or gravel taken from a river shall be far enough r1rem d to one-tenth of the width of the river at any one location, and not to disrupt the river flow, or damage or undermine the river banks.

0. The location of crushing plants shall be subject to the approval 2c

96


V. Earthworks 21. Earthworks shall

be properly controlled, especially during the rainy season.

op and bottom of slopes and be planted with grass or

ure slides, interfere with agricultural land or oth

(a) Stop the construction activities in the area of the chance find.

site or area.

istry of Culture immediately (less than 24 hours).

e archeologists of the Ministry of Culture (within 72 hours). The significance and

(f) Ensure that decisions on how to handle the finding be taken by the responsible authorities

nd salvage.

22. The Contractor shall maintain stable cut and fill slopes at all times and cause the least possible disturbance to areas outside the prescribed limits of the work.

23. The Contractor shall complete cut and fill operations to final cross-sections at any one location as soon as possible and preferably in one continuous operation to avoid partially completed earthworks, specially during the rainy season. e

24. In order to protect any cut or fill slopes from erosion, in accordance with the drawings, cut off

rains and toe-drains shall be provided at the tdother plant cover. Cut off drains should be provided above high cuts to minimize water runoff and slope erosion.

25. Any excavated cut or unsuitable material shall be disposed of in designated tipping areas as agreed to by the Engineer.

6. Tips should not be located where they can cause fut2

any er properties, or cause soil from the dump to be washed into any watercourse. Drains may need to be dug within and around the tips, as directed by the Engineer.

VI. Historical and Archeological Sites 27. If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:

(b) Delineate the discovered

(c) Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Culture take over.

(d) Notify the supervisory Engineer who in turn will notify the responsible local authorities and the Min

(e) Contact the responsible local authorities and the Ministry of Culture who would be in charge of protecting and preserving the site before deciding on the proper procedures to be carried out. This would require a preliminary evaluation of the findings to be performed by thimportance of the findings should be assessed according to the various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values.

and the Ministry of Culture. This could include changes in the layout (such as when the finding is an irremovable remain of cultural or archeological importance) conservation, preservation, restoration a

97


(g) Implementation for the authority decision concerning the management of the finding shall d in writing by the Ministry of Culture; and

(h) Construction work will resume only after authorization is given by the responsible afeguard of the

heritage.

VII. Disposal of Construction and Vehicle Waste

construction (e.g. as fill materials for embankments). The disposal of rema ing debris shall be carried out only at sites identified and approved by the project engineer.

29. the event any debris or silt from the sites is deposited on adjacent land, the Contractor shall edi

r/Engineer.

1. All arrangements for transportation during construction including provision, maintenance, ismantling and clearing debris, where necessary, will be considered incidental to the work and should

r as approved and directed by the Engineer.

e provided r wash down and refueling areas. Fuel storage shall be located in proper bunded areas.

33. ts shall be disposed of in accordance with standard environ e and refilling areas shall be located at least 300m from all

be communicate

local authorities and the Ministry of Culture concerning the s

28. Debris generated due to the dismantling of the existing structures shall be suitably reused, to the extent feasible, in the proposed

inThe contractor should ensure that these sites (a) are not located within designated forest areas; (b) do not impact natural drainage courses; and (c) do not impact endangered/rare flora. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas.

Inimm ately remove such, debris or silt and restore the affected area to its original state to the satisfaction of the Superviso

30. Bentonite slurry or similar debris generated from pile driving or other construction activities shall be disposed of to avoid overflow into the surface water bodies or form mud puddles in the area. 3dbe planned and implemented by the contracto 32. Vehicle/machinery and equipment operations, maintenance and refueling shall be carried out to avoid spillage of fuels and lubricants and ground contamination. An 'oil interceptor" will bfo

All spills and collected petroleum producmental procedures/guidelines. Fuel storag cross drainage structures and important water bodies or as directed by the Engineer.

98


Attach

equired Expertise

. The consulting team should have:

hydrology; nv

ibly marine depending on receiving environment); water quality;

oil

. It is important to note that projects in this sector could range from the very large, such as the

ill depend

1. Key issues in Iraq for an EA in this sector will include:

Land Use and Siting

• Water treatment and wastewater treatment plants facilities require tracts of land for treatment facilities, storage, offices and laboratories, and access roads.

• Smaller dispersed plots may be required for peripheral pumping stations. • Elevation relative to the municipality is often a key siting factor to optimize gravity flow and

reduce or minimize reliance on pumps. • Suitable land is often a limited resource, and facility location could require resettlement of both

titled landowners and squatters and/or the taking of agricultural land. • Potential impacts of wastewater treatment plant on local communities including odor and reduction

in property values.

ment 7

TOR Preparation: Key Issues and Output - Water Supply and Sanitation (particularly useful for components/activities that require separate EMPs)

R 1 • General EA experience; • Environmental specialists; 2. And expertise in the following areas: •• e ironmental engineering; • water quality modeling; • ecology (terrestrial, aquatic, and poss•• s science (for land application of sludge); • wastewater utility management; and • social assessment and public participation. 3. Other specialties that may be needed, depending on the nature of the project, are public health, gronomy, land use planning, oceanography and resource economics. a

Key Issues 1development or rehabilitation of a city water supply/distribution system and wastewater collection/treatment system, to smaller scale, targeted improvements to existing systems or construction of a new municipal wastewater treatment plant. The scope and number of issues involved wto a great extent on the magnitude and complexity of the project.

99


Water Resources

The population of the IRAQ region is growing rapidly, and the primary sources of water in this arid and s

ictions on other users.

trol and prevent further contamination of freshwater water resources (ground and surface water) through discharge of untreated or inadequately treated domestic, municipal and

Equally important is the conservation of scarce water resources through demand side management d use of water.

by domestic, municipal and industrial wastewater is also a serious problem.

eader is recommended to the World Health Organization’s (WHO) publication Health guidelines for the use of wastewater in agriculture and aquaculture

nical Report Series, No. 778, 1989).

management of water supplies will typically involve pricing increases, and ents of society will likely be an issue.

s of the populace prefer to continue using contaminated water water.

Similarly, cost recovery for wastewater treatment services may adversely impact the poorer

th

ants including oil and grease, heavy metals, acids and PCBs.

herbicides. Sludge management and disposal.

Public Consultation

• AQ region. It is important that EA for tion.

dissemination of project information.

•emi-arid region are non-renewable fossil aquifers.

• Allocation: exploitation of an aquifer for municipal supply may necessitate use restr

• It is essential to con

industrial wastewater. •

and efficient allocation an• Pollution of coastal waters

• Water re-use for agriculture (the r

(WHO Tech

Socio-economic

• Demand side willingness/ability to pay for the poorer segm

• In some countries, the poorer segmentto avoid the costs of associated with treated

•segments of the society.

Public Heal

• Contamination of potable water by domestic and industrial effluent is common place in many countries of the region.

• Municipal wastewater contamination causes high incidences of illness and death from water borne diseases including dysentery and cholera.

• Industrial wastewater contributes toxic or harmful contamin

• Agricultural sources contribute fertilizers, pesticides and•

Public consultation has not traditionally been strong in the IRall projects take the necessary measures to ensure adequate public consulta

• Gender and communication issues must be carefully considered and incorporated in the design of public consultation exercises and in the

100


The EA Study and Report

Ban tions:

• mmary

• •

•

addBan of the EA that should be addressed in an EA of a

ater supply and sanitation project are described below.

1. Consultants are required to carry out an EA study and prepare an EA report according to the World k standards. The report should include the following sec

Executive su

• Policy, Legal, and Administrative Framework Project Objectives and Description Baseline Data

• Environmental Impacts Analysis of Alternatives

• Environmental Management Plan

2. The general requirements for the above are described in the introduction to this chapter (for itional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World k). Specific aspects under the above components

w

101


Box1 Key Output for EA of Water Supply and Sanitation Project

PoAdFr h would apply to projects of this type, are

provided in Annex III.

e pertinent regulations and standards governing es to surface waters and land, industrial discharges to public

euse, agricultural and landscape use of sludge, health and safety, rotection of sensitive areas, protection of endangered species, siting, land use control, etc., at

national, regional and local levels (The TOR should specify those that are known and sultant to investigate for others).

licy, Legal, and ministrative amework:

Tables should be used to list applicable standards and note which authorities are responsible for their application. Where there are no relevant local standards, suitable international norms may be used. The World Bank’s General Environmental Guidelines, whic

Specifically, the TOR should describe thenvironmental quality, pollutant dischargsewers, water reclamation and rpinternational,require the con

Pr tand Description:

ibe the need for and target consumer of the water network in the context of the local and national water supply and sanitation strategy. The effect on economic and social

oject should be provided including at least the following: • Location • water supply source • general layout (e.g. distribution and/or collection systems, pumping stations, treatment works,

intakes and outfalls) • unit process description and diagram • size in terms of population and population equivalents, present and projected • number and types of connected industries • anticipated influent and effluent characteristics • pre-construction and construction activities • schedule, staffing and support facilities and services • operation and maintenance activities • required off-site investments • life span

ojec Objectives This section should descr

development goals of the locality, country and region should be described. If the project is an element of an overall sanitation program in the area, then a description of the other program elements must be presented. A physical and engineering description of the pr

Baseline Data The key categories of data needed for a water supply and sanitation EA include the following: Physical Environment • geology (general description for overall study area and details for land application sites) • topography • soils (general description for overall study area and details for land application sites); • monthly average temperatures, (rainfall) and runoff characteristics • description of receiving waters (identity of streams, lakes, or marine waters; annual average

discharge or current data by month, chemical quality; existing discharges or withdrawals).

102


Baseline Data

e or marine communities in affected waters; • Rare or endangered species;

nt and projected employment by industrial category; • Distribution of income, goods and services;

c health; • Cultural properties; indigenous peoples; customs, aspirations and attitudes. B nly partially available, though many countries will have a large part of these d ed i (if significant effects on an important natural or cultural resource are a n be studies on local areas done by international agencies. T ities, PhD theses, or v ted and used where relevant, provided that the sources, a re documented.

continued…. Biological Environment • Terrestrial communities in areas affected by construction facility siting land application or

disposal; • Aquatic, estuarin

• Sensitive habitats, including parks or preserves, significant natural sites; • Species of commercial importance in land application sites and receiving waters. Socio-cultural Environment • Present water and sanitation system • Relevant public health data • Present and projected population; • Present land use; • Planned development activities; • Community structure; • Prese

• Recreation; • Publi

aseline data is often oata and inexpensive field investigations can provide much of the remainder. Where more detailnformation is requirednticipated, for example) there will oftehere may also be unpublished information in government departments, universoluntary groups. These should be investigand any assumptions or uncertainties in the data a

prediction of the changes in the environment resultinthe effect on theo be considered, and an assessment of

ystems, should be presented. The asses

the exte

• The length of stream or expanse of lake or marine waters which will be positively or nega

• Projected quantitproductivity), recreation and tourism (visitor-days, overnights, expenditures), and watefor portabl

Sanitation and public benefits anticipated. Wastewater re-use for agriculture

Environmental Impacts:

A g from project construction and operation are t surrounding physical, biological, and human s sment should pay particular attention to : • nt to which receiving water quality standards and/or other beneficial use objectives will be

achieved with the proposed type and level of treatment. tively

affected by the discharge, and the magnitude of the changes in water quality parameters. ative changes in beneficial uses, such as fisheries (species composition,

rs available e supply, irrigation, and industrial use.

••

103


Analysis of Alternatives:

This section should provide a brief description of possible alternatives to the project/project design alternative). The reasons why the various alternatives considered were

ical alternatives existing for

nd disposal, and sludge management. Several will be applicable in e

(including the ‘no action’rejected should be documented.

The analysis should investigate the variety of siting and technologwastewater collection, treatment aev ry situation. For example: C• on-lot treatment • individual holding tanks with truck

collection • small-diameter gravity, pressure or

vacuum sewers • shallow sewers • flat sewers • simplified sewerage systems • physical-• conventional gravity sewers and force

mains • regional collection s• community or sub-regional systems Disposal • reuse in agriculture, silviculture,

aquaculture, landscaping • reuse for groundwater recharge • rapid infiltration • underground injection • reuse in industrial applications

• composting • co-composting with municipal refuse • reuse in agriculture or silviculture • reclamation of marginal land for reforestation

cultivation • energy recovery (methane gas) • incineration

•• surface water discharge • nightsoil treatment plants

• ocean disposal

Tconstruction and operational phases of the project. The EMP will need to account for monitoring of

ironmental parameters and the influence of mitigation meshould include the following basic components.

Institutional Component Institutional responsibilities for management of the water supply and sanitation sector

• Responsibilities for monitoring, reporting and• Identification of any needs for capac

ollection Systems

ystems

ocean outfall

Treatment Works • community on-lot systems • oxidation ponds • stabilization pond systems • aerated lagoons • artificial wetlands (constructed wetlands) • land treatment • conventional biological treatment

chemical treatment • preliminary or primary treatment (possibly with

ocean disposal) • secondary or tertiary treatment

Sludge Management

,

• landfill

Environmental Management Plan

his section should include details of the management initiatives to be implemented during both the

env asures on environmental impacts. It

• enforcement

ity building, training or equipment

Environmental Mitigation Component

Table 1.7.1 presents the key aspects of a mitigation plan for a new wastewater treatment project.

104


EnvironmenManagement P

tal lan

continued… ent for achieving optimal operational performance. The

on are dependent on numerous factors including treatment of influent, etc and should b ase by case basis. Monitoring

ncies for potable water are r complexities. The rganization’s ter Quality (1996)

-used for i ’s Health guidelines and aqua port Series No. 778, 1989) are

reco nitoring parameters and guidelin

Environmental Monitoring Component Monitoring should ascertain compliance with agreed standards of potable water supply and/or efflu

ischarge, and serve as an analytical support tooldWorld Bank’s General Environmental Guidelines, which would apply to projects of this type, are provided in Annex III. A listing of typical monitoring parameters and frequencies for a wastewater treatment plant are presented in Table 1.7.2 to provide a general picture. Monitoring parameters and requencies for an actual situatif

technologies, quality e determined on a cparameters and freque not provided herein due to simila

rinking Wareader is referred to the World Health Ofor further information.

Guidelines for D

In cases where the wastewater is to be refor the use of wastewater in agriculture

mmended for mo

irr gation agriculture, the WHOculture (Technical Re

es.

tigation Plan for wastewate project

Mitigating Measure

ironment joint

Capacity building

ate from

Government with To be determisupport of international consultant

tio water Training and procureme d Governmentequipm support

international

Permanent loss of tive land Purchase of replacement land Municipal Government

To be determined

y values Monetary compensation

ntal Secondary treatment of wastewater and Environment and To be determ

of t ated chlorination of final effluent followed Agriculturiga on by aeration; initial monitoring of Ministries

channels in addition to efflue

Table.3 Example Mi r treatment plant

Issue Responsibility Time or Cost Requirements

Institutional Cooperation between Envand Agriculture Ministries formonitoring or irrigation w rtreatment plant

ned

Capacity to monitor irriga nquality

nt of requireent

with , of

consultant

To be determined

Land Use and Siting produc

Reduction in local propert Municipal Government

To be determined

Water Resources Potential health and environmerisks associated with use rewastewater effluent for irr ti

irrigation water quality in irrigation nt

monitoring at treatment plant outfall

al ined

Socio-economic Ability to pay of poorer segments of population

Reconsideration of rate structures and subsidies

Government To be determined

105


Mo reatment plant Table.4 General nitoring program for a wastewater t

Monitoring Parameter Frequency

utfall

nd (BOD) nd (COD)

TSS),

Frequency dependent on characteristics of effluent and treatment prior to discas dilution, dispersion, sensitivitand downstream use of receiving environment (i.e., water or land)

pecific)

Monitoring at Effluent O

pH

Biological Oxygen DemaChemical Oxygen DemaOil and grease Total Suspended Solids (Heavy metals (total and sAmmonia Coliform Cyanide, free C anide, total Nitrate Fluoride CPhenols

horous Sulfide

t edge of initial mixing

g Waters (additional parameters for measu

en (DO2), mg/l

harge, as well y

.

y

hlorine, total residual

Phosp

Temperature, a zone Effluent flow, l/second Downstream Monitoring of Receivin

Dissolved Oxyg

rement)

106


Attachment 8

TOR Preparation: Key Issues and Output - Solid Waste Management ired when dealing with issues of solid wastes/construction wastes)

Required Expertise A consulting team will be required with:

lists;

xpertise in the following areas:

ste management environmental issues including collection, transport, recycling, disposal d composting; dfill leachate and groundwater pollution control and management;

nd traffic issues; ution control;

ise specialists; and ent and public participation.

d for new construction or major upgrading of solid waste management cilities. Key EA issues for solid waste management projects typically include the following.

Land Use and Siting

• solid waste management facilities require land for access roads, waste handling, disposal and associated facilities and operating efficiency is enhanced when the disposal site is proximal to the source of waste

• proximity to city center is often a key siting factor to minimize haul time, transfer stations, and potential traffic impacts

• hydrogeological conditions are often a key siting factor to minimize potential for groundwater contamination from leachate infiltration

• suitable land is often a limited resource, and facility location could require resettlement of both titled landowners and squatters and/or the taking of agricultural land.

• potential effects on local property values. • potential impacts of landfill traffic on local communities.

Socio-economic

• potential impacts on existing waste recycling/rag-picking community

Public Health

• uncontrolled mingling of clinical or hazardous waste with municipal waste stream • worker risks of exposure to clinical or hazardous waste

(might be requ

1. • EA experience; General• Environmental specia 2. And e • solid wa

an• lan• facility siting a• air poll• no• social specialists social assessm Key Issues 1. EA is generally requirefa

107


• public risks of exposure to clinical or hazardous wastes local community health impacts from airborne pathogens or animal vectors • potenti

oise

traffic noise

ater Resources

potential for groundwater (aquifer) contamination from waste leachate

tion and operation from on-site vehicle movements and placement of waste

• smoke from fires

gas emission (methane is a major greenhouse gas); waste to energy options

ublic Consultation

as not traditionally been strong in the MNA region. It is important that EA for all projects take the necessary measures to ensure adequate public consultation.

of

rld

Ban e following sections:

• ork;

Baseline Data; Impacts (includes mitigation measures);

• Analysis of Alternatives;

Appendices.

quirements for the above are described in the introduction to this chapter (for additional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World

gement project

•al explosion from unmanaged methane gas production.

N

• noise during construction and operation •

W

•• potential for surface water contamination

Air Quality

• dust during construcmaterials

• vehicle exhaust emissions

• methane

P

• public consultation h

• gender and communication issues must be carefully considered and incorporated in the designpublic consultation exercises and in the dissemination of project information.

The EA Study and Report

1. Consultants are required to carry out an EA study and prepare an EA report according to the Wok standards. The report should include th

Executive summary;

• Policy, Legal, and Administrative Framew• Project Objectives and Description; •• Environmental

• Environmental Management Plan; and • 2. The general re

Bank). Specific aspects that should be addressed in an EA of a solid waste manaare described below.+

108


Key Output for EA of Solid Waste Management Project (in addition to Box 1.2)

Policy, LFramework:

ards and note which authorities are responsible for their application. Where there are no relevant local standards, World Bank General Environmental Guidelines may be used (see Annex III). Where relevant local legislation and standards exist, these should be described. The section should include:

and local ordinances which delineate the solid waste management responsibility and authority delegated to local government; national laws and guidelines which define the design and operating standards which local governments are to meet in the conduct of their responsibilities; a description of any environmental standards which are to be met, any requirements for submission of environmental monitoring data or environmental impact assessment statements by local government to the national government; local

rticipate in and co-operate with the solid

Discuss the extent to which the local government uses education, inspection and enforcement to assure compliance with the available regulations. Describe the technical assistance, environmental monitoring, and regulatory enforcement activities provided by national and provincial government as a support to local government operations and actions.

egal, and Administrative Tables should be used to list applicable stand

• national laws

ordinances which govern citizen responsibility o pawaste system.

Project O ent in the context of the local and national waste management strategy. The effect on economic and

cial development goals of the locality, country and region should be described. If the project element of an overall waste management development program in the area, then a

description of the other program elements must be presented.

A physical and engineering description of the project should be provided including at least the following: (a) For project improvements to solid waste collection, include:

bjectives and Description: This section should describe the need for and target consumers of solid waste managem

sois an

• physical layout of the neighborhoods to receive improved collection; • social, cultural and economic conditions of the neighborhoods to receive improved

collection;

109


• description of the project elements, including proposed collection method; pilot tests to

es of atio

procurement plresponsible par

(b) For project improvements to solid waste transfer and disposal, include: • physical layout

including mapping• strategic siting of th

of collection serviclocations;

• physical, ecologiccharacteristics, prosources and privat n of ground water flow, uses of surface water, prevailing wind direction

confirm the proposed collection method as appropriate; pre-implementation activitipublic educ n and involvement; cost recovery systems; equipment specifications and

ans; implementation plans; operation and maintenance procedures; and ties for each aspect of the system.

of the overall urban area to be served by transfer and/or disposal facilities, of all major roads; e facilities, including economic justification for the overall strategic plan

e areas, direct haul routes, transfer stations, transfer routes and disposal

al and demographic setting of facilities, including surrounding land use ximity to residential neighborhoods, location of public water supply

e wells, directio; he project elements, including layout of proposed facilities (e.g., fencing, hbridges, roads, ramps, drainage, gas and leachate control systems, ls); hedule, operating plans, closure plans, long-term monitoring plans, and

of data needed for a waste collection and disposal systems include the

provements to collection systems:

ent layout, shown, or soad or walkway access for collection equipment; eteorology, as it affects refuse containment and frequency of collection.

ment

• description of tbuildings, weigmonitoring wel

• construction scresponsible parties.

Baseline Data The key categoriesfollowing: (a) For project im Physical Environm• Neighborhood ing locations for communal containers, stops for truck during

block collectio treets served by curb-side collection • Conditions of r• Climate and m Socio-cultural Environ• Population density and demographic level by neighborhood • Community structure of local leader and traditional public involvement process • Employment and other activities indicating patterns of movement to and from neighborhood • Education level with regard to sanitation and public health • Customs and attitudes relative to co-operation with collection system (a) For project improvements to transfer and disposal facilities: Physical Environment • Location of proposed facilities with regard to nature of surrounding land uses and proximity

to homes and other establishments • Existing road and traffic conditions in the area of proposed facilities, versus proposed road

and traffic conditions • Existing topography and proposed changes, including area which will be affected by any

visible aesthetic impacts • Soils and geology • Surface and ground water hydrology, and hydraulic connections between the proposed sites

and receiving waters down gradient of the sites • Existing and proposed uses of receiving water, including location of private and public

water supply wells and intakes • climate and meteorology, including prevailing wind direction Biological Environment • flora and fauna • sensitive habitats

110


• rare, endangered, or commercially important species

io-cultural Environment past uses of sites and consideration of historic significance land use and demographic character of surrounding neighborhoods planned development activities

•concerns over traffic insects, noise, dust, odor, smoke or aesthetic issues

eline data is often only partially availab

these data and inexpensive field investigations can provide much of the remainder. Where more ailed information is required (if significant effects on an important natural or cultural

age cies. There may also be unpublished information in government departments, universities, theses, or voluntary groups. These should be investigated and used where relevant, ided that the sources, and any assumptions or uncertainties in the data are documented.

Environmental Impacts:

are ical, and hum be presented.

For there are numerous potential impacts to be reviewed as a part of design. or the most part, well-conceived designs will minimize adverse impacts. Also, altering

here are some potential impacts whose consequences would be environmentally significant ial studies conducted as a part of

nvironmental impact assessment are recommended. Specifically, prior to design of a land ter monitoring wells should be installed both on-site and off-site to

the ould be used to develop a which could be generated

r.

A prediction of the changes in the environment resulting from project construction and operation to be considered, and an assessment of the effect on the surrounding physical, biolog

an systems, should

solid waste projects,Foperating practices can minimize many potential impacts. Tover the long term. With regard to these impacts, specedisposal site, groundwaassess the character of soils, geology and groundwater quality and flow dynamics. Data from

se borings coupled with precipitation and infiltration data shconceptual model of the landfill and estimate the quantity of leachateand released from the land disposal site and its potential effect on the nearest receiving wate This section should provide a brief descriptiondesign (including the ‘no action’ alternative). For various aspectproject, there are appropriate alternative technologies or operating methods, as listed The reasons why the various alternatives considered were rejected should be documented. Disposal Systems •• anaged landfill •• sanitary landfill wit• separate disposal zone in sanitary landfill or separate disposal site for

construction/demolition debris, bulk• composting

incineration

Soc• • • education, awareness, and sensitivity of public to propose siting of facilities; and public

.

Bas le, though many countries will have a large part of

detresource are anticipated, for example) there may be studies on local areas done by international

n PhDprov

Analysis of Alternatives

of possible alternatives to the project/project s of a solid waste management

below.

source reduction of wastes

m sanitary landfill (i.e., designed refuse cell construction)

h gas and leachate control

y wastes and tires

•

111


Collection Systems • source reduction of wastes

-site waste management

stems

• separate collection for potentially hazardous materials

• self-reliant systems of on• equipment includes: pushcart, animal cart, tractor, and truck • communal stationary container systems • communal portable container sy• curb-side collection systems from liftable containers

block collection systems with resident co-operation •• separate disposal for potentially hazardous materials • hold and bleed pumped sewage into wastewater treatment facilities where available, or

provide separate disposal • separate incineration for medical wastes • Recycling Systems increase product durability •• source segregation of recyclables • manual or mechanized sorting of recyclables at transfer stations and disposal facilities • financial incentives to private sector recycling initiatives refurbishment and re-manufacturin•• modify procurement specifications to increase opportunities for products made from

recycled materials Tduring both the construction (for landfill sites) and operational phase of the projeThe EMP will need to account for monitoring of environmental parameters ainfluence of mitigation measures on environmental impacts. It should include following basic components. Institutional Component • Institutional responsibilities for management of the solid waste sector • Responsibilities for monitoring, reporting and enforcement • Environmental Mitigation Plan Table 1.6.1 presents the key aspects of a mitigation plan for a new solid waste management facility. Environmental MoMonitoring should address bothdetrimental to human sol d waste management facility.

g of durable products

Environ mental Management Plan:

he EMP should include details of the management initiatives to be implemented ct.

nd the the

Identification of any needs for capacity building, training or equipment

nitoring Plan emission and ambient levels of pollutants where these may be

health. Table 1.6.2 below presents a typical monitoring program for a i

112


For solid waste projects which include a land disposal facility, monitoring will include:

ation (for specific parameters ental Guidelines, which would apply to projects of

ation system, periodic monitoring will

vents and off-site (using a portable meter).

• gas and ground water monitoring wells • regular schedule of monitoring for key indicators of contamin

see the World Bank’s General Environmthis type, provided in Annex III).

• If the land disposal site has a gas collection and ventilneed to address: The composition of gas being discharged from the Ambient oxygen and combustible gas levels on-

new solid waste management facility

Issue Mitigating

ac ty for EA includes a TOR for a training and Government with rt of an

Four man mequipment c assistance project to strengthen the suppo

ationells, ministry’s capacity in these areas as well internleachate

e as specifications and cost estimates for procurement of the necessary equipment.

consultant

Land Use and SiPermanent loss of pro

ting duc

Reduction in local propert

Landfill traffic through existing communities

Restrict traffic to work day initially Collection Contractor

To be determined To be determined

Socio-economic Loss of livelihood for rag-picking community

Incorporate series of dumping bays in ckers can access

Landfill Design Contractors

To be determined

Public Health Control of clinical and hazardous waste disposal

Segregate incoming waste stream Ministry of

Collection Contractor with support of international consultants

To be determined.

ate 2

tive land Purchase of replacement land or

compensation Government

To be determined

y values Compensation Government To be determined

Investigate construction of new access road avoiding community

design where rag-piwaste prior to disposal

through education program, collection system and strict enforcement

Environment, Landfill Operating Company, and

Management and supervision estimmen full time

Example Mitigation Plan for

Measure Responsibility Time or Cost Requirements

Institutional Environment Ministry cap icarrying out the long termmonitoring of groundwater wemissions, and the treated effluent was assessed to binadequate.

al

onths plus osts to be

determined

113


Issue Mitigating Measure Responsibility Time or Cost

nearest Restrict construction to day light period

Landfill Construction NA

eare t including: creation of perimeter berm Company a

Implement agr

and planting of tree buffer around Collection

Requirements Noise Construction noise effects oncommunity Operations noise effects on n scommunity

eed mitigation measures

landfill boundary, restrict landfill operation and collection traffic to work

Contractors

Landfill Operating nd

Contractors

To be determined

d and Surface Water Quality

otential contamination of ground g future

Discharge of treated leachate

tion

rogram lls and surface effluents

ust meet effluent discharge standards

f l

consultant Environment

inistry with initial

ternational

nnual reporting by

ompany; review by nvironment

Ministry

uding analyses

to be determined

omponent of annual

s ing

nd monitoring ust emissions

tion

rations

offloading facilities and rapidly covering refuse with soil.

ting

Exhaust from landfill collection traffic

Upgrade collection fleet ntractor $750,000

Odors during operation Implement sanitary landfill management practices including daily soil covering

Landfill Operating Company

NA

day.

Groun

No existing baseline for ambient (pre-landfill) conditions Pand surface water durinoperations

Implement agreed baseline monitoringprogram prior to and during construction; samples to be analyzed in local laboratory with semi-annual samples exported for corrobora

Implement monthly monitoring pof perimeter we

M(local standards and World Bank guidelines)

Environment Ministry with support ointernationa

Msupport of inconsultant ALandfill Operating CE

$80,000 estimate for 2 year monitoring program incl

Coperations

Air Quality Dust during construction Implement agreed dust control measure

such as wetting dirt roads, truck washfor trucks exiting site, ad Implement agreed mitigation measures including paving haul roads and

Landfill ConstrucContractors

To be determined

Dust during ope Landfill OperaCompany

Collection Co

To be determined

114


General Monitoring program for new solid waste management facility

Item Monitoring Parameters: Sampling Frequency: Monit : oring Locations

baseline monitoring program may be han the const

required if existing data is insufficient for decision making; such a progr

ir Quality Dust (particula matter) Passive – 2/4 weeks

Weekly

ater Quality oil and gr

S BO

oliform

Weekly Weekly

water discharges ste water discharg

ste water d

(dB

facilit

uality Mon or

“ “ “

“

Meta “ “

CO

SMetals

All weekly

Od

Baseline A am may be more rigorous t ruction and operation monitoring programs. Construction Phase

A

te

4 locations minimum: at nearest residences and site boundary

Noise

Decibels (dB)

6 locations minimum: at nearest residences

W

ease Total Suspended olids

D Total and fecal c

Daily Daily

At all discharges including run-off At all discharges including run-off and waste At wa es At wa ischarges

Operations Phase Noise Decibels ) Monthly

6 locations at residences nearest

y

Ground Water Q

pH Monthly it ing wells Alkalinity “ Total Chlorides BOD “ COD “ “ ls Treated Leachate Effluent Quality1

pH Alkalinity BOD

D Temperature Oil and grease Total chlorides Total Suspended olids

At point of discharge

Air Quality Dust Fine particulate matter

or

Weekly

2 stations: 500 meters upwind and 500 meters downwind

1 Leachate management may vary depending on waste characteristics, landfill design and supporting infrastructure; leachate may be pretreated and then released to the municipal wastewater treatment plant.

115


Annex 11: Performance Monitoring Indicators

Base Jan. 2005 Jan. 2006 August 2007

Mid-term Final

Performa ce Target

Actual Target Actual Target Actual n

ced in the s

100%

perce f water samples Wl standards

10

bilitate 100%

tesystem re bilitated

10

100%

6. Kena’an water supply system rehabilitated and upgraded

20% 0% 10

inia waterm upgraded

100%

aded 100%

water susystem upg aded

100%

10. Dokan ly system upgr

40% 0% water suppaded

10

water srehabilitated Karbala ads and marke

13road

. Badawa unicipal s and st

drainage sys nstructed

25% slum morm water tem co

100%

rehabilitated.

15. No. of man-month 100 training provided through the project

300

1. Increase in the quantity of water produproject citie

30%

2. Improvement in the ntage o

meeting the HO biological and chemica

30% 0%

3. Karbala water supply system reha d and upgraded

20%

4. Majar wa r supply ha and

upgraded.

35% 0%

5. Beji water supply system rehabilitated and upgraded

35%

7. Al-Hussa supply syste

20%

8. Al-Samawa water supply system upgr

20%

9. Badawa pply r

40%

11. Dohuk upply and trunk sewer

20% 100%

12. Centralmunicipal ro t rehabilitated

20% 100%

14. Basra municipal roads 25% 100%

116


Annex 12: Project Files

This report was prepared bas discussion tiations with representatives from the MPW, internal meetings followi nts:

- Project report prepared by Arabtech Jardaneh, June 2004 - Project report prepared by Khatib & Alami, June 2004

émoire signed with the MMPW n Octob 2004 of Public Procurement in Iraq – Arabtech Jardaneh, 2003

t UN/WB Needs Assessment Report, October 2003 im Strategy Note for Iraq, January 2004 dertaken by USAID, UDPCO and UN

ed on s and negoM , and on the ng docume

- Appraisal Aide-M- Assessment- Join

o er 9th,

- World Bank Inter- List of projects un

117


Annex 13: World Bank Project Team

Names of Bank Staff And Consultants Who Worked On This Project Names Function Suhail Jme'an Task Team Leader A. A irm Al-Khafaji Co-Task Team Leader / Consultant Sat C ipal Development Specialist eh hafic El-Arnaout Co-Task Team Leader / Sr. MunicSana Kh.H. Agha Al Nimer Senior Water & Sanitation Specialist Hiba Muawyah Tahboub Senior Procurement Specialist Rob t cialist er Bou Jaoude Senior Financial Management SpeDav W rance id ebber Lead Finance Officer, Fiduciary AssuAym ialist an Abu Haija Senior Financial Management SpecNoureddine Bouzaher Senior Economist Hiroko Imamura Legal Counsel Ali Awais Legal Specialist / Consultant Dahlia Lotayef Senior Environmental Specialist Hany Shalaby Senior Environmental Specialist Karim Jacques Sehnaoui Junior Professional Associate Zakia B. Chummun Program Assistant Imelda Sevilla Program Assistant Fathi Kraiem Urban Specialist / Consultant Belhaj Merghoub Consultant KHATIB & ALAMI Consulting Firm – Urban Rehabilitation ARABTECH JARDANEH Consulting Firm – Water Supply and Sanitation Peer Reviewers Names Function Colin Scott Lead Specialist Andrew Macoun Lead Water and Sanitation Specialist Abdelmoula Ghzala Senior Infrastructure Specialist Ad-Hoc Advisory Committee Names Function Joseph Saba Country Director Kathryn Funk Senior Country Officer Tufan Kolan Iraq Trust Fund Manager Faris Hadad-Zervos Senior Operations Officer David Webber Lead Finance Officer, Fiduciary Assurance Alfred Nickesen Manager, OPCS Representative Nadjib Sefta Regional Procurement Advisor Sherif Arif Regional Environmental and Safeguards Advisor Samia Msadek Regional Financial Management Manager Aloysius Ordu Regional Quality Advisor

118